*Pages 1--13 from Microsoft Word - 49379.doc* Federal Communications Commission Washington, D. C. 20554 June16, 2005 Small Entity Compliance Guide Air- Ground Telecommunications Services— Commercial and General Aviation Air- Ground Radiotelephone Service— DA 05- 1364 WT Docket Nos. 03- 103, 05- 42 This Guide is prepared in accordance with the requirements of Section 212 of the Small Business Regulatory Enforcement Fairness Act of 1996. It is intended to help small entities— small businesses, small organizations (non- profits), and small governmental jurisdictions— to comply with the new rule/ s adopted in the above- referenced FCC rulemaking docket/ s. This Guide is not intended to replace the rule/ s and, therefore, final authority rests solely with the rule/ s. Although we have attempted to cover all parts of the rule/ s that might be especially important to small entities, the coverage may not be exhaustive. As a result, in any civil or administrative action against a small entity for a violation of a rule or rules, the content of the Small Entity Compliance Guide may be considered only as evidence of the reasonableness or appropriateness of proposed fines, penalties or damages. This Guide may not apply in a particular situation based upon the circumstances, and the FCC retains the discretion to adopt approaches on a case- by- case basis that may differ from this Guide, where appropriate. Any decisions regarding a particular small entity will be based on the statute and regulations. Interested parties are free to file comments regarding this Guide and the appropriateness of its application to a particular situation; the FCC will consider whether the recommendations or interpretations in the Guide are appropriate in that situation. The FCC may decide to revise this Guide without public notice to reflect changes in the FCC’s approach to implementing a rule, or to clarify or update the text of the Guide. Direct your comments and recommendations, or calls for further assistance, to the FCC’s Consumer Center: 1- 888- CALL- FCC (1- 888- 225- 5322) TTY: 1- 888- TELL- FCC (1- 888- 835- 5322) Fax: 202- 418- 0232 fccinfo@ fcc. gov 1 2 Table of Contents I. Objectives of the Proceeding.............................................................................................................................. 3 II. Regulations and Policies That the Commission Modified........................................................................... 3 A. 800 MHz Air- Ground Radiotelephone Service ............................................................................................ 3 1. Available Air- Ground Radiotelephone Service Band Plans................................................................... 3 i. Transition of Incumbent Station KNKG804........................................................................................ 5 ii. Technical Standards............................................................................................................................... 6 B. 400 MHz Air- Ground Radiotelephone Service ............................................................................................ 8 C. Revision of Part 22 Non- Cellular Rules........................................................................................................ 8 1. Scope and Authority— Authorization Required, General Eligibility, and Definitions ....................... 8 2. Licensing Requirements and Procedures................................................................................................. 9 i. Construction Prior to Grant of Application ........................................................................................ 9 ii. Computation of Distance ....................................................................................................................... 9 iii. Computation of Terrain Elevation ....................................................................................................... 9 iv. Amplitude Compandored Single Sideband Modulation (ASSB) ..................................................... 10 3. Operational and Technical Requirements ............................................................................................. 10 i. Channel Assignment Policy ................................................................................................................. 10 ii. Interference Protection........................................................................................................................ 10 iii. Emission Types and Emission Masks ................................................................................................. 10 iv. Standby Facilities ................................................................................................................................. 10 v. Directional Antennas ........................................................................................................................... 