[Title 47 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2000 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

                    47
                    Parts 0 to 19
                    Revised as of October 1, 2000


                    Telecommunication




                    Containing a Codification of documents 
                    of general applicability and future effect


                    As of October 1, 2000

                    With Ancillaries

                    Published by
                    the Office of the Federal Register
                    National Archives and Records
                    Administration

                    As a Special Edition of the Federal Register



[[Page ii]]

                                      




                     U.S. GOVERNMENT PRINTING OFFICE
                            WASHINGTON : 2000



               For sale by U.S. Government Printing Office
 Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328



[[Page iii]]




                            Table of Contents



                                                                    Page
  Explanation.................................................       v

  Title 47:
          Chapter I--Federal Communications Commission               3
  Finding Aids:
      Material Approved for Incorporation by Reference........     777
      Table of CFR Titles and Chapters........................     779
      Alphabetical List of Agencies Appearing in the CFR......     797
      List of CFR Sections Affected...........................     807



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                     ----------------------------

                     Cite this Code:  CFR
                     To cite the regulations in 
                       this volume use title, 
                       part and section number. 
                       Thus,  47 CFR 0.1 refers 
                       to title 47, part 0, 
                       section 1.

                     ----------------------------

[[Page v]]



                               EXPLANATION

    The Code of Federal Regulations is a codification of the general and 
permanent rules published in the Federal Register by the Executive 
departments and agencies of the Federal Government. The Code is divided 
into 50 titles which represent broad areas subject to Federal 
regulation. Each title is divided into chapters which usually bear the 
name of the issuing agency. Each chapter is further subdivided into 
parts covering specific regulatory areas.
    Each volume of the Code is revised at least once each calendar year 
and issued on a quarterly basis approximately as follows:

Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1

    The appropriate revision date is printed on the cover of each 
volume.

LEGAL STATUS

    The contents of the Federal Register are required to be judicially 
noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie 
evidence of the text of the original documents (44 U.S.C. 1510).

HOW TO USE THE CODE OF FEDERAL REGULATIONS

    The Code of Federal Regulations is kept up to date by the individual 
issues of the Federal Register. These two publications must be used 
together to determine the latest version of any given rule.
    To determine whether a Code volume has been amended since its 
revision date (in this case, October 1, 2000), consult the ``List of CFR 
Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative 
List of Parts Affected,'' which appears in the Reader Aids section of 
the daily Federal Register. These two lists will identify the Federal 
Register page number of the latest amendment of any given rule.

EFFECTIVE AND EXPIRATION DATES

    Each volume of the Code contains amendments published in the Federal 
Register since the last revision of that volume of the Code. Source 
citations for the regulations are referred to by volume number and page 
number of the Federal Register and date of publication. Publication 
dates and effective dates are usually not the same and care must be 
exercised by the user in determining the actual effective date. In 
instances where the effective date is beyond the cut-off date for the 
Code a note has been inserted to reflect the future effective date. In 
those instances where a regulation published in the Federal Register 
states a date certain for expiration, an appropriate note will be 
inserted following the text.

OMB CONTROL NUMBERS

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

[[Page vi]]

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

OBSOLETE PROVISIONS

    Provisions that become obsolete before the revision date stated on 
the cover of each volume are not carried. Code users may find the text 
of provisions in effect on a given date in the past by using the 
appropriate numerical list of sections affected. For the period before 
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For 
the period beginning January 1, 1986, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish regulations in the Federal Register by referring 
to materials already published elsewhere. For an incorporation to be 
valid, the Director of the Federal Register must approve it. The legal 
effect of incorporation by reference is that the material is treated as 
if it were published in full in the Federal Register (5 U.S.C. 552(a)). 
This material, like any other properly issued regulation, has the force 
of law.
    What is a proper incorporation by reference? The Director of the 
Federal Register will approve an incorporation by reference only when 
the requirements of 1 CFR part 51 are met. Some of the elements on which 
approval is based are:
    (a) The incorporation will substantially reduce the volume of 
material published in the Federal Register.
    (b) The matter incorporated is in fact available to the extent 
necessary to afford fairness and uniformity in the administrative 
process.
    (c) The incorporating document is drafted and submitted for 
publication in accordance with 1 CFR part 51.
    Properly approved incorporations by reference in this volume are 
listed in the Finding Aids at the end of this volume.
    What if the material incorporated by reference cannot be found? If 
you have any problem locating or obtaining a copy of material listed in 
the Finding Aids of this volume as an approved incorporation by 
reference, please contact the agency that issued the regulation 
containing that incorporation. If, after contacting the agency, you find 
the material is not available, please notify the Director of the Federal 
Register, National Archives and Records Administration, Washington DC 
20408, or call (202) 523-4534.

CFR INDEXES AND TABULAR GUIDES

    A subject index to the Code of Federal Regulations is contained in a 
separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Statutory 
Authorities and Agency Rules (Table I). A list of CFR titles, chapters, 
and parts and an alphabetical list of agencies publishing in the CFR are 
also included in this volume.
    An index to the text of ``Title 3--The President'' is carried within 
that volume.
    The Federal Register Index is issued monthly in cumulative form. 
This index is based on a consolidation of the ``Contents'' entries in 
the daily Federal Register.
    A List of CFR Sections Affected (LSA) is published monthly, keyed to 
the revision dates of the 50 CFR titles.

[[Page vii]]


REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-523-5227 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, Washington, DC 20408 or e-mail 
info@fedreg.nara.gov.

SALES

    The Government Printing Office (GPO) processes all sales and 
distribution of the CFR. For payment by credit card, call 202-512-1800, 
M-F, 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2233, 24 hours 
a day. For payment by check, write to the Superintendent of Documents, 
Attn: New Orders, P.O. Box 371954, Pittsburgh, PA 15250-7954. For GPO 
Customer Service call 202-512-1803.

ELECTRONIC SERVICES

    The full text of the Code of Federal Regulations, The United States 
Government Manual, the Federal Register, Public Laws, Public Papers, 
Weekly Compilation of Presidential Documents and the Privacy Act 
Compilation are available in electronic format at www.access.gpo.gov/
nara (``GPO Access''). For more information, contact Electronic 
Information Dissemination Services, U.S. Government Printing Office. 
Phone 202-512-1530, or 888-293-6498 (toll-free). E-mail, 
gpoaccess@gpo.gov.
    The Office of the Federal Register also offers a free service on the 
National Archives and Records Administration's (NARA) World Wide Web 
site for public law numbers, Federal Register finding aids, and related 
information. Connect to NARA's web site at www.nara.gov/fedreg. The NARA 
site also contains links to GPO Access.

                              Raymond A. Mosley,
                                    Director,
                          Office of the Federal Register.

October 1, 2000.



[[Page ix]]



                               THIS TITLE

    Title 47--Telecommunication is composed of five volumes. The parts 
in these volumes are arranged in the following order: Parts 0-19, parts 
20-39, parts 40-69, parts 70-79, and part 80 to end, chapter I--Federal 
Communications Commission. The last volume, part 80 to end, also 
includes chapter II--Office of Science and Technology Policy and 
National Security Council, and chapter III--National Telecommunications 
and Information Administration, Department of Commerce. The contents of 
these volumes represent all current regulations codified under this 
title of the CFR as of October 1, 2000.

    Part 73 contains a numerical designation of FM broadcast channels 
(Sec. 73.201) and a table of FM allotments designated for use in 
communities in the United States, its territories, and possessions 
(Sec. 73.202). Part 73 also contains a numerical designation of 
television channels (Sec. 73.603) and a table of allotments which 
contain channels designated for the listed communities in the United 
States, its territories, and possessions (Sec. 73.606).

    The OMB control numbers for the Federal Communications Commission, 
appear in Sec. 0.408 of chapter I. For the convenience of the user 
Sec. 0.408 is reprinted in the Finding Aids section of the second 
through fifth volumes.

    A redesignation table appears in the Finding Aids section of the 
volume containing part 80 to end.

    For this volume, Bonnie J. Fritts was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Frances D. McDonald, assisted by Alomha S. Morris.

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[[Page 1]]



                       TITLE 47--TELECOMMUNICATION




                   (This book contains parts 0 to 19)

  --------------------------------------------------------------------
                                                                    Part

chapter i--Federal Communications Commission................           0

[[Page 3]]



              CHAPTER I--FEDERAL COMMUNICATIONS COMMISSION




  --------------------------------------------------------------------

                          SUBCHAPTER A--GENERAL

Part                                                                Page
0               Commission organization.....................           5
1               Practice and procedure......................          95
2               Frequency allocations and radio treaty 
                    matters; general rules and regulations..         374
3               Authorization and administration of 
                    accounting authorities in maritime and 
                    maritime mobile-satellite radio services         613
5               Experimental radio service (other than 
                    broadcast)..............................         623
6               Access to telecommunications service, 
                    telecommunications equipment and 
                    customer premises equipment by persons 
                    with disabilities.......................         634
7               Access to voicemail and interactive menu 
                    services and equipment by people with 
                    disabilities............................         640
11              Emergency Alert System (EAS)................         646
13              Commercial radio operators..................         665
15              Radio frequency devices.....................         674
17              Construction, marking, and lighting of 
                    antenna structures......................         755
18              Industrial, scientific, and medical 
                    equipment...............................         763
19              Employee responsibilities and conduct.......         769

Supplemental Publications:   

  Annual Reports of the FCC to Congress.

  FCC Record of Orders and Decisions.

  Communications Act of 1934 (with amendments and index thereto), Recap. 
Version to May 1989.

  Study Guide and Reference Material for Commercial Radio Operator 
Examinations, May 1987 edition.

[[Page 5]]





                          SUBCHAPTER A--GENERAL


PART 0--COMMISSION ORGANIZATION--Table of Contents




                         Subpart A--Organization

                                 General

Sec.
0.1  The Commission.
0.3  The Chairman.
0.5  General description of Commission organization and operations.

                       Office of Managing Director

0.11  Functions of the Office.

                       Office of Inspector General

0.13  Functions of the Office.

                        Office of Media Relations

0.15  Functions of the Office.

                      Office of Legislative Affairs

0.17  Functions of the Office.

                       Office of Plans and Policy

0.21  Functions of the Office.

                  Office of Engineering and Technology

0.31  Functions of the Office.

                        Office of General Counsel

0.41  Functions of the Office.

                          International Bureau

0.51  Functions of the Bureau

                            Mass Media Bureau

0.61  Functions of the Bureau.

                      Office of Workplace Diversity

0.81  Functions of the Office.

                          Common Carrier Bureau

0.91  Functions of the Bureau.

                          Cable Services Bureau

0.101  Functions of the Bureau.

                           Enforcement Bureau

0.111  Functions of the Bureau.
0.121  Location of field installations.

                   Wireless Telecommunications Bureau

0.131  Functions of the Bureau.

                       Consumer Information Bureau

0.141  Functions of the Bureau.

                   Office of Administrative Law Judges

0.151  Functions of the Office.

              Defense and Emergency Preparedness Functions

0.181  The Defense Commissioner.
0.182  Chief, Enforcement Bureau.
0.185  Responsibilities of the bureaus and staff offices.
0.186  Emergency Relocation Board.

                   Subpart B--Delegations of Authority

                                 General

0.201  General provisions.
0.203  Authority of person, panel, or board to which functions are 
          delegated.
0.204  The exercise of delegated authority.

                              Commissioners

0.211  Chairman.
0.212  Board of Commissioners.
0.218  Authority of, and delegated to, an individual Commissioner or 
          Commissioners.

                            Managing Director

0.231  Authority delegated.

                             Chief Engineer

0.241  Authority delegated.
0.247  Record of actions taken.

                             General Counsel

0.251  Authority delegated.

                          International Bureau

0.261  Authority delegated.
0.262  Record of actions taken.

                       Office of Plans and Policy

0.271  Authority delegated.

                        Chief, Mass Media Bureau

0.283  Authority delegated.
0.284  Actions taken under delegated authority.
0.285  Record of actions taken.

                      Chief, Common Carrier Bureau

0.291  Authority delegated.
0.301  [Reserved]
0.302  Record of actions taken.
0.303  Authority concerning registration of telephone terminal 
          equipment.
0.304  Authority for determinations of exempt telecommunications company 
          status.

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                           Enforcement Bureau

0.311  Authority delegated.
0.314  Additional authority delegated.
0.317  Record of action taken.

                          Cable Services Bureau

0.321  Authority delegated.
0.325  Record of actions taken.

                   Wireless Telecommunications Bureau

0.331  Authority delegated.
0.332  Actions taken under delegated authority.
0.333-0.337  [Reserved]

                        Administrative Law Judges

0.341  Authority of administrative law judge.
0.347  Record of actions taken.

                     Chief Administrative Law Judge

0.351  Authority delegated.
0.357  Record of actions taken.

                       Consumer Information Bureau

0.361  Authority delegated.

        National Security and Emergency Preparedness Delegations

0.381  Defense Commissioner.
0.383  Emergency Relocation Board, authority delegated.
0.387  Other national security and emergency preparedness delegations; 
          cross reference.

                      Office of Workplace Diversity

0.391  Authority delegated.

                     Subpart C--General Information

                                 General

0.401  Location of Commission offices.
0.403  Office hours.
0.405  Statutory provisions.
0.406  The rules and regulations.
0.408  OMB control numbers and expiration dates assigned pursuant to the 
          Paperwork Reduction Act of 1995.
0.409  Commission policy on private printing of FCC forms.

                          Printed Publications

0.411  General reference materials.
0.413  The Commission's printed publications.
0.414  The Communications Act and other statutory materials.
0.415  The rules and regulations (looseleaf service).
0.416  The Federal Communications Commission Record.
0.417  The Annual Reports.
0.420  Other Commission publications.

               Forms and Documents Available Upon Request

0.421  Application forms.
0.422  Current action documents and public notices.
0.423  Information bulletins.

         Lists Containing Information Compiled by the Commission

0.431  The FCC service frequency lists.
0.434  Data bases and lists of authorized broadcast stations and pending 
          broadcast applications.

              Public Information and Inspection of Records

0.441  General.
0.442  Disclosure to other Federal government agencies of information 
          submitted to the Commission in confidence.
0.445  Publication, availability and use of opinions, orders, policy 
          statements, interpretations, administrative manuals, and staff 
          instructions.
0.451  Inspection of records: Generally.
0.453  Public reference rooms.
0.455  Other locations at which records may be inspected.
0.457  Records not routinely available for public inspection.
0.459  Requests that materials or information submitted to the 
          Commission be withheld from public inspection.
0.460  Requests for inspection of records which are routinely available 
          for public inspection.
0.461  Requests for inspection of materials not routinely available for 
          public inspection.
0.463  Demand by competent authority for the production of documents or 
          testimony concerning information contained therein.
0.465  Request for copies of materials which are available, or made 
          available, for public inspection.
0.466  Definitions.
0.467  Search and review fees.
0.468  Interest.
0.469  Advance payments.
0.470  Assessment of fees.

 Places for Making Submittals or Requests, for Filing Applications, and 
                         for Taking Examinations

0.471  Miscellaneous submittals or requests.
0.473  Reports of violations.
0.475  Applications for employment.
0.481  Place of filing applications for radio authorizations.
0.482  Application for waiver of wireless radio service rules.
0.483  Applications for amateur or commercial radio operator licenses.
0.484  Amateur radio operator examinations.

[[Page 7]]

0.485  Commercial radio operator examinations.
0.489  Applications for ship radio inspection and periodical survey.
0.491  Application for exemption from compulsory ship radio 
          requirements.
0.493  Non-radio common carrier applications.

 Subpart D--Mandatory Declassification of National Security Information

0.501  General.
0.502  Purpose.
0.503  Submission of requests for mandatory declassification review.
0.504  Processing requests for declassification.
0.505  Fees and charges.
0.506  FOIA and Privacy Act requests.

                   Subpart E--Privacy Act Regulations

0.551  Purpose and scope; definitions.
0.552  Notice identifying Commission systems of records.
0.553  New uses of information.
0.554  Procedures for requests pertaining to individual records in a 
          system of records.
0.555  Disclosure of record information to individuals.
0.556  Request to correct or amend records.
0.557  Administrative review of an initial decision not to amend a 
          record.
0.558  Advice and assistance.
0.559  Disclosure of disputed information to persons other than the 
          individual to whom it pertains.
0.560  Penalty for false representation of identity.
0.561  Exemptions.

                      Subpart F--Meeting Procedures

0.601  Definitions.
0.602  Open meetings.
0.603  Bases for closing a meeting to the public.
0.605  Procedures for announcing meetings.
0.606  Procedures for closing a meeting to the public.
0.607  Transcript, recording or minutes; availability to the public.

    Authority: Sec. 5, 48 Stat. 1068, as amended; 47 U.S.C. 155, 225, 
unless otherwise noted.



                         Subpart A--Organization

    Authority: Secs. 5, 48 Stat. 1068, as amended; 47 U.S.C. 155.

                                 General



Sec. 0.1  The Commission.

    The Federal Communications Commission is composed of five (5) 
members who are appointed by the president subject to confirmation by 
the Senate. Normally, one Commissioner is appointed or reappointed each 
year, for a term of five (5) years.

[53 FR 29054, Aug. 2, 1988]



Sec. 0.3  The Chairman.

    (a) One of the members of the Commission is designated by the 
President to serve as Chairman, or chief executive officer, of the 
Commission. As Chairman, he has the following duties and 
responsibilities:
    (1) To preside at all meetings and sessions of the Commission.
    (2) To represent the Commission in all matters relating to 
legislation and legislative reports; however, any other Commissioner may 
present his own or minority views or supplemental reports.
    (3) To represent the Commission in all matters requiring conferences 
or communications with other governmental officers, departments or 
agencies.
    (4) To coordinate and organize the work of the Commission in such a 
manner as to promote prompt and efficient disposition of all matters 
within the jurisdiction of the Commission.
    (b) The Commission will, in the case of a vacancy in the Office of 
the Chairman of the Commission, or in the absence or inability of the 
Chairman to serve, temporarily designate one of its members to act as 
Chairman until the cause or circumstance requiring such designation has 
been eliminated or corrected.

[32 FR 10569, July 19, 1967]



Sec. 0.5  General description of Commission organization and operations.

    (a) Principal staff units. The Commission is assisted in the 
performance of its responsibilities by its staff, which is divided into 
the following principal units:
    (1) Office of Managing Director.

[[Page 8]]

    (2) Office of Engineering and Technology.
    (3) Office of General Counsel.
    (4) Office of Plans and Policy.
    (5) Office of Media Relations.
    (6) Office of Legislative Affairs.
    (7) Office of Inspector General.
    (8) Office of Communications Business Opportunities.
    (9) Office of Administrative Law Judges.
    (10) Common Carrier Bureau.
    (11) Wireless Telecommunications Bureau.
    (12) International Bureau.
    (13) Cable Services Bureau.
    (14) Mass Media Bureau.
    (15) Enforcement Bureau.
    (16) Consumer Information Bureau.
    (b) Staff responsibilities and functions. The organization and 
functions of these major staff units are described in detail in 
Secs. 0.11 through 0.151. The defense and emergency preparedness 
functions of the Commission are set forth separately, beginning at 
Sec. 0.181. For a complete description of staff functions, reference 
should be made to those provisions. (See also the U.S. Government 
Organization Manual, which contains a chart showing the Commission's 
organization, the names of the members and principal staff officers of 
the Commission, and other information concerning the Commission.)
    (c) Delegations of authority to the staff. Pursuant to section 5(c) 
of the Communications Act, the Commission has delegated authority to its 
staff to act on matters which are minor or routine or settled in nature 
and those in which immediate action may be necessary. See subpart B of 
this part. Actions taken under delegated authority are subject to review 
by the Commission, on its own motion or on an application for review 
filed by a person aggrieved by the action. Except for the possibility of 
review, actions taken under delegated authority have the same force and 
effect as actions taken by the Commission. The delegation of authority 
to a staff officer, however, does not mean that he will exercise that 
authority in all matters subject to the delegation. In non-hearing 
matters, the staff is at liberty to refer any matter at any stage to the 
Commission for action, upon concluding that it involves matters 
warranting the Commission's consideration, and the Commission may 
instruct the staff to do so.
    (d) Commission action. Matters requiring Commission action, or 
warranting its consideration, are dealt with by the Commission at 
regular monthly meetings, or at special meetings called to consider a 
particular matter. Meetings are normally held at the principal offices 
of the Commission in the District of Columbia, but may be held elsewhere 
in the United States. In appropriate circumstances, Commission action 
may be taken between meetings ``by circulation'', which involves the 
submission of a document to each of the Commissioners for his approval.

(Secs. 4(i), 303(r) and 5(c)(i), Communications Act of 1934, as amended; 
47 CFR 0.61 and 0.283)

[32 FR 10569, July 19, 1967, as amended at 62 FR 4170, Jan. 29, 1997]

    Editorial Note: For Federal Register citations affecting Sec. 0.5, 
see the List of CFR Sections Affected in the Finding Aids section of 
this volume.

                       Office of Managing Director



Sec. 0.11  Functions of the Office.

    (a) The Managing Director is appointed by the Chairman with the 
approval of the Commission. Under the supervision and direction of the 
Chairman, the Managing Director shall serve as the Commission's chief 
operating and executive official with the following duties and 
responsibilities:
    (1) Provide managerial leadership to and exercise supervision and 
direction over the Commission's Bureaus and Offices with respect to 
management and administrative matters but not substantive regulatory 
matters such as regulatory policy and rule making, authorization of 
service, administration of sanctions, and adjudication.
    (2) Formulate and administer all management and administrative 
policies, programs, and directives for the Commission consistent with 
authority delegated by the Commission and the Chairman and recommend to 
the Chairman and the Commission major changes in such policies and 
programs.
    (3) Assist the Chairman in carrying out the administrative and 
executive

[[Page 9]]

responsibilities delegated to the Chairman as the administrative head of 
the agency.
    (4) Advise the Chairman and Commission on management, 
administrative, and related matters; review and evaluate the programs 
and procedures of the Commission; initiate action or make 
recommendations as may be necessary to administer the Communications Act 
most effectively in the public interest. Assess the management, 
administrative, and resource implications of any proposed action or 
decision to be taken by the Commission or by a Bureau or Office under 
delegated authority; recommend to the Chairman and Commission program 
priorities, resource and position allocations, management, and 
administrative policies.
    (5) Plan and administer the Commission's Management by Objectives 
system. Assure that objectives, priorities, and action plans established 
by Bureaus and Offices are consistent with overall Commission objectives 
and priorities.
    (6) Plan and administer the Commission's Program Evaluation System. 
Ensure that evaluation results are utilized in Commission decision-
making and priority-setting activities.
    (7) Direct agency efforts to improve management effectiveness, 
operational efficiency, employee productivity, and service to the 
public. Administer Commission-wide management programs.
    (8) Plan and manage the administrative affairs of the Commission 
with respect to the functions of personnel and position management; 
labor-management relations; budget and financial management; information 
management and processing; organization planning; management analysis; 
procurement; office space management and utilization; administrative and 
office services; supply and property management; records management; 
personnel and physical security; and international telecommunications 
settlements.
    (9) [Reserved]
    (10) With the concurrence of the General Counsel, interpret rules 
and regulations pertaining to fees.
    (b) The Secretary is the official custodian of the Commission's 
documents.

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 
154, 303, 307)

[46 FR 59975, Dec. 8, 1981, as amended at 47 FR 41380, Sept. 20, 1982; 
49 FR 45583, Nov. 19, 1984; 50 FR 27953, July 9, 1985; 53 FR 29054, Aug. 
2, 1988; 53 FR 47536, Nov. 23, 1988; 54 FR 152, Jan. 4, 1989; 59 FR 
26971, May 25, 1994; 60 FR 5323, Jan. 27, 1995; 62 FR 15853, Apr. 3, 
1997; 62 FR 51052, Sept. 30, 1997]

                       Office of Inspector General



Sec. 0.13  Functions of the Office.

    The Office of Inspector General is directly responsible to the 
Chairman as head of the agency. However, the Chairman may not prevent or 
prohibit the Office of Inspector General from carrying out its duties 
and responsibilities as mandated by the Inspector General Act Amendments 
of 1988 (Pub. L. 100-504) and the Inspector General Act of 1978 (5 
U.S.C. Appendix 3), as amended. The Office has the following duties and 
responsibilities.
    (a) Provide policy direction for and to conduct, supervise and 
coordinate audits and investigations relating to the programs and 
operations of the Federal Communications Commission.
    (b) Review existing and proposed legislation and regulations 
relating to programs and operations of the Commission and to make 
recommendations in its required semiannual reports to Congress 
concerning the impact of such legislation or regulations on the economy 
and efficiency in the administration of these programs and operations, 
or the prevention and detection of fraud and abuse in such programs and 
operations.
    (c) Recommend policies and conduct or coordinate other activities to 
promote economy and efficiency in the administration of Commission 
programs, or detect and prevent fraud and abuse in Commission 
activities. Coordinate with other governmental agencies and non-
governmental entities on these matters.
    (d) Keep the Chairman of the Commission--and through him the other 
Commissioners--and the Congress fully and currently informed concerning 
fraud and other serious problems, abuses, and deficiencies relating to 
the

[[Page 10]]

administration of Commission programs and operations; recommend 
corrective action and report on the progress made in implementing such 
corrective action. In addition to providing the Chairman with the 
results of completed audits and inspections, the Inspector General shall 
prepare statutorily required reports, identified as such, to include:
    (1) Semiannual reports summarizing activities of the office during 
the preceding six month period (due to the Chairman by April 30 and 
October 31);
    (2) Special reports specifically identifying any serious or flagrant 
problems, abuses or deficiencies (due to the Chairman immediately upon 
discovery of these matters by the Inspector General).

[54 FR 15194, Apr. 17, 1989]

                        Office of Media Relations



Sec. 0.15  Functions of the Office.

    (a) Enhance public understanding of and compliance with the 
Commission's regulatory requirements through dissemination of 
information to the news media.
    (b) Act as the principal channel for communicating information to 
the news media on Commission policies, programs, and activities.
    (c) Advise the Commission on information dissemination as it affects 
liaison with the media.
    (d) Manage the FCC's Internet site and oversee the agency's Web 
standards and guidelines.
    (e) Maintain liaison with the Consumer Information Bureau on press 
and media issues concerning consumer assistance and information 
including informal consumer complaints.

[64 FR 60716, Nov. 8, 1999]

                      Office of Legislative Affairs



Sec. 0.17  Functions of the Office.

    The Office of Legislative Affairs is directly responsible to the 
Commission. The Office has the following duties and responsibilities:
    (a) Advise and make recommendations to the Commission with respect 
to legislation proposed by members of Congress or the Executive Branch 
and coordinate the preparation of Commission views thereon for 
submission to Congress or the Executive Branch.
    (b) Coordinate with the Office of General Counsel responses to 
Congressional or Executive Branch inquiries as to the local 
ramifications of Commission policies, regulations, rules, and statutory 
interpretations.
    (c) Assist the Office of the Managing Director in preparation of the 
annual report to Congress, the Commission budget and appropriations 
legislation to Congress; assist the Office of Public Affairs in 
preparation of the Commission's Annual Report.
    (d) Assist the Chairman and Commissioners in preparation for, and 
the coordination of their appearances before the Committees of Congress.
    (e) Coordinate the annual Commission legislative program.
    (f) Coordinate Commission and staff responses to inquiries by 
individual members of Congress, congressional committees and staffs.
    (g) Coordinate with the Consumer Information Bureau on issues 
involving informal consumer complaints and other general inquiries by 
consumers.

[52 FR 42438, Nov. 5, 1987, as amended at 64 FR 60716, Nov. 8, 1999]

                       Office of Plans and Policy



Sec. 0.21  Functions of the Office.

    The Office of Plans and Policy, as a staff office to the Commission, 
assists, advises and makes recommendations to the Commission with 
respect to the development and implementation of communications policies 
in all areas of Commission authority and responsibility. A principal 
function of the Office is to conduct independent policy analyses to 
assess the long-term effects of alternative Commission policies on 
domestic and international communication industries and services, with 
due consideration of the responsibilities and programs of other staff 
units, and to recommend appropriate Commission action. The Office is 
also responsible for coordinating the policy research and development 
activities of other staff units, with special concern for matters which 
transcend their individual areas of responsibility. The Office is 
composed of legal, engineering,

[[Page 11]]

economic, and sociological policy analysts and other personnel, and is 
headed by a chief having the following duties and responsibilities:
    (a) To identify and define significant communications policy issues 
in all areas of Commission interest and responsibility;
    (b) To conduct technical, economic, and sociological impact studies 
of existing and proposed communications policies and operations, 
including cooperative studies with other staff units and consultant and 
contract efforts as appropriate;
    (c) To develop and evaluate alternative policy options and 
approaches for consideration by the Commission;
    (d) To review and comment on all significant actions proposed to be 
taken by the Commission in terms of their overall policy implications;
    (e) To recommend and evaluate governmental (state and federal), 
academic, and industry sponsored research affecting Commission policy 
issues;
    (f) To prepare briefings, position papers, proposed Commission 
actions, or other agenda items as appropriate;
    (g) To manage the Commission's policy research program, recommend 
budget levels and priorities for this program, and serve as central 
account manager for all contractual policy research studies funded by 
the Commission;
    (h) To coordinate the formation and presentation of Commission 
positions in communications policy; represent the Commission at 
appropriate discussions and conferences.
    (i) Develop and recommend procedures and plans for the effective 
handling of policy issues within the Commission.
    (j) To help ensure that FCC policy encourages and promotes 
competitive market structures by providing bureaus and offices with the 
necessary support to identify, evaluate, and effectively and 
consistently resolve competitiveness issues.

[38 FR 17005, June 28, 1973, as amended at 45 FR 25400, Apr. 15, 1980; 
51 FR 12615, Apr. 14, 1986; 60 FR 5323, Jan. 27, 1995; 64 FR 5950, Feb. 
8, 1999]

                  Office of Engineering and Technology



Sec. 0.31  Functions of the Office.

    The Office of Engineering and Technology has the following duties 
and responsibilities:
    (a) To evaluate evolving technology for interference potential and 
to suggest ways to facilitate its introduction in response to Bureau 
initiatives, and advise the Commission and staff offices in such 
matters.
    (b) Represent the Commission at various national conferences and 
meetings (and, in consultation with the International Bureau, at various 
international conferences and meetings) devoted to the progress of 
communications and the development of technical and other information 
and standards, and serve as Commission coordinator for the various 
national conferences when appropriate.
    (c) To conduct scientific and technical studies in advanced phases 
of terrestrial and space communications, and special projects to obtain 
theoretical and experimental data on new or improved techniques.
    (d) To advise the Commission concerning engineering matters, 
including the privacy and security of communications, involved in making 
or implementing policy or in resolving specific cases.
    (e) To develop and implement procedures to acquire, store, and 
retrieve scientific and technical information useful in the engineering 
work of the Commission.
    (f) To advise and represent the Commission on frequency allocation 
and spectrum usage matters.
    (g) To render, in cooperation with the General Counsel and the 
Office of Plans and Policy, advice to the Commission, participate in and 
coordinate staff work with respect to general frequency allocation 
proceedings and other proceedings not within the jurisdiction of any 
single bureau, and render service and advice with respect to rule making 
matters and proceedings affecting more than one Bureau.
    (h) To collaborate with and advise other Bureaus and Offices in the 
formulation of technical requirements of the Rules.

[[Page 12]]

    (i) To administer parts 2, 5, 15, and 18 of this chapter, including 
licensing, recordkeeping, and rule making.
    (j) To perform all engineering and management functions of the 
Commission with respect to formulating rules and regulations, technical 
standards, and general policies for parts 15, 18 and Sec. 63.100 of this 
chapter, and for type approval and acceptance, and certification of 
radio equipment for compliance with the Rules.
    (k) To maintain liaison with other agencies of government, technical 
experts representing foreign governments, and members of the public and 
industry concerned with communications and frequency allocation and 
usage.
    (l) To calibrate and standardize technical equipment and 
installations used by the Commission.
    (m) To exercise authority as may be assigned or referred by the 
Commission pursuant to section 5(c) of the Communications Act of 1934, 
as amended.
    (n) To assist the Consumer Information Bureau on issues involving 
informal consumer complaints and other general inquiries by consumers.

(Secs. 2, 3, 4, 5, 301, 303, 307, 308, 309, 315, 317, 48 Stat., as 
amended, 1064, 1065, 1066, 1068, 1081, 1082, 1083, 1084, 1085, 1088, 
1089; 47 U.S.C. 152, 153, 154, 155, 301, 303, 307, 308, 309, 315, 317)

[45 FR 28718, Apr. 30, 1980, as amended at 46 FR 45342, Sept. 11, 1981; 
51 FR 12615, Apr. 14, 1986; 60 FR 5323, Jan. 27, 1995; 62 FR 4170, Jan. 
29, 1997; 63 FR 37499, July 13, 1998; 64 FR 60716, Nov. 8, 1999]

                        Office of General Counsel



Sec. 0.41  Functions of the Office.

