[Federal Register: December 10, 2003 (Volume 68, Number 237)]
[Proposed Rules]
[Page 68823-68831]
From the Federal Register Online via GPO Access [wais.access.gpo.gov]
[DOCID:fr10de03-25]
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FEDERAL COMMUNICATIONS COMMISSION
47 CFR Parts 2 and 15
[ET Docket No. 03-201; FCC 03-223]
Modification of the Commission's Rules for Unlicensed Devices and
Equipment Approval
AGENCY: Federal Communications Commission.
ACTION: Proposed rule.
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SUMMARY: This document proposes to review and update certain rules
contained in the Commission's rules. We take these actions as part of
our ongoing process of updating our rules to promote more efficient
sharing of spectrum used by unlicensed devices and remove unnecessary
regulations that inhibit such sharing.
DATES: Comments must be filed on or before January 9, 2004, and reply
comments must be filed on or before January 26, 2004.
FOR FURTHER INFORMATION CONTACT: Neal McNeil, Office of Engineering and
Technology, (202) 418-2408, TTY (202) 418-2989, e-mail: Neal.McNeil@fcc.gov.
SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Notice
of Proposed Rule Making, ET Docket No. 03-201, FCC 03-223, adopted
September 10, 2003, and released September 17, 2003. The full text of
this document is available for inspection and copying during normal
business hours in the FCC Reference Center (Room CY-A257), 445 12th
Street, SW., Washington, DC 20554. The complete text of this document
also may be purchased from the Commission's copy contractor, Qualex
International, 445 12th Street, SW., Room CY-B402, Washington, DC
20554. The full text may also be downloaded at: http://www.fcc.gov. Alternate
formats are available to persons with disabilities by contacting Brian
Millin at (202) 418-7426 or TTY (202) 418-7365.
Pursuant to Sec. Sec. 1.415 and 1.419 of the Commission's rules,
47 CFR 1.415, 1.419, interested parties may file comments on or before
January 9, 2004, and reply comments on or before January 26, 2004.
Comments may be filed using the Commission's Electronic Comment Filing
System (ECFS) or by filing paper copies. See Electronic Filing of
Documents in Rulemaking Proceedings, 63 FR 24121, May 1, 1998. Comments
filed through the ECFS can be sent as an electronic file via the
Internet to http://www.fcc.gov/e-file/ecfs.html. Generally, only one
copy of an electronic submission must be filed.
[[Page 68824]]
If multiple docket or rulemaking numbers appear in the caption of this
proceeding, however, commenters must transmit one electronic copy of
the comments to each docket or rulemaking number referenced in the
caption. In completing the transmittal screen, commenters should
include their full name, U.S. Postal Service mailing address, and the
applicable docket or rulemaking number. Parties may also submit an
electronic comment by Internet e-mail. To get filing instructions for e-mail comments, commenters should send an e-mail to ecfs@fcc.gov, and
should include the following words in the body of the message, ``get
form .'' A sample form and directions
will be sent in reply. Parties who choose to file by paper must file an
original and four copies of each filing. If more than one docket or
rulemaking number appears in the caption of this proceeding, commenters
must submit two additional copies for each additional docket or
rulemaking number.
All filings must be addressed to the Commission's Secretary, Office
of the Secretary, Federal Communications Commission. Filings can be
sent by hand or messenger delivery, by commercial overnight courier, or
by first-class or overnight U.S. Postal Service mail (although we
continue to experience delays in receiving U.S. Postal Service mail).
The Commission's contractor, Natek, Inc., will receive hand-delivered
or messenger-delivered paper filings for the Commission's Secretary at
236 Massachusetts Avenue, NE., Suite 110, Washington, DC 20002. The
filing hours at this location are 8 a.m. to 7 p.m. All hand deliveries
must be held together with rubber bands or fasteners. Any envelopes
must be disposed of before entering the building. Commercial overnight
mail (other than U.S. Postal Service Express Mail and Priority Mail)
must be sent to 9300 East Hampton Drive, Capitol Heights, MD 20743.
U.S. Postal Service first-class mail, Express mail, and Priority Mail
should be addressed to 445 12th Street, SW., Washington, DC 20554.
Summary of Notice of Proposed Rulemaking
A. Proposed Revisions to Part 15
1. Advanced Antenna Technologies. Systems employing advanced
antenna designs such as sectorized antennas and phased array adaptive
antennas are now being used, or contemplated for use, as part of wide
area network systems operating in the 2.4 GHz band. Sectorized antenna
systems take a traditional omnidirectional coverage area and subdivide
it into fixed sectors that are each covered using a single beam or
antenna element to transmit desired information to all devices in the
sector. For example, a sectorized system can be made from two
individual antennas, each covering 60[deg]of azimuth around the antenna
structure, resulting in 120[deg] of coverage. Operationally, each
sector is treated as a different cell, the range of which is greater
than that of a system using a single omnidirectional antenna. A phased
array antenna system consists of a group of radiating elements arranged
and driven in such a way that their radiated fields add in some
directions and cancel in others. The combined fields can produce a
single beam, or multiple beams pointing in various directions while
minimizing radiation in other areas. Properties of the resultant beams
such as intensity, direction, or beamwidth can be adjusted by altering
the input signal to each radiating element.
2. We believe that it is in the public interest to accommodate
efficiently configured sectorized and phased array antenna
technologies. To date, the Commission has not generally authorized the
operation of sectorized antennas by spread spectrum systems, but, by
individual interpretation of its rules, we have allowed a few phased
array systems to operate. However, we are receiving an increasing
number of questions about how to accommodate these multiple beam
systems in spread spectrum operations. After taking these requests
under consideration, we tentatively conclude that spread spectrum
systems using sectorized and/or phased array systems could provide
important benefits for providing communications to a local area.