10 vi. Wave Polarization ................................................................................................................................ 10 vii. Access to Transmitters......................................................................................................................... 10 viii. Replacement of Equipment ................................................................................................................. 10 ix. Auxiliary Test Transmitters................................................................................................................ 10 x. In- building Radiation Systems ............................................................................................................ 11 4. Developmental Authorizations................................................................................................................ 11 i. Developmental Authorization of 43 MHz Paging Transmitters....................................................... 11 ii. Developmental Authorization of 928- 960 MHz Fixed Transmitters................................................ 11 iii. Developmental Authorization of Meteor Burst Systems................................................................... 11 5. Paging and Radiotelephone Service Rules ............................................................................................. 11 i. Composite Interference Contour Over Water................................................................................... 11 ii. Nationwide Network Paging Channels............................................................................................... 11 iii. Additional Channel Policies ................................................................................................................ 11 iv. Provision of Rural Radiotelephone Service on Paging Channels..................................................... 12 v. Transmission Power Limits................................................................................................................. 12 vi. Dispatch Service ................................................................................................................................... 12 vii. Channels for Point- to- Point Operation— Microwave Channels ...................................................... 12 viii. ERP Limits............................................................................................................................................ 12 ix. Channel Usage Reports........................................................................................................................ 12 6. Rural Radiotelephone Service Rules— Channels for Basic Exchange Telephone Radio Systems (BETRS)............................................................................................................................................................. 12 7. Offshore Radiotelephone Service Rules ................................................................................................. 12 III. Impact on Small Business ............................................................................................................................ 12 A. Recordkeeping and Other Compliance Requirements.............................................................................. 13 IV. Weblink ......................................................................................................................................................... 13 2 3 COMPLIANCE REQUIREMENTS I. OBJECTIVES OF THE PROCEEDING The Report and Order revises the FCC’s 800 MHz commercial Air- Ground Radiotelephone Service rules and makes available for auction new nationwide air- ground licenses in three band configurations. See Amendment of Part 22 of the Commission's Rules to Benefit the Consumers of Air- Ground Telecommunications Services, Biennial Regulatory Review— Amendment of Parts 1, 22, and 90 of the Commission's Rules, Report and Order and Notice of Proposed Rulemaking, 20 FCC Rcd 4403 (2005) (Report and Order). (In the related Notice of Proposed Rulemaking, the Commission seeks comment on rules for auction of the new licenses, including small business bidding credits.) The Report and Order also revises or eliminates many of the Commission’s Part 22 non- cellular rules in light of technological change, increased competition in Commercial Mobile Radio Services, supervening changes to the Commission’s rules, or a combination of these factors. These rule changes also include actions to harmonize the treatment of various wireless services. II. REGULATIONS AND POLICIES THAT THE COMMISSION MODIFIED A. 800 MHz Air- Ground Radiotelephone Service 1. Available Air- Ground Radiotelephone Service Band Plans The Report and Order will enable interested parties to bid on nationwide air- ground licenses in three band configurations. Licenses will have a ten- year term. Licenses will be awarded to winning bidders