    The Office of the General Counsel has the following duties and 
responsibilities:
    (a) To advise and represent the Commission in matters of litigation.
    (b) To advise and make recommendations to the Commission with 
respect to proposed legislation and submit agency views on legislation 
when appropriate.
    (c) To interpret the statutes, international agreements, and 
international regulations affecting the Commission.
    (d) To prepare and make recommendations and interpretations 
concerning procedural rules of general applicability and to review all 
rules for consistency with other rules, uniformity, and legal 
sufficiency.
    (e) To conduct research in legal matters as directed by the 
Commission.
    (f) In cooperation with the Office of Engineering and Technology, to 
participate in, render advice to the Commission, and coordinate the 
staff work with respect to general frequency allocation proceedings and 
other proceedings not within the jurisdiction of any single bureau, and 
to render advice with respect to rule making matters and proceedings 
affecting more than one bureau.
    (g) To exercise such authority as may be assigned or referred to it 
by the Commission pursuant to section 5(c) of the Communications Act of 
1934, as amended.
    (h) To cooperate with the International Bureau on all matters 
pertaining to space satellite communications.
    (i) To interpret statutes and executive orders affecting the 
Commission's national defense responsibilities, and to perform such 
functions involving implementation of such statutes and executive orders 
as may be assigned to it by the Commission or the Defense Commissioner.
    (j) To perform all legal functions with respect to leases, 
contracts, tort claims and such other internal legal problems as may 
arise.
    (k) To issue determinations on matters regarding the interception 
and recording of telephone conversations by Commission personnel. 
Nothing in this paragraph, however, shall affect the authority of the 
Inspector General to intercept or record telephone conversations as 
necessary in the conduct of investigations or audits.
    (l) To advise the Commission in the preparation and revision of 
rules and the implementation and administration of ethics regulations 
and the Freedom of Information, Privacy, Government in the Sunshine and 
Alternative Dispute Resolution Acts.
    (m) To assist and make recommendations to the Commission, and to 
individual Commissioners assigned to review initial decisions, as to the 
disposition of cases of adjudication and such other cases as, by 
Commission policy,

[[Page 13]]

are handled in the same manner and which have been designated for 
hearing.
    (n) To serve as the principal operating office on ex parte matters 
involving restricted proceedings. To review and dispose of all ex parte 
communications received from the public and others.

(Secs. 2, 3, 4, 5, 301, 303, 307, 308, 309, 315, 317, 48 Stat., as 
amended, 1064, 1065, 1066, 1068, 1081, 1082, 1083, 1084, 1085, 1088, 
1089; 47 U.S.C. 152, 153, 154, 155, 301, 303, 307, 308, 309, 315, 317)

[28 FR 12392, Nov. 22, 1963; 37 FR 19372, Sept. 20, 1972, as amended at 
40 FR 17253, Apr. 18, 1975; 43 FR 29006, July 5, 1978; 44 FR 39179, July 
5, 1979; 46 FR 57050, Nov. 20, 1981; 49 FR 47604, Dec. 6, 1984; 50 FR 
2985, Jan. 23, 1985; 50 FR 49048, Nov. 29, 1985; 51 FR 12615, Apr. 14, 
1986; 60 FR 5323, Jan. 27, 1995; 60 FR 34901, July 5, 1995; 62 FR 4170, 
Jan. 29, 1997; 62 FR 15853, Apr. 3, 1997; 64 FR 5950, Feb. 8, 1999; 64 
FR 57585, Oct. 26, 1999]

                          International Bureau



Sec. 0.51  Functions of the Bureau.

    The International Bureau has the following duties and 
responsibilities:
    (a) To initiate and direct the development and articulation of 
international telecommunications policies, consistent with the 
priorities of the Commission;
    (b) To advise the Chairman and Commissioners on matters of 
international telecommunications policy, and on the adequacy of the 
Commission's actions to promote the vital interests of the American 
public in international commerce, national defense, and foreign policy;
    (c) To develop, recommend, and administer policies, rules, 
standards, and procedures for the authorization and regulation of 
international telecommunications facilities and services, domestic and 
international satellite systems, and international broadcast services;
    (d) To monitor compliance with the terms and conditions of 
authorizations and licenses granted by the Bureau, and to pursue 
enforcement actions in conjunction with appropriate bureaus and offices;
    (e) To represent the Commission on international telecommunications 
matters at both domestic and international conferences and meetings, and 
to direct and coordinate the Commission's preparation for such 
conferences and meetings;
    (f) To serve as the single focal point within the Commission for 
cooperation and consultation on international telecommunications matters 
with other Federal agencies, international or foreign organizations, and 
appropriate regulatory bodies and officials of foreign governments;
    (g) To develop, coordinate with other Federal agencies, and 
administer the regulatory assistance and training programs for foreign 
administrations to promote telecommunications development;
    (h) To provide advice and technical assistance to U.S. trade 
officials in the negotiation and implementation of telecommunications 
trade agreements, and consult with other bureaus and offices as 
appropriate;
    (i) To conduct economic, legal, technical, statistical, and other 
appropriate studies, surveys, and analyses in support of international 
telecommunications policies and programs.
    (j) To collect and disseminate within the Commission information and 
data on international telecommunications policies, regulatory and market 
developments in other countries, and international organizations;
    (k) To work with the Office of Legislative Affairs to coordinate the 
Commission's activities on significant matters of international policy 
with appropriate Congressional offices;
    (l) To promote the international coordination of spectrum 
allocations and frequency and orbital assignments so as to minimize 
cases of international radio interference involving U.S. licensees;
    (m) To direct and coordinate, in consultation with other bureaus and 
offices as appropriate, negotiation of international agreements to 
provide for arrangements and procedures for coordination of radio 
frequency assignments to prevent or resolve international radio 
interference involving U.S. licensees;
    (n) To ensure fulfillment of the Commission's responsibilities under 
international agreements and treaty obligations, and, consistent with 
Commission

[[Page 14]]

policy, to ensure that the Commission's regulations, procedures, and 
frequency allocations comply with the mandatory requirements of all 
applicable international and bilateral agreements;
    (o) To oversee and, as appropriate, administer activities pertaining 
to the international consultation, coordination, and notification of 
U.S. frequency and orbital assignments, including activities required by 
bilateral agreements, the international Radio Regulations, and other 
international agreements;
    (p) To advise the Chairman on priorities for international travel 
and develop, coordinate, and administer the international travel plan;
    (q) To develop, recommend, and administer policies, rules, and 
regulations implementing the Commission's oversight responsibilities 
regarding COMSAT's participation in INTELSAT and INMARSAT;
    (r) To exercise authority to issue non-hearing related subpoenas for 
the attendance and testimony of witnesses and the production of books, 
papers, correspondence, memoranda, schedules of charges, contracts, 
agreements, and any other records deemed relevant to the investigation 
of matters within the jurisdiction of the International Bureau. Before 
issuing a subpoena, the International Bureau shall obtain the approval 
of the Office of General Counsel.
    (s) To assist the Consumer Information Bureau on issues involving 
informal consumer complaints and other general inquiries by consumers.

[60 FR 5323, Jan. 27, 1995, as amended at 60 FR 35504, July 10, 1995; 64 
FR 60716, Nov. 8, 1999]

                            Mass Media Bureau



Sec. 0.61  Functions of the Bureau.

    The Mass Media Bureau develops, recommends and administers policies 
and programs for the regulation of all radio and television broadcast 
industry services. Advises and recommends to the Commission, or acts for 
the Commission under delegated authority, in matters pertaining to the 
regulation and development of radio and television services. The Mass 
Media Bureau has the following duties and responsibilities:
    (a) Process applications for authorizations in radio and television 
services, including conventional and auxiliary broadcast services (other 
than international broadcast services) and multi-point and multi-channel 
multi-point distribution services.
    (b) Process applications for renewal of licenses and for assignment 
or transfer of ownership interests in such licenses.
    (c) [Reserved]
    (d) Plan and develop proposed rulemakings and conduct comprehensive 
studies and analyses (legal, engineering, social and economic) of 
various petitions for policy or rule changes submitted by industry or 
the public.
    (e) Conduct studies and compile data relating to radio and 
television network operations necessary for the Commission to develop 
and maintain an adequate regulatory program.
    (f) Handle equal employment opportunity enforcement and political 
broadcasting and fairness doctrine complaints involving broadcast 
stations, cable operators and other multichannel video program 
distributors.
    (g) To assist the Consumer Information Bureau on issues involving 
informal consumer complaints and other general inquiries by consumers.
    (h) To exercise authority to issue non-hearing related subpoenas for 
the attendance and testimony of witnesses and the production of books, 
papers, correspondence, memoranda, schedules of charges, contracts, 
agreements, and any other records deemed relevant to the investigation 
of matters within the jurisdiction of the Mass Media Bureau. Before 
issuing a subpoena, the Mass Media Bureau shall obtain the approval of 
the Office of General Counsel.

[47 FR 47829, Oct. 28, 1982, as amended at 49 FR 12271, Mar. 29, 1984; 
58 FR 29752, May 21, 1993; 59 FR 32132, June 22, 1994; 59 FR 38374, July 
28, 1994; 60 FR 5323, Jan. 27, 1995; 60 FR 35504, July 10, 1995; 62 FR 
4170, Jan. 29, 1997; 62 FR 45172, Aug. 26, 1997; 64 FR 60716, Nov. 8, 
1999]

[[Page 15]]

                      Office of Workplace Diversity



Sec. 0.81  Functions of the Office.

    (a) The Office of Workplace Diversity (OWD), as a staff office to 
the Commission, shall develop, coordinate, evaluate, and recommend to 
the Commission policies, programs, and practices that foster a diverse 
workforce and promote and ensure equal opportunity for all employees and 
applicants for employment. A principal function of the Office is to 
lead, advise, and assist the Commission, including all of its component 
Bureau/Office managers, supervisors, and staff, at all levels, on ways 
to promote inclusion and full participation of all employees in pursuit 
of the Commission's mission. In accordance with this function, the 
Office shall:
    (1) Conduct independent analyses of the Commission's policies and 
practices to ensure that those policies and practices foster diversity 
in the workplace and ensure equal opportunity and equal treatment for 
employees and applicants; and
    (2) Advise the Commission, Bureaus, and Offices of their 
responsibilities under Title VII of the Civil Rights Act of 1964, as 
amended; Section 501 of the Rehabilitation Act of 1973, as amended; Age 
Discrimination in Employment Act of 1967, as amended; Executive Order 
11478; and all other statutes, Executive Orders, and regulatory 
provisions relating to workplace diversity, equal employment 
opportunity, nondiscrimination, and civil rights.
    (b) The Office has the following duties and responsibilities:
    (1) Through its Director, serves as the principal advisor to the 
Chairman and Commission officials on all aspects of workplace diversity, 
affirmative recruitment, equal employment opportunity, non-
discrimination, and civil rights;
    (2) Provides leadership and guidance to create a work environment 
that values and encourages diversity in the workplace;
    (3) Is responsible for developing, implementing, and evaluating 
programs and policies to foster a workplace whose diversity reflects the 
diverse makeup of the Nation, enhances the mission of the Commission, 
and demonstrates the value and effectiveness of a diverse workforce;
    (4) Is responsible for developing, implementing, and evaluating 
programs and policies that promote understanding among members of the 
Commission's workforce of their differences and the value of those 
differences and provide a channel for communication among diverse 
members of the workforce at all levels;
    (5) Develops, implements, and evaluates programs and policies to 
ensure that all members of the Commission's workforce and candidates for 
employment have equal access to opportunities for employment, career 
growth, training, and development and are protected from discrimination 
and harassment;
    (6) Develops and recommends Commission-wide workforce diversity 
goals and reports on achievements;
    (7) Is responsible for developing, implementing, and evaluating 
programs and policies to enable all Bureaus and Offices to manage a 
diverse workforce effectively and in compliance with all equal 
employment opportunity and civil rights requirements;
    (8) Works closely with the Associate Managing Director--Human 
Resources Management to ensure compliance with Federal and Commission 
recruitment and staffing requirements;
    (9) Manages the Commission's equal employment opportunity compliance 
program. Responsibilities in this area include processing complaints 
alleging discrimination, recommending to the Chairman final decisions on 
EEO complaints within the Commission, and providing counseling services 
to employees and applicants on EEO matters;
    (10) Develops and administers the Commission's program of 
accessibility and accommodation for disabled persons in accordance with 
applicable regulations;
    (11) Represents the Commission at meeting with other public and 
private groups and organizations on matters counseling workplace 
diversity and equal employment opportunity and workplace diversity 
issues;
    (12) Maintains liaison with and solicits views of organizations 
within and

[[Page 16]]

outside the Commission on matters relating to equal opportunity and 
workplace diversity.

[61 FR 2727, Jan. 29, 1996]

                          Common Carrier Bureau



Sec. 0.91  Functions of the Bureau.

    The Common Carrier Bureau develops, recommends, and administers 
policies and programs for the regulation of services, facilities and 
practices of entities which furnish interstate communications service or 
interstate access service for hire--whether by wire, radio or cable--and 
of ancillary operations related to the provision of such services 
(excluding public coast stations in the maritime mobile services and 
multi-point and multi-channel multi-point distribution services and 
excluding matters pertaining exclusively to the regulation and licensing 
of wireless telecommunications services and facilities). The Bureau also 
develops, recommends, and administers policies and programs for the 
regulation of rates, terms and conditions under which communications 
entities furnish interstate communications service, interstate access 
service, and (in cooperation with the International Bureau) foreign 
communications service for hire--whether by wire, cable or satellite. 
The Bureau also performs the following functions:
    (a) Advises and makes recommendations to the Commission, or acts for 
the Commission under delegated authority, in matters pertaining to the 
regulation and licensing of communication common carriers and ancillary 
operations (other than matters pertaining exclusively to the regulation 
and licensing of wireless telecommunications services and facilities). 
This includes: Policy development and coordination; adjudicatory and 
rule making proceedings, including rate and service investigations; 
determinations regarding lawfulness of carrier tariffs; action on 
applications for service and facility authorizations; review of carrier 
performance; economic research and analysis; administration of 
Commission accounting and reporting requirements; compliance and 
enforcement activities not otherwise within the responsibility of the 
Enforcement Bureau; and any matters concerning wireline carriers that 
also affect wireless carriers in cooperation with the Wireless 
Telecommunications Bureau.
    (b) Collaborates with representatives of state regulatory 
commissions and with the National Association of Regulatory Utility 
Commissioners in cooperative studies of common carrier and related 
matters.
    (c) Advises and assists the public, other government agencies and 
industry groups on wireline common carrier regulation and related 
matters. Also assists the Consumer Information Bureau with informal 
consumer complaints and other general inquiries by consumers regarding 
wireline common carrier regulation and related matters.
    (d) Exercises such authority as may be assigned or referred to it by 
the Commission pursuant to Section 5(c) of the Communications Act of 
1934, as amended.
    (e) Obtains from carriers and from persons directly or indirectly 
controlling or controlled by, or under direct or indirect common control 
with, such carriers full and complete information necessary to enable 
the Commission to perform the duties and carry out the objectives for 
which it was created.
    (f) Carries out the functions of the Commission under the 
Communications Act of 1934, as amended, except as reserved to Commission 
under Sec. 0.291.
    (g) Acts jointly with the Office of Engineering and Technology on 
applications for registration of equipment to be directly connected to 
the telephone network, and acts on complaints brought by any party 
concerning the registration or operation of such equipment.
    (h) Administers the Telecommunications Service Priority System with 
the concurrence of the Enforcement Bureau, and resolves matters 
involving assignment of priorities and other issues pursuant to part 64 
of this chapter.
    (i) Acts upon matters involving telecommunications relay services 
complaints and certification.
    (j) Develops, in coordination with the Office of Plans and Policy, 
policies for the selection of licenses from mutually exclusive 
applicants in the Common Carrier Service subject to competitive

[[Page 17]]

bidding; issues Public Notices announcing auctions for Common Carrier 
Service Licenses; specifies the licenses to be auctioned; the deadlines 
for filing short-form applications, filing fees, and submission of 
upfront payments; the time and place of the auction; the method of 
competitive bidding to be used; competitive bidding procedures 
including, but not limited to, designated entity preferences, applicable 
bid submission procedures, upfront payment requirements, activity rules, 
stopping rules, and bid withdrawal procedures.

(Secs. 4, 303, 48 Stat., as amended, 1066, 1082; 47 U.S.C. 154, 303)

[39 FR 28435, Aug. 7, 1974]

    Editorial Note: For Federal Register citations affecting Sec. 0.91, 
see the List of CFR Sections Affected in the Finding Aids section of 
this volume.

                          Cable Services Bureau



Sec. 0.101  Functions of the Bureau.

    The Cable Services Bureau develops, recommends and administers 
policies and programs with respect to the regulation of services, 
facilities, rates and practices of cable television systems and with 
respect to the creation of competition to cable systems, and with 
respect to video programming services provided by other multichannel 
video programming distributors and multichannel video programmers. The 
Cable Services Bureau advises and recommends to the Commission, or acts 
for the Commission under delegated authority, in matters pertaining to 
the regulation and development of cable television and other 
multichannel video programming services. The Bureau also performs the 
following functions:
    (a) Administers and enforces rules and policies regarding:
    (1) Cable television systems, operators, and services, including 
those relating to rates, technical standards, customer service, 
ownership, competition to cable systems, broadcast station signal 
retransmission and carriage, program access, wiring equipment, channel 
leasing, and federal-state/local regulatory relationships. This 
includes: acting, after Commission assumption of jurisdiction to 
regulate cable television rates for basic service and associated 
equipment, on cable operator requests for approval of existing or 
increased rates; reviewing appeals of local franchising authorities' 
rate making decisions involving rates for the basic service tier and 
associated equipment, except when such appeals raise novel or unusual 
issues; acting upon complaints involving cable programming service rates 
except for final action on complaints raising novel or unusual issues; 
evaluating basic rate regulation certification requests filed by cable 
system franchising authorities; periodically reviewing and, when 
appropriate, revising standard forms used in administering: the 
Commission's complaint process regarding cable programming service 
rates; the certification process for local franchising authorities 
wishing to regulate rates, and the substantive rate regulation standards 
prescribed by the Commission;
    (2) Access to poles, ducts, conduits and rights-of-way and the 
rates, terms and conditions for pole attachments, when such attachments 
are not regulated by a state and not provided by railroads or 
governmentally or cooperatively owned utilities, and complaints 
involving access to or rates, terms and conditions arising from pole 
attachments, except for final action on complaints raising novel or 
unusual issues;
    (3) Open video systems;
    (4) Preemption of restrictions on devices designed for over-the-air 
reception of television broadcast signals, multichannel multipoint 
distribution service, and direct broadcast satellite services;
    (5) The commercial availability of navigational devices;
    (6) The accessibility of video programming to persons with 
disabilities; and
    (7) Scrambling of sexually explicit adult video programming by 
multichannel video programming distributors.
    (b) Plans and develops proposed rulemakings and conducts studies and 
analyses (legal, engineering, social and economic) of various petitions 
for policy or rule changes submitted by industry or the public.

[[Page 18]]

    (c) Conducts studies and compiles data relating to multichannel 
video programming services necessary for the Commission to develop and 
maintain an adequate regulatory program.
    (d) Advises and assists, the public, other government agencies and 
industry groups. Also assists the Consumer Information Bureau with 
informal consumer complaints and other general inquiries by consumers 
regarding cable regulations and related matters.
    (e) Administers financial and other reporting systems.
    (f) Investigates complaints and answers general inquiries from the 
public.
    (g) Participates in hearings before the Administrative Law Judges 
and the Commission.
    (h) Processes applications for authorizations in the Cable 
Television Relay Service.
    (i) Processes and acts on all applications for authorization, 
petitions for special relief, petitions to deny, waiver requests, 
requests for certification, objections, complaints, and requests for 
declaratory rulings and stays regarding the areas listed above, that do 
not involve novel questions of fact, law or policy that cannot be 
resolved under existing precedents and guidelines.
    (j) Periodically reviews and, when appropriate, revises standard 
forms related to the areas listed above.
    (k) Exercises authority to issue non-hearing related subpoenas for 
the attendance of witnesses and the production of books, papers, 
correspondence, memoranda, schedule of charges, contracts, agreements, 
and any other records deemed relevant to the investigation of the Cable 
Services Bureau. Before issuing a subpoena, the Cable Services Bureau 
shall obtain the approval of the Office of General Counsel.
    (l) Carries out the functions of the Commission under the 
Communications Act of 1934, as amended, except as reserved to the 
Commission under Sec. 0.321.

[62 FR 8401, Feb. 25, 1997, as amended at 64 FR 60716, Nov. 8, 1999]

                           Enforcement Bureau



Sec. 0.111  Functions of the Bureau.

    (a) Serve as the primary Commission entity responsible for 
enforcement of the Communications Act and other communications statutes, 
the Commission's rules, Commission orders and Commission authorizations, 
other than matters that are addressed in the context of a pending 
application for a license or other authorization or in the context of 
administration, including post-grant administration, of a licensing or 
other authorization or registration program.
    (1) Resolve complaints, including complaints filed under section 208 
of the Communications Act, regarding acts or omissions of common 
carriers (wireline, wireless and international).

    Note to paragaph (a)(1): The Consumer Information Bureau has primary 
responsibility for informally resolving individual informal complaints 
from consumers against common carriers (wireline, wireless and 
international) and against other wireless licensees, and informal 
consumer complaints involving access to telecommunications services and 
equipment for persons with disabilities. The Common Carrier Bureau has 
primary responsibility regarding compliance with common carrier 
accounting and related requirements, including those imposed under 
section 220 of the Communications Act, and complaints regarding 
connection of equipment to the telephone network under part 68 of the 
Commission's rules. The International Bureau has primary responsibility 
for complaints regarding international settlements rules and policies. 
The Cable Services Bureau has primary responsibility for pole attachment 
complaints under section 224 of the Communications Act.

    (2) Resolve complaints regarding acts or omissions of non-common 
carriers subject to the Commission's jurisdiction under Title II of the 
Communications Act and related provisions, including complaints against 
aggregators under section 226 of the Communications Act and against 
entities subject to the requirements of section 227 of the 
Communications Act.

    Note to paragraph (a)(2): The Consumer Information Bureau has 
primary responsibility for informally resolving individual informal 
complaints from consumers against non-common carriers subject to the 
Commission's jurisdiction under Title II of the Communications Act and 
related provisions, other than complaints involving access to 
communications services and equipment for persons with disabilities.


[[Page 19]]


    (3) Resolve formal complaints regarding accessibility to 
telecommunications services and equipment for persons with disabilities, 
including complaints filed pursuant to sections 225 and 255 of the 
Communications Act.
    (4) Resolve complaints regarding radiofrequency interference and 
complaints regarding radiofrequency equipment and devices, including 
complaints of violations of sections 302 and 333 of the Communications 
Act.

    Note to paragraph (a)(4): The Cable Services Bureau has shared 
responsibility for cable signal leakage complaints and the Office of 
Engineering and Technology has shared responsibility for radiofrequency 
equipment and device complaints.

    (5) Resolve complaints regarding compliance with the Commission's 
Emergency Alert System rules.
    (6) Resolve complaints regarding the lighting and marking of radio 
transmitting towers under section 303(q) of the Communications Act.

    Note to paragraph (a)(6): The Wireless Telecommunications Bureau has 
responsibility for administration of the tower registration program.

    (7) Resolve complaints regarding compliance with statutory and 
regulatory provisions regarding indecent communications subject to the 
Commission's jurisdiction.
    (8) Resolve complaints regarding the broadcast and cable television 
children's television programming commercial limits contained in section 
102 of the Children's Television Act.

    Note to paragraph (a)(8): The Mass Media Bureau has responsibility 
for enforcement of these limits in the broadcast television renewal 
context.

    (9) Resolve complaints regarding unauthorized construction and 
operation of communications facilities, including complaints of 
violations of section 301 of the Communications Act.
    (10) Resolve complaints regarding false distress signals under 
section 325(a) of the Communications Act.
    (11) Resolve other complaints against Title III licensees and 
permittees.

    Note to paragraph (a)(11): The Mass Media Bureau has primary 
responsibility for complaints regarding children's television 
programming requirements, and for political and related programming 
matters and equal employment opportunity matters involving broadcasters, 
cable operators and other multichannel video programming distributors. 
The relevant licensing Bureau has primary responsibility for complaints 
involving tower siting and the Commission's environmental rules. The 
Cable Services Bureau has primary responsibility for complaints 
regarding the Commission's Cable Antenna Relay Service rules.

    (12) Resolve complaints regarding other matters assigned to it by 
the Commission, matters that do not fall within the responsibility of 
another Bureau or Office or matters that are determined by mutual 
agreement with another Bureau or Office to be appropriately handled by 
the Enforcement Bureau.
    (13) Identify and analyze complaint information, conduct 
investigations, conduct external audits and collect information, 
including pursuant to sections 218, 308(b), 403 and 409(e) through (k) 
of the Communications Act, in connection with complaints, on its own 
initiative or upon request of another Bureau or Office.
    (14) Issue or draft orders taking or recommending appropriate action 
in response to complaints or investigations, including, but not limited 
to, admonishments, damage awards where authorized by law or other 
affirmative relief, notices of violation, notices of apparent liability 
and related orders, notices of opportunity for hearing regarding a 
potential forfeiture, hearing designation orders, orders designating 
licenses or other authorizations for a revocation hearing and consent 
decrees. Issue or draft appropriate orders after a hearing has been 
terminated by an Administrative Law Judge on the basis of waiver. Issue 
or draft appropriate interlocutory orders and take or recommend 
appropriate action in the exercise of its responsibilities.
    (15) Encourage cooperative compliance efforts.
    (16) Mediate and settle disputes.
    (17) Provide information regarding pending complaints, compliance 
with relevant requirements and the complaint process, where appropriate 
and to the extent the information is not available from the Consumer 
Information Bureau or other Bureaus and Offices.

[[Page 20]]

    (18) Exercise responsibility for rulemaking proceedings regarding 
general enforcement policies and procedures.
    (19) Advise the Commission or responsible Bureau or Office regarding 
the enforcement implications of existing and proposed rules.
    (20) Serve as the primary point of contact for coordinating 
enforcement matters, including market and consumer enforcement matters, 
with other federal, state and local government agencies, as well as with 
foreign governments after appropriate consultation, and provide 
assistance to such entities. Refer matters to such entities, as well as 
to private sector entities, as appropriate.
    (b) Serve as trial staff in formal hearings conducted pursuant to 5 
U.S.C. 556 regarding applications, revocation, forfeitures and other 
matters designated for hearing.
    (c) Under the general direction of the Defense Commissioner, 
coordinate the defense activities of the Commission and provide support 
to the Defense Commissioner with respect to his or her participation in 
the Joint Telecommunications Resources Board, and the National Security 
Telecommunications Advisory Committee and other organizations. Recommend 
national emergency plans and preparedness programs covering Commission 
functions during national emergency conditions. Support the Chief of the 
Common Carrier, International and Wireless Telecommunications Bureaus on 
matters involving assignment of Telecommunications Service Priority 
System priorities and in administration of that system. The Chief, 
Enforcement Bureau, or that person's designee, acts as FCC Alternate 
Defense Coordinator and principal to the National Communications System. 
Perform such alternate functions as may be delegated during a national 
emergency or following activation of the President's war emergency 
powers as specified in section 706 of the Communications Act.
    (d) In coordination with the International Bureau, participate in 
international conferences dealing with monitoring and measurement; serve 
as the point of contact for the U.S. Government in matters of 
international monitoring, fixed and mobile direction-finding and 
interference resolution; and oversee coordination of non-routine 
communications and materials between the Commission and international or 
regional public organizations or foreign administrations.
    (e) In conjunction with the Office of Engineering and Technology, 
work with technical standards bodies.
    (f) Administer the Commission's Emergency Alert System. Be 
responsible for rulemakings involving the Emergency Alert System.
    (g) Oversee the Commission's privatized ship radio safety inspection 
program.
    (h) Have authority to rule on emergency requests for Special 
Temporary Authority during non-business hours.
    (i) Provide field support for, and field representation of, the 
Bureau, other Bureaus and Offices and the Commission. Coordinate with 
other Bureaus and Offices as appropriate.
    (j) Handle congressional and other correspondence relating to or 
requesting specific enforcement actions, specific complaints or other 
specific matters within the responsibility of the Bureau, to the extent 
not otherwise handled by the Consumer Information Bureau, the Office of 
General Counsel (impermissible ex parte presentations) or another Bureau 
or Office.
    (k) Have authority to issue non-hearing related subpoenas for the 
attendance and testimony of witnesses and the production of books, 
papers, correspondence, memoranda, schedules of charges, contracts, 
agreements, and any other records deemed relevant to the investigation 
of matters within the responsibility of the Bureau. Before issuing a 
subpoena, the Enforcement Bureau shall obtain the approval of the Office 
of General Counsel.
    (l) Perform such other functions as may be assigned or referred to 
it by the Commission.

[64 FR 60716, Nov. 8, 1999]



Sec. 0.111  Functions of the Bureau.

    (a) Enforce the Commission's Rules and Regulations; provide support 
to other governmental units, investigate all non-government 
communications matters; issue sanctions.

[[Page 21]]

    (b) Disseminate to the public on a local basis information regarding 
communications issues and Commission rules, policies, and programs.
    (c) Collect information through a customer intelligence network to 
inform the Commission on the needs of its customer and on the impact of 
regulations and necessary refinements to them as suggested by the users 
and the public.
    (d) Participate in international conferences dealing with monitoring 
and measurement; serve as the point of contact for the U.S. Government 
in matters of international monitoring, fixed and mobile direction-
finding, and interference resolution. Provide technical and 
administrative support on the administration of the ITU Fellowship 
program and oversee coordination of non-routine communications and 
materials between the Commission and international or regional public 
organizations or foreign administrations.
    (e) Reduce or eliminate interference to authorized communications. 
Promote private sector solutions to interference problems; investigate 
and resolve those unsuitable for private sector resolution or where the 
private sector is unable to provide solutions. Work, in conjunction with 
the Office of Engineering and Technology, with technical standards 
bodies.
    (f) Perform investigations in support of Commission policies.
    (g) Maintain, operate, and manage the toll-free telephone receiving 
center for complaint and inquiries. Coordinate with the Office of Public 
Affairs and maintain liaison with the rest of the agency to ensure that 
the needs of the public for information are handled promptly, 
accurately, and comprehensively and that complaints are directed to 
those charged with acting upon them.
    (h) Under the general direction of the Defense Commissioner, 
coordinate the defense activities of the Commission, and provide support 
to the Defense Commissioner in his participation in the Joint 
Telecommunication Resources Board and the National Security 
Telecommunications Advisory Committee, including recommendation of 
national emergency plans and preparedness programs covering Commission 
functions during national emergencies. Support the Chief, Common Carrier 
Bureau on assignment of Telecommunications Service Priority System 
priorities and the administration of this system. The Chief, Compliance 
and Information Bureau, or the designee of that person, acts as the FCC 
Defense Coordinator and the principal of the Commission to the National 
Communications System.

[61 FR 8476, Mar. 5, 1996]



Sec. 0.121  Location of field installations.

    (a) Field offices are located throughout the United States. For the 
address and phone number of the closest office contact the Enforcement 
Bureau or see the U.S. Government Manual.
    (b) Protected field offices are located at the following 
geographical coordinates (coordinates are referenced to North American 
Datum 1983 (NAD83)):

Allegan, Michigan
    42 deg.36"20.1" N. Latitude
    85 deg.57"20.1" W. Longitude
Anchorage, Alaska
    61 deg.09"41.0" N. Latitude
    150 deg.00"03.0" W. Longitude
Belfast, Maine
    44 deg.26"42.3" N. Latitude
    69 deg.04"56.1" W. Longitude
Canandaigua, New York
    42 deg.54"48.2" N. Latitude
    77 deg.15"57.9" W. Longitude
Douglas, Arizona
    31 deg.30"02.3" N. Latitude
    109 deg.39"14.3" W. Longitude
Ferndale, Washington
    48 deg.57"20.4" N. Latitude
    122 deg.33"17.6" W. Longitude
Grand Island, Nebraska
    40 deg.55"21.0" N. Latitude
    98 deg.25"43.2" W. Longitude
Kingsville, Texas
    27 deg.26"30.1" N. Latitude
    97 deg.53"01.0" W. Longitude
Laurel, Maryland
    39 deg.09"54.4" N. Latitude
    76 deg.49"15.9" W. Longitude
Livermore, California
    37 deg.43"29.7" N. Latitude
    121 deg.45"15.8" W. Longitude
Powder Springs, Georgia
    33 deg.51"44.4" N. Latitude
    84 deg.43"25.8" W. Longitude
Sabana Seca, Puerto Rico
    18 deg.27"15.8" N. Latitude
    66 deg.13"35.6" W. Longitude
Santa Isabel, Puerto Rico
    18 deg.00"18.9" N. Latitude
    66 deg.22"30.6" W. Longitude
Vero Beach, Florida

[[Page 22]]

    27 deg.36"22.1" N. Latitude
    80 deg.38"05.2" W. Longitude
Waipahu, Hawaii
    21 deg.22"33.6" N. Latitude
    157 deg.59"44.1" W. Longitude

[53 FR 29054, Aug. 2, 1988, as amended at 61 FR 8477, Mar. 5, 1996; 63 
FR 68918, Dec. 14, 1998; 64 FR 60718, Nov. 8, 1999]

                   Wireless Telecommunications Bureau



Sec. 0.131  Functions of the Bureau.