Therefore, we believe that we should revise the rules to clearly
facilitate broader deployment of advanced antenna designs with spread
spectrum systems and to provide a stable environment in which to foster
the continued development and installation of these spectrum efficient
technologies.
3. We seek comment regarding the characteristics that a system
would need to exhibit in order to be classified as a sectorized or
phased array antenna system. As an initial matter, we propose to
clarify that sectorized or phased array antenna systems must be capable
of forming at least two discrete beams. Second, we propose to limit the
total simultaneous beamwidth radiating from the antenna structure to
120[deg], regardless of the number of beams formed. The 120[deg] of
bandwidth need not be continuous and may be divided among various
independent beams pointing in different directions around the antenna
structure. Commenting parties should provide detailed suggestions
regarding any additional modes of operation that should be considered
acceptable as a definition for sectorized or phased array
installations.
4. Sectorized and phased array antenna systems divide the total
power from a transmitter among various transmission azimuths and the
power may be distributed equally or at varying levels among those
azimuths. The radiated emissions are directionalized along each sector
or azimuth in order to communicate with an associated receiver.
Accordingly, these antenna systems may resemble point-to-point
operation at any given moment. Therefore, we propose to allow such
systems to operate at the same power levels as point-to-point
directional antennas. Specifically, we propose to limit the total power
that may be applied to each individual beam to the applicable power
level specified in 47 CFR 15.247(b), i.e., 0.125 watt or 1 watt,
depending upon the type of modulation used. This implies that the total
operating power, the aggregate power in all beams, could exceed the
output power permitted for a single point-to-point system. We propose,
therefore, to limit the aggregate power transmitted simultaneously on
all beams to 8 dB above the limit for an individual beam. For instance,
the 8 dB limit will enable antenna systems to create up to 6 individual
beams or sectors, all operating at the point-to-point limit. Finally,
we propose to require that the transmitter output power be reduced by 1
dB for each 3 dB that the directional antenna gain of the complete
system exceeds 6 dBi. We seek comment on these proposals. Further, we
seek comment with regard to whether the Commission should specify a
maximum E.I.R.P. limit for each individual beam. If so, what should
that limit be?
5. Replacement Antennas for Unlicensed Devices. We wish to develop
more flexible antenna requirements for unlicensed devices. We propose
to provide that flexibility by requiring testing only with the highest
gain antenna of each type that would be used with the transmitter at
the maximum output power of that transmitter. Any antenna of a similar
type that does not exceed the antenna gain of tested antennas may be
used without retesting. Use of an antenna of a different type than the
tested antenna (i.e. yagi antenna vs. a horn antenna) or one that
exceeds the gain of a tested antenna would require retesting and new
approval by either a Telecommunication Certification Body or the
Commission. Manufacturers would be expected to
[[Page 68825]]
supply a list of acceptable antenna types with applications for
equipment authorization.
6. Flexible Equipment Authorization for Radio Transmission Systems.
We are proposing a number of rule changes to enable WISPs to customize
their transmission systems without the need to obtain a new equipment
authorization for every combination of components. Specifically, we
will allow professional radio system installers and parties that offer
a commercial radio service under the unlicensed rules to substitute
technically equivalent components in systems that have been granted
equipment authorization. We believe such parties have the technical
competence to ensure that the systems they deploy continue to comply
with the FCC rules. We invite comment as to whether specific criteria
are necessary to qualify as a professional radio system installer or
commercial service provider, and if so, what those criteria should be.
We also request views as to whether any other parties should be
afforded similar flexibility. We will require the professional
installer or commercial service provider to place a label on the
transmission system that lists the FCC Identification Number of the
system that was granted equipment authorization, identifies any
components that were substituted, and designates a point of contact for
the party that installed the system.
7. We also propose to allow marketing of separate radio frequency
power amplifiers on a limited basis. We will restrict such marketing to
amplifiers that are only capable of operation under the spread spectrum
rules in Sec. 15.247 and under the U-NII rules for the 5750-5850 MHz
band. Further, we propose to require that such amplifiers obtain an
equipment authorization (certification) and demonstrate that they
cannot operate with an output power of more than 1 Watt, which is the
maximum permitted under the rules. We believe that this rule change
would be of benefit not only for WISPs, but also for consumers and
businesses generally. We invite comment as to whether we should instead
provide only a more narrow relaxation to allow separate marketing of
power amplifiers that are designed in a way such that they can only be
used with a specific system that is covered by an equipment
authorization, such as through use of a unique connector or via an
electronic handshake with a host device. We also recognize that
frequency hopping systems that employ fewer than 75 hops are limited to
an output power of 125 mW and invite comment as to whether the unique
connector requirement may be necessary to ensure that 1 Watt amplifiers
are not used with devices that are limited to 125 mW. We invite comment
on these proposals and solicit views on other ways the equipment
authorization rules might be modified to provide added flexibility
without creating undue risk of interference to radio services or
unlicensed devices.
8. Measurement Procedures for Digital Modulation Systems. We
propose to harmonize the measurement procedures for digital modulation
devices authorized under Sec. 15.247 with the digital U-NII devices
authorized under Sec. 15.407. Specifically, we propose to allow
entities performing compliance testing for Sec. 15.247 devices to use
an average, rather than overall peak, emission as provided by Sec.
15.407, paragraphs (a)(4) and (a)(5) when measuring transmit power. We
propose this change for devices using digital modulation that operate
in the 915 MHz, 2.4 GHz and 5.7 GHz bands. We seek comment on whether a
change in measurement procedure for such devices would have any
detrimental impact on the installed base of products.