for the two licenses comprising the band plan that receives the highest aggregate gross bid, subject to long- form license application review. Band Plan 1, two overlapping, shared, cross- polarized 3 MHz licenses (licenses A and B, respectively). Licenses A and B would authorize transmission of radio waves that are vertically and horizontally polarized, respectively, and would initially share 1.5 MHz at 849.000- 850.500 MHz paired with 1.5 MHz at 894.000- 895.500 MHz. Once Verizon Airfone’s incumbent system ceases operations in the upper 0.5 MHz of each band, licensee B would shift its operations to 1.5 MHz at 849.500- 851.000 MHz paired with 1.5 MHz at 894.500- 896.000 MHz. If Band Plan 1 is implemented, the parties may agree to a different implementation scheme. Band Plan 2, an exclusive 3 MHz license and an exclusive 1 MHz license (licenses C and D, respectively). License C would be located in the lower 1.5 MHz portion of each 2 MHz band (1.5 MHz at 849.000- 850.500 MHz paired with 1.5 MHz at 894.000- 895.500 MHz). License D would be located in the upper 0.5 MHz portion of each 2 MHz band (0.5 MHz at 850.500- 851.000 MHz paired with 0.5 MHz at 895.500- 896. 000 MHz). Band Plan 3, an exclusive 1 MHz license and an exclusive 3 MHz license (licenses E and F, respectively), with the blocks at opposite ends of the band from the second configuration. License E would be located in the lower 0.5 MHz portion of each 2 MHz band (0.5 MHz at 849.000- 849.500 MHz paired with 0.5 MHz at 894.000- 894.500 MHz). License F would be located in the upper 1.5 MHz portion of each 2 MHz band (1.5 MHz at 849.500- 851. 000 MHz paired with 1.5 MHz at 894.500- 896.000 MHz). 3 4 Air- Ground Band Plan Options Plan 1 – 1. 5 MHz (shared with B - vertical polarization) Plan 1 – 1. 5 MHz (shared with A - horizontal polarization) Plan 2 – 1. 5 MHz (exclusive) Plan 2 – 0. 5 MHz (exclusive) Plan 3 – 0. 5 MHz (exclusive) Plan 3 – 1. 5 MHz (exclusive) 849 MHz 849. 5 MHz 850. 5 MHz 851 MHz A B C D E F Plan 1 – 1. 5 MHz (shared with B - vertical polarization) Plan 1 – 1. 5 MHz (shared with A - horizontal polarization) Plan 2 – 1. 5 MHz (exclusive) Plan 2 – 0. 5 MHz (exclusive) Plan 3 – 0.5 MHz (exclusive) Plan 3 – 1. 5 MHz (exclusive) 894 MHz 894. 5 MHz 895. 5 MHz 896 MHz A B C D E F Ground Airborne Requirement To Provide Air- Ground Service. Licensees will be required to provide service to airborne locations. Service may be any type (e. g., voice, data, broadband internet) and may be provided to any or all aviation markets (e. g., commercial, government, and general). A licensee may not provide ancillary land mobile or fixed services in this spectrum. Licensees may use any existing or future technology that can fit within their assigned spectrum block. Eligibility Restriction. No party may obtain a controlling interest, either at auction or by a post- auction transaction, in more than 3 MHz of spectrum (either shared or exclusive) in the 800 MHz air- ground band. Each of the three band configurations contains two licenses and each includes at least one 3 MHz license. Accordingly, no party may have a controlling interest in more than one license in the band plan implemented as a result of the Commission’s auction of new air- ground licenses. For purposes of this eligibility restriction, individuals and entities with either de jure or de facto control of a licensee in the band will be considered to have a controlling interest in the licensee. De jure control is evidenced by holdings of greater than 50 percent of the voting stock of a corporation, or in the case of a partnership, general partnership interests. De facto control is determined on a case- by- case basis. The Commission will apply the definitions of “controlling interests” and “affiliate” currently set forth in Sections 1.2110( c)( 2) and 1.2110( c)( 5) of the Commission's rules. See 47 C. F. R. §§ 1.2110( c)( 2), (5). These provisions define controlling interests and affiliates for the purpose of determining auction applicants’ eligibility for small business provisions. Together with the other provisions of Sections 4 6 If Band Plan 1 or 2 is the winning configuration at auction, Verizon Airfone’s incumbent system must cease operations in the lower 1.5 MHz portion of each 2 MHz air- ground band within twenty- four months of the initial date of grant of a new license. Verizon Airfone may relocate its incumbent operations to the upper 0.5 MHz portion of each 2 MHz band (0.5 MHz at 850.500- 851.000 MHz paired with 0.5 MHz at 895.500- 896.000 MHz) and may continue to operate under the renewal authorization until the end of the five- year license term. If Band Plan 3 is the winning configuration at auction, Verizon Airfone’s incumbent system must cease operations in the upper 1.5 MHz portion of each 2 MHz air- ground band within twenty- four months of the initial date of grant of a new license. Verizon Airfone may relocate to the lower 0.5 MHz portion of each 2 MHz band (0.5 MHz at 