    The Wireless Telecommunications Bureau develops, recommends and 
administers the programs and policies for the regulation of the terms 
and conditions under which communications entities offer domestic 
wireless telecommunications services and of ancillary operations related 
to the provision of such services (satellite communications excluded). 
These functions include all wireless telecommunications service 
providers' and licensees' activities. The Bureau also performs the 
following specific functions:
    (a) Advises and makes recommendations to the Commission, or acts for 
the Commission under delegated authority, in all matters pertaining to 
the licensing and regulation of wireless telecommunications, including 
ancillary operations related to the provision or use of such services; 
and any matters concerning wireless carriers that also affect wireline 
carriers in cooperation with the Common Carrier Bureau. These activities 
include: policy development and coordination; conducting rulemaking and 
adjudicatory proceedings, including licensing and complaint proceedings 
for matters not within the responsibility of the Enforcement Bureau; 
acting on waivers of rules; acting on applications for service and 
facility authorizations; compliance and enforcement activities for 
matters not within the responsibility of the Enforcement Bureau; 
determining resource impacts of existing, planned or recommended 
Commission activities concerning wireless telecommunications, and 
developing and recommending resource deployment priorities.
    (b) Develops and recommends policy goals, objectives, programs and 
plans for the Commission on matters concerning wireless 
telecommunications, drawing upon relevant economic, technological, 
legislative, regulatory and judicial information and developments. Such 
matters include meeting the present and future wireless 
telecommunications needs of the Nation; fostering economic growth by 
promoting efficiency and innovation in the allocation, licensing and use 
of the electromagnetic spectrum; ensuring choice, opportunity and 
fairness in the development of wireless telecommunications services and 
markets; promoting economically efficient investment in wireless 
telecommunications infrastructure and the integration of wireless 
communications networks into the public telecommunications network; 
enabling access to national communications services; promoting the 
development and widespread availability of wireless telecommunications 
services. Reviews and coordinates orders, programs and actions initiated 
by other Bureaus and Offices in matters affecting wireless 
telecommunications to ensure consistency of overall Commission policy.
    (c) Serves as the Commission's principal policy and administrative 
staff resource with regard to spectrum auctions. Administers all 
Commission spectrum auctions. Develops, recommends and administers 
policies, programs and rules concerning auctions of spectrum for 
wireless telecommunications. Advises the Commission on policy, 
engineering and technical matters relating to auctions of spectrum used 
for other purposes. Administers procurement of auction-related services 
from outside contractors. Provides policy, administrative and technical 
assistance to other Bureaus and Offices on auction issues.
    (d) Regulates the charges, practices, classifications, terms and 
conditions for, and facilities used to provide, wireless 
telecommunications services. Develops and recommends consistent, 
integrated policies, programs and rules for the regulation of commercial 
mobile radio services and private mobile radio services.
    (e) Develops and recommends policy, rules, standards, procedures and 
forms for the authorization and regulation of wireless 
telecommunications facilities

[[Page 23]]

and services, including all facility authorization applications 
involving domestic terrestrial transmission facilities. Coordinates with 
and assists the International Bureau regarding frequency assignment, 
coordination and interference matters.
    (f) Develops and recommends responses to legislative, regulatory or 
judicial inquiries and proposals concerning or affecting wireless 
telecommunications.
    (g) Develops and recommends policies regarding matters affecting the 
collaboration and coordination of relations among Federal agencies, and 
between the Federal government and the states, concerning wireless 
telecommunications issues. Maintains liaison with Federal and state 
government bodies concerning such issues.
    (h) Develops and recommends policies, programs and rules to ensure 
interference-free operation of wireless telecommunications equipment and 
networks. Coordinates with and assists other Bureaus and Offices, as 
appropriate, concerning spectrum management, planning, and interference 
matters and issues, and in compliance and enforcement activities. 
Studies technical requirements for equipment for wireless 
telecommunications services in accordance with standards established by 
the Chief, Office of Engineering and Technology.
    (i) Advises and assists consumers, businesses and other government 
agencies on wireless telecommunications issues and matters related 
thereto. Also assists the Consumer Information Bureau with informal 
consumer complaints and other general inquiries by consumers regarding 
cable regulations and related matters.
    (j) Administers the Commission's commercial radio operator program 
(part 13 of this chapter) and the Commission's program for registration, 
construction, marking and lighting of antenna structures (part 17 of 
this chapter).
    (k) Coordinates with and assists the International Bureau with 
respect to treaty activities and international conferences concerning 
wireless telecommunications.
    (l) Exercises such authority as may be assigned, delegated or 
referred to it by the Commission.
    (m) Certifies frequency coordinators; considers petitions seeking 
review of coordinator actions; and engages in oversight of coordinator 
actions and practices.
    (n) Administers the Commission's commercial radio operator (part 13 
of this chapter) and amateur radio programs (part 97 of this chapter) 
and the program for construction, marking and lighting of antenna 
structures (part 17 of this chapter) and the issuing maritime mobile 
service identities (MMSIs).
    (o) Exercises authority to issue non-hearing related subpoenas for 
the attendance and testimony of witnesses and the production of books, 
papers, correspondence, memoranda, schedules of charges, contracts, 
agreements, and any other records deemed relevant to the investigation 
of wireless telecommunications operators for any alleged violation or 
violations of the Communications Act of 1934, as amended, or the 
Commission's rules and orders. Before issuing a subpoena, the Wireless 
Telecommunications Bureau shall obtain the approval of the Office of 
General Counsel.
    (p) Certifies, in the name of the Commission, volunteer entities to 
coordinate maintain and disseminate a common data base of amateur 
station special event call signs, and issues Public Notices detailing 
the procedures of amateur service call sign systems.

[60 FR 35505, July 10, 1995, as amended at 61 FR 4361, Feb. 6, 1996; 62 
FR 17567, Apr. 10, 1997; 64 FR 60718, Nov. 8, 1999; 65 FR 375, Jan. 5, 
2000]

                       Consumer Information Bureau



Sec. 0.141  Functions of the Bureau.

    (a) Serve as the primary Commission entity responsible for 
communicating information to the general public regarding Commission 
policies, programs, and activities. Develop, recommend, coordinate and 
administer the Commission's consumer information program to enhance the 
public's understanding of and compliance with the Commission's 
regulatory requirements.

[[Page 24]]

    (1) Provide a single source ``one-stop'' shop or ``FCC General 
Store'' for handling general inquiries and informally resolving 
individual informal consumer complaints for the Commission.
    (2) Provide information to the public on the Commission's policies, 
goals, objectives, and regulatory requirements in order to facilitate 
public participation in the Commission's decision-making processes.
    (3) Plan, develop, and implement, in coordination with Bureaus and 
Offices, a Commission wide strategic information plan. Collect and 
analyze information received in the Bureau from incoming informal 
consumer complaints and inquiries, consumer forums, and other industry 
sources and act as an early warning system to alert the Commissioners 
and the other Bureaus and Offices of areas of concern or interest.
    (4) In conjunction with appropriate Bureaus and Offices, conduct 
consumer forums to educate the public about important Commission 
regulatory programs and to solicit public feedback about the work of the 
Commission.
    (5) In coordination with the Managing Director's Office, provide 
objectives and evaluation methods for the public information portions of 
the Agency's Government Performance and Results Act (GPRA) submissions 
and other Agency-wide strategic planning efforts.
    (6) Provide expert advice and assistance to Bureaus and Offices 
regarding compliance with accessibility requirements.
    (7) Provide accessible formats for distribution of Commission 
material for use by individuals with disabilities, and ensure that 
individuals with disabilities have access to Commission processes in 
accordance with Section 504 of the Rehabilitation Act of 1973, 29 U.S.C. 
794.
    (8) Develop and issue, in conjunction with appropriate Bureaus and 
Offices, consumer alerts and public service announcements to give 
consumers information about their rights and information to protect 
themselves from unscrupulous individuals and firms.
    (9) Exercise responsibility for rulemaking proceedings regarding 
general consumer education policies and procedures, and any other 
related issues, as appropriate.
    (b) Provide consumers with timely, up-to-date, and accurate 
information promptly and professionally, in a format that is most 
convenient to the consumer through the use of an integrated telephone, 
TTY, e-mail, web site, and correspondence center.
    (1) Provide informal resolution of individual informal consumer 
complaints in accord with the Bureau's delegated authority (except those 
complaints filed regarding accessibility to communications services and 
equipment for persons with disabilities, including complaints filed 
pursuant to sections 225, 255, and 713 of the Communications Act, which 
are handled by the Enforcement Bureau.)
    (i) Complete an electronic complaint form at the request of 
consumers and assist consumers with informal resolution of their 
complaints through service, facilitation, and informal resolution to 
address consumer-oriented problems.
    (ii) Mediate and settle disputes in informal complaints as 
appropriate.
    (iii) Resolve certain classes of informal complaints, as specified 
by the Commission, through findings of fact and issuance of orders.
    (2) Develop and implement approaches and delivery mechanisms to 
increase productivity and continuously improve service to consumers. 
Develop partnership with other federal, state, and local governments and 
industry in order to establish mechanisms to quickly address informal 
consumer complaints and issues.
    (3) Identify and refer new, novel and/or hot consumer issues to the 
appropriate Commission Bureau or Office.
    (4) Prepare and distribute information and documents of interest to 
consumers regarding their rights under applicable law.
    (5) In coordination with other Bureaus and Offices, handle 
Congressional and other correspondence related to specific informal 
consumer complaints, or other specific matters within the responsibility 
of the Bureau, to the extent not otherwise handled by the Office of 
General Counsel (impermissible ex parte presentations) or another Bureau 
or Office.

[[Page 25]]

    (c) Develop, plan, coordinate and operate the consolidated reference 
and research services center to ensure accessibility of the files and 
record systems for the public and Commission staff.
    (1) Serve as the official FCC record custodian for designated 
records to include intake processing, organization and file maintenance, 
reference services, retirement, and retrieval of these records. 
Responsible for managing and maintaining the Electronic Comment Filing 
System.
    (2) Certify records for adjudicatory and court proceedings.
    (3) Convene periodic user group meetings to assist in defining 
requirements for automated reference and research services.
    (4) Maintain files for Informal Consumer Complaints, Broadcast 
Ownership, AM/FM/TV, TV Translators, FM Translators, Cable TV, Wireless, 
Auction and Common Carrier Tariff and other public record systems in a 
current state by receiving, reviewing, and filing applications, 
authorizations, correspondence, technical data and other materials in 
accordance with established procedures and time frames. Maintain for 
public inspection Time Brokerage and Affiliation Agreements.
    (5) Provide the public and the Commission staff prompt access to 
manual/computerized records and filing systems.
    (6) Maintain court citation file and legislative histories 
concerning telecommunications dockets.
    (d) Manage the Bureau's computer hardware, software, and database 
systems, such as the Bureau's Internet site, consumer information 
network systems, and the electronic comment filing system. Responsible 
for all design, systems development, presentation development, 
accessibility and coordination with the Chairman, Commissioners, and 
other Bureaus and Offices to ensure complete, timely, and accurate 
coverage of Bureau activities and Commission publications.
    (1) Participate with the Internet Working Group to set standards and 
develop guidelines that govern the FCC Internet practices and 
procedures. Keep abreast of new developments and provide expert advice 
on how to attain new goals.
    (2) In consultation with, and assisted by the Managing Director's 
Office, identify the role of the Information Technology Center in 
supporting the hardware, software, and systems needs of the Bureau.
    (3) Provide leadership to Bureaus and Offices for dissemination of 
consumer information via the Internet.
    (4) Coordinate with other Bureaus and Offices to develop and 
maintain Commission-wide databases for dissemination of consumer 
information and related documents.
    (5) Provide technology and automation support to the Bureau to 
ensure smooth operation of daily business and ongoing work. Purchase, 
install and monitor use of new technology. Provide training as 
appropriate.
    (6) Determine need for, develop statements of work, recommend, 
implement and manage automated information systems, electronic filing 
systems, telephone systems, electronic and document management systems.
    (e) Develop, recommend, and implement policies, goals, and 
objectives to solicit public input in Commission policy-making 
proceedings to ensure that the Commission has the benefit of a wide 
spectrum of information and viewpoints in its decision-making processes.
    (1) In coordination with the Commission's Bureaus and Offices, 
maintain liaison with consumer organizations and governmental agencies 
concerned with FCC regulatory activities to ensure a continuing exchange 
of views and information.
    (2) Conduct consumer forums to educate the public about important 
Commission regulatory programs and to solicit public feedback from 
consumers and to encourage more public participation in the work of the 
Commission.
    (3) Develop and maintain special databases for mailing, e-mailing, 
and sending facsimile material to groups affected by commission actions.
    (4) Arrange briefings and seminars for educational institutions, 
consumer organizations or other groups interested in the operations of 
the Commission.

[[Page 26]]

    (5) In coordination with Bureaus and Offices, implement an informal 
work group for information sharing purposes to ensure coordination on 
all consumer information and outreach projects.
    (6) Advise and assist the Chairman, Commissioners, and the Bureaus 
and Offices regarding public participation on consumer information/
education matters.
    (7) Exercise responsibility for rulemaking proceedings regarding 
general consumer education policies and procedures and related matters.
    (f) Plan, develop and implement, in coordination with Bureaus and 
Offices, a Commission-wide strategic information plan.
    (1) Develop and establish a coordinated information collection and 
validation process with bureaus and offices to ensure accuracy and 
validity of information disseminated by the Bureau.
    (2) Collect and analyze information received in the Bureau from 
incoming consumer complaints and inquiries, consumer forums, and other 
industry sources and act as an early warning system to alert the 
Commissioners and the other Bureaus and Offices of areas of concern or 
interest.
    (3) Promote within the Commission an increased understanding of the 
concerns and viewpoints of the public through formal and informal 
coordinating procedures to ensure prompt service to the public who seek 
information about FCC proceedings and policies, and who seek assistance 
in participating in Commission activities.
    (4) Oversee the graphics arts program for the Bureau. In 
coordination with other Bureaus and Offices, produce audio and video 
consumer alerts and public service announcements for dissemination to 
the public.
    (5) In consultation with the Managing Director's Office, provide 
objectives and evaluation methods for the public information portion of 
the Agency's Government Performance and Results Act (GPRA) submissions 
an other Agency-wide strategic planning efforts.
    (6) Ensure that alternative formats of Commission materials are 
available to Commission employees, Bureaus, Offices and members of the 
public. Develop a library of commonly requested materials on disability 
issues, and issues of interest to all consumers. Provide other 
Commission materials in alternative formats, upon request. Materials 
will be available in Braille, audio cassette, large print, computer 
diskette and CD-ROM.
    (g) Appoint a Rehabilitation Act Officer with full authority to 
oversee FCC compliance with the requirements of the Rehabilitation Act 
of 1973 (29 U.S.C. 794), and to provide direction and assistance on all 
associated activities and initiatives to other Bureaus and Offices.

    Note to paragraph (g): Responsibility for implementing section 501 
requirements of the Rehabilitation Act are assigned to the Office of 
Workplace Diversity. Responsibility for implementing section 504 
requirements of the Rehabilitation Act are assigned to the Disability 
Rights Office. Responsibility for implementing section 508 requirements 
are assigned to the Office of the Managing Director.

    (1) Coordinate with appropriate Bureau/Office experts to provide 
technical assistance on all accessibility related rules/proceedings. 
Coordinate with Disability and Business Technical Assistance Center's 
(DBTAC's) and represent the Commission on rehabilitation and 
accessibility related committees, working groups, and at associated 
conferences. Coordinate TTY directory publishing as required by the 
Telecommunications Accessibility Enhancement Act.
    (2) Coordinate with Bureaus and Offices to develop recommendations 
and propose policies to ensure that telecommunications and mass media 
are accessible to persons with disabilities. Review relevant agenda 
items and other documents prepared by Bureaus or Offices to ensure that 
the documents are in conformance with existing disability laws and 
policies and that they support the Commission's goal of increasing 
accessibility of communications services and technologies for persons 
with disabilities. Provide expert advice on issues relevant to persons 
with disabilities. Initiate rulemaking proceedings as appropriate.
    (3) Provide advice and assistance, as required, to other Bureaus as 
appropriate, on the requirements of the Americans with Disabilities Act 
(ADA),

[[Page 27]]

the Rehabilitation Act, and the Communications Act, including sections 
255 and 713 and enforcement activities related to accessibility.
    (4) Develop specialized disability outreach efforts to include 
postings on the Commission's web sites and maintaining an electronic 
disability outreach list and resource library of disability literature, 
including articles, publications and newsletters.
    (5) Monitor legal developments affecting persons with disabilities 
by reviewing court and Commission decisions, professional publications, 
and trade press, and by researching legislation, decisions, opinions and 
regulation.
    (6) Manage the Disabilities Issues Task Force and associated working 
groups.
    (7) Coordinate training opportunities for Commission employees on 
accessibility issues.
    (h) Perform such other functions as may be assigned or referred to 
the Bureau by the Commission.

[64 FR 60718, Nov. 8, 1999, as amended at 65 FR 47690, Aug. 3, 2000]

                   Office of Administrative Law Judges



Sec. 0.151  Functions of the Office.

    The Office of Administrative Law Judges consists of a Chief 
Administrative Law Judge, an Assistant Chief Administrative Law Judge, 
and as many other Administrative Law Judges qualified and appointed 
pursuant to the requirements of section 11 of the Administrative 
Procedure Act as the Commission may find necessary. It is responsible 
for hearing and conducting all adjudicatory cases designated for any 
evidentiary adjudicatory hearing other than those designated to be heard 
by the Commission en banc, those designated to be heard by one or more 
members of the Commission, and those involving the authorization of 
service in the Instructional Television Fixed Service. The Office of 
Administrative Law Judges is also responsible for conducting such other 
hearings as the Commission may assign.

[61 FR 10689, Mar. 15, 1996]

              Defense and Emergency Preparedness Functions



Sec. 0.181  The Defense Commissioner.

    The Defense Commissioner is designated by the Commission. The 
Defense Commissioner directs the defense activities of the Commission 
and has the following duties and responsibilities:
    (a) To keep the Commission informed as to significant developments 
in the field of emergency preparedness, defense mobilization, and any 
defense activities that involve formulation or revision of Commission 
policy in any area of responsibility of the Commission.
    (b) To represent the Commission in national defense matters 
requiring conferences or communications with other governmental 
officers, departments, or agencies.
    (c) To act as the Defense Coordinator in representations with other 
agencies with respect to planning for the continuity of the essential 
functions of the Commission under emergency conditions.
    (d) To serve as a member of the Joint Telecommunications Resources 
Board (JTRB).
    (e) To serve as the principal point of contact for the Commission on 
all matters pertaining to the National Communications System.
    (f) To take such measures as will assure continuity of the 
Commission's functions under any foreseeable circumstances with a 
minimum of interruption.
    (g) In the event of enemy attack, or the imminent threat thereof, or 
other disaster resulting in the inability of the Commission to function 
at its offices in Washington, D.C., to assume all of the duties and 
responsibilities of the Commission and the Chairman, until relieved or 
augmented by other Commissioners or members of the staff, as set forth 
in Secs. 0.186 and 0.383.
    (h) To approve national emergency plans and develop preparedness 
programs covering: provision of service by common carriers; broadcasting 
and cable facilities, satellite and the wireless radio services; radio 
frequency assignment; electromagnetic radiation; investigation and 
enforcement.

[[Page 28]]

    (i) To perform such other duties and assume such other 
responsibilities related to the Commission's defense activities as may 
be necessary for the continuity of functions and the protection of 
Commission personnel and property.

[29 FR 14664, Oct. 28, 1964, as amended at 41 FR 31209, July 27, 1976; 
64 FR 60720, Nov. 8, 1999]



Sec. 0.182  Chief, Enforcement Bureau.

    (a) Recommends national emergency plans and preparedness programs 
covering: Provision of service by common carriers, broadcasting and 
cable facilities, satellite and the wireless radio services; radio 
frequency assignment; electro-magnetic radiation; investigation and 
enforcement.
    (b) Acts as Alternate Defense Coordinator in representations with 
other agencies with respect to planning for the continuity of the 
essential functions of the Commission under emergency conditions.
    (c) Coordinates the FCC's responsibilities under the Interagency 
Advisory Group (IAG) of the Federal Emergency Management Agency.
    (d) Provides administrative support for the National Advisory 
Committee (NAC) on Emergency Alert System (EAS) issues.
    (e) Keeps the Defense Commissioner informed as to significant 
developments in the field of emergency preparedness and related defense 
activities.
    (f) Coordinates the FCC's responsibilities under the Federal 
Response Plan, Catastrophic Disaster Response Group (CDRG) administered 
by the Federal Emergency Management Agency (FEMA).
    (g) Serves as the FCC's representative on the National 
Communications System's Committees.
    (h) Under the general direction of the Defense Commissioner 
coordinates the National Security and Emergency Preparedness (NSEP) 
activities of the Commission including Continuity of Government 
Planning, the Emergency Alert System (EAS) and other functions as may be 
delegated during a national emergency or activation of the President's 
war emergency powers as specified in section 706 of the Communications 
Act. Maintains liaison with FCC Bureaus/Offices, represents the Defense 
Commissioner with other Government agencies and organizations, the 
telecommunications industry and FCC licensees on NSEP matters; and, as 
requested, represents the Commission at NSEP meetings and conferences.
    (i) Is authorized to declare that a temporary state of 
communications emergency exists pursuant to Sec. 97.401(c) of this 
chapter and to act on behalf of the Commission with respect to the 
operation of amateur stations during such temporary state of 
communications emergency.

[64 FR 60720, Nov. 8, 1999]



Sec. 0.185  Responsibilities of the bureaus and staff offices.

    The head of each of the bureaus and staff offices, in rendering 
assistance to the Chief, Enforcement Bureau in the performance of that 
person's duties with respect to defense activities will have the 
following duties and responsibilities:
    (a) To keep the Chief, Enforcement Bureau informed of the 
investigation, progress, and completion of programs, plans, or 
activities with respect to defense in which they are engaged or have 
been requested to engage.
    (b) To render assistance and advice to the Chief, Enforcement Bureau 
on matters which relate to the functions of their respective bureaus or 
staff offices.
    (c) To render such assistance and advice to other agencies as may be 
consistent with the functions of their respective bureaus or staff 
offices and the Commission's policy with respect thereto.
    (d) To perform such other duties related to the Commission's defense 
activities as may be assigned to them by the Commission.

[29 FR 14665, Oct. 28, 1964, as amended at 50 FR 27953, July 9, 1985; 59 
FR 26971, May 25, 1994; 61 FR 8477, Mar. 5, 1996; 64 FR 60721, Nov. 8, 
1999]



Sec. 0.186  Emergency Relocation Board.

    (a) As specified in the Commission's Continuity of Government Plan 
and consistent with the exercise of the War Emergency Powers of the 
President as

[[Page 29]]

set forth in section 706 of the Communications Act of 1934, as amended, 
an Emergency Relocation Board will be convened at the Commission's 
Headquarters or other relocation site designated to serve as Primary FCC 
Staff to perform the functions of the Commission following the 
announcement of national level mobilization of the Federal government by 
the President or other designated authority; in the absence of such 
announcement, immediately following receipt of an attack warning signal; 
or in the absence of either announcement or attack warning, immediately 
following an actual attack.
    (b) The Board shall comprise such Commissioners as may be present 
and able to act. In the absence of the Chairman, the Commissioner 
present with the longest seniority in office will serve as acting 
Chairman. If no Commissioner is present and able to act, the person 
designated as next most senior official in the Commission's Continuity 
of Government Plan will head the Board.

[53 FR 29055, Aug. 2, 1988]



                   Subpart B--Delegations of Authority

    Authority: Sec. 5, 48 Stat. 1068, as amended; 47 U.S.C. 155.

                                 General



Sec. 0.201  General provisions.

    (a) There are three basic categories of delegations made by the 
Commission pursuant to section 5(c) of the Communications Act of 1934, 
as amended:
    (1) Delegations to act in non-hearing matters and proceedings. The 
great bulk of delegations in this category are made to bureau chiefs and 
other members of the Commission's staff. This category also includes 
delegations to individual commissioners and to boards or committees of 
commissioners.
    (2) Delegations to rule on interlocutory matters in hearing 
proceedings. Delegations in this category are made to the Chief 
Administrative Law Judge.

    Note to paragraph (a)(2): Interlocutory matters which are not 
delegated to the Chief Administrative Law Judge are ruled on by the 
presiding officer by virtue of the authority vested in him to control 
the course and conduct of the hearing. This authority stems from section 
7 of the Administrative Procedure Act and section 409 of the 
Communications Act rather than from delegations of authority made 
pursuant to section 5(c) of the Communications Act. (See Secs. 0.218 and 
0.341.).

    (3) Delegations to review an initial decision. Delegations in this 
category are made to individual commissioners, to panels of 
commissioners.
    (b) Delegations are arranged in this subpart under headings denoting 
the person, panel, or board to whom authority has been delegated, rather 
than by the categories listed in paragraph (a) of this section.
    (c) Procedures pertaining to the filing and disposition of 
interlocutory pleadings in hearing proceedings are set forth in 
Secs. 1.291 through 1.298 of this chapter. Procedures pertaining to 
appeals from rulings of the presiding officer are set forth in 
Sec. 1.301. Procedures pertaining to reconsideration of the presiding 
officer's rulings are set forth in Sec. 1.303. Procedures pertaining to 
reconsideration and review of actions taken pursuant to delegated 
authority are set forth in Secs. 1.101, 1.102, 1.104, 1.106, 1.113, 
1.115, and 1.117. Procedures pertaining to exceptions to initial 
decisions are set forth in Secs. 1.276-1.279.
    (d) The Commission, by vote of a majority of the members then 
holding office, may delegate its functions either by rule or by order, 
and may at any time amend, modify, or rescind any such rule or order.
    (1) Functions of a continuing or recurring nature are delegated by 
rule. The rule is published in the Federal Register and is included in 
this subpart.
    (2) Functions pertaining to a particular matter or proceeding are 
delegated by order. The order is published in the Federal Register and 
associated with the record of that matter or proceeding, but neither the 
order nor any reference to the delegation made thereby is included in 
this subpart.

[28 FR 12402, Nov. 22, 1963, as amended at 50 FR 26567, June 27, 1985; 
62 FR 4170, Jan. 29, 1997]

[[Page 30]]



Sec. 0.203  Authority of person, panel, or board to which functions are delegated.

    (a) The person, panel, or board to which functions are delegated 
shall, with respect to such functions, have all the jurisdiction, 
powers, and authority conferred by law upon the Commission, and shall be 
subject to the same duties and obligations.
    (b) Except as provided in Sec. 1.102 of this chapter, any action 
taken pursuant to delegated authority shall have the same force and 
effect and shall be made, evidenced, and enforced in the same manner as 
actions of the Commission.

[28 FR 12402, Nov. 22, 1963]



Sec. 0.204  The exercise of delegated authority.

    (a) Authority to issue orders and to enter into correspondence. Any 
official (or group of officials) to whom authority is delegated in this 
subpart is authorized to issue orders (including rulings, decisions, or 
other action documents) pursuant to such authority and to enter into 
general correspondence concerning any matter for which he is responsible 
under this subpart or subpart A of this part.
    (b) Authority of subordinate officials. Authority delegated to any 
official to issue orders or to enter into correspondence under paragraph 
(a) of this section may be exercised by that official or by appropriate 
subordinate officials acting for him.
    (c) Signature. (1) Other orders made by a committee, board or panel 
identify the body and are signed by the Secretary.
    (2) Upon signing an order, the Secretary affixes the Commission's 
seal.
    (3) General correspondence by a committee or board is signed by the 
committee or board chairman.
    (4) All other orders and letters are signed by the official who has 
given final approval of their contents.
    (5) With the exception of license forms requiring the signature of 
an appropriate official of the issuing bureau or office, license forms 
bear only the seal of the Commission.
    (d) Form of orders. Orders may be issued in any appropriate form 
(e.g., as captioned orders, letters, telegrams) and may, if appropriate, 
be issued orally. Orders issued orally shall, if practicable, be 
confirmed promptly in writing.
    (e) Minutes entries. Except as otherwise provided in this subpart, 
actions taken as provided in paragraph (d) of this section shall be 
recorded in writing and filed in the official minutes of the Commission.

[33 FR 8227, June 1, 1968, as amended at 38 FR 18550, July 12, 1973; 62 
FR 4170, Jan. 29, 1997]

                              Commissioners



Sec. 0.211  Chairman.

    The responsibility for the general administration of internal 
affairs of the Commission is delegated to the Chairman of the 
Commission. The Chairman will keep the Commission advised concerning his 
actions taken under this delegation of authority. This authority 
includes:
    (a) Actions of routine character as to which the Chairman may take 
final action.
    (b) Actions of non-routine character which do not involve policy 
determinations. The Chairman may take final action on these matters but 
shall specifically advise the Commission on these actions.
    (c) Actions of an important character or those which involve policy 
determinations. In these matters the Chairman will develop proposals for 
presentation to the Commission.
    (d) To act within the purview of the Federal Tort Claims Act, as 
amended, 28 U.S.C. 2672, upon tort claims directed against the 
Commission where the amount of damages does not exceed $5,000.
    (e) Authority to act as ``Head of the Agency'' or ``Agency Head'' 
for administrative determinations required by Federal Procurement 
Regulations and Federal Management Circulars.

[28 FR 12402, Nov. 22, 1963, as amended at 41 FR 49095, Nov. 8, 1976; 51 
FR 23550, June 30, 1986]



Sec. 0.212  Board of Commissioners.

    (a) Whenever the Chairman or Acting Chairman of the Commission 
determines that a quorum of the Commission is not present or able to 
act, he

[[Page 31]]

may convene a Board of Commissioners. The Board shall be composed of all 
Commissioners present and able to act.
    (b) The Board of Commissioners is authorized to act upon all matters 
normally acted upon by the Commission en banc, except the following:
    (1) The final determination on the merits of any adjudicatory or 
investigatory hearing proceeding or of any rule making proceeding, 
except upon a finding by the Board that the public interest would be 
disserved by waiting the convening of a quorum of the Commission.
    (2) Petitions for reconsideration of Commission actions.
    (3) Applications for review of actions taken pursuant to delegated 
authority.
    (c) The Board of Commissioners is authorized to act upon all matters 
normally acted upon by an individual Commissioner (when he or his 
alternates are not present or able to act) or by a committee of 
Commissioners (in the absence of a quorum of the committee).
    (d) Actions taken by the Board of Commissioners shall be recorded in 
the same manner as actions taken by the Commission en banc.
    (e) This section has no application in circumstances in which the 
Commission is unable to function at its offices in Washington, D.C. See 
Secs. 0.181-0.186 and Secs. 0.381-0.387.

[30 FR 9314, July 27, 1965]



Sec. 0.218  Authority of, and delegated to, an individual Commissioner or Commissioners.

    (a) One or more members of the Commission may be designated to 
preside in a hearing proceeding. The Commissioner or Commissioners 
designated to preside at such a hearing shall fix the time and place of 
the hearing and shall act upon all motions, petitions or other matters 
which may arise while the proceeding is in hearing status.
    (b) One or more members of the Commission may be designated to 
review an initial decision issued in any hearing case.
    (c) Except for actions taken during the course of a hearing and upon 
the record thereof, actions taken by a Commissioner or Commissioners 
pursuant to the provisions of this section shall be recorded in writing 
and filed in the official minutes of the Commission.

[27 FR 7931, Aug. 10, 1962]

                            Managing Director



Sec. 0.231  Authority delegated.