9. Frequency Hopping Channel Spacing Requirements. In its comments
filed in response to the 2002 Regulatory Flexibility Act Review, the
Bluetooth Special Interest Group (Bluetooth SIG) suggests a
modification of the channel separation requirement for frequency
hopping spread spectrum systems. Section 15.247(a)(1) of the rules
requires that frequency hopping systems have hopping channel center
frequencies separated by either a minimum of 25 kHz or the 20 dB
bandwidth of the hopping channel, whichever is greater. The Bluetooth
SIG requests that this channel spacing requirement be modified to allow
hopping channel carrier frequencies to be more closely spaced. In
particular, it seeks to modify the requirement to allow a separation of
a minimum of 25 kHz or two-thirds of the 20 dB bandwidth of the hopping
channel, whichever is greater. Although the request did not specify the
operating band to which the changes should apply, we interpret the
request as being applicable to devices operating in the 2.4 GHz band
because the Bluetooth product line operates in the 2.4 GHz band.
10. We propose to modify the frequency hopping spacing requirement
to permit certain systems in the 2.4 GHz band to utilize hopping
channels separated by either 25 KHz or two-thirds of the 20 dB
bandwidth, whichever is greater. We recognize that although a single
device's channels will not overlap in time, the use of multiple devices
simultaneously in a given area may cause the spectral occupancy and
power density to increase, leading to an increased risk of
interference. Therefore, we seek comment on the interference potential
of new waveforms with more gradual roll-off and potentially higher
spectral power densities at the channel band edges.
11. Part 15 Unlicensed Modular Transmitter Approvals. The NPRM
proposes to codify the requirements for authorization of modular
transmitters into our rules. These transmitters are self-contained
devices missing only a power supply and data source to make them
functional. Once authorized, the transmitters can be installed into a
number of different devices to provide wireless connectivity. The
completed combination does not need further Commission approval, saving
manufacturers the time and expense associated with multiple
authorizations.
12. Currently, in order to have modular transmitters authorized,
manufacturers must follow guidance contained in a public notice issued
by the Office of Engineering and Technology. A new class of modular
transmitters is now under development. These new modules consist of two
or more sub-components, each of which may be incorporated in different
assemblies. In order to accommodate this new technology, we propose to
incorporate the guidance contained in the Office of Engineering and
Technology public notice into the Commission's rules. We also propose
appropriate changes to facilitate the authorization of developing
modular transmitter technology.
13. Improving Sharing in the Unlicensed Bands. We invite comment on
whether a spectrum sharing etiquette should be considered for devices
that operate on an unlicensed basis, in addition to Unlicensed PCS
devices. If so, should the Commission or the industry develop the
criteria establishing access conditions? What characteristics need to
be considered (e.g. spectrum monitoring requirements, bandwidth limits,
variable output power levels)? Could an etiquette be implemented in
such a way as to ensure continued flexibility for technological
development, which has been the cornerstone of unlicensed operation? If
a spectrum sharing etiquette is feasible, we seek comment regarding the
bands to which the etiquette should apply. Finally, given the number of
unlicensed devices currently in operation without a sharing etiquette,
how effective will such an etiquette imposed on new entrants be in
improving spectrum sharing?
[[Page 68826]]
14. Special Temporary Authority. We are proposing to delete the
provisions in Sec. 15.7 of the rules for obtaining a Special Temporary
Authority (STA). The Office of Engineering and Technology has not
granted any STAs under part 15 nor had any formal requests for an STA
under these rules in the last 10 years. We believe that this need is
being met through the allowances for STAs under the provisions in part
5 for experimental licenses. We invite comment as to whether there is
any need to maintain the part 15 provisions for STAs.
B. Proposed Revisions to Part 2
15. Import Conditions. Section 2.1204 of the rules limits the
importation of radio frequency devices that have not yet received
equipment authorization and are not intended for operation within one
of the Commission's licensed services to 200 or fewer units for testing
and evaluation, and 10 or fewer units for demonstration at industry
trade shows, provided the devices will not be offered for sale or
marketed. Devices intended for use in a licensed service can be
imported in greater numbers; 2000 or fewer for testing and evaluation
and 200 or fewer for demonstration purposes.
16. Hewlett-Packard (``HP'') asks that the Commission increase the
number of devices, not intended for use in a licensed service, that may
be imported to 2000 or fewer for testing and evaluation and 100 or
fewer for demonstration purposes. Furthermore, HP requests that the
modified rules be expanded to permit demonstration prototypes to be
used, in addition to trade shows, for any other purpose designed to
build market awareness. As an alternative to the suggested rule
changes, HP states that the Commission could consider combining
Sec. Sec. 2.1204(a)(3) and 2.1204(a)(4) to create a limit of 2100
devices for all pre-authorized units to be used for, ``design
refinement, software development, marketing and customer support
program development, or any other needed product development purpose,
including promoting market awareness.''
17. We believe that a relaxation of the import restrictions may be
appropriate for devices not intended for use in licensed services.
However, we seek comment on the potential for abuse of a revised
importation rule. Further, we seek comment on HP's proposal to modify
our rules to permit demonstration prototype to be used ``for any
purpose designed to build market awareness.''
18. Electronic Filing. Section 2.913(c) Submittal of equipment
authorization application or information to the Commission. Currently,
the Commission requires applications for equipment certification to be
filed electronically, but provides a waiver process for manual filing.
In the five years that this rule has been in place, we have not
received any waivers requests. Thus we propose to delete the provisions
for a paper filing of an application for Certification.
19. Section 2.926(c) FCC Identifier, Grantee Code. The FCC
Identifier listed on equipment authorizations issued by the Commission
consists of a grantee code assigned by the Commission and an equipment
product code assigned by the grantee. Section 2.926(c) permits
applicants to submit a written request for assignment of a grantee
code. We propose to modify this section of the rules to require
electronic filing for all grantee code assignment requests.