849.000- 849.500 MHz paired with 0.5 MHz at 894.000- 894.500 MHz) and may continue to operate under the renewal authorization until the end of the five- year license term. Verizon Airfone may reconfigure the narrowband channelization of its existing system in the upper 0.5 MHz portion of each 2 MHz band (or lower 0.5 MHz portion of each band if Band Plan 3 is implemented) any way it wants, including using control channel( s) of any authorized bandwidth less than 6 kHz (not limited to 3.2 kHz as they were under the former rules). If Verizon Airfone acquires a new spectrum authorization as a result of competitive bidding, it could elect to continue its incumbent operations under such new authorization. Reimbursement of Relocation Costs. Verizon Airfone must bear any costs for relocating its narrowband operations in the air- ground band at the end of the twenty- four month transition period. A new air- ground licensee could seek to negotiate and compensate Verizon Airfone to relocate earlier than required by the terms of Verizon Airfone’s new license; Verizon Airfone, however, will not be obligated to engage in such negotiations. Construction Requirements. The Commission adopted a five- year substantial service construction requirement for the new spectrum licenses other than the 1 MHz spectrum licenses D and E. At the end of the five- year construction period, a holder of spectrum licenses A, B, C, or F must provide substantial service to aircraft. Substantial service is defined as service that is sound, favorable, and substantially above a level of mediocre service that would barely warrant renewal. There are two safe harbors that would satisfy this substantial service obligation. First, construction and operation of twenty base stations, with at least one base station in each of the ten FAA regions at the five- year benchmark would constitute substantial service. Alternatively, the construction and operation of base stations capable of serving the airspace of at least twenty- five of the fifty busiest airports (as measured by annual passenger boardings) at the five- year benchmark would constitute substantial service. The Commission did not establish a construction requirement for spectrum licenses D and E. ii. Technical Standards The Commission adopted the minimal set of technical rules necessary to implement the three alternative band plan configurations that will be subject to auction. Generally, these rules provide licensees flexibility to deploy any type of transmission technology, provided that the radio emissions produced fit within a licensee’s assigned spectrum. The new technical rules limit only transmitting power and the power level of unwanted emissions. Under the new rules, an air- ground licensee will be allowed greater flexibility than under the current rules to deploy the technologies, both now and in the future. For example, licensees could utilize directional or smart antennas to increase capacity. As a general matter, the new technical rules are crafted to allow sufficient power to provide robust air- ground services, while limiting the potential for harmful interference to services operating in adjacent spectrum. Transmitting power limits. The Commission concluded that a ground station maximum power limit of 500 Watts effective radiated power (ERP) and an airborne mobile station maximum power limit of 6 7 12 Watts ERP will allow a licensee of a 3 MHz spectrum block to deploy CDMA2000 1xEV- DO and/ or FLASH- OFDM with an ample margin. Installations will also be subject to the radiofrequency radiation exposure limits rules set forth in Section 1.1310 of the Commission's rules (47 C. F. R § 1.1310). Interference to air- ground from adjacent services. Under current FCC rules, new air- ground systems should be able, through careful ground station site selection, and through technical coordination with the licensees in adjacent services, to build out their systems. Potential licensees should plan on obtaining qualified engineering advice regarding system design and ground station site selection, taking fully into account the existing radio frequency environment at candidate sites. Interference to Cellular Block B. The Commission determined that applying standard Out- of- Band Emission (OOBE) rules will be adequate to limit unwanted emissions between ground stations in the air-ground service and base stations in the cellular service. Standard OOBE rules also provide that the Commission may require greater attenuation of unwanted emissions in the event it is necessary to prevent interference to other services. The Commission also concluded that OOBE limits and the distance separation make it likely that the mobile units in these two services will continue to operate in adjacent spectrum without harmful interference problems. Nevertheless, if an air- ground licensee elects to operate aircraft mobile transmitters on the ground or during approach and take- off, it may find it necessary in some cases