    (a) The Managing Director, or his designee, upon securing 
concurrence of the General Counsel, is delegated authority to act upon 
requests for waiver, reduction or deferment of fees, establish payment 
dates, and issue notices proposing amendments or adjustments to the fee 
schedules established under part 1, subpart G, of this chapter.
    (b) The Managing Director, or his designee, is delegated authority 
to make nonsubstantive, editorial revisions of the Commission's rules 
and regulations upon approval of the bureau or staff office primarily 
responsible for the particular part or section involved.
    (c) [Reserved]
    (d) The Managing Director, or his designee, upon securing the 
concurrence of the General Counsel, is delegated authority, within the 
purview of the Federal Tort Claims Act, as amended, 28 U.S.C. 2672, to 
grant tort claims directed against the Commission where the amount of 
the claim does not exceed $5,000. In addition thereto, the Managing 
Director, or his designee, upon securing the concurrence of the General 
Counsel, is delegated authority to act in the disposition of claims 
arising under the Military Personnel and Civilian Employees' Claims Act, 
as amended, 31 U.S.C. 3701 and 3721, where the amount of the claim does 
not exceed $6,500.
    (e) The Managing Director is delegated authority to act as Head of 
the Procurement Activity and Contracting Officer for the Commission and 
to designate appropriate subordinate officials to act as Contracting 
Officers for the Commission. As Head of the Procurement Activity, the 
Managing Director will refer all appeals filed against final decisions 
regarding award of contracts to the Board of Contract Appeals of the 
General Services Administration for resolution. Appeals will be handled 
in accordance with the Rules of the Board of Contract Appeals.

[[Page 32]]

    (f) [Reserved]
    (g) The Managing Director, after consultation with the Chairman 
shall establish, renew, and terminate all Federal advisory committees. 
He shall also exercise all management responsibilities under the Federal 
Advisory Committee Act as amended (Pub. L. No. 92-463, 5 U.S.C. App.).
    (h) [Reserved]
    (i) The Secretary, acting under the supervision of the Managing 
Director, serves as the official custodian of the Commission's documents 
and shall have authority to appoint a deputy or deputies for the 
purposes of custody and certification of documents located in 
Gettysburg, Pennsylvania or other established locations. The Secretary 
is delegated authority to rule on requests for extensions of time based 
on operational problems associated with the Commission's electronic 
comment filing system. See Sec. 1.46 of this chapter.

(Secs. 4, 303, 48 Stat., as amended, 1066, 1082; 47 U.S.C. 154, 303; 18 
U.S.C. 207(j); 39 U.S.C. 3220; Notice of Preliminary Guidelines issued 
by the Department of Justice, 50 FR 46622, November 8, 1985)

    Cross Reference: 47 CFR part 19, subpart E.

[29 FR 14666, Oct. 28, 1964]

    Editorial Note: For Federal Register citations affecting Sec. 0.231, 
see the List of CFR Sections Affected in the Finding Aids section of 
this volume.

                             Chief Engineer



Sec. 0.241  Authority delegated.

    (a) The performance of functions and activities described in 
Sec. 0.31 of this part is delegated to the Chief Engineer: Provided, 
That the following matters shall be referred to the Commission en banc 
for disposition:
    (1) Notices of proposed rulemaking and of inquiry and final orders 
in rulemaking proceedings, inquiry proceedings and non-editorial orders 
making changes. See Sec. 0.231(d).
    (2) Petitions for review of actions taken to delegated authority. 
See Sec. 1.115 of this chapter.
    (3) Petitions and other requests for waivers of the Commission's 
rules, whether or not accompanied by an applications, when such 
petitions or requests contain new or novel arguments not previously 
considered by the Commission or present facts or arguments which appear 
to justify a change in Commission policy.
    (4) Petitions and other requests for declaratory rulings, when such 
petitions or requests contain new or novel arguments not previously 
considered by the Commission or preset facts or arguments which appear 
to justify a change in Commission policy.
    (5) Any other petition, pleading or request presenting new or novel 
questions of fact, law, or policy which cannot be resolved under 
outstanding precedents and guidelines.
    (6) Any other complaint or enforcement matter presenting new or 
novel questions of fact, law, or policy which cannot be resolved under 
outstanding precedents and guidelines.
    (7) Authority to issued a notice of opportunity for hearing pursuant 
to Sec. 1.80(g) of this chapter; and authority to issue notices of 
apparent liability, final forfeiture orders, and orders cancelling or 
reducing forfeitures imposed under Sec. 1.80(f) of this chapter, if the 
amount set out in the notice of apparent liability is more than $20,000.
    (8) Proposed actions following any case remanded by the courts.
    (b) The Chief Engineer is delegated authority to administer the 
Equipment Authorization program as described in part 2 of the 
Commission's Rules.
    (c) The Chief Engineer is delegated authority to administer the 
Experimental Radio Service program pursuant to part 5 of the 
Commission's Rules.
    (d) The Chief engineer is delegated authority to examine all 
applications for certification (approval) of subscription television 
technical systems as acceptable for use under a subscription television 
authorization as provided for in this chapter, to notify the applicant 
that an examination of the certified technical information and data 
submitted in accordance with the provisions of this chapter indicates 
that the system does or does not appear to be acceptable for 
authorization as a subscription television system. This delegation shall 
be exercised in consultation with the Chief, Mass Media Bureau.

[[Page 33]]

    (e) The Chief Engineer is authorized to dismiss or deny petitions 
for rulemaking which are repetitive or moot or which, for other reasons 
plainly do not warrant consideration by the Commission.
    (f) The Chief of the Office of Engineering and Technology is 
authorized to enter into agreements with the National Institute of 
Standards and Technology and other accreditation bodies to perform 
accreditation of test laboratories pursuant to Sec. 2.948(d) of this 
chapter. In addition, the Chief is authorized to make determinations 
regarding the continued acceptability of individual accrediting 
organizations and accredited laboratories.
    (g) The Chief of the Office of Engineering and Technology is 
delegated authority to enter into agreements with the National Institute 
of Standards and Technology to perform accreditation of 
Telecommunication Certification Bodies (TCBs) pursuant to Secs. 2.960 
and 2.962 of this chapter. In addition, the Chief is delegated authority 
to develop specific methods that will be used to accredit TCBs, to 
designate TCBs, to make determinations regarding the continued 
acceptability of individual TCBs, and to develop procedures that TCBs 
will use for performing post-market surveillance.

[51 FR 41106, Nov. 13, 1986, as amended at 57 FR 18088, Apr. 29, 1992; 
60 FR 5324, Jan. 27, 1995; 60 FR 32119, June 20, 1995; 61 FR 4918, Feb. 
9, 1996; 61 FR 31045, June 19, 1996; 62 FR 48952, Sept. 18, 1997; 64 FR 
4995, Feb. 2, 1999]



Sec. 0.247  Record of actions taken.

    The application and authorization files and other appropriate files 
of the Office of Engineering and Technology are designated as the 
official minute entries of actions taken pursuant to Secs. 0.241 and 
0.243.

[33 FR 8228, June 1, 1968, as amended at 44 FR 39179, July 5, 1979; 51 
FR 12615, Apr. 14, 1986]

                             General Counsel



Sec. 0.251  Authority delegated.

    (a) The General Counsel is delegated authority to act as the 
``designated agency ethics official.''
    (b) Insofar as authority is not delegated to any other Bureau or 
Office, and with respect only to matters which are not in hearing 
status, the General Counsel is delegated authority:
    (1) To act upon requests for extension of time within which briefs, 
comments or pleadings may be filed.
    (2) To dismiss, as repetitious, any petition for reconsideration of 
a Commission order which disposed of a petition for reconsideration and 
which did not reverse, change, or modify the original order.
    (3) To dismiss or deny petitions for rulemaking which are repetitive 
or moot or which, for other reasons, plainly do not warrant 
consideration by the Commission.
    (4) To dismiss as repetitious any petition for reconsideration of a 
Commission order denying an application for review which fails to rely 
on new facts or changed circumstances.
    (c) The General Counsel is delegated authority in adjudicatory 
hearing proceedings which are pending before the Commission en banc to 
act on all requests for relief, and to issue all appropriate orders, 
except those which involve final disposition on the merits of a 
previously specified issue concerning an applicant's basic 
qualifications or two or more applicants' comparative qualifications.
    (d) When an adjudicatory proceeding is before the Commission for the 
issuance of a final order or decision, the General Counsel will make 
every effort to submit a draft order or decision for Commission 
consideration within four months of the filing of the last responsive 
pleading. If the Commission is unable to adopt an order or decision in 
such cases within five months of the last responsive pleading, it shall 
issue an order indicating that additional time will be required to 
resolve the case.
    (e) The official record of all actions taken by the General Counsel 
pursuant to Sec. 0.251 (c) and (d) is contained in the original docket 
folder, which is maintained by the Secretary in the Dockets Branch.
    (f) The General Counsel is delegated authority to issue written 
determinations on matters regarding the interception of telephone 
conversations. Nothing in this paragraph, however,

[[Page 34]]

shall affect the authority of the Inspector General to intercept or 
record telephone conversations as necessary in the conduct of 
investigations or audits.
    (g) The General Counsel is delegated authority to issue rulings on 
whether violations of the ex parte rules have occurred.
    (h) The General Counsel is delegated authority to make 
determinations regarding and waive the applicability of section 4(b) of 
the Communications Act (47 U.S.C. Sec. 154(b)) and the Federal conflict 
of interest statutes (18 U.S.C. Secs. 203, 205 and 208).

(Secs. 2, 3, 4, 5, 301, 303, 307, 308, 309, 315, 317, 48 Stat., as 
amended, 1064, 1065, 1066, 1068, 1081, 1082, 1083, 1084, 1085, 1088, 
1089; 47 U.S.C. 152, 153, 154, 155, 301, 303, 307, 308, 309, 315, 317)

[28 FR 12402, Nov. 22, 1963]

    Editorial Note: For Federal Register citations affecting Sec. 0.251, 
see the List of CFR Sections Affected in the Finding Aids section of 
this volume.

                          International Bureau

    Source: Sections 0.261 and 0.262 appear at 60 FR 5324, Jan. 27, 
1995, unless otherwise noted.



Sec. 0.261  Authority delegated.

    (a) Subject to the limitations set forth in paragraph (b) of this 
section, the Chief, International Bureau, is hereby delegated the 
authority to perform the functions and activities described in 
Sec. 0.51, including without limitation the following:
    (1) To recommend rulemakings, studies, and analyses (legal, 
engineering, social, and economic) of various petitions for policy or 
rule changes submitted by industry or the public, and to assist the 
Commission in conducting the same;
    (2) To assume the principal representational role on behalf of the 
Commission in international conferences, meetings, and negotiations, and 
direct Commission preparation for such conferences, meetings, and 
negotiations with other bureaus and offices, as appropriate;
    (3) To act upon applications for international telecommunications 
facilities and services pursuant to part 23 of this chapter and relevant 
portions of part 63 of this chapter, and coordinate with the Common 
Carrier Bureau as appropriate;
    (4) To act upon applications for international and domestic 
satellite systems and earth stations pursuant to part 25 and part 100 of 
this chapter;
    (5) To act upon applications for cable landing licenses pursuant to 
Sec. 1.767 of this chapter;
    (6) To act upon requests for designation of Recognized Private 
Operating Agency (RPOA) status under part 63 of this chapter;
    (7) To act upon applications relating to international broadcast 
station operations, or for permission to deliver programming to foreign 
stations, under part 73 of this chapter;
    (8) To administer and enforce the policies and rules on 
international settlements under part 64 of this chapter;
    (9) To administer portions of part 2 of this chapter dealing with 
international treaties and call sign provisions, and to make call sign 
assignments, individually and in blocks, to U.S. Government agencies and 
FCC operating bureaus;
    (10) To act upon applications for closure of public coast stations 
in the maritime service under part 63 of this chapter and to coordinate 
its efforts with the Wireless Telecommunications Bureau.
    (11) To administer Commission participation in the International 
Telecommunication Union (ITU) Fellowship telecommunication training 
program for foreign officials offered through the U.S. 
Telecommunications Training Institute;
    (12) In consultation with the affected Bureaus and Offices, to 
recommend revision of Commission rules and procedures as appropriate to 
conform to the outcomes of international conferences, agreements, or 
treaties;
    (13) To notify the ITU of the United States' terrestrial and 
satellite assignments for inclusion in the Master International 
Frequency Register;
    (14) To conduct studies and compile such data relating to 
international telecommunications as may be necessary for the Commission 
to develop and maintain an adequate regulatory program; and
    (15) To interpret and enforce rules and regulations pertaining to 
matters

[[Page 35]]

under its jurisdiction and not within the jurisdiction of the 
Enforcement Bureau.
    (b) Notwithstanding the authority delegated in paragraph (a) of this 
section, the Chief, International Bureau, shall not have authority:
    (1) To act on any application, petition, pleading, complaint, 
enforcement matter, or other request that:
    (i) Presents new or novel arguments not previously considered by the 
Commission;
    (ii) Presents facts or arguments which appear to justify a change in 
Commission policy; or
    (iii) Cannot be resolved under outstanding precedents and guidelines 
after consultation with appropriate Bureaus or Offices.
    (2) To issue notices of proposed rulemaking, notices of inquiry, or 
reports or orders arising from rulemaking or inquiry proceedings;
    (3) To act upon any application for review of actions taken by the 
Chief, International Bureau, pursuant to delegated authority, which 
application complies with Sec. 1.115 of this chapter;
    (4) To act upon any formal or informal radio application or section 
214 application for common carrier services which is in hearing status;
    (5) To designate for hearing any applications except:
    (i) Mutually exclusive applications for radio facilities filed 
pursuant to parts 23, 25, 73, or 100 of this chapter; and
    (ii) Applications for facilities where the issues presented relate 
solely to whether the applicant has complied with outstanding precedents 
and guidelines; or
    (6) To impose, reduce, or cancel forfeitures pursuant to section 203 
or section 503(b) of the Communications Act of 1934, as amended, in 
amounts of more than $80,000 for common carrier providers and $20,000 
for non-common carrier providers.

[60 FR 5324, Jan. 27, 1995, as amended at 60 FR 35506, July 10, 1995; 64 
FR 60721, Nov. 8, 1999]



Sec. 0.262  Record of actions taken.

    The application and authorization files in the appropriate central 
files of the International Bureau are designated as the Commission's 
official records of actions by the Chief, International Bureau, pursuant 
to authority delegated to him.

                       Office of Plans and Policy



Sec. 0.271  Authority delegated.

    (a) Insofar as authority is not delegated to any other Bureau or 
Office, and with respect only to matters which are not in hearing 
status, the Chief, Office of Plans and Policy is delegated authority to 
deny requests or to extend the time within which comments may be filed 
in dockets over which the Office of Plans and Policy has primary 
authority.
    (b) [Reserved]

[45 FR 10347, Feb. 15, 1980]

                        Chief, Mass Media Bureau



Sec. 0.283  Authority delegated.

    The performance of functions and activities described in Sec. 0.61 
of this part is delegated to the Chief, Mass Media Bureau: Provided, 
That the following matters shall be referred by the Chief, Mass Media 
Bureau to the Commission en banc for disposition:
    (a) Applications. Formal and informal applications for new or 
modified facilities, and for the renewal, assignment, and transfer of 
construction permits and licenses involving such facilities, when such 
applications fail to satisfy the requirements of Commission rules or 
established Commission policy in the following areas of special concern:
    (1) Multiple ownership, concentration of control, and cross-
interests. (i) Acquisition of a third broadcast station or modification 
of facilities if such would result in the common ownership of three 
broadcast stations where any two are within 100 miles of a third and 
primary service contour overlap would occur; ``one-to-a-market'' 
situations involving UHF stations or TV satellite stations; and duopoly 
situations involving TV satellite stations. (Commonly owned AM and FM 
stations in the same market are treated as one station for the purpose 
of the ``third station'' limitations.)
    (ii) Acquisition of a broadcast station by a newspaper in the same 
area, or other organization having substantial

[[Page 36]]

interests in the print media in the same area.
    (iii) Creation of common ownership interests, management ties, or 
employment relationships between licensees serving substantial common 
areas and populations. Commonality of areas and populations served shall 
be determined in duopoly situations by overlap of the following service 
contours: AM--1 mVm; FM--1 mVm; and TV--Grade B. In ``one-to-a-market'' 
situations, commonality of areas and populations served shall be 
determined by community encompassment with the following service 
contours: AM--2 mVm; FM--1 mVm; and TV--Grade A.
    (iv) Acquisition of broadcast properties by corporations or 
individuals appearing to dominate the economic life of the community.
    (2) Anti-trust activity, unfair trade practices, and violations of 
law not previously considered by the Commission. (i) Proposals by 
applicants against whom communications-related anti-trust suits are 
pending or against whom there is pending any anti-trust suit in which an 
adverse verdict has been reached.
    (ii) Proposals by applicants who have entered into a consent decree, 
have pleaded guilty or nolo contendere, or have been adjudged guilty in 
an anti-trust case during the three-year period preceding the filing of 
the application.
    (iii) Proposals by applicants who have been the subject of a final 
cease and desist or consent order issued by the Federal Trade Commission 
during the three-year period preceding the filing of the application.
    (iv) Proposals by applicants or including parties with felony or 
capital offense conviction records, or against whom a criminal 
proceeding is pending.
    (3) Violations and complaint matters. Proposals filed by applicants 
against whom violation notices of a serious nature are outstanding or 
against whom questions suggesting serious misconduct remain unresolved, 
or by applicants with records of serious past misconduct.
    (4) Equal employment opportunities. Proposals filed by applicants 
whose equal employment opportunities programs do not comply with 
Commission rules or policies and cannot be cleared by further staff 
inquiry or action, or whose past performance suggests the existence of 
discriminatory practices.
    (5) Short term licenses and renewals. Proposals which in the opinion 
of the Chief, Mass Media Bureau, warrant the issuance of a short-term 
license or renewal authorization.
    (6) [Reserved]
    (7) Programming: Program content and ascertainment of community 
needs. (i) Applications for new stations or assignments and transfers.
    (A) Commercial AM and FM proposals and commercial TV proposals of 
applicants for new stations and of assignees and transfers that have not 
submitted a narrative statement of their proposed programming.
    (8) [Reserved]
    (9) Hearing orders. (i) Mutually exclusive applications not in the 
Instructional Television Fixed Service, including renewal and 
construction permit applications, involving non-routine hearing issues.
    (ii) Other renewal and assignment and transfer applications which 
appear to call for an evidentiary hearing.
    (iii) Such other applications, as in the opinion of the Chief, Mass 
Media Bureau, warrant referral to the Commission prior to designation 
for hearing.
    (10) Interference and mileage separations. Proposals for new or 
modified AM, FM, and TV facilities which would create substantial new 
prohibited overlap or station separation shortages. In the case of AM 
proposals (other than Class IV), a net increase in objectionable 
interference to another AM station involving more than 1 percent of the 
population served by such other station, whether or not consented to by 
the station affected, shall be referred to the Commission.
    (11) VHF television expansion. Commercial VHF television proposals 
seeking to bring or extend their Grade B contours into a significant 
area or population included within the predicted Grade B contour of a 
UHF television station where the area or population involved is covered 
by fewer than 4 VHF television signals.
    (12) Agreements to amend or dismiss applications. Any situation in 
which a

[[Page 37]]

community will be deprived of a proposed broadcast station by reason of 
amendment or dismissal of an application mutually exclusive with another 
application for a different community.
    (13) Experimental and developmental operation. Proposals for 
experimental and developmental authority containing policy implications 
which, in the opinion of the Chief, Mass Media Bureau, warrant referral 
to the Commission.
    (14) Miscellaneous applications and requests. (i) Proposals for 
special temporary, emergency, conditional, or interim operating 
authority of more than routine significance.
    (ii) Any other application, proposals, or request presenting novel 
questions of fact, law, or policy which cannot be resolved under 
outstanding precedents and guidelines.
    (b) Petitions and other requests for Commission action. (1) 
Petitions to deny, informal objections, and other petitions, directed 
against AM, FM, and TV applications for new or modified facilities, or 
for renewal, assignment or transfer of control, will be referred to the 
Commission if they:
    (i) Contain new or novel issues not previously considered by the 
Commission,
    (ii) Appear to justify a change in Commission policy; or
    (iii) Present documented allegations of failure to comply with the 
Commission's Equal Employment Opportunity rules and policies.
    (2) Petitions and other requests for reconsideration of actions 
taken by the Chief, Mass Media Bureau, when such petitions or requests 
contain new or novel arguments not previously considered by the 
Commission, present facts or arguments which appear to justify a change 
in Commission policy, or request reconsideration of orders designating 
cases for hearing.
    (3) Applications for review of actions taken by the Chief, Mass 
Media Bureau, which comply with Sec. 1.115 of this chapter.
    (4) Petitions and other requests for waiver of Commission rules, 
whether or not accompanied by an application, when such petitions or 
requests contain new or novel arguments not previously considered by the 
Commission, or present facts or arguments which appear to justify a 
change in Commission policy.
    (5) Petitions and other requests for declaratory rulings, when such 
petitions or requests contain new or novel arguments not previously 
considered by the Commission, or present facts or arguments which appear 
to justify a change in Commission policy.
    (6) Petitions for rulemaking which have been accepted under 
Sec. 1.403, and final dispositions of rulemaking proceedings not 
involving routine changes in the FM and TV Tables of Assignments.
    (7) Petitions and other requests for waiver of the prime-time access 
rule, in areas where Commission policy is not clearly established.
    (8) Petitions and other requests for long-term waiver of the policy 
limiting affiliations by commonly owned networks in the same market.
    (9) Petitions and other requests for waiver of the sponsorship 
identification provisions of the Communications Act, in accordance with 
section 317(d) thereof.
    (10) Any other petition, pleading, or request presenting novel 
questions of fact, law, or policy which cannot be resolved under 
outstanding precedents and guidelines.
    (c) Administration and enforcement. (1) Proposed orders to show 
cause why station licenses or construction permits should not be 
revoked.
    (2) Proposed actions following any case remanded by the courts.
    (3) Notices of opportunity for hearing pursuant to Sec. 1.80(g) of 
this chapter, and notices of apparent liability, final forfeiture 
orders, and orders cancelling or reducing forfeitures imposed under 
Sec. 1.80(f) of this chapter if the amount set out in the notice of 
apparent liability is more than $20,000, except that all forfeiture 
matters relating to the Commission's equal employment opportunity rules 
shall be referred to the Commission.
    (4) Proposed public notices expressing Commission policy, 
interpreting the provisions of law, regulations, or treaties, or warning 
the broadcast industry as to certain types of violations.

[[Page 38]]

    (5) Problems involving apparent violation of the Commission's rules 
governing equal employment opportunities or otherwise indicating the 
existence of discriminatory practices which, in the opinion of the 
Chief, Mass Media Bureau, or the Equal Employment Opportunity Commission 
should be brought to the attention of FCC Commissioners.
    (6) Any other complaint or enforcement matter presenting novel 
questions of fact, law, or policy which cannot be resolved under 
outstanding precedents and guidelines.

[47 FR 47829, Oct. 28, 1982, as amended at 47 FR 55929, Dec. 14, 1982; 
47 FR 58269, Dec. 30, 1982; 48 FR 24386, June 1, 1983; 49 FR 33603, Aug. 
23, 1984; 57 FR 18088, Apr. 29, 1992; 61 FR 10689, Mar. 15, 1996; 65 FR 
7454, Feb. 15, 2000]



Sec. 0.284  Actions taken under delegated authority.

    (a) In discharging the authority conferred by Sec. 0.283 of this 
part, the Chief, Mass Media Bureau, shall establish working 
relationships with other bureaus and staff offices to assure the 
effective coordination of actions taken in the following areas of joint 
responsibility;
    (1) Complaints arising under section 315 of the Communications Act--
Office of General Counsel.
    (2) Objections to proposed call signs and requests for waiver of 
procedural rules governing call sign assignments--Office of Managing 
Director.
    (3) Requests for waiver of tower painting and lighting 
specifications-Wireless Telecommunications Bureau.
    (4) Matters involving emergency communications, including the 
issuance of Emergency Alert System Authorizations (FCC Form 392)--
Enforcement Bureau.
    (5) Requests for use of frequencies or bands of frequencies shared 
with private sector nonbroadcast or government services--Office of 
Engineering and Technology and appropriate operating bureau.
    (6) Requests involving coordination with other agencies of 
government--Office of General Counsel, Office of Engineering and 
Technology and appropriate operating bureau.
    (7) Proposals involving transmitter sites on public lands owned or 
controlled by the Departments of Agriculture or Interior--Office of 
Engineering and Technology.
    (8) Proposals involving possible harmful impact on radio astronomy 
or radio research installations--Office of Engineering and Technology.
    (9) [Reserved]
    (b) With respect to non-routine applications granted under authority 
delegated in Sec. 0.283 of this part, the Chief, Mass Media Bureau or 
his designees, shall enter on the working papers associated with each 
application a narrative justification of the action taken. While not 
available for public inspection, these working papers shall, upon 
request, be made available to the Commissioners and members of their 
staffs.
    (c) The Chief, Mass Media Bureau, shall prepare and submit to the 
Commission a quarterly statistical summary of actions taken during the 
preceding quarter under authority delegated to him in Sec. 0.283 of this 
part. The statistical summary shall be accompanied by a statement of 
industry trends apparent in the staff handling of non-routine matters 
during the same quarter.

[47 FR 47829, Oct. 28, 1982; 47 FR 56852, Dec. 21, 1982, as amended at 
51 FR 12615, Apr. 14, 1986; 52 FR 5288, Feb. 20, 1987; 59 FR 32132, June 
22, 1994; 59 FR 67092, Dec. 28, 1994; 61 FR 8477, Mar. 5, 1996; 64 FR 
60721, Nov. 8, 1999]



Sec. 0.285  Record of actions taken.

    The history card, the station file, and other appropriate files are 
designated to be the official records of action taken by the Chief of 
the Mass Media Bureau. The official records of action are maintained in 
the Reference Information Center in the Consumer Information Bureau.

[64 FR 60721, Nov. 8, 1999]

                      Chief, Common Carrier Bureau



Sec. 0.291  Authority delegated.

    The Chief, Common Carrier Bureau, is hereby delegated authority to 
perform all functions of the Bureau, described in Sec. 0.91, subject to 
the following exceptions and limitations.
    (a) Authority concerning applications. (1) The Chief, Common Carrier 
Bureau shall not have authority to act on any

[[Page 39]]

formal or informal common carrier applications or section 214 
applications for common carrier services which are in hearing status.
    (2) The Chief, Common Carrier Bureau shall not have authority to act 
on any applications or requests which present novel questions of fact, 
law or policy which cannot be resolved under outstanding precedents and 
guidelines.
    (b) Authority concerning section 220 of the Act. The Chief, Common 
Carrier Bureau shall not have authority to promulgate regulations or 
orders prescribing permanent depreciation rates for common carriers, or 
to prescribe interim depreciation rates to be effective more than one 
year, pursuant to section 220 of the Communications Act of 1934, as 
amended.
    (c) Authority concerning section 221(a) of the Act. (1) The Chief, 
Common Carrier Bureau shall not have authority to determine whether 
hearings shall be held on applications filed under section 221(a) of the 
Communications Act of 1934, as amended, where a request has been made by 
a telephone company, an association of telephone companies, a State 
Commission or local government authority.
    (2) The Chief, Common Carrier Bureau shall not have authority to act 
upon applications filed under section 221(a) of the Communications Act 
of 1934, as amended, where the proposed expenditure for consolidation, 
acquisition or control is in excess of $10 million.
    (3) The Chief, Common Carrier Bureau shall not have authority to act 
upon any application, petition or request under section 221(a) of the 
Communications Act of 1934, as amended, which presents novel questions 
of fact, law or policy which cannot be resolved under outstanding 
precedents and guidelines.
    (d) Authority to designate for hearing. The Chief, Common Carrier 
Bureau shall not have authority to designate for hearing any formal 
complaints which present novel questions of law or policy which cannot 
be resolved under outstanding precedents or guidelines. The Chief, 
Common Carrier Bureau shall not have authority to designate for hearing 
any applications except applications for facilities where the issues 
presented relate solely to whether the applicant has complied with 
outstanding precedents and guidelines.
    (e) Authority concerning forfeitures. The Chief, Common Carrier 
Bureau shall not have authority to impose, reduce or cancel forfeitures 
pursuant to Section 203 or Section 503(b) of the Communications Act of 
1934, as amended, in amounts of more than $80,000.
    (f) Authority concerning applications for review. The Chief, Common 
Carrier Bureau shall not have authority to act upon any applications for 
review of actions taken by the Chief, Common Carrier Bureau, pursuant to 
any delegated authority.
    (g) Authority concerning rulemaking and investigatory proceedings. 
The Chief, Common Carrier Bureau, shall not have authority to issue 
notices of proposed rulemaking, notices of inquiry, or reports or orders 
arising from either of the foregoing, except that the Chief, Common 
Carrier Bureau, shall have authority, in consultation and coordination 
with the Chief, International Bureau, to issue and revise a manual on 
the details of the reporting requirements for international carriers set 
forth in Sec. 43.61(d) of this chapter.
    (h) Authority concerning the issuance of subpoenas. The Chief of the 
Common Carrier Bureau or her/his designee is authorized to issue non-
hearing related subpoenas for the attendance and testimony of witnesses 
and the production of books, papers, correspondence, memoranda, 
schedules of charges, contracts, agreements, and any other records 
deemed relevant to the investigation of matters within the jurisdiction 
of the Common Carrier Bureau. Before issuing a subpoena, the Bureau 
shall obtain the approval of the Office of General Counsel.
    (i) The Chief, Common Carrier Bureau, is delegated authority to 
enter into agreements with the National Institute of Standards and 
Technology to perform accreditation of Telecommunication Certification 
Bodies (TCBs) pursuant to Secs. 68.160 and 68.162 of this chapter. In 
addition, the Chief is delegated authority to develop specific methods 
that will be used to accredit TCBs, to

[[Page 40]]

designate TCBs, to make determinations regarding the continued 
acceptability of individual TCBs and to develop procedures that TCBs 
will use for performing post-market surveillance.
    (j) Authority concerning petitions for pricing flexibility. (1) The 
Chief, Common Carrier Bureau, shall have authority to act on petitions 
filed pursuant to part 69, subpart H, of this chapter for pricing 
flexibility involving special access and dedicated transport services. 
This authority is not subject to the limitation set forth in paragraph 
(a)(2) of this section.
    (2) The Chief, Common Carrier Bureau, shall not have authority to 
act on petitions filed pursuant to part 69, subpart H, of this chapter 
for pricing flexibility involving common line and traffic sensitive 
services.

(Secs. 4, 5, 303, 48 Stat. 1066, 1068, 1082, as amended; 47 U.S.C. 154, 
155, 303; secs. 2, 3, 4, 5, 301, 303, 307, 308, 309, 315, 317, 48 Stat., 
as amended, 1064, 1065, 1066, 1068, 1081, 1082, 1083, 1084, 1085, 1089; 
47 U.S.C. 152, 153, 154, 155, 303, 307, 308, 309, 315, 317)

[44 FR 18501, Mar. 28, 1979]

    Editorial Note: For Federal Register citations affecting Sec. 0.291, 
see the List of CFR Sections Affected in the Finding Aids section of 
this volume.



Sec. 0.301  [Reserved]



Sec. 0.302  Record of actions taken.

    The application and authorization files are designated as the 
Commission's official records of action of the Chief, Common Carrier 
Bureau pursuant to authority delegated to the Chief. The official 
records of action are maintained in the Reference Information Center in 
the Consumer Information Bureau.

[64 FR 60721, Nov. 8, 1999]



Sec. 0.303  Authority concerning registration of telephone terminal equipment.

    Authority is delegated to the Chief of the Common Carrier Bureau 
jointly in cooperation with the Chief Engineer to act upon applications 
for registration of equipment to be directly connected to the telephone 
network; Provided, however, That the Chief, Common Carrier Bureau shall 
exercise overall policy direction of the program, with appropriate 
consultation with the Chief Engineer (For record of actions taken under 
this section, see Sec. 0.247).

(Secs. 4, 5, 303, 48 Stat. 1066, 1068, 1082, as amended; 47 U.S.C. 154, 
155, 303)

[41 FR 7750, Feb. 20, 1976. Redesignated at 44 FR 18501, Mar. 28, 1979, 
and amended at 44 FR 39180, July 5, 1979; 51 FR 12615, Apr. 14, 1986]



Sec. 0.304  Authority for determinations of exempt telecommunications company status.

    Authority is delegated to the Chief, Common Carrier Bureau to act 
upon any application for a determination of exempt telecommunications 
company status filed pursuant to section 34(a)(1) of the Public Utility 
Holding Company Act of 1935, as amended by section 103 of the 
Telecommunications Act of 1996.

[64 FR 5950, Feb. 8, 1999]

                           Enforcement Bureau



Sec. 0.311  Authority delegated.