20. Section 2.929(c) and (d) Changes in name, address, ownership or
control of grantee. The current rules require the grantee of an
equipment authorization to supply the Commission with a written
notification whenever a change in name, address, ownership, or control
of grantee occurs. We believe that notification can be accomplished
faster and more efficiently electronically. Therefore, we propose to
modify these sections of the Rules to require electronic filing for all
changes in address, company name, contact person, and control/sale of
the grantee.
21. Accreditation of Test Laboratories. Section 2.948 Description
of Measurement Facilities. Currently the Commission's rules do not
address re-evaluation intervals for laboratories that submit part 15
and part 18 test data for certification. Accrediting bodies that
evaluate the laboratories generally determine these intervals
themselves. While domestic laboratories are generally re-evaluated at
two-year intervals, some Accrediting Bodies reassess foreign
laboratories only every 7 years. We believe that it is important that
all laboratories, both foreign and domestic, be re-certified on a
common interval. Accordingly, we propose to clarify that all test
sites, both foreign and domestic, must be reassessed by their
Accrediting Body every two years.
22. Section 2.962 Requirements for a Telecommunication
Certification Body. Section 2.962(e)(1) states that the Commission will
designate as a Telecommunications Certification Body any organization
that meets the qualification criteria and is accredited by NIST or its
recognized accreditor. The rule section does not place requirements on
re-accreditation periods. We believe that it is important that
Telecommunications Certification Bodies are routinely re-accredited to
ensure continued compliance with applicable standards. Accordingly, in
this section, we propose to clarify that every Telecommunications
Certification Body must be re-accredited every 2 years for continued
accreditation.
Initial Regulatory Flexibility Analysis
23. As required by the Regulatory Flexibility Act (RFA),\1\ the
Commission has prepared this present Initial Regulatory Flexibility
Analysis (IRFA) of the possible significant economic impact on small
entities by the policies and rules proposed in this Notice of Proposed
Rule Making (NPRM). Written public comments are requested on this IRFA.
Comments must be identified as responses to the IRFA and must be filed
by the deadlines for comments on the NPRM provided in paragraph 62 of
the item. The Commission will send a copy of the NPRM, including this
IRFA, to the Chief Counsel for Advocacy of the Small Business
Administration (SBA).\2\
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\1\ See 5 U.S.C. 603. The RFA, see 5 U.S.C. 601 et. seq., has
been amended by the Contract With America Advancement Act of 1996,
Public Law 104-112, 110 Stat. 847 (1996)(CWAAA). Title II of the
CWAAA is the Small Business Regulatory Enforcement Fairness Act of
1996 (SBREFA).
\2\ See 5 U.S.C. 603(a).
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A. Need for, and Objectives of, the Proposed Rules
24. Section 11 of the Communications Act of 1934, as amended, and
section 202(h) of the Telecommunications Act of 1996 require the
Commission (1) to review biennially its regulations pertaining to
telecommunications service providers and broadcast ownership; and (2)
to determine whether economic competition has made those regulations no
longer necessary in the public interest. The Commission is directed to
modify or repeal any such regulations that it finds are no longer in
the public interest.
25. On September 6, 2002, the Commission released a Public Notice
seeking comments regarding Commission rules which may be outdated and
in need of revision.\3\ The Public Notice identified a number of rule
sections in parts 2 and 15 as candidates for review, and encouraged
interested parties to provide comment on these rules. Subsequently, on
September 26, 2002, the Commission released a separate Public Notice
seeking suggestions as to which rule
[[Page 68827]]
parts administered by the Commission's Office of Engineering and
Technology should be modified or repealed as part of the 2002 biennial
review.\4\ Some of the comments filed in response to these Public
Notices are addressed by the NPRM. The NPRM also addresses other issues
raised as a result of recent changes in technology.
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\3\ See Public Notice, ``FCC Seeks Comment Regarding Possible
Revision or Elimination of Rules Under The Regulatory Flexibility
Act, 5 U.S.C. 610,'' released September 6, 2002, DA 02-2152.
\4\ See Public Notice, ``The Commission Seeks Public Comment in
the 2002 Biennial Review of Telecommunications Regulations within
the Purview of the Office of Engineering and Technology,'' released
September 26, 2002, ET Docket No. 02-312.
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26. The NPRM proposes several changes to parts 2, 15 and other
parts of the rules. Specifically, it proposes to:
(1) Modify the rules to permit the use of advanced antenna
technologies with spread spectrum devices in the 2.4 GHz band;
(2) Modify the replacement antenna restriction for part 15 devices;
(3) Modify the equipment authorization procedures to provide more
flexibility to configure transmission systems without the need to
obtain separate authorization for every combination of system
components;
(4) Harmonize the measurement procedures for digital modulation
systems authorized pursuant to Sec. 15.247 of the rules with those for
similar U-NII devices authorized under Sec. Sec. 15.401-15.407 of the
rules;\5\
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\5\ 47 CFR 15.247.
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(5) Modify the channel spacing requirements for frequency hopping
spread spectrum devices in the 2.4 GHz band in order to remove barriers
to the introduction of new technology that uses wider bandwidths;
(6) Clarify the equipment authorization requirements for modular
transmitters; and
(7) Make other changes to update or correct parts 2 and 15 of our
rules.
27. These proposals, if adopted, will prove beneficial to
manufacturers and users of unlicensed technology, including those who
provide services to rural communities. Specifically, we note that a
growing number of service providers are using unlicensed devices within
wireless networks to serve the varied needs of industry, government,
and general consumers alike. One of the more interesting developments
is the emergence of wireless Internet service providers or ``WISPs.''
Using unlicensed devices, WISPs around the country are providing an
alternative high-speed connection in areas where cable or DSL services
have been slow to arrive. We believe that the increased flexibility
proposed herein will help to foster a viable last mile solution for
delivering Internet services, other data applications, or even video
and voice services to underserved, rural, or isolated communities.