to provide additional attenuation of OOBE falling into the spectrum below 894 MHz, in order to avoid interference to cellular phones in use in the immediate vicinity of airports. Interference to Public Safety. The Commission adopted essentially the same interference abatement obligation rule as that adopted for the cellular service in the 800 MHz Order, 19 FCC Rcd 19651 (2004). Under this rule, an air- ground licensee may receive an electronic initial notification of interference from non- cellular licensees in the 800 MHz band. After receiving such a notification, the air- ground licensee must respond, analyze the interference to identify the source, and take mitigation steps to resolve it. The air- ground licensee must also notify public safety and critical infrastructure licensees, who have asked to be notified, prior to construction of a new ground station. The FCC encourages air- ground, public safety, and critical infrastructure licensees to work collaboratively to resolve interference using mediation and other appropriate forms of alternative dispute resolution procedures. Interference to 900 MHz Specialized Mobile Radio (SMR) base receivers. Air- ground licensees and 900 MHz SMR licensees should cooperate to resolve any interference problems, particularly where 900 MHz SMR base stations are located near airport runways. Miscellaneous Interference Issues. The Commission applied its harmonized flexible OOBE limits rule, which currently applies to cellular and broadband PCS, see 47 C. F. R. §§ 22. 917, 24.238, to the 800 MHz Air- Ground Radiotelephone Service. In the event that band plan 2 or 3 is implemented, the exclusive licensees would be subject to the OOBE standards between their spectrum blocks, as well as outside the air- ground band. Miscellaneous Technical Rules. The frequency stability of equipment must be sufficient to ensure that, after accounting for Doppler frequency shifts, the occupied bandwidth of the fundamental emissions remains within the authorized frequency bands of operation. In the event that Band Plan 1 is implemented and licenses for spectrum sharing are issued, the licensees may choose to agree upon any number of miscellaneous technical standards that may be needed to facilitate shared spectrum operation and include them in the spectrum sharing plan that they would file with the Wireless Telecommunications Bureau. 7 10 iv. Amplitude Compandored Single Sideband Modulation (ASSB) Section 22.161 of the rule is obsolete in light of Section 22.357, which permits Part 22 licensees to use any emission type that complies with applicable emission limits. Therefore, the Commission deleted Section 22.161. Also, the reference to this section in the definition of “Channel” in Section 22.99 was eliminated. 3. Operational and Technical Requirements i. Channel Assignment Policy Section 22.351 sets forth the general policy for the assignment of Public Mobile Service (PMS) channels. The Commission amended Section 22.351 by replacing the term “common carrier” with the term “licensee.” ii. Interference Protection The Commission modified the relevant portion of Section 22.352 to read “Public Mobile Service stations operating in accordance with applicable FCC rules and the terms and conditions of their authorizations are normally considered to be non- interfering.” The adopted streamlined wording more accurately reflects how the Commission currently addresses interference issues: that operation consistent with Commission rules and the applicable authorization— whether on a site- by- site basis or on a geographic area basis— creates a presumption of non- interfering operation. iii. Emission Types and Emission Masks Consistent with the recent increased use of OOBE limits, the Commission replaced the emission mask requirements found in Sections 22. 357, 22.359, and 22. 861 with an OOBE limitation. The FCC clarified for purposes of this proceeding that OOBE limitations include what would be termed “spurious” emissions under the ITU standards. iv. Standby Facilities The Commission eliminated Section 22.361 from the rules. v. Directional Antennas The Commission eliminated Section 22. 363 and Table C- 2 to Section 22. 361 from the rules. vi. Wave Polarization The Commission deleted Section 22.367 from the rules. vii. Access to Transmitters The Commission removed Section 22.373 from the rules. viii. Replacement of Equipment The Commission eliminated Section 22. 379 from the rules. ix. Auxiliary Test Transmitters The Commission eliminated Section 22. 381 from the rules. 10 11 x. In- building Radiation Systems Commission staff currently is examining a set of issues related to the appropriate regulatory treatment of wireless boosters used to improve or facilitate service in a number of areas, including buildings. Accordingly, the FCC addressed Section 22.383 in the context of that examination. The Commission clarified that under current policies, such devices may only be operated by a licensee or pursuant to the licensee’s permission and control, unless they fall under the power limits for unlicensed devices under the Part 15 rules. 