    The Chief, Enforcement Bureau, is delegated authority to perform all 
functions of the Bureau, described in Sec. 0.111, provided that:
    (a) The following matters shall be referred to the Commission en 
banc for disposition:
    (1) Notices of proposed rulemaking and of inquiry and final orders 
in such proceedings.
    (2) Applications for review of actions taken pursuant to delegated 
authority.
    (3) Matters that present novel questions of law, fact or policy that 
cannot be resolved under existing precedents and guidelines.
    (4) Forfeiture notices and forfeiture orders if the amount is more 
than $100,000 in the case of common carriers or more than $25,000 in the 
case of all other persons or entities.
    (5) Orders concluding an investigation under section 208(b) of the 
Communications Act and orders addressing petitions for reconsideration 
of such orders.
    (b) Action on complaints regarding compliance with section 705(a) of 
the Communications Act shall be coordinated with the Office of General 
Counsel.
    (c) Action on emergency requests for Special Temporary Authority 
during

[[Page 41]]

non-business hours shall be promptly reported to the responsible Bureau.

    Note to paragraph (c): See also Sec. 0.182 of this chapter.

[64 FR 60721, Nov. 8, 1999]



Sec. 0.314  Additional authority delegated.

    The Regional Director, Deputy Regional Director, District Director 
or Resident Agent at each installation is delegated authority to act 
upon applications, requests, or other matters, which are not in hearing 
status, and direct the following activities necessary to conduct 
investigations or inspections:
    (a) On informal requests from broadcast stations to extend temporary 
authority for operation without monitors, plate ammeter, plate volmeter, 
base current meter, common point meter, and transmission line meter from 
FM and television stations.
    (b)(1) Extend the Communications Act Safety Radiotelephony 
Certificate for a period of up to 90 days beyond the specified 
expiration date.
    (b)(2) Grant emergency exemption requests, extensions or waivers of 
inspection to ships in accordance with applicable provisions of the 
Communications Act, the Safety Convention, the Great Lakes Agreement or 
the Commission's rules.
    (c) To act on and make determinations on behalf of the Commission 
regarding requests for assignments and reassignments of priorities under 
the Telecommunications Service Priority System, Part 64 of the rules, 
when circumstances require immediate action and the common carrier 
seeking to provide service states that it cannot contact the National 
Communications System or the Commission office normally responsible for 
such assignments.
    (d) Require special equipment and program tests during inspections 
or investigations to determine compliance with technical requirements 
specified by the Commission.
    (e) Require stations to operate with the pre-sunrise and nighttime 
facilities during daytime hours in order that an inspection or 
investigation may be made by an authorized Commission representative to 
determine operating parameters.
    (f) Issuance of notices and orders to operators of industrial, 
scientific, and medical (ISM) equipment, as provided in Sec. 18.115 of 
this chapter.
    (g) Requests for permission to resume operation of ISM equipment on 
a temporary basis, as provided by Sec. 18.115 of this chapter, and 
requests for extensions of time within which to file final reports, as 
provided by Sec. 18.117 of this chapter.
    (h) Issuance of notices and orders to operators of Part 15 devices, 
as provided in Sec. 15.5 of this chapter.
    (i) Issuance of notices and orders to cable operators of harmful 
interference to radio communications services involving safety services, 
as provided in Sec. 76.613 of this chapter.
    (j) When deemed necessary by the District Director or Resident Agent 
of a Commission field facility to assure compliance with the Rules, a 
station licensee shall maintain a record of such operating and 
maintenance records as may be necessary to resolve conditions of 
interference or deficient technical operation.

[64 FR 60721, Nov. 8, 1999]



Sec. 0.317  Record of action taken.

    The application, authorization, and other appropriate files of the 
Enforcement Bureau are designated as the Commission's official records 
of action taken pursuant to authority delegated under Secs. 0.311 and 
0.314, and shall constitute the official Commission minutes entry of 
such actions. The official records of action are maintained in the 
Reference Information Center in the Consumer Information Bureau.

[64 FR 60722, Nov. 8, 1999]

                          Cable Services Bureau



Sec. 0.321  Authority delegated.

    The Chief, Cable Services Bureau is delegated authority to perform 
all functions of the Bureau, described in Sec. 0.101, subject to the 
following exceptions and limitations:
    (a) Designate for hearing any formal complaints that present novel 
questions of fact, law or policy that cannot

[[Page 42]]

be resolved under existing precedents for guidelines;
    (b) Impose, reduce, or cancel forfeitures pursuant to section 503(b) 
of the Communications Act of 1934, as amended, in amounts of more than 
$20,000;
    (c) Act upon any applications for review of actions taken by the 
Chief, Cable Services Bureau pursuant to any delegated authority which 
comply with Sec. 1.115 of this chapter;
    (d) Issue notices of proposed rulemaking, notices of inquiry or to 
issue report and orders arising from either of the foregoing, except 
that the Chief, Cable Services Bureau shall have authority to issue 
notices of rulemaking and report and orders redesignating market areas 
in accordance with section 614(f) of the Communications Act of 1934, as 
amended; and
    (e) Act on any applications in the Cable Television Relay Service 
that present novel questions of fact, law, or policy that cannot be 
resolved under existing precedents and guidelines.

[62 FR 8401, Feb. 25, 1997]



Sec. 0.325  Record of actions taken.

    The original file, the station file, and other appropriate files are 
designated to be the official record of the action taken by the Chief of 
the Cable Services Bureau.

[59 FR 32132, June 22, 1994]

                   Wireless Telecommunications Bureau



Sec. 0.331  Authority delegated.

    The Chief, Wireless Telecommunications Bureau, is hereby delegated 
authority to perform all functions of the Bureau, described in 
Sec. 0.131, subject to the following exceptions and limitations.
    (a) Authority concerning applications. (1) The Chief, Wireless 
Telecommunications Bureau shall not have authority to act on any radio 
applications that are in hearing status.
    (2) The Chief, Wireless Telecommunications Bureau shall not have 
authority to act on any complaints, petitions or requests, whether or 
not accompanied by an application, when such complaints, petitions or 
requests present new or novel questions of law or policy which cannot be 
resolved under outstanding Commission precedents and guidelines.
    (b) Authority concerning forfeitures and penalties. The Chief, 
Wireless Telecommunications Bureau, shall not have authority to impose, 
reduce, or cancel forfeitures pursuant to the Communications Act of 
1934, as amended, and imposed under regulations in this chapter in 
amounts of more than $80,000 for commercial radio providers and $20,000 
for private radio providers. Payments for bid withdrawal, default or to 
prevent unjust enrichment that are imposed pursuant to Section 309(j) of 
the Communications Act of 1934, as amended, and regulations in this 
chapter implementing Section 309(j) governing auction authority, are 
excluded from this restriction.
    (c) Authority concerning applications for review. The Chief, 
Wireless Telecommunications Bureau shall not have authority to act upon 
any applications for review of actions taken by the Chief, Wireless 
Telecommunications Bureau pursuant to any delegated authority, except 
that the Chief may dismiss any such application that does not comply 
with the filing requirements of Sec. 1.115 (d) and (f) of this chapter.
    (d) Authority concerning rulemaking proceedings. The Chief, Wireless 
Telecommunications Bureau shall not have the authority to act upon 
notices of proposed rulemaking and inquiry, final orders in rulemaking 
proceedings and inquiry proceedings, and reports arising from any of the 
foregoing except such orders involving ministerial conforming amendments 
to rule parts, or orders conforming any of the applicable rules to 
formally adopted international conventions or agreements where novel 
questions of fact, law, or policy are not involved. Also, the addition 
of new Marine VHF frequency coordination committee(s) to Sec. 80.514 of 
this chapter need not be referred to the Commission if they do not 
involve novel questions of fact, policy or law, as well as requests by 
the United States Coast Guard to:
    (1) Designate radio protection areas for mandatory Vessel Traffic 
Services (VTS) and establish marine channels as VTS frequencies for 
these areas; or

[[Page 43]]

    (2) Designate regions for shared commercial and non-commercial 
vessel use of VHF marine frequencies.
    (3) Designate by footnote to frequency table in Sec. 80.373(f) of 
this chapter marine VHF frequencies are available for intership port 
operations communications in defined port areas.

[60 FR 35506, July 10, 1995, as amended at 61 FR 26465, May 28, 1996; 62 
FR 40285, July 28, 1997; 65 FR 43715, July 14, 2000]



Sec. 0.332  Actions taken under delegated authority.

    In discharging the authority conferred by Sec. 0.331, the Chief, 
Wireless Telecommunications Bureau, shall establish working 
relationships with other bureaus and staff offices to assure the 
effective coordination of actions taken in the following areas of joint 
responsibility:
    (a) [Reserved]
    (b) Requests for waiver of tower painting and lighting 
specifications--Enforcement Bureau.
    (c) Matters involving emergency communications--Enforcement Bureau.
    (d) Complaints involving equal employment opportunities--Office of 
General Counsel.
    (e) Requests for use of frequencies or bands of frequencies shared 
with broadcast, common carrier, or government services--Office of 
Engineering and Technology and appropriate operating bureau.
    (f) Requests involving coordination with other Federal or state 
agencies when appropriate--Office of General Counsel, Office of 
Engineering and Technology or operating bureau.
    (g) Proposals involving possible harmful impact on radio astronomy 
or radio research installations--Office of Engineering and Technology.

[40 FR 4423, Jan. 30, 1975, as amended at 44 FR 11070, Feb. 27, 1979; 44 
FR 39180, July 5, 1979; 50 FR 27953, July 9, 1985; 51 FR 12615, Apr. 14, 
1986; 51 FR 20290, June 4, 1986; 52 FR 5288, Feb. 20, 1987; 59 FR 26971, 
May 25, 1994; 60 FR 5325, Jan. 27, 1995; 60 FR 35507, July 10, 1995; 61 
FR 8477, Mar. 5, 1996; 64 FR 60722, Nov. 8, 1999]



Secs. 0.333-0.337  [Reserved]

                        Administrative Law Judges



Sec. 0.341  Authority of administrative law judge.

    (a) After an administrative law judge has been designated to preside 
at a hearing and until he has issued an initial decision or certified 
the record to the Commission for decision, or the proceeding has been 
transferred to another administrative law judge, all motions, petitions 
and other pleadings shall be acted upon by such administrative law 
judge, except the following:
    (1) Those which are to be acted upon by the Commission. See 
Sec. 1.291(a)(1) of this chapter.
    (2) Those which are to be acted upon by the Chief Administrative Law 
Judge under Sec. 0.351.
    (b) Any question which would be acted upon by the administrative law 
judge if it were raised by the parties to the proceeding may be raised 
and acted upon by the administrative law judge on his own motion.
    (c) Any question which would be acted upon by the Chief 
Administrative Law Judge or the Commission, if it were raised by the 
parties, may be certified by the administrative law judge, on his own 
motion, to the Chief Administrative Law Judge, or the Commission, as the 
case may be.
    (d) In the conduct of routine broadcast comparative hearings 
involving applicants for only new facilities, i.e., cases that do not 
involve numerous applicants and/or motions to enlarge issues, the 
presiding administrative law judge shall make every effort to conclude 
the case within nine months of the release of the hearing designation 
order. In so doing, the presiding judge will make every effort to 
release an initial decision in such cases within 90 days of the filing 
of the last responsive pleading.
    (e) Upon assignment by the Chief Administrative Law Judge, 
Administrative Law Judges, including the Chief Judge, will act as 
settlement judges in

[[Page 44]]

appropriate cases. See 47 CFR 1.244 of this chapter.

[29 FR 6442, May 16, 1964, as amended at 37 FR 19372, Sept. 20, 1972; 41 
FR 14870, Apr. 8, 1976; 56 FR 792, Jan. 9, 1991; 62 FR 4170, Jan. 29, 
1997]



Sec. 0.347  Record of actions taken.

    The official record of all actions taken by an Administrative Law 
Judge, including initial and recommended decisions and actions taken 
pursuant to Sec. 0.341, is contained in the original docket folder, 
which is maintained in the Reference Information Center of the Consumer 
Information Bureau.

[64 FR 60722, Nov. 8, 1999]

                     Chief Administrative Law Judge



Sec. 0.351  Authority delegated.

    The Chief Administrative Law Judge shall act on the following 
matters in proceedings conducted by hearing examiners:
    (a) Initial specifications of the time and place of hearings where 
not otherwise specified by the Commission and excepting actions under 
authority delegated by Sec. 0.296.
    (b) Designation of the hearing examiner to preside at hearings.
    (c) Orders directing the parties or their attorneys to appear at a 
specified time and place before the hearing examiner for an initial 
prehearing conference in accordance with Sec. 1.251(a) of this chapter. 
(The administrative law judge named to preside at the hearing may order 
an initial prehearing conference although the Chief Administrative Law 
Judge may not have seen fit to do so and may order supplementary 
prehearing conferences in accordance with Sec. 1.251(b) of this 
chapter.)
    (d) Petitions requesting a change in the place of hearing where the 
hearing is scheduled to begin in the District of Columbia or where the 
hearing is scheduled to begin at a field location and all appropriate 
proceedings at that location have not been completed. (See Sec. 1.253 of 
this chapter.) However, if all parties to a proceeding concur in holding 
all hearing sessions in the District of Columbia rather than at any 
field location, the presiding administrative law judge may act on the 
request.
    (e) In the absence of the administrative law judge who has been 
designated to preside in a proceeding, to discharge the administrative 
law judge's functions.
    (f) All pleadings filed, or matters which arise, after a proceeding 
has been designated for hearing, but before a law judge has been 
designated, which would otherwise be acted upon by the law judge, 
including all pleadings filed, or matters which arise, in cease and 
desist and/or revocation proceedings prior to the designation of a 
presiding officer.
    (g) All pleadings (such as motions for extension of time) which are 
related to matters to be acted upon by the Chief Administrative Law 
Judge.
    (h) If the administrative law judge designated to preside at a 
hearing becomes unavailable, to order a rehearing or to order that the 
hearing continue before another administrative law judge and, in either 
case, to designate the judge who is to preside.
    (i) The consolidation of related proceedings pursuant to 
Sec. 1.227(a) of this chapter, after designation of those proceedings 
for hearing.

[29 FR 6443, May 16, 1964, as amended at 37 FR 19372, Sept. 20, 1972; 38 
FR 30559, Nov. 6, 1973; 43 FR 49307, Oct. 23, 1978; 44 FR 76295, Dec. 
26, 1979]



Sec. 0.357  Record of actions taken.

    The official record of all actions taken by the Chief Administrative 
Law Judge in docketed proceedings pursuant to Sec. 0.351 is contained in 
the original docket folder, which is maintained by the Reference 
Information Center of the Consumer Information Bureau.

[64 FR 60722, Nov. 8, 1999]

                       Consumer Information Bureau



Sec. 0.361  Authority delegated.

    The Chief, Consumer Information Bureau, is delegated authority to 
perform all functions of the Bureau, described in Sec. 0.141, provided 
that the following matters shall be referred to the Commission en banc 
for disposition:
    (a) Notices of proposed rulemaking and of inquiry and final orders 
in such proceedings.
    (b) Application for review of actions taken pursuant to delegated 
authority.

[[Page 45]]

    (c) Matters that present novel questions of law, fact or policy that 
cannot be resolved under existing precedents and guidelines.

[64 FR 60722, Nov. 8, 1999]

        National Security and Emergency Preparedness Delegations



Sec. 0.381  Defense Commissioner.

    The authority delegated to the Commission under Executive Order 
11490 is redelegated to the Defense Commissioner.

[41 FR 31210, July 27, 1976]



Sec. 0.383  Emergency Relocation Board, authority delegated.

    (a) During any period in which the Commission is unable to function 
because of the circumstances set forth in Sec. 0.186(b), all work, 
business or functions of the Federal Communications Commission arising 
under the Communications Act of 1934, as amended, is assigned and 
referred to the Emergency Relocation Board.
    (b) The Board, acting by a majority thereof, shall have the power 
and authority to hear and determine, order, certify, report or otherwise 
act as to any of the said work, business or functions so assigned or 
referred to it, and in respect thereof shall have all the jurisdiction 
and powers conferred by law upon the Commission, and be subject to the 
same duties and obligations.
    (c) Any order, decision or report made or other action taken by the 
said Board in respect of any matters so assigned or referred shall have 
the same effect and force, and may be made, evidenced, and enforced in 
the same manner, as if made or taken by the Commission.

[28 FR 12402, Nov. 22, 1963, as amended at 33 FR 8228, June 1, 1968; 53 
FR 29055, Aug. 2, 1988]



Sec. 0.387  Other national security and emergency preparedness delegations; cross reference.

    (a) For authority of the Chief of the Mass Media Bureau to issue 
Emergency Broadcast System Authorizations (FCC Form 392), see 
Secs. 0.284(a)(4) and 73.913.
    (b) For authority of the Chief of the Enforcement Bureau to declare 
a general communications emergency, see Sec. 0.182(j).

[28 FR 12411, Nov. 22, 1963, as amended at 40 FR 17254, Apr. 18, 1975; 
53 FR 29055, Aug. 2, 1988; 54 FR 15195, Apr. 17, 1989; 61 FR 8477, Mar. 
5, 1996; 64 FR 60722, Nov. 8, 1999]

                      Office of Workplace Diversity



Sec. 0.391  Authority delegated.

    The Director, Office of Workplace Diversity, or his/her designee, is 
hereby delegated authority to:
    (a) Manage the Commission's internal EEO compliance program pursuant 
to Title VII of the Civil Rights Act of 1964, as amended, the 
Rehabilitation Act of 1973, as amended, the Age Discrimination in 
Employment Act of 1967, as amended, the Equal Pay Act, and other 
applicable laws, rules, regulations, and Executive Orders, with 
authority that includes appointing EEO counselors, investigators, and 
mediators; investigating complaints of employment discrimination, and 
recommending to the Chairman final agency decisions on EEO complaints;
    (b) Mediate EEO complaints;
    (c) Develop the Commission's affirmative action goals and 
objectives;
    (d) Collect and analyze data on the Commission's affirmative action 
and EEO activities and accomplishments;
    (e) Prepare and release reports on EEO, affirmative action, 
workplace diversity, and related subjects;
    (f) Review personnel activities, including hiring, promotions, 
discipline, training, awards, and performance recognition for 
conformance with EEO and workplace diversity goals, objectives and 
requirements;
    (g) Conduct studies and collect data on workplace diversity issues 
and problems;
    (h) Assume representational role on behalf of the Commission at 
conferences, meetings, and negotiations on EEO and workplace diversity 
issues;
    (i) Develop programs and strategies designed to foster and encourage 
fairness, equality, and inclusion of all employees in the workforce.

[61 FR 2728, Jan. 29, 1996]

[[Page 46]]



                     Subpart C--General Information

                                 General



Sec. 0.401  Location of Commission offices.

    The Commission maintains several offices and receipt locations. 
Applications and other filings not submitted in accordance with the 
addresses or locations set forth below will be returned to the applicant 
without processing. When an application or other filing does not involve 
the payment of a fee, the appropriate filing address or location is 
established elsewhere in the rules for the various types of submissions 
made to the Commission. The public should identify the correct filing 
location by reference to these rules. Applications or submissions 
requiring fees must be submitted in accordance with Sec. 0.401(b) of the 
rules irrespective of the addresses that may be set out elsewhere in the 
rules for other submissions.
    (a) General correspondence, as well as applications and filings not 
requiring the fees set forth at part 1, subpart G of the rules (or not 
claiming an exemption, waiver or deferral from the fee requirement), 
should be delivered to one of the following locations.
    (1) The main office of the Commission is located at 445 12th Street, 
SW., Washington, DC 20554.
    (i) Documents submitted by mail to this office should be addressed 
to: Federal Communications Commission, Washington, DC 20554.
    (ii) Hand-carried documents should be delivered to the Secretary's 
Office, Room TW-A325, 445 12th Street, SW., Washington, DC 20554.
    (iii) Electronic filings, where permitted, must be transmitted as 
specified by the Commission or relevant Bureau or Office.
    (2) The Commission's laboratory is located near Columbia, Maryland. 
The mailing address is:

Federal Communications Commission, Equipment Authorization Division, 
7435 Oakland Mills Road, Columbia, MD 21046

    (3) The Commission also maintains offices at Gettysburg, PA.
    (i) The address of the Wireless Telecommunications Bureau's 
licensing facilities are:
    (A) Federal Communications Commission, 1270 Fairfield Road, 
Gettysburg, PA 17325-7245; and
    (B) Federal Communications Commission, Wireless Telecommunications 
Bureau, Washington, DC 20554.
    (ii) The mailing address of the International Telecommunications 
Section of the Finance Branch is: Federal Communications Commission, 
P.O. Box IT-70, Gettysburg, PA 17326.
    (4) The locations of the field offices of the Compliance and 
Information Bureau are listed in Sec. 0.121.
    (5) The location of the Office of General Counsel is Room 614, 1919 
M Street NW., Washington, DC 20554.
    (b) Applications or filings requiring the fees set forth at part 1, 
subpart G of the rules must be delivered to the Commission's lockbox 
bank in Pittsburgh, Pennsylvania with the correct fee and completed Fee 
Form attached to the application or filing, unless otherwise directed by 
the Commission. In the case of any conflict between this rule subpart 
and other rules establishing filing locations for submissions subject to 
a fee, this subpart shall govern.

    Note: Applicants seeking a waiver or deferral of fees must submit 
their application or filing in accordance with the addresses set forth 
below. Applicants claiming a statutory exemption from the fees should 
file their applications in accordance with paragraph (a) of this 
section.

    (1) Applications and filings submitted by mail shall be addressed to 
the Mellon Bank in Pittsburgh, Pennsylvania. The bank maintains separate 
post office boxes for the receipt of different types of applications. It 
will also establish special post office boxes to receive responses to 
special filings such as applications filed in response to ``filing 
windows'' established by the Commission. The address for the submission 
of filings will be established in the Public Notice announcing the 
filing dates. In all other cases, applications and filings submitted by 
mail should be sent to the addresses listed in the appropriate fee 
rules.

    Note: Wireless Telecommunications Bureau applications that require 
frequency coordination by certified coordinators must be submitted to 
the appropriate certified frequency coordinator before filing with the

[[Page 47]]

Commission. After coordination, the applications are filed with the 
Commission as set forth herein. (See Secs. 90.127 and 90.175 of this 
chapter.)

    (2) Applications and other filings may also be hand carried, in 
person or by courier, to the Mellon Bank, Three Mellon Bank Center, 525 
William Penn Way, 27th Floor, room 153-2713, Pittsburgh, Pennsylvania. 
All applications and filings delivered in this manner must be in an 
envelope clearly marked for the ``Federal Communications Commission,'' 
addressed to the attention of ``Wholesale Lockbox Shift Supervisor,'' 
and identified with the appropriate Post Office Box address as set out 
in the fee schedule (Secs. 1.1102-1.1107). Applications should be 
enclosed in a separate envelope for each Post Office Box. Hand-carried 
or couriered applications and filings may be delivered at any time on 
any day. Applications or filings received by the bank before midnight on 
any Commission business day will be treated as having been filed on that 
day. Materials received by the bank after midnight, Monday through 
Friday, or on weekends or holidays, will be treated as having been filed 
on the next Commission business day.
    (3) Alternatively, applications and other filings may be sent 
electronically via the Universal Licensing System (ULS).

[52 FR 10227, Mar 31, 1987, as amended at 53 FR 18564, May 24, 1988; 53 
FR 40886, Oct. 19, 1988; 54 FR 12453, Mar. 27, 1989; 55 FR 19154, May 8, 
1990; 56 FR 64714, Dec. 12, 1991; 58 FR 13020, Mar. 9, 1993; 60 FR 5325, 
Jan. 27, 1995; 60 FR 35507, July 10, 1995; 61 FR 8477, Mar. 5, 1996; 63 
FR 24124, May 1, 1998; 63 FR 36596, July 7, 1999; 63 FR 68919, Dec. 14, 
1998; 65 FR 58466, Sept. 29, 2000]



Sec. 0.403  Office hours.

    The main offices of the Commission are open from 8 a.m. to 5:30 
p.m., Monday through Friday, excluding legal holidays, unless otherwise 
stated.

[52 FR 10228, Mar. 31, 1987]



Sec. 0.405  Statutory provisions.

    The following statutory provisions, among others, will be of 
interest to persons having business with the Commission:
    (a) The Federal Communications Commission was created by the 
Communications Act of 1934, 48 Stat. 1064, June 19, 1934, as amended, 47 
U.S.C. 151-609.
    (b) The Commission exercises authority under the Submarine Cable 
Landing Act, 42 Stat. 8, May 27, 1921, 47 U.S.C. 34-39. See section 5 of 
Executive Order 10530, 19 FR 2709, May 10, 1954, as amended, 3 CFR, 1965 
ed., p. 463.
    (c) The Commission exercises authority under the Communications 
Satellite Act of 1962, 76 Stat. 419, August 31, 1962, 47 U.S.C. 701-744.
    (d) The Commission operates under the Administrative Procedure Act, 
60 Stat. 237, June 11, 1946, as amended, originally codified as 5 U.S.C. 
1001-1011. Pursuant to Pub. L. 89-554, September 6, 1966, 80 Stat. 378, 
the provisions of the Administrative Procedure Act now appear as follows 
in the Code:

------------------------------------------------------------------------
     Administrative Procedure Act                   5 U.S.C.
------------------------------------------------------------------------
Sec. 2-9..............................  551-558
Sec. 10...............................  701-706
Sec. 11...............................  3105, 7521, 5362, 1305
Sec. 12...............................  559
------------------------------------------------------------------------


[32 FR 10570, July 19, 1967]



Sec. 0.406  The rules and regulations.

    Persons having business with the Commission should familiarize 
themselves with those portions of its rules and regulations pertinent to 
such business. All of the rules have been published and are readily 
available. See Secs. 0.411(b), 0.412, and 0.415. For the benefit of 
those who are not familiar with the rules, there is set forth in this 
section a brief description of their format and contents.
    (a) Format. The rules are set forth in the Code of Federal 
Regulations as chapter I of title 47. Chapter I is divided into parts 
numbered from 0-99. Each part, in turn, is divided into numbered 
sections. To allow for the addition of new parts and sections in logical 
sequence, without extensive renumbering, parts and sections are not 
always numbered consecutively. Thus, for example, part 2 is followed by 
part 5, and Sec. 1.8 is followed by Sec. 1.10; in this case, parts 3 and 
4 and Sec. 1.9 have been reserved for future use. In numbering sections, 
the number before the period is the part number; and the number after 
the period locates the section

[[Page 48]]

within that part. Thus, for example, Sec. 1.1 is the first section of 
part 1 and Sec. 5.1 is the first section in part 5. Except in the case 
of accounting regulations (parts 31-35), the period should not be read 
as a decimal point; thus, Sec. 1.511 is not located between Secs. 1.51 
and 1.52 but at a much later point in the rules. In citing the Code of 
Federal Regulations, the citation, 47 CFR 5.1, for example, is to 
Sec. 5.1 (in part 5) of chapter I of title 47 of the Code, and permits 
the exact location of that rule. No citation to other rule units (e.g., 
subpart or chapter) is needed.
    (b) Contents. Parts 0-19 of the rules have been reserved for 
provisions of a general nature. Parts 20-69 of this chapter have been 
reserved for provisions pertaining to common carriers. Parts 20-29 and 
80-109 of this chapter have been reserved for provisions pertaining to 
the wireless telecommunications services. In the rules pertaining to 
common carriers, parts 20-25 and 80-99 of this chapter pertain to the 
use of radio; In the rules pertaining to common carriers, parts 21, 23, 
and 25 of this chapter pertain to the use of radio; parts 31-66 of this 
chapter pertain primarily to telephone and telegraph companies. Persons 
having business with the Commission will find it useful to consult one 
or more of the following parts containing provisions of a general nature 
in addition to the rules of the radio or wire communication service in 
which they are interested:
    (1) Part 0, Commission organization. Part 0 describes the structure 
and functions of the Commission, lists delegations of authority to the 
staff, and sets forth information designed to assist those desiring to 
obtain information from, or to do business with, the Commission. This 
part is designed, among other things, to meet certain of the 
requirements of the Administrative Procedure Act, as amended.
    (2) Part 1 of this chapter, practice and procedure. Part 1, subpart 
A, of this chapter contains the general rules of practice and procedure. 
Except as expressly provided to the contrary, these rules are applicable 
in all Commission proceedings and should be of interest to all persons 
having business with the Commission. Part 1, subpart A of this chapter 
also contains certain other miscellaneous provisions. Part 1, subpart B, 
of this chapter contains the procedures applicable in formal hearing 
proceedings (see Sec. 1.201 of this chapter). Part 1, subpart C, of this 
chapter contains the procedures followed in making or revising the rule 
or regulations. Part 1, subpart D, of this chapter contains rules 
applicable to applications for licenses in the Broadcast Radio Services, 
including the forms to be used, the filing requirements, the procedures 
for processing and acting upon such applications, and certain other 
matters. Part 1, subpart F, of this chapter contain rules applicable to 
applications for licenses in the Wireless Telecommunications Bureau 
services, including the forms to be used, the filing requirements, the 
procedures for processing and acting on such applications, and certain 
other matters. Additional procedures applicable to certain common 
carriers by radio are set forth in part 21 of this chapter. Part 1, 
subpart F, of this chapter contains rules applicable to applications for 
licenses in the Private Radio Services, including the forms to be used, 
the filing requirements, the procedures for processing and acting on 
such applications, and certain other matters. Part 1, subpart G, of this 
chapter contains rules pertaining to the application processing fees 
established by the Consolidated Omnibus Budget Reconciliation Act of 
1985 (Pub. L. 99-272, 100 Stat. 82 (1986)) and also contains rules 
pertaining to the regulatory fees established by the Omnibus Budget 
Reconciliation Act of 1993 (Pub. L. 103-66, 107 Stat. 397 (1993)). Part 
1, subpart H, of this chapter, concerning ex parte presentations, sets 
forth standards governing communications with commission personnel in 
hearing proceedings and contested application proceedings. Part 1, 
subparts G and H, of this chapter will be of interest to all regulatees, 
and part 1, subpart H, of this chapter will, in addition, be of interest 
to all persons involved in hearing proceedings.
    (3) Part 2, frequency allocations and radio treaty matters; general 
rules and regulations. Part 2 will be of interest to all persons 
interested in the use of

[[Page 49]]

radio. It contains definitions of technical terms used in the rules and 
regulations; provisions governing the allocation of radio frequencies 
among the numerous uses made of radio (e.g., broadcasting, land mobile) 
and radio services (e.g., television, public safety), including the 
Table of Frequency Allocaions (Sec. 2.106); technical provisions dealing 
with emissions; provisions dealing with call signs and emergency 
communications; provisions governing authorization of radio equipment; 
and a list of treaties and other international agreements pertaining to 
the use of radio.
    (4) Part 5, experimental radio services (other than broadcast). Part 
5 deals with the temporary use of radio frequencies for research in the 
radio art, for communication involving other research projects, and for 
the development of equipment, data, or techniques.
    (5) Part 13, commercial radio operators. Part 13 describes the 
procedures to be followed in applying for a commercial operator license, 
including the forms to be used and the examinations given, and sets 
forth rules governing licensed operators. It will be of interest to 
applicants for such licenses, licensed operators, and the licensees of 
radio stations which may be operated only by persons holding a 
commercial radio operator license.
    (6) Part 15, radio frequency devices. Part 15 contains regulations 
designed to prevent harmful interference to radio communication from 
radio receivers and other devices which radiate radio frequency energy, 
and provides for the certification of radio receivers. It also provides 
for the certification of low power transmitters and for the operation of 
certificated transmitters without a license.
    (7) Part 17, construction, marking, and lighting of antenna 
structures. Part 17 contains criteria for determining whether 
applications for radio towers require notification of proposed 
construction to the Federal Aviation Administration, and specifications 
for obstruction marking and lighting of antenna structures.
    (8) Part 18, industrial, scientific and medical equipment. Part 18 
contains regulations designed to prevent harmful interference to radio 
communication from ultrasonic equipment, industrial heating equipment, 
medical diathermy equipment, radio frequency stabilized arc welders, and 
other equipment which uses radio energy for purposes other than 
communication.
    (9) Part 19, employee responsibilities and conduct. Part 19 
prescribes standards of conduct for the members and staff of the 
Commission.

[32 FR 10571, July 19, 1967, as amended at 32 FR 12180, Aug. 24, 1967; 
37 FR 20553, Sept. 30, 1972; 52 FR 5288, Feb. 20, 1987; 58 FR 13021, 
Mar. 9, 1993; 59 FR 30998, June 16, 1994; 60 FR 35507, July 10, 1995; 63 
FR 36596, July 7, 1998]



Sec. 0.408  OMB control numbers and expiration dates assigned pursuant to the Paperwork Reduction Act of 1995.