B. Legal Basis
28. The proposed action is authorized under sections 4(i), 301,
302, 303(e), 303(f), 303(r), 304 and 307 of the Communications Act of
1934, as amended, 47 U.S.C. sections 154(i), 301, 302, 303(e), 303(f),
303(r), 304 and 307.
C. Description and Estimate of the Number of Small Entities to Which
the Proposed Rules Will Apply
29. The RFA directs agencies to provide a description of, and,
where feasible, an estimate of the number of small entities that may be
affected by the proposed rules, if adopted.\6\ The RFA defines the term
``small entity'' as having the same meaning as the terms ``small
business,'' ``small organization,'' and ``small business concern''
under section 3 of the Small Business Act.\7\ Under the Small Business
Act, a ``small business concern'' is one that: (1) Is independently
owned and operated; (2) is not dominant in its field of operations; and
(3) meets many additional criteria established by the Small Business
Administration (SBA).\8\
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\6\ See U.S.C. 603(b)(3).
\7\ Id. 601(3).
\8\ Id. 632.
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30. A small organization is generally ``any not-for-profit
enterprise which is independently owned and operated and is not
dominant in its field.''\9\ Nationwide, as of 1992, there were
approximately 275,801 small organizations.\10\ The term ``small
governmental jurisdiction'' is defined as ``governments of cities,
counties, towns, townships, villages, school districts, or special
districts, with a population of less than fifty thousand.''\11\ As of
1997, there were approximately 87,453 governmental jurisdictions in the
United States.\12\ This number includes 39,044 counties, municipal
governments, and townships, of which 27,546 have populations of fewer
than 50,000 and 11,498 counties, municipal governments, and townships
have populations of 50,000 or more. Thus, we estimate that the number
of small governmental jurisdictions is approximately 75,955 or fewer.
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\9\ 5 U.S.C. 601(4).
\10\ 1992 Economic Census, U.S. Bureau of the Census, , Table 6
(special tabulation of data under contract to Office of Advocacy of
the U.S. Small Business Administration).
\11\ 5 U.S.C. 601(5).
\12\ 1995 Census of Governments, U.S. Census Bureau, United
States Department of Commerce, Statistical Abstract of the United
States (2000).
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31. The Commission has not developed a definition of small entities
applicable to unlicensed communications devices manufacturers.
Therefore, we will utilize the SBA definition application to
manufacturers of Radio and Television Broadcasting and Communications
Equipment. Under the SBA's regulations, a radio and television
broadcasting and wireless communications equipment manufacturer must
have 750 or fewer employees in order to qualify as a small business
concern.\13\ Census Bureau data indicates that there are 1,215 U.S.
establishments that manufacture radio and television broadcasting and
wireless communications equipment, and that 1,150 of these
establishments have fewer than 500 employees and would be classified as
small entities.\14\ The remaining 65 establishments have 500 or more
employees; however, we are unable to determine how many of those have
fewer than 750 employees and therefore, also qualify as small entities
under the SBA definition. We therefore conclude that there are no more
than 1,150 small manufacturers of radio and television broadcasting and
wireless communications equipment.
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\13\ 13 CFR 121.201, NAICS code 334220.
\14\ Economics and Statistics Administration, Bureau of Census,
U.S. Department of Commerce, 1997 Economic Census, Industry Series--
Manufacturing, Radio and Television Broadcasting and Wireless
Communications Equipment Manufacturing, Table 4 at 9 (1999). The
amount of 500 employees was used to estimate the number of small
business firms because the relevant Census categories stopped at 499
employees and began at 500 employees. No category for 750 employees
existed. Thus, the number is as accurate as it is possible to
calculate with the available information.
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D. Description of Projected Reporting, Recordkeeping, and Other
Compliance Requirements
32. Part 15 transmitters are already required to be authorized
under the Commission's certification procedure as a prerequisite to
marketing and importation. See 47 CFR 15.101, 15.201, 15.305, and
15.405. The changes proposed in this proceeding would not change any of
the current reporting or recordkeeping requirements. Further, the
proposed regulations add permissible measurement techniques and methods
of operation. The proposals would not require the modification of any
existing products.
E. Steps Taken To Minimize Significant Economic Impact on Small
Entities, and Significant Alternatives Considered
33. The RFA requires an agency to describe any significant
alternatives that it has considered in reaching its proposed approach,
which may include
[[Page 68828]]
the following four alternatives: (1) The establishment of differing
compliance or reporting requirements or timetables that take into
account the resources available to small entities; (2) the
clarification, consolidation, or simplification of compliance or
reporting requirements under the rule for small entities; (3) the use
of performance, rather than design standards; and (4) an exemption from
coverage of the rule, or any part thereof, for small entities.
34. At this time, the Commission does not believe the proposals
contained in this NPRM will have a significant economic impact on small
entities. The NPRM does not propose new device design standards.
Instead, it relaxes the rules with respect to the types of devices
which are allowed to operate pursuant to the Commission's regulations.
There is no burden of compliance with the proposed changes.
Manufacturers may continue to produce devices which comply with the
former rules and, if desired, design devices to comply with the new
regulations. The proposed rules will apply equally to large and small
entities. Therefore, there is no inequitable impact on small entities.
Finally, this notice does not recommend a deadline for implementation.
We believe that the proposals are relatively simple and do not require
a transition period to implement. An entity desiring to take advantage
of the relaxed regulations may do so at any time.
35. Unless our views are altered by comments, we find that the
proposed rule changes contained in this NPRM will not present a
significant economic burden to small entities. Therefore it is not
necessary at this time to propose alternative rules. Notwithstanding
our finding, we request comment on alternatives that might minimize the
amount of adverse economic impact, if any, on small entities.
