Revision of the Experimental Radio Service Regulations

FEDERAL COMMUNICATIONS COMMISSION

47 CFR Parts 5 and 90

[ET Docket No. 96-256; FCC 96-475]

Revision of the Experimental Radio Service Regulations

AGENCY: Federal Communications Commission.

ACTION: Proposed rule.

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SUMMARY: By this Notice of Proposed Rule Making (Notice) the Commission

proposes to revise the Experimental Radio Service (ERS) rules in order

to promote technical innovation and new services by encouraging

experiments; ensure that experimental licenses do not result in abuse

of the Commission's processes; and reorganize the Part 5 regulatory

structure, including eliminating unnecessary and burdensome

experimental regulations. The proposed action should encourage

experimentation, remove unnecessary regulatory burdens upon ERS

applicants, and prohibit abuses of the ERS processes.

DATES: Comments must be filed on or before February 10, 1997, and reply

comments February 28, 1997. Written comments by the public on the

proposed and/or modified information collections are due February 10,

1997. Written comments must be submitted by the Office of Management

and Budget (OMB) on the proposed and/or modified information

collections on or before February 28, 1997.

ADDRESSES: Comments and reply comments should be sent to the Office of

Secretary, Federal Communications Commission, Washington, D.C. 20554.

In addition to filing comments with the Secretary, a copy of any

comments on the information collections contained herein should be

submitted to Dorothy Conway, Federal Communications Commission, Room

234, 1919 M Street, N.W. Washington, D.C. 20554, or via the Internet to

[email protected], and to Timothy Fain, OMB Desk Officer, 10236 NEOB,

725--17th Street, N.W., Washington, D.C. 20503 or via the Internet to

[email protected].

FOR FURTHER INFORMATION CONTACT: Thomas Derenge at (202) 418-2451 or

Rodney Small at (202) 418-2452. Internet: [email protected] or

[email protected], Office of Engineering and Technology, Federal

Communications Commission. For additional information concerning the

information collections contained in this Notice! should contact

Dorothy Conway at (202) 418-0217, or via the Internet at

[email protected].

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Notice

of Proposed Rule Making, ET Docket 96-256, FCC 96-475, adopted December

13, 1996, and released December 20, 1996. The item proposes to: permit

longer license terms; permit blanket licensing of related multiple

experiments by a single entity and of fixed and mobile stations that

are part of the same experiment, and permit electronic filing of

experimental applications; encourage student experiments by issuing

licenses to schools, as well as to individual students, and by

permitting use of additional frequencies; modify the rules regarding

special temporary authorizations (STAs) to encourage temporary

experimental demonstrations and experiments at trade shows, while

limiting STAs to single short-term, non-renewable authorizations; limit

the size and scope of each market study on a case-by-case basis, and

immediately terminate any such study that the Commission determines to

be in excess of this size and scope; and consolidate and reorganize the

experimental rules structure.

This Notice contains proposed or modified information collections

subject to the Paperwork Reduction Act of 1995 (PRA), Public Law No.

104-13. It has been submitted to the Office of Management and Budget

(OMB) for review under Section 3507(d) of the PRA. OMB, the general

public, and other Federal agencies are invited to comment on the

proposed or modified information collections contained in this

proceeding.

The full text of this Commission decision, including the proposed

rules appendix, is available for inspection and copying during normal

business hours in the FCC Reference Center

[[Page 68699]]

(Room 239), 1919 M Street, N.W., Washington, D.C., and also may be

purchased from the Commission's duplication contractor, International

Transcription Service, (202) 857-3800, 2100 M Street, N.W., Suite 140,

Washington, D.C. 20037.

Summary of Notice

1. By this action, we propose to revise Part 5 of our rules, which

governs the Experimental Radio Service (ERS). We take this action to

promote technical innovation and new services by encouraging

experiments; ensure that experimental licenses do not result in abuse

of our processes; eliminate unnecessary and burdensome experimental

regulations; and protect public safety frequencies.