    (a) Purpose. This section displays the control numbers and 
expiration dates for the Commission information collection requirements 
assigned by the Office of Management and Budget (``OMB'') pursuant to 
the Paperwork Reduction Act of 1995, Public Law 104-13. The Commission 
intends that this section comply with the requirement that agencies 
display current control numbers and expiration dates assigned by the 
Director of OMB for each approved information collection requirement. 
Not withstanding any other provisions of law, no person shall be subject 
to any penalty for failing to comply with a collection of information 
subject to the Paperwork Reduction Act (PRA) that does not display a 
valid control number. Questions concerning the OMB control numbers and 
expiration dates should be directed to the Associate Managing Director--
Performance Evaluation and Records Management, Federal Communications 
Commission, Washington, DC 20554.
    (b) Display

------------------------------------------------------------------------
    OMB         FCC Form Number or 47 CFR Section or Part,        OMB
  Control         Docket Number or Title identifying the      Expiration
    No.                         collection                        Date
------------------------------------------------------------------------
  3060-0003  FCC 610........................................    10/31/02
  3060-0004  Guidelines for Evaluating the Environmental        06/30/01
              Effects of Radio Frequency Radiation, ET Doc.
              96-62.........................................
  3060-0009  FCC 316........................................    11/30/99

[[Page 50]]

 
  3060-0010  FCC 323........................................    07/31/02
  3060-0012  Parts 21, 23, 25 and 101 and FCC 701...........    05/31/00
  3060-0016  FCC 346........................................    07/31/00
  3060-0017  FCC 347........................................    07/31/00
  3060-0020  FCC 406........................................    05/31/02
  3060-0021  FCC 480........................................    12/31/00
  3060-0024  Sec. 76.29.....................................    08/31/01
  3060-0025  FCC 755........................................    07/31/00
  3060-0027  FCC 301........................................    03/31/02
  3060-0028  FCC 313........................................    03/31/02
  3060-0029  FCC 302-TV.....................................    12/31/00
  3060-0031  FCC 314........................................    03/31/02
  3060-0032  FCC 315........................................    03/31/02
  3060-0034  FCC 340........................................    12/31/00
  3060-0035  FCC 313-R......................................    04/30/00
  3060-0041  FCC 301-A......................................    02/29/00
  3060-0048  FCC 704........................................    05/31/00
  3060-0049  FCC 753........................................    06/30/00
  3060-0051  FCC 405-B......................................    08/31/00
  3060-0053  FCC 703........................................    11/30/99
  3060-0054  FCC 820........................................    12/31/01
  3060-0055  FCC 327........................................    04/30/00
  3060-0056  FCC 730........................................    03/31/00
  3060-0057  FCC 731........................................    09/30/99
  3060-0059  FCC 740........................................    09/30/99
  3060-0061  FCC 325........................................    07/31/02
  3060-0062  FCC 330........................................    03/31/02
  3060-0065  FCC 422........................................    02/28/02
  3060-0066  FCC 330-R......................................    07/31/00
  3060-0068  FCC 702........................................    08/31/00
  3060-0069  FCC 756........................................    09/30/02
  3060-0072  FCC 409........................................    08/31/01
  3060-0075  FCC 345........................................    12/31/99
  3060-0076  FCC 395........................................    12/31/99
  3060-0079  FCC 610-B......................................    06/30/02
  3060-0084  FCC 323-E......................................    07/31/02
  3060-0089  FCC 503........................................    08/31/01
  3060-0093  FCC 405........................................    05/31/00
  3060-0095  FCC 395-A, 395-AS..............................    07/31/00
  3060-0096  FCC 506, 506-A.................................    08/31/02
  3060-0099  FCC Form M.....................................    11/30/99
  3060-0104  FCC 572........................................    05/31/00
  3060-0105  FCC 430........................................    09/30/00
  3060-0106  Sec. 43.61.....................................    10/31/99
  3060-0107  FCC 405-A......................................    01/31/00
  3060-0108  FCC 201........................................    05/31/01
  3060-0110  FCC 303-S......................................    05/31/01
  3060-0113  FCC 396........................................    01/31/00
  3060-0119  Sec. 90.145....................................    12/31/99
  3060-0120  FCC 396-A......................................    10/31/99
  3060-0126  Sec. 73.1820...................................     (\1\)
  3060-0127  FCC 1046.......................................    03/31/00
  3060-0128  FCC 574........................................    08/31/01
  3060-0132  FCC 1068A......................................    12/30/00
  3060-0134  FCC 574-R......................................    05/31/02
  3060-0136  FCC 574-T......................................    12/31/00
  3060-0139  FCC 854/854-R/854ULS...........................    08/31/02
  3060-0147  Sec. 64.804....................................    01/31/00
  3060-0149  Part 63, Secs. 214, 63.01-63.601...............    11/30/01
  3060-0157  Sec. 73.99.....................................    02/29/00
  3060-0160  Sec. 73.158....................................    01/31/02
  3060-0161  Sec. 73.61.....................................    12/31/99
  3060-0165  Part 41 Sec. 41.31.............................    01/31/00
  3060-0166  Part 42........................................    09/30/01
  3060-0168  Sec. 43.43.....................................    12/31/01
  3060-0169  Sec. 43.51, 43.53..............................    04/30/02
  3060-0170  Sec. 73.1030...................................    03/31/02
  3060-0171  Sec. 73.1125...................................    10/31/01
  3060-0173  Sec. 73.1207...................................    05/31/01
  3060-0174  Sec. 73.1212...................................    07/31/02
  3060-0175  Sec. 73.1250...................................    10/31/99
  3060-0176  Sec. 73.1510...................................    12/31/99

[[Page 51]]

 
  3060-0178  Sec. 73.1560...................................    12/31/99
  3060-0179  Sec. 73.1590...................................    06/30/01
  3060-0180  Sec. 73.1610...................................    02/28/02
  3060-0181  Sec. 73.1615...................................    12/31/99
  3060-0182  Sec. 73.1620...................................    02/28/01
  3060-0184  Sec. 73.1740...................................    12/31/01
  3060-0185  Sec. 73.3613...................................    07/31/01
  3060-0187  Sec. 73.3594...................................    02/28/01
  3060-0188  Sec. 73.3550...................................    08/31/01
  3060-0190  Sec. 73.3544...................................    02/28/01
  3060-0192  Sec. 87.103....................................    01/31/01
  3060-0194  Sec. 74.21.....................................    12/31/01
  3060-0202  Sec. 87.37.....................................    12/31/00
  3060-0204  Sec. 90.38(B)..................................    07/31/02
  3060-0206  Part 21........................................    05/31/01
  3060-0207  Sec. 11.52.....................................    09/30/99
  3060-0208  Sec. 73.1870...................................    01/31/00
  3060-0209  Sec. 73.1920...................................    10/31/99
  3060-0210  Sec. 73.1930...................................    06/30/01
  3060-0211  Sec. 73.1943...................................    07/31/01
  3060-0212  Sec. 73.2080...................................    12/31/99
  3060-0213  Sec. 73.3525...................................    11/30/00
  3060-0214  Sec. 73.3526...................................    10/31/01
  3060-0215  Sec. 73.3527...................................    10/31/01
  3060-0216  Sec. 73.3538...................................    11/30/01
  3060-0219  Sec. 90.49(b)..................................    10/31/99
  3060-0221  Sec. 90.155....................................    12/31/01
  3060-0222  Sec. 97.213....................................    12/31/00
  3060-0223  Sec. 90.129....................................    04/30/02
  3060-0224  Sec. 90.151....................................    02/28/01
  3060-0225  Sec. 90.131(B).................................    09/30/99
  3060-0226  Sec. 90.135(d) & (e)...........................    02/28/01
  3060-0228  Sec. 80.59.....................................    08/31/01
  3060-0233  Part 36........................................    10/31/99
  3060-0236  Sec. 74.703....................................    06/30/02
  3060-0240  Sec. 74.651....................................    02/29/00
  3060-0241  Sec. 74.633....................................    02/29/00
  3060-0242  Sec. 74.604....................................    02/29/00
  3060-0243  Sec. 74.551....................................    05/31/02
  3060-0245  Sec. 74.537....................................    05/31/02
  3060-0246  Sec. 74.452....................................    07/31/00
  3060-0248  Sec. 74.751....................................    06/30/02
  3060-0249  Sec. 74.781....................................    01/31/00
  3060-0250  Sec. 74.784....................................    01/31/00
  3060-0251  Sec. 74.833....................................    10/31/99
  3060-0253  Part 68; Secs. 68.106, 68.108, 68.110..........    04/30/01
  3060-0254  Sec. 74.433....................................    07/31/00
  3060-0258  Sec. 90.176....................................    10/31/99
  3060-0259  Sec. 90.263....................................    12/31/00
  3060-0261  Sec. 90.215....................................    12/31/00
  3060-0262  Sec. 90.179....................................    12/31/01
  3060-0263  Sec. 90.177....................................    09/30/99
  3060-0264  Sec. 80.413....................................    12/31/00
  3060-0265  Sec. 80.898....................................    08/31/01
  3060-0270  Sec. 90.443....................................    01/31/00
  3060-0280  Sec. 90.633(f) & (g)...........................    11/30/99
  3060-0281  Sec. 90.651....................................    02/28/01
  3060-0286  Sec. 80.302....................................    04/30/01
  3060-0287  Sec. 78.69.....................................    10/31/01
  3060-0288  Sec. 78.33.....................................    12/31/99
  3060-0289  Sec. 76.601....................................    03/31/02
  3060-0290  Sec. 90.517....................................    05/31/02
  3060-0291  Sec. 90.477....................................    02/28/01
  3060-0292  Part 69........................................    09/30/00
  3060-0295  Sec. 90.607(b)(1) & (c)(1).....................    12/31/00
  3060-0297  Sec. 80.503....................................    12/31/00
  3060-0298  Part 61........................................    10/31/00
  3060-0307  Sec. 90.629(A).................................    10/31/99
  3060-0308  Sec. 90.505....................................    03/31/01
  3060-0309  Sec. 74.1281...................................    09/30/99
  3060-0310  Sec. 76.12.....................................    12/31/99
  3060-0311  Sec. 76.54.....................................    09/30/99

[[Page 52]]

 
  3060-0313  Sec. 76.207....................................    07/31/01
  3060-0314  Sec. 76.209....................................    03/31/01
  3060-0315  Sec. 76.221....................................    09/30/99
  3060-0316  Sec. 76.305....................................    07/31/01
  3060-0318  FCC 489........................................    12/31/00
  3060-0319  FCC 490........................................    09/30/00
  3060-0320  Sec. 73.1350...................................    04/30/01
  3060-0321  Sec. 73.68.....................................    01/31/02
  3060-0325  Sec. 80.605....................................    06/30/02
  3060-0326  Sec. 73.69.....................................    09/30/99
  3060-0329  Sec. 2.955.....................................     (\1\)
  3060-0330  Part 62........................................    04/30/01
  3060-0331  Sec. 76.615(b).................................    05/31/01
  3060-0332  Sec. 76.614....................................    09/30/01
  3060-0340  Sec. 73.51.....................................    08/31/00
  3060-0341  Sec. 73.1680...................................    08/31/00
  3060-0342  Sec. 74.1284...................................    07/31/00
  3060-0344  Sec. 1.1705....................................    08/31/00
  3060-0345  Sec. 1.1709....................................    08/31/00
  3060-0346  Sec. 78.27.....................................    03/31/01
  3060-0347  Sec. 97.311....................................    11/30/00
  3060-0348  Sec. 76.79.....................................    02/28/01
  3060-0349  Sec. 76.73 and 76.75...........................    02/28/01
  3060-0355  FCC 492 and FCC 492A...........................    07/31/01
  3060-0357  Sec. 63.701....................................    08/31/01
  3060-0360  Sec. 80.409(c).................................    08/31/01
  3060-0361  Sec. 80.29.....................................    04/30/01
  3060-0362  Inspection of Radio Installation on Large Cargo    11/30/99
              and Small Passenger Ships.....................
  3060-0364  Sec. 80.409(d) & (e)...........................    08/31/01
  3060-0368  Sec. 97.523....................................    08/31/00
  3060-0370  Part 32........................................    12/31/00
  3060-0374  Sec. 73.1690...................................    01/31/02
  3060-0384  Sec. 64.904....................................    04/30/02
  3060-0386  Sec. 73.1635...................................    07/31/02
  3060-0387  Sec. 15.201(d).................................    11/30/99
  3060-0390  FCC 395B.......................................    12/31/99
  3060-0391  Program to Monitor the Impact of Universal         12/31/01
              Service Support Mechanisms....................
  3060-0392  47 CFR Part 1, Subpart J, Pole Attachment          07/31/01
              Complaint Procedures..........................
  3060-0393  Sec. 73.45.....................................    10/31/99
  3060-0394  Sec. 1.420.....................................    10/31/99
  3060-0395  Secs 43.21 and 43.22 FCC Reports 43-02, FCC 43-    03/31/02
              05 and FCC 43-07..............................
  3060-0397  Sec. 15.7(A)...................................    04/30/00
  3060-0398  Sec. 2.948, 15.117(G)(2).......................    10/31/99
  3060-0400  Tariff Review Plan.............................    09/30/99
  3060-0404  FCC 350........................................    05/31/02
  3060-0405  FCC 349........................................    07/31/02
  3060-0407  Sec. 73.3598...................................    05/31/02
  3060-0410  FCC 495A and FCC 495B..........................    03/31/00
  3060-0411  FCC 485........................................    06/30/02
  3060-0414  Terrain Shielding Policy.......................    09/30/00
  3060-0419  Secs. 76.94, 76.95, 76.155, 76.156, 76.157,        10/31/01
              76.159........................................
  3060-0421  New Service Reporting Requirements under Price     11/30/99
              Cap Regulation................................
  3060-0422  Sec. 68.5......................................    10/31/01
  3060-0423  Sec. 73.3588...................................    10/31/99
  3060-0425  Sec. 74.913....................................    07/31/01
  3060-0427  Sec. 73.3523...................................    09/30/00
  3060-0430  Sec. 1.1206....................................    09/30/01
  3060-0433  FCC 320........................................    03/31/02
  3060-0434  Sec. 90.20(e)(6)...............................    05/31/02
  3060-0435  Sec. 80.361....................................    10/31/99
  3060-0436  Equipment Authorization, Cordless Telephone        11/30/99
              Security Coding...............................
  3060-0439  Regulations Concerning Indecent Communications     03/31/01
              by Telephone..................................
  3060-0441  Sec. 90.621(B)(4)..............................    11/30/99
  3060-0443  FCC 572C.......................................    03/31/02
  3060-0444  FCC 800A.......................................    06/30/01
  3060-0448  Sec. 63.07.....................................    08/31/00
  3060-0449  Sec. 1.65(c)...................................    01/31/01
  3060-0452  Sec. 73.3589...................................    10/31/99
  3060-0454  Regulation of International Accounting Rates...    01/31/00
  3060-0461  Sec. 90.173....................................    12/31/99
  3060-0463  Telecommunications Services for Individuals        11/30/99
              with Hearing and Speech Disabilities--CC
              Docket No. 98-67..............................

[[Page 53]]

 
  3060-0465  Sec. 74.985....................................    12/31/99
  3060-0466  Sec. 74.1283...................................    01/31/00
  3060-0470  Allocation of Cost, Cost Allocation Manual, RAO    10/31/01
              Letters 19 and 26.............................
  3060-0473  Sec. 74.1251...................................    12/31/99
  3060-0474  Sec. 74.1263...................................    02/29/00
  3060-0475  Sec. 90.713....................................    05/31/02
  3060-0478  Informational Tariffs..........................    04/30/00
  3060-0481  FCC 452R.......................................    08/31/00
  3060-0483  Sec. 73.687....................................    07/31/00
  3060-0484  Sec. 63.100....................................    01/31/02
  3060-0488  Sec. 73.30.....................................    02/28/01
  3060-0489  Sec. 73.37.....................................    02/28/01
  3060-0490  Sec. 74.902....................................    03/31/01
  3060-0491  Sec. 74.991....................................    03/31/01
  3060-0492  Sec. 74.992....................................    02/28/01
  3060-0493  Sec. 74.986....................................    02/28/01
  3060-0494  Sec. 74.990....................................    02/28/01
  3060-0496  FCC Report 43-08...............................    03/31/02
  3060-0500  Sec. 76.607....................................    07/31/01
  3060-0501  Sec. 76.206....................................    07/31/01
  3060-0502  Sec. 73.1942...................................    07/31/01
  3060-0506  FCC 302-FM.....................................    12/31/00
  3060-0508  Rewrite and Update of Part 22..................    01/31/01
  3060-0511  ARMIS Access Report, FCC Report 43-04..........    03/31/02
  3060-0512  ARMIS Annual Summary Report, FCC Report 43-01..    03/31/02
  3060-0513  ARMIS Joint Cost Report, FCC Report 43-03......    03/31/02
  3060-0514  Sec. 43.21(c)..................................    02/29/00
  3060-0515  Sec. 43.21(d)..................................     (\1\)
  3060-0519  Rules and Regulations Implementing the             12/31/01
              Telephone Consumer Protection Act of 1991.....
  3060-0526  Density Pricing Zone Plans, Expanded               10/31/99
              Interconnection with Local Telephone
              Facilities (CC Docket 91-141).................
  3060-0531  Local Multipoint Distribution Service (LMDS)...    06/30/00
  3060-0532  Sec. 2.975(A)(8) & 2.1033(B)(12)...............    08/31/02
  3060-0536  FCC 431........................................    01/31/00
  3060-0537  Sec. 13.217....................................    05/31/02
  3060-0540  Tariff Filing Requirement for Nondominant          05/31/02
              Common Carriers...............................
  3060-0543  Sec. 21.913....................................    10/31/99
  3060-0544  Sec. 76.701....................................    10/31/00
  3060-0546  Sec. 76.59.....................................    12/31/99
  3060-0548  Sec. 76.302 & 76.56............................    10/31/01
  3060-0549  FCC 329........................................    12/31/99
  3060-0550  FCC 328........................................     (\1\)
  3060-0551  Sec. 76.1002 & 76.1004.........................    05/31/00
  3060-0552  Sec. 76.1003 & 76.1004.........................    05/31/00
  3050-0554  Section 87.199.................................    06/30/02
  3060-0556  Sec. 80.1061...................................    06/30/02
  3060-0560  Sec. 76.911....................................    07/31/01
  3060-0561  Sec. 76.913....................................    08/31/00
  3060-0562  Sec. 76.916....................................    04/30/01
  3060-0563  Sec. 76.915....................................    06/30/00
  3060-0564  Sec. 76.924....................................    11/30/99
  3060-0565  Sec. 76.944....................................    08/31/00
  3060-0567  Sec. 76.962....................................    02/28/02
  3060-0568  Commercial Leased Access Rates, Terms, &           04/30/00
              Conditions, Sec. 76.970.......................
  3060-0569  Sec. 76.975....................................    06/30/00
  3060-0570  Sec. 76.982....................................    04/30/01
  3060-0572  Filing Manual for Annual International Circuit      (\1\)
              Status Reports................................
  3060-0573  FCC 394........................................    12/31/99
  3060-0574  FCC 395-M......................................    06/30/02
  3060-0577  Expanded Interconnection with Local Telephone      09/30/00
              Company Facilities............................
  3060-0579  Expanded Interconnection with Local Telephone      09/30/00
              Company Facilities for Interstate Switched
              Transport Service.............................
  3060-0580  Sec. 76.504....................................    06/30/00
  3060-0581  Sec. 76.503....................................    01/31/00
  3060-0584  FCC 45 FCC 44..................................    10/31/99
  3060-0589  FCC 159, and 159C..............................    12/31/00
  3060-0594  FCC 1220.......................................    05/31/01
  3060-0595  FCC 1210.......................................    07/31/01
  3060-0599  Implementation of Sections 3(n) and 322 of the     06/30/00
              Communications Act, GN 93-253.................
  3060-0600  FCC 175 and 175-DS.............................    06/30/02
  3060-0601  FCC 1200.......................................    05/31/01
  3060-0602  Sec. 76.917....................................    04/30/00

[[Page 54]]

 
  3060-0607  Sec. 76.922....................................    08/31/00
  3060-0609  Sec. 76.934(D).................................    04/30/01
  3060-0610  Sec. 76.958....................................    04/30/01
  3060-0611  Sec. 74.783....................................    07/31/00
  3060-0613  Expanded Interconnection with Local Telephone      09/30/99
              Company Facilities, CC Docket 91-141..........
  3060-0621  Rules and Requirements for Broadband PCS           01/31/01
              Licenses......................................
  3060-0623  FCC 600........................................    01/31/02
  3060-0624  Amendment of the Commission's Rules to             10/31/00
              Establish New Narrowband Personal
              Communications Services, Sec. 24.103(f).......
  3060-0625  Amendment of the Commission's Rules to             11/30/00
              Establish New Personal Communications
              Services, Sec. 24.237.........................
  3060-0626  Regulatory Treatment of Mobile Services........    12/31/00
  3060-0627  FCC 302-AM.....................................    04/30/01
  3060-0629  Sec. 76.987....................................    05/31/01
  3060-0630  Sec. 73.62.....................................    06/30/01
  3060-0633  Sec. 73.1230, 74.165, 74.432, 74.564, 74.664,      06/30/01
              74.765, 74.832, 74.965 and 74.1265............
  3060-0634  Sec. 73.691....................................    04/30/01
  3060-0635  FCC 610-V......................................    03/31/01
  3060-0636  Equipment Authorization--Declaration of             (\1\)
              Compliance--Amendment of Parts 2 and 15.......
  3060-0638  Sec. 76.934(F)(1)..............................    02/28/02
  3060-0639  Implementation of Section 309(J) of the            09/30/01
              Communications Act Competitive Bidding, PP 93-
              253...........................................
  3060-0640  FCC 800I.......................................    08/31/01
  3060-0641  FCC 218-I......................................    09/30/99
  3060-0644  FCC 1230.......................................    02/28/02
  3060-0645  Antenna Registration, Part 17..................    04/30/02
  3060-0646  Policies and Rules Concerning Unauthorized         01/31/01
              Changes of Consumers' Long Distance Carriers:
              CC Docket 94-129..............................
  3060-0647  Annual Survey of Cable Industry Prices.........    01/31/00
  3060-0648  Sec. 21.902....................................    09/30/99
  3060-0649  Sec. 76.58.....................................    12/31/01
  3060-0652  Sec. 76.309 & 76.964...........................    10/31/01
  3060-0653  Sec. 64.703(b).................................    01/31/02
  3060-0654  FCC 304........................................    10/31/01
  3060-0655  Request for Waivers of Regulatory Fees              (\1\)
              Predicated on Allegations of Financial
              Hardship, MM Docket 94-19.....................
  3060-0656  FCC 175-M......................................    11/30/01
  3060-0657  Sec. 21.956....................................    09/30/01
  3060-0658  Sec. 21.960....................................    11/30/01
  3060-0660  Sec. 21.937....................................    09/30/01
  3060-0661  Sec. 21.931....................................    10/31/01
  3060-0662  Sec. 21.930....................................    09/30/01
  3060-0663  Sec. 21.934....................................    09/30/99
  3060-0664  FCC 304A.......................................    10/31/01
  3060-0665  Sec. 64.707....................................    01/31/02
  3060-0667  Sec. 76.630....................................    10/31/01
  3060-0668  Sec. 76.936....................................    03/31/02
  3060-0669  Sec. 76.946....................................    05/31/02
  3060-0673  Sec. 76.956....................................    03/31/02
  3060-0674  Sec. 76.931 & 76.932...........................    06/30/02
  3060-0678  FCC 312........................................    05/31/01
  3060-0681  Toll-Free Service Access Codes, Part 52........    09/30/00
  3060-0683  Direct Broadcast Satellite Service.............    10/31/99
  3060-0684  Cost Sharing Plan for Microwave Relocation.....    11/30/99
  3060-0685  FCC 1240.......................................    05/31/01
  3060-0686  Streamlining the International Section 214         08/31/02
              Authorization Process and Tariff Requirements.
  3060-0687  Access to Telecommunications Equipment and         05/31/02
              Services by Persons with Disabilities.........
  3060-0688  FCC 1235.......................................    07/31/02
  3060-0690  Rules Regarding the 37.0-38.6 GHz and 38.6-40.0    06/30/01
              GHz Bands.....................................
  3060-0691  Amendment to Parts 2 and 90 of the Commission's    09/30/99
              Rules to Provide for the Use of 200 Channels
              Outside the Designated Filing Areas in the 896-
              901 MHZ Bands Allotted to Specialized Mobile..
  3060-0692  Home Wiring Provisions.........................    03/31/01
  3060-0695  Sec. 87.219....................................    03/31/02
  3060-0697  Revision of Part 22 and Part 90 of the             03/31/00
              Commission's Rules to Facilitate Future
              Development of Paging Systems.................
  3060-0698  Amendment of the Commission's Rules to             01/31/01
              Establish a Radio Astronomy Coordination Zone
              in Puerto Rico................................
  3060-0700  FCC 1275.......................................    07/31/00
  3060-0701  CC Docket No. 96-23............................    11/30/99
  3060-0702  Amendment to Part 20 and 24 of the Commission's    11/30/99
              Rules, Broadband PCS Competitive Bidding and
              the Commercial Mobile Radio Service Spectrum
              Cap...........................................
  3060-0703  FCC 1205.......................................    09/30/99
  3060-0704  Policy and Rules Concerning the Interstate,        03/31/01
              Interexchange Marketplace; Implementation of
              Section 254(g) of the Communications Act of
              1934, as amended--CC Doc. 96-61...............

[[Page 55]]

 
  3060-0706  Cable Act Reform...............................    06/30/02
  3060-0707  Over-the Air Reception Devices.................    05/31/02
  3060-0709  Revision of Part 22 and Part 90 to Facilitate      01/31/00
              Future Development of the Paging System and
              Implementation of Section 309(j) of the
              Communications Act............................
  3060-0710  Policy and Rules Concerning the Implementation     02/29/00
              of the Local Competition Provisions in the
              Telecommunications Act of 1996--CC Doc. 96-98.
  3060-0711  Implementation of Section 34(a)(1) of the          10/31/99
              Public Utility Holding Act of 1935, as amended
              by the Telecommunications Act of 1996--GC Doc.
              96-101........................................
  3060-0712  Petition for Declaratory Ruling by the Inmate      10/31/99
              Calling Services Providers Task Force.........
  3060-0713  Alternative Broadcast Inspection Program (ABIP)    08/31/02
  3060-0714  Antenna Registration Number Required as            09/30/99
              Supplement to Application Forms...............
  3060-0715  Implementation of the Telecommunications Act of    06/30/01
              1996: Telecommunications Carriers' Use of
              Customer Proprietary Network Information and
              Other Customer Information--CC Doc. 96-115....
  3060-0716  Section 73.1630................................    11/30/99
  3060-0717  CC Docket No. 92-77............................    05/31/01
  3060-0718  Part 101 Governing the Terrestrial Microwave       09/30/99
              Fixed Radio Service...........................
  3060-0719  Quarterly Report of IntraLATA Carriers Listing     12/31/99
              Pay Phone Automatic Numbering Identifications
              (ANIs)........................................
  3060-0720  Proposed Report of Bell Operating Companies of     09/30/99
              Modified Comparably Efficient Interconnection
              Plans.........................................
  3060-0721  One-Time Report of Local Exchange Companies of     12/31/99
              Cost Accounting Studies.......................
  3060-0722  Proposed Initial Report of Bell Operating          11/30/99
              Companies of Comparably Efficient Interconnect
              Plans.........................................
  3060-0723  Public Disclosure of Network Information by        12/31/99
              Bell Operating Companies......................
  3060-0724  Annual Report of Interexchange Carriers Listing    12/31/99
              the Compensation Amount Paid to Pay Phone
              Providers and the Number of Payees............
  3060-0725  Proposed Annual Filing of Nondiscrimination        11/30/99
              Reports (on Quality of Service, Installation,
              and Maintenance) by BOC's.....................
  3060-0726  Proposed Quarterly Report of Interexchange         12/31/99
              Carriers Listing the Number of Dial-Around
              Calls for which Compensation is Being Paid to
              Pay Phone Owners..............................
  3060-0727  Sec. 73.213....................................    11/30/00
  3060-0728  Supplemental Information Requesting Taxpayer       05/31/00
              Identifying Numbers for Debt Collection.......
  3060-0729  Bell Operating Provision of Out-of-Region          12/31/99
              Interexchange Services (Affiliated Company
              Recordkeeping Requirements)...................
  3060-0730  Toll-Free Service Access Codes, 800/888 Number     02/29/00
              Release Procedures............................
  3060-0731  Telecommunications Relay Services (TRS)........    09/30/99
  3060-0732  Consumer Education Concerning Wireless 911.....    10/31/99
  3060-0734  Implementation of the Telecommunications Act of    03/31/00
              1996: Accounting Safeguards under the
              Telecommunications Act of 1996................
  3060-0735  Partitioning and Disaggregation................    09/30/99
  3060-0736  Implementation of the Non-Accounting Safeguards    10/31/01
              of Sections 271 and 272 of the Communications
              Act of 1934, as amended--CC Docket 96-149.....
  3060-0737  Disclosure Requirements for Information            09/30/99
              Services Provided under a Presubscription or
              Comparable Arrangement........................
  3060-0738  Implementation of the Telecommunications Act of    04/30/00
              1996: Electronic Publishing and Alarm
              Monitoring Services...........................
  3060-0739  Amendment of the Commission's Rules to             01/31/01
              Establish Competitive Safeguards for Local
              Exchange Carrier Provisions of Commercial
              Mobile Radio Service..........................
  3060-0740  Sec. 95.1015...................................    10/31/99
  3060-0741  Implementation of the Local Competition            10/31/99
              Provisions on the Telecommunications Act of
              1996--CC Docket No. 96-96, Second Report and
              Order and Memorandum Opinion and Order........
  3060-0742  Part 52, Subpart C, Sec. 52.21--52.31..........    12/31/99
  3060-0743  Implementation of the Pay Telephone                12/31/99
              Reclassification and Compensation Provisions
              of the Telecommunications Act of 1996--CC
              Docket No. 96-128.............................
  3060-0745  Implementation of the Local Exchange Carrier       12/31/00
              Tariff Streamlining Provisions--CC Docket No.
              96-187........................................
  3060-0746  FCC 900........................................    06/30/00
  3060-0747  FCC 415........................................    12/31/99
  3060-0748  Sec. 64.1504, CC Docket No. 96-146.............    12/31/99
  3060-0749  Sec. 64.1509...................................    01/31/00
  3060-0750  Sec. 73.673....................................    12/31/99
  3060-0751  Regulation of International Accounting Rates:      01/31/00
              CC Docket No. 90-337..........................
  3060-0752  Billing Disclosure Requirements for Pay-Per-       01/31/00
              Call and Other Information Services, Sec.
              64.1510.......................................
  3060-0753  Policy and Rules Concerning the Interstate,        01/31/00
              Inter-exchange Marketplace, CC Docket 9661
              (Integrated Rate Plans).......................
  3060-0754  FCC 398........................................    06/30/02
  3060-0755  Infrastructure Sharing--CC Docket 96-237.......    05/31/00
  3060-0756  Procedural Requirements and Policies for           06/30/01
              Commission Processing of Bell Operating
              Company Applications for the Provision of In-
              Region, InterLATA Services under Section 271
              of the Communications Act.....................
  3060-0757  FCC Auctions Customer Survey...................    09/30/00
  3060-0758  Amendment of Part 5 of the Commission's Rules      03/31/00
              to Revise the Experimental Radio Service
              Regulations--ET Docket No. 96-256 (Proposed
              Rule).........................................