F. Federal Rules That May Duplicate, Overlap, or Conflict With the
Proposed Rule
36. None.
Ordering Clauses
37. Pursuant to the authority contained in sections 4(i), 301, 302,
303(e), 303(f), 303(r), 304 and 307 of the Communications Act of 1934,
as amended, 47 USC 154(i), 301, 302, 303(e), 303(f), 303(r), 304, and
307, the Notice of Proposed Rule Making is adopted.
38. The Commission's Consumer and Governmental Affairs Bureau,
Reference Information Center, shall send a copy of this NPRM, including
the Initial Regulatory Flexibility Analysis, to the chief Counsel for
Advocacy of the Small Business Administration.
List of Subjects
47 CFR Part 2
Communications equipment.
47 CFR Part 15
Communications equipment.
Federal Communications Commission.
Marlene H. Dortch,
Secretary.
Rule Changes
For the reasons set forth in the preamble, the Federal
Communications Commission proposes to amend 47 CFR parts 2 and 15 as
follows:
PART 2--FREQUENCY ALLOCATIONS AND RADIO TREATY MATTERS; GENERAL
RULES AND REGULATIONS
1. The authority citation for part 2 continues to read as follows:
Authority: 47 U.S.C. 154, 302a, 303 and 336, unless otherwise
noted.
2. Section 2.913 is revised to read as follows:
Sec. 2.913 Submittal of equipment authorization application or
information to the Commission.
(a) All applications for equipment authorization must be filed
electronically via the Internet. Information on the procedures for
electronically filing equipment authorization applications can be
obtained from the address in paragraph (c) of this section and from the
Internet.
(b) Unless otherwise directed, fees for applications for the
equipment authorization, pursuant to Sec. 1.1103 of this chapter, must
be submitted either electronically via the Internet or by following the
procedures described in Sec. 0.401(b) of this chapter. The address for
fees submitted by mail is: Federal Communications Commission, Equipment
Approval Services, P.O. Box 358315, Pittsburgh, PA 15251-5315. If the
applicant chooses to make use of an air courier/package delivery
service, the following address must appear on the outside of the
package/envelope: Federal Communications Commission, c/o Mellon Bank,
Mellon Client, Service Center, 500 Ross Street--Room 670, Pittsburgh,
PA 15262-0001.
(c) Any equipment samples requested by the Commission pursuant to
the provisions of subpart J of this part shall, unless otherwise
directed, be submitted to the Federal Communications Commission
Laboratory, 7435 Oakland Mills Road, Columbia, Maryland, 21046.
3. Section 2.926 is amended by revising paragraph (c) to read as
follows:
Sec. 2.926 FCC identifier.
* * * * *
(c) A grantee code will have three characters consisting of Arabic
numerals, capital letters, or combination thereof. A prospective
grantee or his authorized representative may receive a grantee code
electronically via the Internet. The code may be obtained at any time
prior to submittal of the application for equipment authorization.
However, the fee required by Sec. 1.1103 of this chapter must be
submitted and validated within 30 days of the issuance of the grantee
code, or the code will be removed from the Commission's records and a
new grantee code will have to be obtained.
* * * * *
4. Section 2.929 is amended by revising paragraphs (c) and (d) to
read as follows:
Sec. 2.929 Changes in name, address, ownership or control of grantee.
* * * * *
(c) Whenever there is a change in the name and/or address of the
grantee of an equipment authorization, notice of such change(s) shall
be submitted to the Commission via the Internet within 30 days after
the grantee starts using the new name and/or address.
(d) In the case of transactions affecting the grantee, such as a
transfer of control or sale to another company, mergers, or transfer of
manufacturing rights, notice must be given to the Commission via the
Internet within 60 days after the consummation of the transaction.
Depending on the circumstances in each case, the Commission may require
new applications for equipment authorization. In reaching a decision
the Commission will consider whether the acquiring party can adequately
ensure and accept responsibility for continued compliance with the
regulations. In general, new applications for each device will not be
required. A single application for equipment authorization may be filed
covering all the affected equipment.
5. Section 2.948 is amended by revising paragraph (d) introductory
text and removing paragraph (d)(3) to read as follows:
Sec. 2.948 Description of measurement facilities.
* * * * *
(d) A laboratory that has been accredited with a scope covering the
required measurements shall be deemed competent to test and submit test
data for equipment subject to verification,
[[Page 68829]]
Declaration of Conformity, and certification. Such a laboratory shall
be accredited by an approved accreditation organization based on the
International Organization for Standardization/International
Electrotechnical Commission (ISO/IEC) Standard 17025, ``General
Requirements for the Competence of Calibration and Testing
Laboratories.'' The organization accrediting the laboratory must be
approved by the Commission's Office of Engineering and Technology, as
indicated in Sec. 0.241 of this chapter, to perform such accreditation
based on ISO/IEC 58, ``Calibration and Testing Laboratory Accreditation
Systems--General Requirements for Operation and Recognition.'' The
frequency for revalidation of the test site and the information that is
required to be filed, or retained by the testing party shall comply
with the requirements established by the accrediting organization.
However, in all cases, test site revalidation shall occur on an
interval not to exceed two years.
* * * * *
6. Section 2.962 is amended by revising paragraphs (c)(4), (e)
introductory text, (f)(1), (f)(3), (g)(3) and by adding paragraph
(c)(7) to read as follows:
Sec. 2.962 Requirements for Telecommunication Certification Bodies.
* * * * *
(c) * * *
(4) The TCB shall demonstrate an ability to recognize situations
where interpretations of the regulations or test procedures may be
necessary. The appropriate key certification and laboratory personnel
shall demonstrate a knowledge of how to obtain current and correct
technical regulation interpretations. The competence of the
Telecommunication Certification Body shall be demonstrated by
assessment. The general competence, efficiency, experience, familiarity
with technical regulations and products included in those technical
regulations, as well as compliance with applicable parts of the ISO/IEC
Guides 25 and 65, shall be taken into consideration.