2. Experimental licenses are currently granted for two years. We

believe that it may be beneficial to certain segments of the

communications industry--in particular companies which desire to

conduct experiments that involve ongoing research and development to

provide for a longer license period. We believe that permitting such

entities to obtain long-term experimental licenses may encourage them

to conduct long-term research and development. Long-term licenses will

decrease the regulatory burden on our licensees and on our staff which

processes renewal applications. Therefore, we request comment on the

establishment of a new class of experimental license, with a five-year

term, to support long-term operations. This additional option would

give applicants the flexibility to apply for either a two-year or five-

year license, depending on their needs. We request comment specifically

on the appropriate length for such an extended license period. We also

request comment on whether this new class of experimental license

should be limited to certain parties, such as those involved in long-

term product development, or whether any applicant should be permitted

to apply for an extended license as long as it provides sufficient

justification.

3. We propose to permit blanket licensing of related multiple

experiments by a single entity and of fixed and mobile stations that

are part of the same experiment. Currently, we require a separate

application for fixed and mobile stations; and, under normal

circumstances, separate licenses for each phase of an experimental

program. However, many experimental projects involve a system

containing several fixed stations or combinations of fixed and mobile

stations, or involve at least loosely-related experiments. Requiring

separate applications for the components of the experimental systems or

the different experiments in these cases is a disincentive to the

filing of applications and is burdensome to the public and to our

staff.

4. We also propose to permit electronic filing of experimental

applications. Our Part 5 rules currently do not accommodate electronic

filing of experimental applications. Accordingly, we propose to create

a new section to permit our Office of Engineering and Technology to

accept electronic signatures. We request comment on this proposal and

on further steps that would facilitate the electronic filing of

experimental applications.

5. We also propose to encourage student experiments by issuing

licenses to schools, as well as to individual students, and by

permitting use of additional frequencies. We believe that if there is

an ongoing experimental radio program at a school, students would be

more likely to become involved than if they are required to apply for

an individual license. We also propose to modify the frequency bands

used for student authorizations. The 2483.5-2500 MHz band is part of

the currently authorized 2450-2500 MHz band that is used for student

experimental use, but the 2483.5-2500 MHz band is no longer normally

assigned for experimental use of any kind because of the need to

protect satellite allocations in that band. Therefore, we propose to

delete the 2483.5-2500 MHz band from the set of frequencies designated

for student authorizations, and replace it with two bands that will

provide far greater bandwidth. Specifically, we propose to provide the

new bands 2402-2450 MHz and 10.00-10.50 GHz for such use. We request

comment on whether student experiments can be accommodated in the 2402-

2450 MHz and 10.00-10.50 GHz bands without causing harmful interference

to existing users. Additionally, we request comment on whether the

5725-5825 MHz band should be made available for student authorizations.

The 5725-5825 MHz band would provide an additional option for student

experimentation; however, we note that the band is currently under

consideration for unlicensed National Information Infrastructure (U-

NII) devices, which are intended to provide wireless wideband

networking options to the public including schools, libraries, and

health care facilities. If these U-NII devices achieve a high level of

deployment in schools, there could eventually be a conflict between U-

NII and student use of this band.

6. We also encourage special temporary authorizations (STAs) by

making them independent of other experimental licenses and by

expediting processing of STAs where circumstances warrant; Currently,

our rules require that an applicant for an STA already have an

experimental license prior to receiving an STA. However, it has been

our experience that in many instances entities that have requirements

for an STA do not have an experimental license and that the need for an

STA is independent of the need for such a license. Accordingly, we

believe that our current rules discourage some entities from obtaining

STAs. Further, our current rules do not contemplate expedited

processing of STA applications, even though in some circumstances the

need for an STA may arise unexpectedly. Therefore, we propose to modify

the rules to remove the requirement that an applicant have an

experimental license before applying for an STA, and further propose to

include a provision for preferential processing of STA applications in

cases in which an applicant sets forth compelling reasons why such an

authorization must be granted expeditiously.

7. Additionally, we propose to limit the size and scope of each

market study on a case-by-case basis, and to immediately terminate any

such study that we determine to be in excess of this size and scope.

During the last several years, a number of parties have obtained

experimental licenses in order to undertake market studies of new

services. In 1983, when we last reviewed our experimental rules, we

believed that limited market experiments would provide us with

significant useful information about the viability of new products in

the marketplace. While this has proven to be the case in a number of

instances, in other instances our processes have been abused by

companies attempting to establish commercial businesses under the guise

of experimental licenses. We note that the purpose of limited market

studies is to obtain information about the viability of new products in

the marketplace, and not to circumvent our normal licensing processes.

Accordingly, we propose that as a condition of granting such

authorizations, licensees must limit the size and scope of each study.