[[Page 56]]

 
  3060-0759  Implementation of Section 273 of the               04/30/00
              Communications Act of 1934, as Amended by the
              Telecommunications Act of 1996................
  3060-0760  Access Charge Reform--CC Docket No. 96-272.....    12/31/01
  3060-0761  Closed Captioning of Video Programming.........    12/31/00
  3060-0762  Sec. 274 (b)(3)(B), CC Docket No. 96-152           04/30/00
              (FNPRM).......................................
  3060-0763  ARMIS Customer Satisfaction Report, FCC 43-06..    03/31/02
  3060-0765  Revision of Part 22 and Part 90 of the             05/31/00
              Commission's Rules to Facilitate Future
              Development of Paging Systems (Further Notice
              of Proposed Rulemaking).......................
  3060-0767  Auction Forms and License Transfer Disclosures--   10/31/01
              Supplement for the 2nd R&O, Order on
              Reconsideration, and 5th NPRM in CC Docket No.
              92-297........................................
  3060-0768  28 GHz Band Segmentation Plan Amending the         06/30/00
              Commission's Rules to Redesignate the 27.5-
              29.5 GHz Frequency Band, to Reallocate the
              29.5-30.0 GHz Frequency Band, and to Establish
              . . ..........................................
  3060-0769  Aeronautical Services Transition Plan..........    06/30/00
  3060-0770  Price Cap Performance Review for Local Exchange    06/30/00
              Carriers--CC Docket No. 94-1..................
  3060-0771  Sec. 5.56......................................    10/31/00
  3060-0773  Sec. 2.803.....................................    07/31/00
  3060-0774  Federal-State Joint Board on Universal Service--   01/31/02
              CC Docket No. 96-45, Secs. 36.611-36.612 and
              47 CFR Part 54................................
  3060-0775  47 CFR 64.1901-64.1903.........................    07/31/00
  3060-0777  Access Charge Reform-CC Docket No. 92-262          08/31/00
              (Further Notice of Proposed Rulemaking........
  3060-0779  Amendment to Part 90 of the Commission's Rules     08/31/00
              to Provide for Use of the 220-222 MHz Band by
              the Private Land Mobile Radio Service, PR Doc.
              89-552........................................
  3060-0780  Uniform Rate-Setting Methodology...............    09/30/00
  3060-0782  Petitions for Limited Modification of LATA         01/31/01
              Boundaries to Provide Expanded Local Calling
              Service (ELCS) at Various Locations...........
  3060-0783  Coordination Notification Requirements on          09/30/00
              Frequencies Below 512 MHz--Sec. 90.176........
  3060-0785  FCC 457........................................    09/30/99
  3060-0786  Petitions for LATA Association Changes by          01/31/01
              Independent Telephone Companies...............
  3060-0787  Implementation of the Subscriber Carrier           04/30/02
              Selection Changes Provisions of the
              Telecommunications Act of 1996................
  3060-0788  DTV Showings/Interference Agreements...........    07/31/01
  3060-0789  Modified Alternative Plan, CC Doc. 90-571,         06/30/01
              Order (``1997 Suspension Order'').............
  3060-0790  Section 68.110(c)..............................    11/30/00
  3060-0791  CC Docket No. 93-240...........................    11/30/00
  3060-0793  Procedures for States Regarding Lifeline           07/31/01
              Consent, Adoption of Intrastate Discount
              Matrix for Schools and Libraries, and
              Designation of Eligible Telecommunications
              Carriers......................................
  3060-0794  DTV Report on Construction Progress............    11/30/00
  3060-0795  ULS TIN Registration and FCC 606...............    08/31/02
  3060-0796  Administration of the North American Numbering     12/31/00
              Plan, Carrier Identification Codes (CICs), CC
              Docket No. 92-237.............................
  3060-0798  FCC 601........................................    11/30/99
  3060-0799  FCC 602........................................    02/28/02
  3060-0800  FCC 603........................................    01/31/02
  3060-0801  Amendment of the Commission's Rules Regarding      08/31/02
              Installment Payment Financing for Personal
              Communications Services (PCS) Licensees.......
  3060-0802  Message Intercept Requirement, CC Docket No. 92-   08/31/01
              237...........................................
  3060-0804  Universal Service: Health Care Providers           05/31/02
              Universal Service Program--FCC 465, 466, 467,
              and 468.......................................
  3060-0805  Sec. 90.527....................................    12/31/01
  3060-0806  Universal Service: Schools and Libraries           03/31/00
              Program, FCC 470 and 471......................
  3060-0807  Petitions for Preemption--47 CFR 51.803 and        04/30/01
              Supplemental Procedures for Petitions to
              Section 252(e)(5) of the Communications Act of
              1934, as amended..............................
  3060-0808  Amendments to Uniform System of Accounts for       02/28/01
              Interconnection, CC Docket No. 97-212.........
  3060-0809  Communications Assistance for Law Enforcement      02/28/01
              Act (CALEA), CC Docket No. 97-213.............
  3060-0810  Procedures for Designation of Eligible             05/31/01
              Telecommunications Carriers Pursuant to
              Section 214(e)(6) of the Communications Act of
              1934, as amended..............................
  3060-0812  Assessment and Collection of Regulatory Fees...    08/31/02
  3060-0811  Implementation of Section 309(j) of the            02/28/01
              Communications Act, MM Docket No. 97-234......
  3060-0813  Revision of the Commission's Rules to Ensure       06/30/01
              Compatibility with Enhanced 911 Emergency
              Calling Systems...............................
  3060-0814  Local Switching Support and Local Switching        09/30/01
              Support Data Collection Form and Instructions,
              Section 54.301................................
  3060-0815  FCC 496........................................    09/30/01
  3060-0816  Local Competition in the Local Exchange            11/30/99
              Telecommunications Services Report............
  3060-0817  Computer III Further Remand Proceedings: BOC       11/30/99
              Provision of Enhanced Services (ONA
              Requirements), CC Docket No. 95-20............
  3060-0819  Lifeline Assistance/Lifeline Connection            09/30/01
              Assistance (Link Up) Reporting Worksheet and
              Instructions, 47 CFR 54.40-54.417, FCC 497....
  3060-0820  Transfers of Control Involving                     09/30/01
              Telecommunications Carriers...................
  3060-0823  Pay Telephone Reclassification, Memorandum         12/31/01
              Opinion and Order, CC Docket No. 96-128.......
  3060-0824  FCC 498........................................    09/30/01
  3060-0825  Requirements for Toll-Free Service Access Codes    09/30/99
              888/877.......................................
  3060-0827  Request for Radio Station License Update.......    09/30/01

[[Page 57]]

 
  3060-0829  Streamlining of Mass Media Applications, Rules     07/31/01
              and Processes.................................
  3060-0831  MDS and ITFS Two-Way Transmissions.............    07/31/01
  3060-0832  Performance Measurements and Reporting             07/31/01
              Requirements for Operations Support Systems,
              Interconnection, and Operator Services and
              Directory Assistance, CC Docket No. 98-56.....
  3060-0833  Notice of Proposed Rulemaking (NPRM) Regarding     08/31/01
              Implementation of Section 255 of the
              Telecommunications Act of 1996: Access to
              Telecommunications Services...................
  3060-0834  Reconsideration of Rules and Policies for the      12/31/01
              220-222 MHz Radio Service.....................
  3060-0835  Ship Inspection Certificates, FCC 806, 824, 827    03/31/02
              and 829.......................................
  3060-0837  Application for DTV Broadcast Station License--    08/31/01
              FCC 302-DTV...................................
  3060-0838  Streamlining of Radio Technical Rules in Parts     08/31/01
              73 and 74 of the Commission's Rules...........
  3060-0840  Access Charge Reform for Incumbent Local           09/31/01
              Exchange Carriers Subject to Rate-of-Return
              Regulation--CC Docket No. 98-77...............
  3060-0841  Public Notice, Additional Processing Guidelines    04/30/02
              for DTV.......................................
  3060-0844  Carriage of the Transmissions of Digital           10/31/01
              Television Broadcast Stations.................
  3060-0845  1998 Annual Biennial Review of ARMIS Reporting     10/31/01
              Requirements..................................
  3060-0846  Amendment of the Commission's Rules to Provide     10/31/01
              for Use of Radio Frequencies Above 40 GHz for
              New Radio Applications........................
  3060-0847  1998 Biennial Regulatory Review, Review of         10/31/01
              Accounting and Cost Allocation Requirements,
              CC Docket No. 98-81...........................
  3060-0848  Deployment of Wireline Services Offering           11/30/99
              Advanced Telecommunications Capability--CC
              Docket No. 98-147.............................
  3060-0849  Commercial Availability of Navigation Devices..    10/31/01
  3060-0850  Quick-Form Application for Authorization in the    10/31/99
              Ship, Aircraft, Amateur, Restricted and
              Commercial Operator, and General Mobile Radio
              Servies, FCC 605..............................
  3060-0851  FCC 305........................................    12/31/01
  3060-0852  FCC 306........................................    12/31/01
  3060-0853  FCC 486........................................    05/31/02
  3060-0855  FCC 499........................................    01/31/00
  3060-0856  FCC 472, FCC 473, FCC 474......................    05/31/02
  3060-0857  Annual Reporting Requirement for Blanket           12/31/01
              Licensing of Ka-band Satellite Earth Station..
  3060-0858  State Public Safety Plan Requirements and Year     01/31/02
              2000 Readiness................................
  3060-0859  Suggested Guidelines for Petitions for Ruling      11/30/99
              under Section 253 of the Communications Act...
  3060-0861  Goodman/Chan Receivership Licensees............    11/30/99
  3060-0862  Handling Confidential Information..............    05/31/02
  3060-0863  Satellite Delivery of Network Signals to           07/31/02
              Unserved Households for Purposes of the
              Satellite Home Viewer Act.....................
  3060-0864  Data to Determine Percentage of Interstate         02/28/02
              Telecommunications Revenues from Wireless
              Carriers and Submission of Data to Determine
              Eligibility...................................
  3060-0865  Wireless Telecommunications Bureau Universal       01/31/02
              Licensing System Recordkeeping and Third-Party
              Disclosure Requirements.......................
  3060-0866  Year 2000 Assessments..........................    09/30/99
  3060-0867  Request for Waiver of Section 20.18(c) of the      07/31/02
              Commission's Rules Regarding Compatibility
              with Enhanced 911 Emergency Calling Systems...
  3060-0868  Construction of Grandfathered Multilateration      11/30/99
              Locating Monitoring Service (LMS) Sites.......
  3060-0869  Review of the Commission's Broadcast and Cable     02/28/02
              Equal Employment Opportunity Rules and
              Policies and Termination of the EEO
              Streamlining Proceeding.......................
  3060-0870  Outside Plant Structure and Cable Costs Data       09/30/99
              Collection (Forms and Instructions)...........
  3060-0874  FCC 475, FCC 476...............................    09/30/99
  3060-0875  Long-Term Number Portability Cost                  09/30/99
              Classification Proceeding and Telephone Number
              Portability--CC Docket No. 95-116.............
  3060-0876  USAC Board of Directors Nomination Process--       09/30/99
              Section 54.703 and Review of Administrator's
              Decision--Sections 54.719-54.725..............
  3060-0877  1999 Central Office Code Utilization Survey        10/31/99
              (COCUS).......................................
  3060-0878  Wireless E911 Rule Waivers for Handset-Based       08/31/02
              Approaches to Phase II ALI Requirements.......
  3060-0881  Sec. 95.861....................................    04/30/02
  3060-0882  Sec. 95.833....................................    04/30/02
  3060-0883  Wireless Telecommunications Bureau Year 2000       09/30/99
              Survey........................................
  3060-0885  Telephone Number Portability, Local Number         11/30/99
              Portability Worksheet and Recordkeeping
              Requirement--CC Docket No. 95-116.............
  3060-0886  Sec. 73.3534...................................    05/31/02
  3060-0887  Study of Whether Capital Market Discrimination     12/31/99
              Affects Minority and Women-Owned Broadcast and
              Wireless Business; and the Estimation of
              Utilization Ratios/Probabilities of Success
              Auctions or Minorities, Women and Non-
              Minorities....................................
  3060-0888  Cable Television Service Pleading and Complaint    06/30/02
              Rules--Part 76................................
  3060-0889  Notification of Antenna Structure Registration     11/30/99
              Status........................................
  3060-0890  Settlement Agreements Among Parties in             10/31/99
              Contested Licensing Cases.....................
  3060-0891  FCC 330-A......................................    07/31/02
  3060-0892  Direct Broadcast Satellite Public Interest         07/31/02
              Obligations...................................
  3060-0893  Universal Licensing Service (ULS) Pre-Auction      12/31/99
              Data Base Corrections.........................
  3060-0896  Broadcast Auction Form Exhibits................    07/31/02
  3060-0898  Incumbent Local Exchange Carrier Anti-Cramming     12/31/99
              Best Practices Statistics.....................
  3060-0900  Compatibility of Wireless Services with            09/30/99
              Enhanced 911--CC Docket No. 94-102............

[[Page 58]]

 
  3060-0901  Reports of Common Carriers and Affiliates......    01/31/00
  3060-0902  Line Count Data Request........................    01/31/00
  3060-0904  Local Television Ownership Rules (Report and       12/31/99
              Order)--Existing Conditional Waivers and LMAs.
------------------------------------------------------------------------
\1\ Pending OMB approval.

[64 FR 55425, Oct. 13, 1999]



Sec. 0.409  Commission policy on private printing of FCC forms.

    The Commission has established a policy regarding the printing of 
blank FCC forms by private companies if they elect to do so as a matter 
of expediency and convenience to their clients or consumers. The policy 
is as follows:
    (a) Blank FCC forms may be reproduced by private companies at their 
own expense provided the following conditions are met:
    (1) Use a printing process resulting in a product that is at least 
comparable in quality to the original document, without change to the 
page size, image size, configuration of pages, folds or perforations, 
and matching as closely as possible the paper weight, paper color and 
ink color.
    (2) Delete in its entirety any and all U.S. Government Printing 
Office (GPO) indicia that may appear in the margin(s).
    (3) If the printer wishes to identify a foreign country in which the 
forms are printed, a marginal notation must be added stating ``No U.S. 
Government funds were used to print this document.''
    (4) Do not add to the form any other symbol, word or phrase that 
might be construed as personalizing the form or advertising on it.
    (5) Except as specified above, do not delete from or add to any part 
of the form, or attach anything thereto.
    (6) Assure that the form being reproduced is an edition currently 
acceptable by the Commission, which will endeavor to keep the public 
advised of revisions to its forms, but cannot assume responsibility to 
the extent of eliminating any element of risk against the use of 
obsolete forms.
    (b) These guidelines do not apply to forms which respondents may 
wish to reproduce as completed facsimiles on automated equipment to 
satisfy application or report requirements. Requests for permission to 
submit such forms to the Commission should be addressed to the Office of 
Managing Director.

[53 FR 27861, July 25, 1988]

                          Printed Publications



Sec. 0.411  General reference materials.

    The following reference materials are available in many libraries 
and may be purchased from the Superintendent of Documents, U.S. 
Government Printing Office, Washington, D.C. 20402:
    (a) Statutory materials. Laws pertaining to communications are 
contained in Title 47 of the United States Code. Laws enacted since the 
printing of the last supplement to the Code are printed individually as 
slip laws, and these are compiled chronologically in the United States 
Statutes at Large. The Acts of Congress from 1910-62 pertaining to radio 
have been compiled in a single volume, Radio Laws of the United States 
(1962 ed.). See Secs. 0.405 and 0.414.
    (b) Regulatory materials--(1) The Code of Federal Regulations. The 
rules and regulations of the Commission are contained in chapter I of 
title 47 of the Code of Federal Regulations. Chapter I is divided into 
the following four subchapters, which may be purchased separately: 
Subchapter A--General; Subchapter B--Common Carrier Services; Subchapter 
C--Broadcast Radio Services; and Subchapter D--Private Radio Services. 
Most persons will find that they need subchapter A, containing the 
general rules, and one of the other volumes, depending upon their area 
of interest. These four volumes are revised annually to reflect changes 
in the rules. See Secs. 0.406, 0.412, and 0.415. The Code of Federal 
Regulations is fully indexed and contains numerous finding aids. See 1 
CFR appendix C.

[[Page 59]]

    (2) The Federal Register. As rules are adopted, amended, or 
repealed, the changes are published in the Federal Register, which is 
published daily except on legal holidays. Notices of proposed rule 
making, other rule making documents, statements of general policy, 
interpretations of general applicability, and other Commission documents 
having general applicability and legal effect are also published in the 
Federal Register. Summaries of the full Notices of proposed rule making 
and other rule making decisions adopted by the Commission constitute 
rulemaking documents for purposes of Federal Register publication. The 
Federal Register is fully indexed and contains numerous findings aids.

[32 FR 10571, July 19, 1967, as amended at 44 FR 39180, July 5, 1979; 51 
FR 7444, Mar. 4, 1986]



Sec. 0.413  The Commission's printed publications.

    The Commission's printed publications are described in Secs. 0.414 
through 0.420. These publications may be purchased from the 
Superintendent of Documents, U.S. Government Printing Office, 
Washington, DC 20402.

[64 FR 60722, Nov. 8, 1999]



Sec. 0.414  The Communications Act and other statutory materials.

    This publication, with packets of revised pages, contains the 
Communications Act of 1934, with amendments through 1964; the 
Administrative Procedure Act, with amendments through 1964; the Judicial 
Review Act; the Communications Satellite Act of 1962; and selected 
sections of the Criminal Code pertaining to communications. It also 
contains indexes to the Communications Act and the Administrative 
Procedure Act. Persons who do not have ready access to the United States 
Code, or who refer frequently to these materials, may find this volume 
to be useful.

[32 FR 10571, July 19, 1967]



Sec. 0.415  The rules and regulations (looseleaf service).

    (a) In this service, the rules are divided into 10 volumes, each 
containing several related parts. Each volume may be purchased 
separately from the Superintendent of Documents. The purchase price for 
a volume includes a subscription to replacement pages reflecting changes 
in the rules contained therein until such time as the volume is revised. 
Each volume is revised periodically, depending primarily on the 
frequency with which the rules it contains have been amended. When a 
volume is revised, the revised volume and replacement pages therefor 
will be furnished to those who renew their subscriptions.
    (b) [Reserved]

[41 FR 21449, May 26, 1976, as amended at 45 FR 49935, July 28, 1980; 51 
FR 31304, Sept. 2, 1986]



Sec. 0.416  The Federal Communications Commission Record.

    Texts adopted by the Commission or a member of its staff on 
delegated authority and released through the Office of Media Relations 
are published in the FCC Record. The FCC Record is published biweekly in 
pamphlet form. The pamphlets are available on a subscription basis from 
the Superintendent of Documents. Each biweekly pamphlet contains a table 
of contents and current index. A consolidated index is published on a 
periodic basis.

[64 FR 60722, Nov. 8, 1999]



Sec. 0.417  The Annual Reports.

    At the end of each fiscal year, the Commission publishes an Annual 
Report containing general information concerning the Commission and the 
history of regulation, a summary of developments during the year, and 
selected industry statistics.

[32 FR 10571, July 19, 1967]



Sec. 0.420  Other Commission publications.

    The following additional Commission publications may be purchased 
from the Superintendent of Documents:
    (a) Statistics of Communications Common Carriers.
    (b) Figure M-3, Estimated AM Ground Conductivity of the United 
States (set of two maps).

[[Page 60]]

    (c) Television Network Program Procurement Report, 2d Interim 
Report, Part 2, by the Office of Network Study.

[32 FR 10571, July 19, 1967, as amended at 44 FR 39180, July 5, 1979]

               Forms and Documents Available Upon Request



Sec. 0.421  Application forms.

    All forms for use in submitting applications for radio 
authorization, together with instructions and information as to filing 
such forms, may be obtained at the Washington offices of the Commission 
or at any of the field offices listed in Sec. 0.121. For information 
concerning the forms to be used and filing requirements, see subparts D, 
E, F, and G, of part 1 of this chapter and the appropriate substantive 
rules.

[40 FR 17254, Apr. 18, 1975]



Sec. 0.422  Current action documents and public notices.

    Documents adopted by the Commission, public notices and other public 
announcements are released through the Office of Media Relations. These 
documents are also available on the Commission's website at www.fcc.gov/ 
and can be obtained from the Commission's duplicating contractor.

[64 FR 60722, Nov. 8, 1999]



Sec. 0.423  Information bulletins.

    Information bulletins and fact sheets containing information about 
communications issues and the Federal Communications Commission are 
available on the Commission's web site at www.fcc.gov, ftp.fcc.gov or 
may be requested from the Consumer Information Bureau, Consumer 
Information Network Division.

[64 FR 60722, Nov. 8, 1999]

         Lists Containing Information Compiled by the Commission



Sec. 0.431  The FCC service frequency lists.

    Lists of frequency assignments to radio stations authorized by the 
Commission are recapitulated periodically by means of an automated 
record system. All stations licensed by the Commission are included, 
except the following: Aircraft, amateur, personal (except General Mobile 
Radio Service), Civil Air Patrol, and disaster. The resulting documents, 
the FCC service frequency lists, consist of several volumes arranged by 
nature of service, in frequency order, including station locations, call 
signs and other technical particulars of each assignment. These 
documents are available for public inspection in Washington, D.C., in 
the Office of Engineering and Technology. Copies may be purchased from 
the Commission's duplicating contractor. See Sec. 0.465(a).

[64 FR 60722, Nov. 8, 1999]



Sec. 0.434  Data bases and lists of authorized broadcast stations and pending broadcast applications.

    Periodically the FCC makes available copies of its data bases and 
lists containing information about authorized broadcast stations, 
pending applications for such stations, and rulemaking proceedings 
involving amendments to the TV and FM Table of Allotments. The data 
bases, and the lists prepared from the data bases, contain frequencies, 
station locations, and other particulars. The lists are available for 
public inspection at the FCC's Reference Information Center at 445 12th 
Street, SW., Washington, DC. Paper copies of the lists may be purchased 
from the FCC's duplicating contractor; see Sec. 0.465(a). Many of the 
databases may be viewed at the Commission's web site at www.fcc.gov. and 
ftp.fcc.gov under mass media services. Microfiche copies of these lists 
are maintained by the Reference Information Center. These lists are 
derived from the data bases and can be used as an alternative research 
source to the Broadcast Application Processing System (BAPS).

[64 FR 60722, Nov. 8, 1999]

              Public Information and Inspection of Records



Sec. 0.441  General.

    Any person desiring to obtain information may do so by contacting 
the Consumer Information Bureau. Requests for information, general 
inquiries, and complaints may be submitted by:

[[Page 61]]

    (a) Internet at www.fcc.gov/CIB/FCCINFO or ftp.fcc.gov/CIB/FCCINFO.
    (b) Telephone at 1-(888) CALLFCC (1-888-225-5322).
    (c) TDD/TDY at (202) 418-0484.
    (d) Correspondence at: Consumer Information Bureau, P.O. Box FCC, 
445 12th Street, SW., Washington, DC 20554.
    (e) Visiting the Reference Information Center of the Consumer 
Information Bureau at the Commission's main office in Washington, DC.

[64 FR 60723, Nov. 8, 1999]



Sec. 0.442  Disclosure to other Federal government agencies of information submitted to the Commission in confidence.

    (a) The disclosure of records to other Federal government agencies 
is generally governed by 44 U.S.C. 3512 and 3510(b) rather than the 
Freedom of Information Act. The acceptance of materials in confidence 
under Sec. 0.457 or Sec. 0.459 does not provide assurance against their 
disclosure to other agencies.
    (b) Information submitted to the Commission in confidence pursuant 
to Sec. 0.457(c) (2) and (3), (d) and (g) or Sec. 0.459 will be 
disclosed to other agencies of the Federal government upon request: 
Provided (1) Specific Commission assurances against such disclosure have 
not been given, (2) the other agency has established a legitimate need 
for the information, (3) disclosure is made subject to the provisions of 
44 U.S.C. 3510(b), and (4) disclosure is not prohibited by the Privacy 
Act or other provisions of law.
    (c) The Commission's staff may give assurances against disclosure of 
information to other Federal agencies only with the prior written 
approval of the General Counsel. In no event will assurance against 
disclosure to other agencies be given in advance of submission of the 
information to the Commission if submission is required by statute or by 
the provisions of this chapter; but the notice provisions of paragraph 
(d) of this section will apply to such information.
    (d)(1) Except as provided in paragraphs (d)(2) and (d)(3) of this 
section, a party who furnished records to the Commission in confidence 
will be notified at the time that the request for disclosure is 
submitted and will be afforded 10 days in which to oppose disclosure.
    (2) If the agency requesting the records states to the satisfaction 
of the Commission that notice to the party who furnished the records to 
the Commission will interfere unduly with its law enforcement activities 
and further states that it will notify that party of the Commission's 
disclosure once the potential for such interference is eliminated, the 
Commission will not give notice of disclosure.
    (3) A party who furnished records to the Commission in confidence 
under Sec. 0.457(d) or 0.459 will not be afforded prior notice when the 
disclosure is made to the Comptroller General. Such a party will instead 
be notified of disclosure of the records to the Comptroller General 
either individually or by public notice.
    (4) If disclosure is opposed and the Commission decides to make the 
records available to the other agency, the party who furnished the 
records to the Commission will be afforded ten (10) working days from 
the date of the ruling in which to move for a judicial stay of the 
Commission's action. If he does not move for stay within this period, 
the records will be disclosed.
    (e) Except as provided in paragraph (d)(3) of this section, nothing 
in this section is intended to govern disclosure of information to 
Congress or the Comptroller General.

[44 FR 55573, Sept. 27, 1979; 44 FR 57096, Oct. 4, 1979, as amended at 
64 FR 55162, Oct. 12, 1999]



Sec. 0.445  Publication, availability and use of opinions, orders, policy statements, interpretations, administrative manuals, and staff instructions.

    (a) Adjudicatory opinions and orders of the Commission, or its staff 
acting on delegated authority, are mailed to the parties, and as part of 
the record, are available for inspection in accordance with Secs. 0.453 
and 0.455.
    (b) Texts adopted by the Commission or a member of its staff on 
delegated authority and released through the Office of Media Relations 
are published in the FCC Record. Older materials of this

[[Page 62]]

nature are available in the FCC Reports. In the event that such older 
materials are not published in the FCC Reports, reference should be made 
to the Federal Register or Pike and Fischer Radio Regulation.
    (c) All rulemaking documents are published in the Federal Register. 
Summaries of the full Notices of proposed rule making and other rule 
making decisions adopted by the Commission constitute rulemaking 
documents for purposes of Federal Register publication. See 
Sec. 1.412(a)(1). The complete text of the Commission decision also is 
released by the Commission and is available for inspection and copying 
during normal business hours in the Office of Media Relations or as 
otherwise specified in the rulemaking document published in the Federal 
Register. Docketed matters are available to the public via the 
Electronic Comment Filing System maintained in the Reference Information 
Center at 445 12th Street, Washington, DC. The complete texts of 
rulemaking decisions may also be purchased from the Commission's 
duplicating contractor.
    (d) Formal policy statements and interpretations designed to have 
general applicability and legal effect are published in the Federal 
Register, the FCC Record, FCC Reports, or Pike and Fischer. Commission 
decisions and other Commission documents not entitled formal policy 
statements or interpretations may contain substantive interpretations 
and statements regarding policy, and these are published as part of the 
document in the FCC Record, FCC Reports or Pike and Fischer. General 
statements regarding policy and interpretations furnished to 
individuals, in correspondence or otherwise, are not ordinarily 
published.
    (e) If the documents described in paragraphs (a) through (d) of this 
section are published in the Federal Register, the FCC Record, FCC 
Reports, or Pike and Fischer Radio Regulation, they may be relied upon, 
used or cited as precedent by the Commission or private parties in any 
manner. If they are not so published, they may not be relied upon, used 
or cited as precedent, except against persons who have actual notice of 
the document in question or by such persons against the Commission. No 
person is expected to comply with any requirement or policy of the 
Commission unless he has actual notice of that requirement or policy or 
a document stating it has been published as provided in this paragraph. 
Nothing in this paragraph, however, shall be construed as precluding a 
reference to the rationale set forth in a recent document that is 
pending publication if the requirment or policy to which the rationale 
relates is contained in a published document or if actual notice of that 
requirement or policy has been given.
    (f) The Federal Register, the FCC Record, FCC Reports and Pike and 
Fischer Radio Regulation are indexed. If the documents described in 
paragraphs (a)-(d) of this section are not published, they are neither 
indexed nor relied upon, except as provided in paragraph (e) of this 
section.
    (g) The FCC Administrative Manual (excepting Part IX, concerning 
Civil Defense, which contains materials classified under E.O. 10501) is 
available for inspection in the Office of the Managing Director. The 
Manual is not indexed but is organized by subject, with tables of 
contents, and the materials contained therein can be located without 
difficulty.
    (h) Subparts A and B of this part describe the functions of the 
staff and list the matters on which authority has been delegated to the 
staff. Except as provided in paragraph (g) of this section, all general 
instructions to the staff and limitations upon its authority are set 
forth in those subparts. As part of the Commission's rules and 
regulations, the provisions of these subparts are indexed in the Federal 
Register and the Code of Federal Regulations. Instructions to the staff 
in particular matters or cases are privileged and are not published or 
made available for public inspection.
    (i) To the extent required to prevent a clearly unwarranted invasion 
of personal privacy, the Commission may delete identifying details when 
it makes available or publishes any document described in this section. 
The justification for any such deletion will be fully

[[Page 63]]

explained in a preamble to the document.

[32 FR 10573, July 19, 1967, as amended at 40 FR 17255, Apr. 18, 1975; 
50 FR 27953, July 9, 1985; 51 FR 7444, Mar. 4, 1986; 51 FR 45889, Dec. 
23, 1986; 61 FR 8477, Mar. 5, 1996; 64 FR 60723, Nov. 8, 1999]



Sec. 0.451  Inspection of records: Generally.

    (a) Records which are routinely available for public inspection. 
Sections 0.453 and 0.455 list those Commission records which are 
routinely available for public inspection and the places at which those 
records may be inspected. Procedures governing requests for inspection 
of such records are set out in Sec. 0.460.
    (b) Records which are not routinely available for public inspection. 
Records which are not listed in Sec. 0.453 or Sec. 0.455 are not 
routinely available for public inspection. Such records fall into two 
categories.
    (1) The first category consists of those records or kinds of records 
listed in Sec. 0.457 and of particular records withheld from public 
inspection under Sec. 0.459. The Commission has determined that there is 
a statutory basis for withholding these records from public inspection. 
In some cases, the Commission is prohibited from permitting the 
inspection of records. In other cases, the records are the property of 
another agency, and the Commission has no authority to permit their 
inspection. In still other cases, the Commission is authorized, for 
reason of policy, to withhold records from inspection, but is not 
required to do so.
    (2) The second category consists of records which are not listed in 
Sec. 0.453, Sec. 0.455, or Sec. 0.457 and have not been withheld from 
inspection under Sec. 0.459. In some cases, these records have not been 
identified for listing. In other cases (e.g., the general correspondence 
files), the Commission is unable to determine either that all records in 
a class should be routinely available for inspection or that all records 
in that class should not be routinely available for inspection, and 
individual determination is required.
    (3) Procedures governing requests for inspection of these records 
are set out in Sec. 0.461.
    (4) Procedures governing demands by competent authority for 
inspection of these records are set out in Sec. 0.463.
    (5) Except as provided in Secs. 0.461 and 0.463, no officer or 
employee of the Commission shall permit the inspection of records which 
are not routinely available for public inspection under Sec. 0.453 or 
Sec. 0.455, or disclose information contained therein.
    (c) Copies. Section 0.465 applies to requests for copies of 
Commission records which are routinely available for public inspection 
under Secs. 0.453 and 0.455 and those which are made available for 
inspection under Sec. 0.461. Section 0.467 applies to requests for 
certified copies of Commission records.
    (d) Search fees. Section 0.466 prescribes fees to cover the expense 
of searching for records made available for inspection under Sec. 0.460 
or Sec. 0.461.

[40 FR 7313, Feb. 19, 1975]



Sec. 0.453  Public reference rooms.

    The Commission maintains the following public reference rooms at its 
offices in Washington, DC, Gettysburg, Pennsylvania, and Columbia, 
Maryland. Much of the information available from the public reference 
rooms may also be retrieved from the Commission's World Wide Web site at 
http://www.fcc.gov>:
    (a) The Reference Information Center of the Consumer Information 
Bureau. (1) Files containing the record of all docketed cases, petitions 
for rule making and related papers. A file is maintained for each 
docketed hearing case and for each docket rule making proceeding. Cards 
summarizing the history of such cases are available for inspection.
    (2) Files, documents, and records related to the following services:
    (i) Mass Media Services.
    (A) Applications for broadcast authorizations and related files are 
available for public inspection Certain broadcast applications, reports 
and records are also available for inspection in the community in which 
the station is located or is proposed to be located. See Secs. 73.3526 
and 73.3527 of this chapter.
    (B) Ownership reports filed by licensees of broadcast stations 
pursuant to Sec. 73.3615.