* * * * *
(7) A Telecommunication Certification Body shall be reassessed for
continued accreditation on intervals not exceeding two years.
* * * * *
(e) Designation of a TCB. * * *
* * * * *
(f) * * *
(1) A TCB shall certify equipment in accordance with the
Commission's rules and policies.
* * * * *
(3) A TCB may establish and assess fees for processing
certification applications and other tasks as required by the
Commission.
* * * * *
(g) * * *
(3) If during post market surveillance of a certified product, a
Telecommunication Certification Body determines that a product fails to
comply with the applicable technical regulations, the Telecommunication
Certification Body shall immediately notify the grantee and the
Commission. A follow-up report shall also be provided within thirty
days of the action taken by the grantee to correct the situation.
* * * * *
PART 15--RADIO FREQUENCY DEVICES
7. The authority citation for part 15 continues to read as follows:
Authority: 47 U.S.C. 154, 302, 303, 304, 307, 336, and 544A.
Sec. 15.7 [Removed]
8. Section 15.7 is removed.
9. Section 15.203 is revised to read as follows:
Sec. 15.203 Antenna requirement.
(a) An intentional radiator shall be designed to ensure that no
antenna other than that certificated with the device may be used. The
use of a permanently attached antenna or of an antenna that uses a
unique coupling to the intentional radiator shall be considered
sufficient to comply with the provisions of this section. The
manufacturer may design the unit so that a broken antenna can be
replaced by the user, but the use of a standard antenna jack or
electrical connector is prohibited. This requirement does not apply to
carrier current devices or to devices operated under the provisions of
Sec. Sec. 15.211, 15.213, 15.217, 15.219, or 15.221. Further, this
requirement does not apply to intentional radiators that must be
professionally installed, such as perimeter protection systems and some
field disturbance sensors, or to other intentional radiators which, in
accordance with Sec. 15.31(d), must be measured at the installation
site. However, the installer shall be responsible for ensuring that the
proper antenna is employed so that the limits in this part are not
exceeded.
(b) Intentional radiators may be certificated with multiple antenna
types. Manufacturers must supply a list of acceptable antenna types
with applications for equipment authorization. Compliance testing must
be performed using the highest gain antenna of each type of antenna to
be certified and with the transmitter operating at its maximum output
power. Any antenna meeting the specifications of tested antennas can be
used with the device without retesting. Use of an antenna of a
different type than the tested antenna, one that exceeds the gain of a
tested antenna, or one that does not meet the tested antenna
specifications will require retesting and new approval by either a TCB
or the Commission.
10. Section 15.204 is amended by adding paragraphs (b)(1), (b)(2)
and (b)(3) and by revising paragraph (c) to read as follows:
Sec. 15.204 External radio frequency power amplifiers and antenna
modifications.
* * * * *
(b) * * *
(1) A transmission system consisting of an intentional radiator, an
external radio frequency power amplifier, and an antenna, may be
authorized, marketed and used under this part. However, when a
transmission system is authorized as a system, it must always be
marketed as a complete system and must always be used in the
configuration in which it was authorized. Except as described in
paragraph (b)(3) of this section, an external radio frequency power
amplifier shall be marketed only in the system configuration with which
the amplifier is authorized and shall not be marketed as a separate
product.
(2) Professional radio system installers and parties that offer
commercial radio services may substitute technically equivalent
components, including external radio frequency power amplifiers and/or
antennas, in systems that have been granted prior equipment
authorization. The professional installer or commercial service
provider must place a label on the transmission system that lists the
FCC Identification Number of the system that was granted equipment
authorization, identifies any components that were substituted, and
designates a point of contact for the party that installed the system.
(3) An external radio frequency power amplifier may be marketed for
individual sale provided it is intended for use in conjunction with a
transmitter that operates in the 902-928 MHz, 2400-2483.5 MHz, and
5725-5850 MHz bands pursuant to Sec. 15.247 or a transmitter that
operates in the 5.725-
[[Page 68830]]
5.825 GHz band pursuant to Sec. 15.407. The output power of such an
amplifier must not exceed the maximum permitted output power of its
associated transmitter.
(c) Except as otherwise described in paragraph (b) of this section,
only the antenna with which an intentional radiator is authorized may
be used with the intentional radiator.
11. Section 15.212 is added to read as follows:
Sec. 15.212 Modular transmitters.
(a) The radio elements of the modular transmitter must have its own
shielding. If the modular transmitter consists of two or more
partitioned sections, the interface between the sections of the modular
system must be digital with a minimum signaling amplitude of 150 mV
peak-to-peak. The physical crystal and tuning capacitors for
partitioned modules can be located external to the shielded radio
elements.
(b) The modular transmitter must have buffered modulation/data
inputs (if such inputs are provided) to ensure that the module will
comply with part 15 requirements under conditions of excessive data
rates or over-modulation. For partitioned modules, control information
and other data may be exchanged between the firmware and radio front
end.
(c) The modular transmitter must have its own power supply
regulation.
(d) The modular transmitter must comply with the antenna
requirements of Sec. Sec. 15.203 and 15.204(c). The antenna must
either be permanently attached or employ a ``unique'' antenna coupler
(at all connections between the module and the antenna, including the
cable). Any antenna used with the module must be approved with the
module, either at the time of initial authorization or through a Class
II permissive change. The ``professional installation'' provision of
Sec. 15.203 may not be applied to modules.
(e)(1) The modular transmitter must be tested in a stand-alone
configuration, i.e., the module must not be inside another device
during testing. Unless the transmitter module will be battery powered,
it must comply with the AC line conducted requirements found in Sec.