We shall determine the appropriate limits for market studies on a case-

by-case basis and terminate any such study that exceeds these limits.

An applicant desiring to perform a limited market study would be

expected to submit a narrative describing in detail the proposed study

and its objectives.

[[Page 68700]]

8. We further propose to limit STAs to single short-term, non-

renewable authorizations. While STAs are granted for a period of no

more than six months, some licensees have repeatedly sought to extend

the same STA. This process has been wasteful of our resources. We

realize that unforeseen delays can in some instances cause a planned

short term experimental project to exceed six months, but we believe

that some action is necessary in order to reduce the administrative and

paperwork burden and to prevent abuse of our STA process. Accordingly,

we propose to add language to our rules stating that in the absence of

extenuating circumstances no extensions of STAs will be granted.

9. We also propose to eliminate the requirement that experimental

licensees contact our Compliance and Information Bureau (CIB) before

commencing operation. This notification requirement was intended to

assist us in investigating any instances of reported interference.

However, it has been our experience that experimental operations have

rarely resulted in interference complaints. Further, improvements in

our experimental license database have made it easier for our staff to

identify the cause of any interference problem that may arise. Finally,

in cases in which there is a reasonable chance of interference, we can

place a condition on the license requiring that the licensee notify our

Experimental Licensing Branch (ELB) prior to commencement of the

operation. Accordingly, we believe that the existing notification

requirements are unnecessary and propose to delete them. However, we

request comment on this proposal and whether the removal of these

requirements could result in the potential for increased interference

from experimental operations.

10. We further propose to eliminate rules that specify that a

construction permit be obtained in conjunction with an experimental

license and that expiration dates of experimental licenses be

distributed over the 12 calendar months. For a number of years, we have

accepted a combined application for construction permit and license to

operate an experimental station and have issued only one instrument of

authority for the ERS. As a matter of administrative convenience and

clarification, we propose to remove all references to obtaining a

construction permit for experimental authorizations. Further, we

propose to delete the rules that specify that the expiration dates of

experimental licenses will be distributed over the twelve calendar

months, in accordance with the alphabetical distribution of the names

of the licensees. Our experience has been that the constant flow of

applications results in an acceptable distribution of license

applications, and for several years it has been our standard operating

practice to issue a license for a two-year period from the date of

grant and to act on any renewal requests upon expiration of this

period. Implementation of a 5-year experimental license also will

substantially facilitate the renewal process.

11. We also propose to add language to Part 5 to ensure that

experiments avoid public safety frequencies and propose to consolidate

and reorganize the rules. Specifically, we propose to transfer wildlife

and ocean buoy tracking operations from Part 5 to Part 90, and solicit

comment on transferring rules governing broadcasting experiments that

are not directed toward improvement of the technical phases of

operation and service of licensed broadcast stations from Part 74 to

Part 5. Currently, Section 5.108 governs wildlife and ocean buoy

tracking operations in the 40.66-40.70 MHz and 216-220 MHz bands for

the tracking of, and telemetry of scientific data from, such

operations. These operations were originally placed under Part 5

because there was no other appropriate rule section to accommodate

them. Recently, however, the Commission has established the Location

and Monitoring Service under Part 90, which provides for regular

licensing of radio tracking functions. Additionally, the Commission

recently established under Part 90 the Low Power Radio Service in the

216-217 MHz band that includes, among other things, tracking of stolen

goods. Accordingly, we believe that wildlife and ocean buoy tracking

operations would now be more appropriately governed as Part 90

services, and we so propose herein to recategorize them. However, we

note that Part 90 has more specific eligibility requirements than Part

5. While we do not believe that transferring wildlife and ocean buoy

tracking operations would create a situation where an entity qualified

under Part 5 would be ineligible under Part 90, we request comment on

this issue.

12. In addition, our Experimental License Branch has also received

a number of applications for use of broadcast frequencies by

experimental operations of a broadcast nature. Currently, such

experiments are accommodated under our Auxiliary Broadcasting rules,

Part 74, and not Part 5. We believe that a consolidation of all

experimental rule subparts into Part 5 may be desirable to eliminate

redundancy, any confusion created by having separate bodies of

experimental rules, and to increase the efficiency of the Commission's

processes. Accordingly, we solicit comment on transferring Subpart A of

Part 74--Experimental Broadcast Operations--to Part 5. We request

comment on whether such a change is desirable and, if so, on whether

Subpart A of Part 74 should be made a separate subpart of Part 5 or

fully integrated with the proposed three subparts of Part 5.