4. Developmental Authorizations i. Developmental Authorization of 43 MHz Paging Transmitters The Commission deleted Sections 22.411 and 22.531( a) from the rules. ii. Developmental Authorization of 928- 960 MHz Fixed Transmitters The Commission eliminated Section 22.415 and revised Section 22.625( a) by eliminating all text following the first sentence that pertains to short- spaced developmental authorizations under Section 22.415. iii. Developmental Authorization of Meteor Burst Systems The Commission deleted Sections 22.417, 22.725( c), and 22.729 from the rules. It also deleted the definition of “meteor burst propagation mode” in Section 22.99, the Section 22.313( a)( 3) station identification requirements for Rural Radiotelephone Service subscriber stations using meteor burst propagation, and the Section 22.727( f) limits on transmitter output power for meteor burst stations. 5. Paging and Radiotelephone Service Rules i. Composite Interference Contour Over Water The Commission amended Section 1.929( c)( 1) regarding expansions of the composite interference contour (CIC) of a site- based licensee in the Paging and Radiotelephone Service, Rural Radiotelephone Service, or 800 MHz Specialized Mobile Radio Service. The amended rule treats expansions of the CIC over water, on a secondary, non- interference basis to any geographic area licensee in the same area, as minor, not major, modifications of license. As a result, such expansions of the CIC are permissive and no notification to the Commission is required. Moreover, the Commission will no longer require that site-based licensees automatically notify incumbent geographic area licensees of the technical parameters of a CIC expansion over water. Also, the FCC adopted the definition of “over water” as “over bodies of water that extend beyond county boundaries including, but not limited to, oceans, the Gulf of Mexico, and the Great Lakes.” ii. Nationwide Network Paging Channels The Commission deleted Sections 22.313( a)( 5), 22. 531( b) and 22.551 from the rules. iii. Additional Channel Policies The Commission deleted Sections 22.539 and 22.569 from the rules. 11 12 iv. Provision of Rural Radiotelephone Service on Paging Channels The Commission deleted Section 22.563 from the rules. v. Transmission Power Limits The Commission deleted Section 22.565( g) so that test transmitters may operate, pursuant to Section 22.565( a), at a limit of 150 watts. The FCC noted that because it has decided to permit auxiliary test transmitters to operate on both base and mobile frequencies, licensees can now choose to operate on either the base or the mobile side of the frequency, subject to the 150- watt limit under Section 22.565( a). vi. Dispatch Service The Commission deleted Section 22.577 from the rules. vii. Channels for Point- to- Point Operation— Microwave Channels The Commission deleted the microwave channels from the Section 22. 591 table and deleted Section 22.591( b) regarding the assignment of such channels. The FCC will allow the licenses for these microwave channels to expire at the end of their current authorizations, and the Commission will not renew them for another license term. These microwave incumbents will, in the meantime, continue to be subject to Sections 22.601 and 22.602 (although once their license terms end, these sections will become superfluous). The Commission deleted the cross- reference to Section 22.591 in Sections 22.601 and 22.602, referencing the 2110- 2130 and 2160- 2180 MHz channels instead. viii. ERP Limits Although the Commission deleted the microwave channels listed in Section 22.591, these microwave licensees are still subject to Section 22.593, which specifies the EIRP of the microwave channels listed in Section 22.591. Consequently, the FCC will not amend this rule until after the subject licenses have expired. ix. Channel Usage Reports The Commission eliminated Section 22. 655 from the rules. 6. Rural Radiotelephone Service Rules— Channels for Basic Exchange Telephone Radio Systems (BETRS) The Commission eliminated Section 22.757 from the rules and the first sentence of Section 22.725 was amended to provide that the channels listed therein are available for paired assignment to BETRS. 7. Offshore Radiotelephone Service Rules The Commission removed the reference to “common carriers” in Section 22.1003 in order to maintain consistency among the Part 22 Public Mobile Services. III. IMPACT ON SMALL BUSINESS The Commission does not anticipate any adverse impact on small entities resulting from either reconfiguration of the 800 MHz Air- Ground Radiotelephone Service band plan or revision of the related service rules. Regarding the modification or elimination of rules stemming from its Biennial Regulatory Review responsibilities, the FCC does not anticipate any adverse impact on small entities. To the 12