15.207. AC or DC power lines and data input/output lines connected to
the module must not contain ferrites, unless they will be marketed with
the module (see Sec. 15.27(a)). The length of these lines used during
testing shall be a length typical of actual use or, if that length is
unknown, at least 10 centimeters to insure that there is no coupling
between the case of the module and supporting test equipment. Any
accessories, peripherals, or support equipment connected to the module
during testing shall be unmodified or commercially available (see Sec.
15.31(i)).
(2) A module comprised of two or more sections shall be tested
installed on a reference platform or final host device. Signal
injection testing shall be performed on the implementation with a
length of cable not exceeding ten centimeters connecting the module
components and platform.
(f) The modular transmitter must be labeled with its own FCC ID
number, and, if the FCC ID is not visible when the module is installed
inside another device, then the outside of the device into which the
module is installed must also display a label referring to the enclosed
module. This exterior label can use wording such as the following:
``Contains Transmitter Module FCC ID: XYZMODEL1'' or ``Contains FCC ID:
XYZMODEL1.'' Any similar wording that expresses the same meaning may be
used. The Grantee may either provide such a label, an example of which
must be included in the application for equipment authorization, or,
must provide adequate instructions to parties that may include the
module in their product that such a label must be placed on the outside
of the device. In the latter case, a copy of these instructions must be
included in the application for equipment authorization.
(g) The modular transmitter must comply with any specific rule or
operating requirements applicable to the transmitter and the
manufacturer must provide adequate instructions along with the module
to explain any such requirements. A copy of these instructions must be
included in the application for equipment authorization.
(h) The modular transmitter must comply with any applicable RF
exposure requirements.
(i) The type number of a partitioned module will consist of a
digital word 4 bytes in length with the following bit definition: 16
bits for the company information, 16 bits for the Device Number.
12. Section 15.247 is amended by revising paragraph (a)(1)
introductory text and by adding paragraphs (b)(6), (b)(7), (b)(8),
(b)(9), (b)(10), (b)(11) and (e) to read as follows:
Sec. 15.247 Operation within the bands 902-928 MHz, 2400-2483.5 MHz,
and 5725-5850 MHz.
(a) * * *
(1) Frequency hopping systems shall have hopping channel carrier
frequencies separated by a minimum of 25 kHz or the 20 dB bandwidth of
the hopping channel, whichever is greater. Frequency hopping systems in
the 2.4 GHz band may have hopping channel carrier frequencies separated
by 25 kHz or two-thirds of the 20 dB bandwidth of the hopping channel,
whichever is greater, provided the systems employ fewer than 75 hopping
channels and operate with an output power no greater than 125 mW. The
system shall hop to channel frequencies that are selected at the system
hopping rate from a pseudorandomly ordered list of hopping frequencies.
Each frequency must be used equally on the average by each transmitter.
The system receivers shall have input bandwidths that match the hopping
channel bandwidths of their corresponding transmitters and shall shift
frequencies in synchronization with the transmitted signals.
* * * * *
(b) * * *
(6) A device that operates in the 2.4 GHz band and transmits to
multiple receivers (simultaneously or sequentially) will be permitted
to operate at point-to-point power levels if it satisfies both of the
following conditions:
(i) It must form multiple directional beams (simultaneously or
sequentially) for the purpose of focusing energy on different receivers
or groups of receivers.
(ii) It must transmit different information to each receiver.
(7) For devices qualifying as point-to-point under this
interpretation, total RF power supplied to the array or arrays that
comprise the device (i.e., sum of power supplied to all antennas,
antenna elements, staves, etc. and summed across all carriers or
frequency channels) is limited as follows:
(i) Total power is limited to the applicable power level as
specified in paragraph (b)(1) or (b)(3) of this section.
(ii) Total power must be reduced by 1 dB for each 3 dB of
directional gain above 6 dB of the antenna/array device, as defined in
paragraph (b)(9) of this section.
(8) The power limits specified previously will be applied to the
aggregate power of all simultaneously operated frequency channels and
directional beams, except that, for devices that transmit on multiple
beams simultaneously (on the same or different frequency channels), a
higher total power level may be allowed. For such devices, both of the
following power limits must be satisfied.
(i) The power supplied to each beam will be subject to the power
limit as specified in paragraph (b)(7)(i) of this section.
(ii) Aggregate power transmitted simultaneously on all beams must
not
[[Page 68831]]
exceed the power limit determined in paragraph (b)(7)(i) of this
section by more than 8 dB.
(9) Directional gain shall be computed as follows:
(i) Directional gain will be assumed to be equal to the sum of 10
log ( of array elements or staves) and the directional gain of
the individual elements or staves (or of the element or stave having
the highest gain if all are not the same).
(ii) A value for directional gain less than that given by (b)(9)(i)
of this section will be accepted only if sufficient evidence is
presented that the directional gain cannot exceed the proposed value
(for example due to shading of the array, or coherence loss in the
beamforming).
(10) If a device transmits in only single sector (single
directional beam), then it does not satisfy the conditions of paragraph
(b)(6) of this section and must be evaluated under point-to-multipoint
rules.
(11) If a device transmits in multiple sectors (multiple beams
pointed in different directions) and satisfies the conditions of
paragraph (b)(6)(i) of this section, then the device may operate at
point-to-point power levels computed according to paragraphs (b)(7) and
(b)(8) of this section. Power in each sector must satisfy the limit in
paragraph (b)(7)(i) of this section, and total RF power supplied to all
antennas (all sectors) simultaneously must satisfy the limit in
(b)(8)(ii) of this section.
* * * * *
(e) The peak output power and peak power spectral density for
digitally modulated system may be determined in accordance with the
provisions specified in Sec. Sec. 15.407(a)(4) and 15.407(a)(5).
* * * * *
[FR Doc. 03-30540 Filed 12-9-03; 8:45 am]
BILLING CODE 6712-01-P