Initial Regulatory Flexibility Analysis

13. As required by Section 603 of the Regulatory Flexibility

Act,1 the Commission has prepared an Initial Flexibility Analysis

(IRFA) of the expected significant economic impact on small entities by

the policies and rules proposed in this Notice of Proposed Rule Making

(Notice) to ``Amendment of Part 5 of the Commission's Rules to Revise

the Experimental Radio Service Regulations.'' Written public comments

are requested on the IRFA. Comments must be identified in response to

the IRFA and must be filed by the deadlines for comments on the Notice

provided in paragraph 26. The Secretary shall send a copy of this

Notice, including the IRFA, to the Chief Counsel for Advocacy of the

Small Business Administration in accordance with paragraph 603(a) of

the Regulatory Flexibility Act.

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\1\ 5 U.S.C. Sec. 603.

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14. Need for and Objectives of the Proposed Rule. We believe that

the Experimental Radio Service (ERS) rules have become outdated and

must change to keep pace with an evolving telecommunications industry.

The competitive and rapidly developing telecommunications market has

demonstrated the increased importance and the usefulness of the ERS.

The ERS continues to be utilized to foster development of new service

concepts and technologies that stimulate economic growth, create new

jobs, and increase spectrum utilization and efficiency. The ERS rules

were last updated in 1983 and contain obsolete practices and

unnecessary regulations. We propose to modernize the ERS and improve

the experimental licensing process by encouraging experiments and

streamlining and updating Part 5 of the rules. Additionally, the

proposals would eliminate outdated and cumbersome regulatory

requirements and unnecessary paperwork.

15. Legal Basis. The proposed action is authorized by Sections

4(i), 303(c), 303(f), 303(g) and 303(r) of the

[[Page 68701]]

Communications Act of 1934, as amended, 47 U.S.C. Sections 154(i),

303(c), 303(f), 303(g) and 303(r). These provisions authorize the

Commission to make such rules and regulations as may be necessary to

encourage more effective use of radio in the public interest.

16. Description and Estimate of the Number of Small Entities To

Which the Proposed Rules Will Apply. For purposes of this Notice, the

RFA defines a ``small business'' to be the same as a ``small business

concern'' under the Small Business Act , 15 U.S.C. Sec. 632, unless the

Commission has developed one or more definitions that are appropriate

to its activities.2 Under the SBA, a ``small business concern'' is

one that: (1) is independently owned and operated; (2) is not dominant

in its field of operation; and (3) meets any individual criteria

established by the Small Business Administration (SBA).3

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\2\ See 5 U.S.C. Sec. 601(3) (incorporating by reference the

definition of ``small business concern'' in 5 U.S.C. Sec. 632).

\3\ 15 U.S.C. Sec. 632.

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17. The Commission has not developed a definition of small entities

applicable to experimental licensees. Therefore, the applicable

definition of small entity is the definition under the Small Business

Administration (SBA) rules applicable to radiotelephone companies. SBA

has defined a small business for Standard Industrial Classification

(SIC) category 4812 (Radiotelephone Communications) to be small

entities when they have fewer than 1500 employees.4

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\4\ 13 C.F.R. Sec. 121.201 Standard Industrial Classification

(SIC) Code 4812.

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18. The Commission processes approximately 1,000 applications a

year for experimental radio operations. About half of these are

renewals and the other half are for new licenses. The majority of

experimental licenses are issued to companies such as Motorola and

Department of Defense contractors such as Northrop, Lockheed and Martin

Marietta. Businesses such as these may have as many as 200 licenses at

one time. The majority of these applications, 70 percent, are from

entities such as these. Given this fact, the remaining 30 percent of

applications, we assume, for purposes of our evaluations in the IRFA,

will be awarded to small entities, as that term is defined by the SBA.

19. Description of Projected Reporting, Recordkeeping, and Other

Compliance Requirements. Our proposals are intended to decrease the

regulatory burden on all experimental license applicants, including

small entities. For example, we propose to permit applicants the option

of applying for a five-year experimental license, in addition to

maintaining the current two-year license. We anticipate that a longer

term license would reduce the number of renewal applications, and

thereby decrease the regulatory burden. We are also proposing to remove

an unnecessary requirement that STA applicants hold experimental

licenses, and are clarifying the STA rules. We are also proposing to

replace existing Sections 5.55(a) and 5.55(b) of our rules with a

single provision that would allow an applicant to apply for all of the

stations in its experimental system, including fixed stations and

associated mobile units, on one experimental license application; and

similarly to modify Section 5.62 to permit the filing of only a single

application for multiple experiments, when doing so would be

appropriate for the proposed project. Additionally, this action

proposes to increase the opportunities for students to obtain

experimental authorizations, proposes to remove requirements that

certain licensees notify the FCC's field offices prior to commencing

operations, and proposes to eliminate obsolete rules. These changes

should have a positive effect on small entities; however, we are unable

to quantify all potential effects on such entities. We invite specific

comments on this point by interested parties.

20. Significant Alternatives Minimizing the Impact on Small

Entities and Consistent with the Stated Objectives. We believe that our

proposed actions to revise our ERS rules will eliminate unnecessary and

burdensome regulations for small entities. Section 303(g) of the

Communications Act of 1934, as amended, charges the Commission with

encouraging the larger and more effective use of radio in the public

interest. We have considered the alternative of not making the proposed

revisions; however, we believe that would not serve the public interest

and would continue to place an unnecessary burden on licensees. We

solicit comment on specific alternatives to the proposed rule changes

listed in the Notice. Some or all of the proposals may be adopted or

altered in future actions in this proceeding.

21. Federal Rules That Duplicate, Overlap, or Conflict With the

Proposed Rule: None.

22. Paperwork Reduction Act. This Notice contains either a proposed

or modified information collection. The Commission, as part of its

continuing effort to reduce paperwork burdens, invites the general

public and the Office of Management and Budget (OMB) to comment on the

information collections contained in this Notice, as required by the

Paperwork Reduction Act of 1995, Public Law No. 104-13. Public and

agency comments are due at the same time as other comments on the

Notice; OMB comments are due February 28, 1997. Comments should

address: (a) whether the proposed collection of information is

necessary for the proper performance of the functions of the

Commission, including whether the information shall have practical

utility; (b) the accuracy of the Commission's burden estimates; (c)

ways to enhance the quality, utility, and clarity of the information

collected; and (d) ways to minimize the burden of the collection of

information on the respondents, including the use of automated

collection techniques or other forms of information technology.

OMB Approval Number: N/A.

Title: Amendment of Part 5 of the Commission's Rules to Revise the

Experimental Radio Service Regulations.

Form No.: N/A.

Type of Review: New Collection.

Respondents: Individuals or households, Business or other for-

profit, not-for-profit institutions, and State, Local or Tribal

Government.

Number of Respondents: 428.

Estimated Time Per Response: 1 hour.

Total Annual Burden: 681 hours.

Needs and Uses: The Third Party requirements are made necessary by

Sections 5.85(d), 5.85(e), and 5.93(b) of the Notice of Proposed Rule

Making revising Part 5 of the Commission's Rules governing the

Experimental Radio Service. They are as follows: (1) pursuant to

Section 5.85(d), when applicants are using public safety frequencies to

perform experiments of a public safety nature, the license may be

conditioned to require coordination between the experimental licensee

and appropriate frequency coordinator and/or all public safety

licensees in its area of operation; (2) pursuant to Section 5.85(e),

the Commission may, at its discretion, condition any experimental

license or special temporary authority (STA) on the requirement that

before commencing operation, the new licensee coordinate its proposed

facility with other licensees that may receive interference as a result

of the new licensee's operations; and (3) pursuant to Section 5.93(b),

unless other stated in the instrument of authorization, licenses

granted for the purpose of limited market studies requires the licensee

to inform anyone participating in the experiment that the service or

device is granted under an experimental authorization and is strictly

temporary. In all cases, it is the responsibility of the licensee to

coordinate with other users.

[[Page 68702]]

Coordination is necessary to avoid harmful interference, and

notification to participants of limited market studies is necessary to

indicate that the experiment is temporary.

List of Subjects in

47 CFR Part 5

Radio.

47 CFR Part 90

Communications equipment, Radio.

Federal Communications Commission.

Shirley S. Suggs,

Chief, Publications Branch.

[FR Doc. 96-33144 Filed 12-27-96; 8:45 am]

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