[[Page 64]]

    (C) Network affiliation contracts between stations and networks (for 
television stations only).
    (D) Contracts relating to network service to broadcast licensees 
filed on or after the 1st day of May 1969 under Sec. 73.3613.
    (E) Annual employment reports filed by licensees and permittees of 
broadcast stations pursuant to Sec. 73.3612 of this chapter.
    (F) Contract files which contain pledges, trust agreements, options 
to purchase stock agreements, partnership agreements, management 
consultant agreements, and mortgage or loan agreements.
    (G) broadcast applications and related files.
    (H) FM Translator applications and related files.
    (I) Station files containing Notice of Apparent Liability and 
Memorandum of Opinion and Order and related files.
    (J) Network correspondence files and related materials.
    (ii) Common Carrier Services, including:
    (A) Annual reports filed by carriers under Sec. 43.21 of this 
chapter.
    (B) Reports on pensions and benefits filed by carriers under 
Sec. 43.42 of this chapter.
    (C) Reports of proposed changes in depreciation rates filed by 
carriers under Sec. 43.43 of this chapter.
    (D) Tariff schedules for all charges for interstate and foreign wire 
or radio communications filed pursuant to section 203 of the 
Communications Act, all related documents and communications.
    (E) All applications for common carrier authorizations acted upon by 
the Common Carrier Bureau, and related files.
    (F) All formal and informal complaints against common carriers filed 
under Secs. 1.711 through 1.735 of this chapter, all documents filed in 
connection therewith, and all communications related thereto.
    (G) Annual employment reports filed by common carrier licensees or 
permittees pursuant to Sec. 1.815 of this chapter.
    (H) Enforcement proceedings and public inquiries and related 
materials.
    (I) Files containing contracts between carriers and affiliates, 
accounts and subaccounts, pension filings, property records, disposition 
units, and depreciation rate filings.
    (J) Cost Allocation Manuals and related materials.
    (K) Section 214 applications and related files, to the extent that 
they concern domestic communications facilities and services.
    (L) Files containing reports required by FCC Rules and Regulations, 
annual reports to stockholders, administrative reports, monthly bypass 
reports and related materials.
    (M) Files containing reference material from major telephone 
companies.
    (N) Files containing Local Exchange Rates and related files.
    (O) Currently effective tariffs filed by Communications Common 
Carriers pursuant to various FCC Rules and Regulations.
    (P) Recent revisions to tariff filings and the Reference Information 
Center Log which is prepared daily and lists the tariff filings received 
the previous day.
    (iii) Wireless Telecommunications Services and Auction related data 
including:
    (A) Station files containing a complete history of data submitted by 
the applicant that has been approved by the Commission which includes 
background material.
    (B) Pending files containing applications for additional facilities 
or modifications of existing facilities.
    (C) Cellular and Paging Granted Station files and related materials.
    (D) Pending cellular and paging applications and related files.
    (E) Electronically stored application and licensing data for 
commercial radio operators and for all authorizations in the Wireless 
Radio services are available for public inspection via the Commission's 
wide area network. Wireless Radio services include Commercial and 
Private Mobile Radio, Common Carrier and Private Operational Field 
point-to-point Microwave, Local Television Transmission Service (LTTS), 
Digital Electronic Message Service (DEMS), Aviation Ground and Marine 
Coast applications. Some of these services are available electronically 
now

[[Page 65]]

and most will be available on electronically within 90 days of the 
implementation of the Universal Licensing System (ULS).
    (F) Petitions and related materials.
    (iv) International Services, except to the extent they are excluded 
from routine public inspection under another section of this chapter:
    (A) Satellite and earth station applications files and related 
materials under parts 25 and 100 of this chapter;
    (B) Section 214 applications and related files under part 63 of this 
chapter, to the extent that they concern international communications 
facilities and services;
    (C) International Fixed Public Radio applications and related files 
under part 23 of this chapter;
    (D) Files relating to submarine cable landing licenses and 
applications for such licenses since June 30, 1934, except for maps 
showing the exact location of submarine cables, which are withheld from 
inspection under section 4(j) of the Communications Act (see 
Sec. 0.457(c)(1)(i));
    (E) Documents relating to INTELSAT or INMARSAT;
    (F) International broadcast applications, applications for 
permission to deliver programming to foreign stations, and related files 
under part 73 of this chapter;
    (v) Cable services. The following files and documents are available, 
including:
    (A) All complaints regarding cable programming rates, all documents 
filed in connection therewith, and all communications related thereto, 
unless the cable operator has submitted a request pursuant to Sec. 0.459 
that such information not be made routinely available for public 
inspection.
    (B) Special relief petitions and files pertaining to cable 
television operations.
    (C) Cable television system reports filed by operators pursuant to 
Sec. 76.403 of this chapter.
    (D) Annual employment reports filed by cable television systems 
pursuant to Sec. 76.77 of this chapter.
    (E) Files and documents related to Cable Television Relay Service 
(CARS)
    (b) Gettysburg Reference Office of the Reference Information Center. 
Station files containing applications and related materials for Remote 
Pickup, Aural STL/ICR, TV Auxiliary, and Low Power Auxiliary Stations in 
the mass media services. Files regarding Wireless Services are also 
available up to 90 days after the implementation of the Universal 
Licensing System (ULS) at which time they become electronically 
available.
    (c) The Library. Various legal and technical publications, and 
legislative history compilations, related to communications are 
available for inspection in the Library.
    (d) The Office of Engineering and Technology, FCC Laboratory 
Reference Room. The following documents, files and records are available 
for inspection at this location. Files containing approved applications 
for Equipment Authorization and related materials are available for 
review. These files are available in the Commission's Laboratory in 
Columbia, Maryland.
    (e) The International Bureau. The International Bureau maintains 
international settlement agreements and contracts and international 
cable agreements.
    (f) The Cable Bureau. The Cable Bureau maintains all cable operator 
requests for approval of existing or increased cable television rates 
for basic service and associated equipment over which the Commission had 
assumed jurisdiction, all documents filed in connection therewith, and 
all communications related thereto, unless the cable operator has 
submitted a request pursuant to Sec. 0.459 that such information not be 
made routinely available for public inspection.
    (g) The Common Carrier Bureau, Network Services Division Public 
Reference Room. Section 214 applications and related files, to the 
extent that they concern domestic communications facilities and services 
are available for inspection at this location.
    (1) [Reserved]
    (2) Section 214 applications and related files, to the extent that 
they concern domestic communications facilities and services.
    (h) The Wireless Telecommunications Bureau, Commercial Mobile 
Services Reference Room. The following documents,

[[Page 66]]

files and records are available for inspection at two different 
locations. The Legal Branch is the responsible custodian for both 
locations.
    (1) The Wireless Telecommunications Bureau Reference Room--
Gettysburg. Commercial radio operator application files and all 
authorizations in the Wireless Radio Services and files relating 
thereto, which includes Land Mobile, Microwave, Aviation Ground and 
Marine Coast applications. All of these materials are available in the 
Commission's offices in Gettysburg, Pennsylvania. See Sec. 0.457(f)(3). 
This reference room also contains station files containing applications 
and related materials for Remote Pickup, Aural STL/ICR, TV Auxiliary, 
and Low Power Auxiliary Stations in the Mass Media services. This 
reference room also contains station files containing applications and 
related materials for the Point-to-Point Microwave (including the Local 
Television Transmission Service) and Digital Electronic Message (DEMS) 
services in the Common Carrier services. Cards summarizing the 
historical record of applications and dispositions of the Broadcast 
Auxiliary service through May 1982 are available for inspection as well.
    (2) Pending files containing applications for additional facilities 
or modifications of existing facilities.
    (3) Cellular Granted Station files and related materials.
    (4) Pending cellular applications and related files.
    (5) Petitions and related materials.
    (i) The Common Carrier Bureau, Industry Analysis Reference Room. The 
following documents, files and records are available for inspection at 
this location.
    (1) Files containing reports required by FCC Rules and Regulations, 
annual reports to stockholders, administrative reports, monthly bypass 
reports and related materials.
    (2) Files containing reference material from major telephone 
companies.
    (3) Files containing Local Exchange Rates and related files.
    (j) The Common Carrier Bureau Reference Room, Tariff Review 
Reference Room. Contains currently effective tariffs filed by 
Communications Common Carriers pursuant to various FCC Rules and 
Regulations. Also available for review and copying are recent revisions 
to tariff filings and the Public Reference Room Log which is prepared 
daily and lists the tariff filings received the previous day.
    (k) The Office of Engineering and Technology, FCC Laboratory 
Reference Room. The following documents, files and records are available 
for inspection at this location. Files containing approved applications 
for Equipment Authorization and related materials are available for 
review. These files are available in the Commission's Laboratory in 
Columbia, Maryland.
    (l) The Private Radio Bureau Reference Room. Commercial radio 
operator application files and all authorizations in the Private Radio 
Services and files relating thereto, which includes Land Mobile, 
Microwave, Aviation Ground and Marine Coast applications. All of these 
materials are available in the Commission's offices in Gettysburg, 
Pennsylvania. See Sec. 0.457(f)(3). This reference room also contains 
station files containing applications and related materials for Remote 
Pickup, Aural STL/ICR, TV Auxiliary, and Low Power Auxiliary Stations in 
the Mass Media services. This reference room also contains station files 
containing applications and related materials for the Point-to-Point 
Microwave (including the Local Television Transmission Service) and 
Digital Electronic Message (DEMS) services in the Common Carrier 
services. Cards summarizing the historical record of applications and 
dispositions of the Broadcast Auxiliary service through May 1982 are 
available for inspection as well.
    (m) The International Bureau Reference Room. Except to the extent 
they are excluded from routine public inspection under another section 
of this chapter, the following documents, files, and records are 
available for inspection at this location:
    (1) Satellite and earth station applications files and related 
materials under parts 25 and 100 of this chapter;
    (2) Section 214 applications and related files under part 63 of this 
chapter, to the extent that they concern international communications 
facilities and services;

[[Page 67]]

    (3) International Fixed Public Radio applications and related files 
under part 23 of this chapter;
    (4) Files relating to submarine cable landing licenses and 
applications for such licenses since June 30, 1934, except for maps 
showing the exact location of submarine cables, which are withheld from 
inspection under section 4(j) of the Communications Act (see 
Sec. 0.457(c)(1)(i));
    (5) Files relating to international settlements under part 64 of 
this chapter;
    (6) Documents relating to INTELSAT or INMARSAT;
    (7) International broadcast applications, applications for 
permission to deliver programming to foreign stations, and related files 
under part 73 of this chapter; and
    (8) International settlement agreements and contracts and 
international cable agreements.
    (n) The Cable Services Bureau Reference Center. The following 
documents, files and records are available for inspection at this 
location.
    (1) All complaints regarding cable programming rates, all documents 
filed in connection therewith, and all communications related thereto, 
unless the cable operator has submitted a request pursuant to Sec. 0.459 
that such information not be made routinely available for public 
inspection.
    (2) All cable operator requests for approval of existing or 
increased cable television rates for basic service and associated 
equipment over which the Commission has assumed jurisdiction, all 
documents filed in connection therewith, and all communications related 
thereto, unless the cable operator has submitted a request pursuant to 
Sec. 0.459 that such information not be made routinely available for 
public inspection.
    (3) Special relief petitions and files pertaining to cable 
television operations.
    (4) Cable television system reports filed by operators pursuant to 
Sec. 76.403 of this chapter.
    (o) Electronically stored application and licensing data for 
commercial radio operator applications and all authorizations in the 
Wireless Radio services are available for public inspection via the 
Commission's wide area network. Wireless Radio services include 
Commercial and Private Mobile Radio, Common Carrier and Private 
Operational Fixed Point-to-Point Microwave, Local Television 
Transmission Service (LTTS), Digital Electronic Message Service (DEMS), 
Aviation Ground and Marine Coast applications.

[32 FR 10573, July 19, 1967, as amended at 46 FR 27655, May 21, 1981; 50 
FR 40014, Oct. 1, 1985; 52 FR 38764, Oct. 19, 1987; 58 FR 19772, Apr. 
16, 1993; 59 FR 32132, June 22, 1994; 60 FR 5325, Jan. 27, 1995; 60 FR 
35507, July 10, 1995; 63 FR 36596, July 7, 1998; 63 FR 68919, Dec. 14, 
1998; 64 FR 28936, May 28, 1999; 64 FR 60723, Nov. 8, 1999]

    Editorial Note: At 64 FR 28936, May 28, 1999, the introductory text 
of Sec. 0.453 was revised, however no effective date was given. The 
revised text is set forth below.

Sec. 0.453  Public reference rooms.

    The Commission maintains the following public reference rooms at its 
offices in Washington, DC:

                                * * * * *

    Effective Date Note: At 64 FR 28936, May 28, 1999, in Sec. 0.453 
paragraph (o) was added, effective 90 days after ULS is implemented for 
all services licensed by the Wireless Telecommunications Bureau.



Sec. 0.455  Other locations at which records may be inspected.

    Except as provided in Secs. 0.453, 0.457, and 0.459, records are 
routinely available for inspection in the Reference Information Center 
or the offices of the Bureau or Office which exercises responsibility 
over the matters to which those records pertain (see Sec. 0.5), or will 
be made available for inspection at those offices upon request. Many of 
these records may be retrieved from the Commission's site on the World 
Wide Web, located at http://www.fcc.gov>. Upon inquiry to the 
appropriate Bureau or Office, persons desiring to inspect such records 
will be directed to the specific location at which the particular 
records may be inspected. A list of Bureaus and Offices and examples of 
the records available at each is set out below.
    (a) Mass Media Bureau. (1) Rulings under the Fairness Doctrine and 
section 315 of the Communications Act, and related materials.

[[Page 68]]

    (2) Ruling lists which contain brief summaries of rulings.
    (3) Congressional correspondence and related materials.
    (b) Common Carrier Bureau. (1) Reports of public coast station 
operators filed under Sec. 43.71 of this chapter.
    (2) Valuation reports filed under section 213 of the Communications 
Act, including exhibits filed in connection therewith, unless otherwise 
ordered by the Commission, with reasons therefor, pursuant to section 
213(f) of the Communications Act. See Sec. 0.457(c)(2).
    (3) Computer II files and related materials.
    (c) Office of Managing Director. (1) All minutes of Commission 
actions, containing a record of all final votes, minutes of actions and 
internal management matters as provided in Sec. 0.457(b)(1) and 
(c)(1)(i). These records and files are available for inspection in the 
Agenda Branch.
    (2) Files containing information concerning the history of the 
Commission's rules. These files are available for inspection in the 
Publications Branch.
    (3) See Sec. 0.443.
    (4) Reports filed pursuant to subpart E of part 19 of this chapter 
and applications for inspection of such reports. See Sec. 0.460(k).
    (d) Cable Services Bureau. Correspondence and other actions and 
decisions relating to cable television services that are not filed in 
the FCC Reference Information Center, e.g. rate regulation files and 
related documents.
    (e) Office of Engineering and Technology which includes the Bureau's 
Technical Library containing technical reports, technical journals, and 
bulletins of spectrum management and related technical materials. Also 
files containing approved applications for Equipment Authorization (Type 
accepted, certified and notified) and related materials are available 
for review. These files are available in the Commission's Laboratory in 
Columbia, Maryland.
    (1) Experimental application and license files.
    (2) The Master Frequency Records.
    (3) Applications for Equipment Authorization (type accepted, type 
approval, certification, or advance approval of subscription television 
systems), following the effective date of the authorization. See 
Sec. 0.457(d)(1)(ii). (Application files, technical journals and other 
technical materials are maintained at the Commission's Laboratory at 
Columbia, Maryland.)
    (f) Wireless Telecommunications Bureau. See Sec. 0.453(o) of this 
chapter.
    (g) International Bureau. The treaties and other international and 
bilateral agreements listed in Sec. 73.1650 of this chapter are 
available for inspection in the office of the Chief, Planning and 
Negotiations Division, International Bureau. Also contracts and other 
arrangements filed under Sec. 43.51 and reports of negotiations 
regarding foreign communication matters filed under Sec. 43.52 of this 
chapter, except for those kept confidential by the Commission pursuant 
to section 412 of the Communications Act. See Sec. 0.457(c)(3). Also 
files relating to international settlements under part 64 of this 
chapter.

[64 FR 60724, Nov. 8, 1999]



Sec. 0.457  Records not routinely available for public inspection.

    The records listed in this section are not routinely available for 
public inspection. The records are listed in this section by category, 
according to the statutory basis for withholding those records from 
inspection; and under each category, if appropriate, the underlying 
policy considerations affecting the withholding and disclosure of 
records in that category are briefly outlined. Except where the records 
are not the property of the Commission or where the disclosure of those 
records is prohibited by law, the Commission will entertain requests 
from members of the public under Sec. 0.461 for permission to inspect 
particular records withheld from inspection under the provisions of this 
section, and will weigh the policy considerations favoring non-
disclosure against the reasons cited for permitting inspection in the 
light of the facts of the particular case. In making such requests, it 
is important to appreciate that there may be more than one basis for 
withholding particular records from inspection. The listing of records 
by category is not intended to imply the contrary but is solely for the 
information and assistance of persons making

[[Page 69]]

such requests. Requests to inspect or copy the transcripts, recordings 
or minutes of agency or advisory committee meetings will be considered 
under Sec. 0.603 rather than under the provisions of this section.
    (a) Materials that are specifically authorized under criteria 
established by Executive Order to be kept secret in the interest of 
national defense or foreign policy and are in fact properly classified 
pursuant to such Executive Order, 5 U.S.C. 552(b)(1). (1) E.O. 10450, 
``Security Requirements for Government Employees,'' 18 FR 2489, April 
27, 1953, 3 CFR, 1949-1953 Comp., p. 936. Pursuant to the provisions of 
E.O. 10450, reports and other material and information developed in 
security investigations are the property of the investigative agency. If 
they are retained by the Commission, it is required that they be 
maintained in confidence and that no access be given to them without the 
consent of the investigative agency. Such materials and information will 
not be made available for public inspection. See also paragraphs (f) and 
(g) of this section.
    (2) E.O. 10501, ``Safeguarding Official Information in the Interests 
of the Defense of the United States,'' 18 FR 7049, November 10, 1953, as 
amended, 3 CFR, 1965 ed., p. 450. E.O. 10501, as amended, provides for 
the classification of official information which requires protection in 
the interests of national defense, and prohibits the disclosure of 
classified information except as provided therein. Classified materials 
and information will not be made available for public inspection. See 
also, E.O. 10033, February 8, 1949, 14 FR 561, 3 CFR, 1949-1953 Comp., 
p. 226, and 47 U.S.C. 154(j).
    (b) Materials that are related solely to the internal personnel 
rules and practices of the Commission, 5 U.S.C. 552(b)(2). (1) Materials 
related solely to internal management matters, including minutes of 
Commission actions on such matters. Such materials may be made available 
for inspection under Sec. 0.461, however, unless their disclosure would 
interfere with or prejudice the performance of the internal management 
functions to which they relate, or unless their disclosure would 
constitute a clearly unwarranted invasion of personal privacy (see 
paragraph (f) of this section).
    (2) Materials relating to the negotiation of contracts.
    (3) All materials used in conducting radio operator examinations, 
including test booklets, Morse Code tapes, and scoring masks.
    (c) Materials that are specifically exempted from disclosure by 
statute (other than the Government in the Sunshine Act, 5 U.S.C. 552b): 
Provided, That such statute (1) requires that the materials be withheld 
from the public in such a manner as to leave no discretion on the issue, 
or (2) establishes particular criteria for withholding or refers to 
particular types of materials to be withheld. The Commission is 
authorized under the following statutory provisions to withhold 
materials from public inspection.
    (1) Section 4(j) of the Communications Act, 47 U.S.C. 154(j), 
provides, in part, that, ``The Commission is authorized to withhold 
publication of records or proceedings containing secret information 
affecting the national defense.'' Pursuant to that provision, it has 
been determined that the following materials should be withheld from 
public inspection (see also paragraph (a) of this section):
    (i) Maps showing the exact location of submarine cables.
    (ii) Minutes of Commission actions on classified matters.
    (iii) Maps of nation-wide point-to-point microwave networks.
    (2) Under section 213(f) of the Communications Act, 47 U.S.C. 
213(f), the Commission is authorized to order, with the reasons 
therefor, that records and data pertaining to the valuation of the 
property of common carriers and furnished to the Commission by the 
carriers pursuant to the provisions of that section, shall not be 
available for public inspection. If such an order has been issued, the 
data and records will be withheld from public inspection, except under 
the provisions of Sec. 0.461. Normally, however, such data and 
information is available for inspection. See Sec. 0.455(c) (8).
    (3) Under section 412 of the Communications Act, 47 U.S.C. 412, the 
Commission may withhold from public inspection certain contracts, 
agreements

[[Page 70]]

and arrangements between common carriers relating to foreign wire or 
radio communication. Reports of negotiations regarding such foreign 
communication matters, filed by carriers under Sec. 43.52 of this 
chapter, may also be withheld from public inspection under section 412. 
Any person may file a petition requesting that such materials be 
withheld from public inspection. To support such action, the petition 
must show that the contract, agreement or arrangement relates to foreign 
wire or radio communications; that its publication would place American 
communication companies at a disadvantage in meeting the competition of 
foreign communication companies; and that the public interest would be 
served by keeping its terms confidential. If the Commission orders that 
such materials be kept confidential, they will be made available for 
inspection only under the provisions of Sec. 0.461.
    (4) Section 605 of the Communications Act, 47 U.S.C. 605, provides, 
in part, that, ``no person not being authorized by the sender shall 
intercept any communication [by wire or radio] and divulge or publish 
the existence, contents, substance, purport, effect, or meaning of such 
intercepted communications to any person.'' In executing its 
responsibilities, the Commission regularly monitors radio transmissions 
(see Sec. 0.116). Except as required for the enforcement of the 
communications laws, treaties and the provisions of this chapter, or as 
authorized in section 605, the Commission is prohibited from divulging 
information obtained in the course of these monitoring activities; and 
such information, and materials relating thereto, will not be made 
available for public inspection.
    (5) Section 1905 of the Criminal Code, 18 U.S.C. 1905, prohibits the 
unauthorized disclosure of certain confidential information. See 
paragraph (d) of this section.
    (d) Trade secrets and commercial or financial information obtained 
from any person and privileged or confidential--categories of materials 
not routinely available for public inspection, 5 U.S.C. 552(b)(4) and 18 
U.S.C. 1905.
    (1) The materials listed in this subparagraph have been accepted, or 
are being accepted, by the Commission on a confidential basis pursuant 
to 5 U.S.C. 552(b)(4). To the extent indicated in each case, the 
materials are not routinely available for public inspection. If the 
protection afforded is sufficient, it is unnecessary for persons 
submitting such materials to submit therewith a request for non-
disclosure pursuant to Sec. 0.459. A persuasive showing as to the 
reasons for inspection will be required in requests for inspection of 
such materials submitted under Sec. 0.461.
    (i) Financial reports submitted by licensees of broadcast stations 
pursuant to former Sec. 1.611 or by radio or television networks are not 
routinely available for inspection.
    (ii) Applications for equipment authorizations (type acceptance, 
type approval, certification, or advance approval of subscription 
television systems), and materials relating to such applications, are 
not routinely available for public inspection prior to the effective 
date of the authorization. The effective date of the authorization will, 
upon request, be deferred to a date no earlier than that specified by 
the applicant. Following the effective date of the authorization, the 
application and related materials (including technical specifications 
and test measurements) will be made available for inspection upon 
request (See Sec. 0.460). Portions of applications for equipment 
certification of scanning receivers and related materials will not be 
made available for inspection. This information includes that necessary 
to prevent modification of scanning receivers to receive Cellular 
Service frequencies, such as schematic diagrams, technical narratives 
describing equipment operation, and relevant design details.
    (iii) Information submitted in connection with audits, 
investigations and examination of records pursuant to 47 U.S.C. 220.
    (iv) Programming contracts between programmers and multichannel 
video programming distributors.
    (v) Prior to July 4, 1967, the rules and regulations provided that 
certain materials submitted to the Commission would not be made 
available for public inspection or provided assurance, in varying 
degrees, that requests for nondisclosure of certain materials would

[[Page 71]]

be honored. See, e.g., 47 CFR chapter I revised as of October 1, 1966, 
Secs. 0.417, 2.557, 5.204, 5.255, 15.70, 21.406, 80.33, 87.153, 89.215, 
91.208, 91.605 and 93.208. Materials submitted under these provisions 
are not routinely available for public inspection. To the extent that 
such materials were accepted on a confidential basis under the then 
existing rules, they are not routinely available for public inspection. 
The rules cited in this paragraph (d)(1)(v) were superseded by the 
provisions of this paragraph (d), effective July 4, 1967. Equipment 
authorization information accepted on a confidential basis between July 
4, 1967 and March 25, 1974, will not be routinely available for 
inspection and a persuasive showing as to the reasons for inspection of 
such information will be required in requests for inspection of such 
materials submitted under Sec. 0.461.
    (vi) The rates, terms and conditions in any agreement between a U.S. 
carrier and a foreign carrier that govern the settlement of U.S. 
international traffic, including the method for allocating return 
traffic, if the U.S. international route is exempt from the 
international settlements policy under Sec. 43.51(g) of this chapter.
    (2) Unless the materials to be submitted are listed in paragraph 
(d)(1) of this section and the protection thereby afforded is adequate, 
it is important for any person who submits materials which he wishes 
withheld from public inspection under 5 U.S.C. 552(b)(4) to submit 
therewith a request for non-disclosure pursuant to Sec. 0.459. If it is 
shown in the request that the materials contain trade secrets or 
commercial, financial or technical data which would customarily be 
guarded from competitors, the materials will not be made routinely 
available for inspection; and a persuasive showing as to the reasons for 
inspection will be required in requests for inspection submitted under 
Sec. 0.461. In the absence of a request for non-disclosure, the 
Commission may, in the unusual instance, determine on its own motion 
that the materials should not be routinely available for public 
inspection. Ordinarily, however, in the absence of such a request, 
materials which are submitted will be made available for inspection upon 
request pursuant to Sec. 0.461, even though some question may be present 
as to whether they contain trade secrets or like matter.
    (e) Interagency and intra-agency memorandums or letters, 5 U.S.C. 
552(b)(5). Interagency and intra-agency memorandums or letters and the 
work papers of members of the Commission or its staff will not be made 
available for public inspection, except in accordance with the 
procedures set forth in Sec. 0.461. Only if it is shown in a request 
under Sec. 0.461 that such a communication would be routinely available 
to a private party through the discovery process in litigation with the 
Commission will the communication be made available for public 
inspection. Normally such papers are privileged and not available to 
private parties through the discovery process, since their disclosure 
would tend to restrain the commitment of ideas to writing, would tend to 
inhibit communication among Government personnel, and would, in some 
cases, involve premature disclosure of their contents.
    (f) Personnel, medical and other files whose disclosure would 
constitute a clearly unwarranted invasion of personal privacy, 5 U.S.C. 
552(b)(6). (1) Under Executive Order 10561, 19 FR 5963, September 13, 
1954, 3 CFR, 1954-1958 Comp., page 205, the Commission maintains an 
Official Personnel Folder for each of its employees. Such folders are 
under the jurisdiction and control, and are a part of the records, of 
the U.S. Office of Personnel Management. Except as provided in the rules 
of the Office of Personnel Management (5 CFR 294.701-294.703), such 
folders will not be made available for public inspection by the 
Commission. In addition, other records of the Commission containing 
private, personal or financial information concerning particular 
employees will be withheld from public inspection.
    (2) [Reserved]
    (3) Information submitted to the Commission by applicants for 
commercial radio operator licenses concerning the character and mental 
or physical health of the applicant is available for inspection only 
under procedures set forth in Sec. 0.461. Except in this respect, or 
where other aspects of a similar private nature warrant nondisclosure,

[[Page 72]]

commercial radio operator application files are available for 
inspection.
    (g) Investigatory records compiled for law enforcement purposes, to 
the extent that production of such records would:
    (1) Interfere with enforcement proceedings;
    (2) Deprive a person of a right to fair trial or an impartial 
adjudication;
    (3) Constitute an unwarranted invasion of personal privacy;
    (4) Disclose the identity of a confidential source;
    (5) Disclose investigative techniques or procedures; or
    (6) Endanger the life or physical safety of law enforcement 
personnel, 5 U.S.C. 552(b)(7).

[32 FR 10573, July 19, 1967, as amended at 32 FR 12180, Aug. 24, 1967; 
39 FR 5918, Feb. 14, 1974; 39 FR 27802, Aug. 1, 1974; 40 FR 7313, Feb. 
19, 1975; 40 FR 17255, Apr. 18, 1975; 40 FR 34116, Aug. 14, 1975; 40 FR 
39507, Aug. 28, 1975; 42 FR 12867, Mar. 7, 1977; 43 FR 51794, Nov. 7, 
1978; 45 FR 39850, June 12, 1980; 51 FR 31304, Sept. 2, 1986; 63 FR 
36596, July 7, 1998; 63 FR 44167, Aug. 18, 1998; 64 FR 22561, Apr. 27, 
1999; 64 FR 34740, June 29, 1999]



Sec. 0.459  Requests that materials or information submitted to the Commission be withheld from public inspection.

    (a) Any person submitting information or materials to the Commission 
may submit therewith a request that such information not be made 
routinely available for public inspection. (If the materials are 
specifically listed in Sec. 0.457, such a request is unnecessary.) A 
copy of the request shall be attached to and shall cover all of the 
materials to which it applies and all copies of those materials. If 
feasible, the materials to which the request applies shall be physically 
separated from any materials to which the request does not apply; if 
this is not feasible, the portion of the materials to which the request 
applies shall be identified.
    (b) Each such request shall contain a statement of the reasons for 
withholding the materials from inspection (see Sec. 0.457) and of the 
facts upon which those records are based, including:
    (1) Identification of the specific information for which 
confidential treatment is sought;
    (2) Identification of the Commission proceeding in which the 
information was submitted or a description of the circumstances giving 
rise to the submission;
    (3) Explanation of the degree to which the information is commercial 
or financial, or contains a trade secret or is privileged;
    (4) Explanation of the degree to which the information concerns a 
service that is subject to competition;
    (5) Explanation of how disclosure of the information could result in 
substantial competitive harm;
    (6) Identification of any measures taken by the submitting party to 
prevent unauthorized disclosure;
    (7) Identification of whether the information is available to the 
public and the extent of any previous disclosure of the information to 
third parties;
    (8) Justification of the period during which the submitting party 
asserts that material should not be available for public disclosure; and
    (9) Any other information that the party seeking confidential 
treatment believes may be useful in assessing whether its request for 
confidentiality should be granted.
    (c) Casual requests which do not comply with the requirements of 
paragraphs (a) and (b) of this section will not be considered.
    (d)(1) The Commission may defer acting on requests that materials or 
information submitted to the Commission be withheld from public 
inspection until a request for inspection has been made pursuant to 
Sec. 0.460 or Sec. 0.461. The information will be accorded confidential 
treatment, as provided for in Sec. 0.459(g) and Sec. 0.461, until the 
Commission acts on the confidentiality request and all subsequent appeal 
and stay proceedings have been exhausted. If a response in opposition to 
a confidentiality request is filed, the party requesting confidentiality 
may file a reply.
    (2) Requests which comply with the requirements of paragraphs (a) 
and (b) of this section will be acted upon by the appropriate Bureau or 
Office Chief, who is directed to grant the request if it presents by a 
preponderance of the evidence a case for non-disclosure consistent with 
the provisions of the Freedom of Information Act, 5 U.S.C. 552. If

[[Page 73]]

the request is granted, the ruling will be placed in the public file in 
lieu of the materials withheld from public inspection. A copy of the 
ruling shall be forwarded to the General Counsel.
    (e) If the materials are submitted voluntarily (i.e., absent any 
direction by the Commission), the person submitting them may request the 
Commission to return the materials without consideration if the request 
for confidentiality should be denied. In that event, the materials will 
ordinarily be returned (e.g., an application will be returned if it 
cannot be considered on a confidential basis). Only in the unusual 
instance where the public interest so requires will the materials be 
made available for public inspection. However, no materials submitted 
with a request for confidentiality will be returned if a request for 
inspection is filed under Sec. 0.461. If submission of the materials is 
required by the Commission and the request for confidentiality is 
denied, the materials will be made available for public inspection.
    (f) If no request for confidentiality is submitted, the Commission 
assumes no obligation to consider the need for non-disclosure but, in 
the unusual instance, may determine on its own motion that the materials 
should be withheld from public inspection. See Sec. 0.457(g).
    (g) If a request for confidentiality is denied, the person who 
submitted the request may, within 5 working days, file an application 
for review by the Commission. If the application for review is denied, 
the person who submitted the request will be afforded 5 working days in 
which to seek a judicial stay of the ruling. If these periods expire 
without action by the person who submitted the request, the materials 
will be returned to the person who submitted them or will be placed in a 
public file. Notice of denial and of the time for seeking review or a 
judicial stay will be given by telephone, with follow-up notice in 
writing. The first day to be counted in computing the time periods 
established in this subsection is the day after the date of oral notice. 
Materials will be accorded confidential treatment, as provided in 
Sec. 0.459(g) and Sec. 0.461, until the Commission acts on any timely 
applications for review of an order denying a request for 
confidentiality, and until a court acts on any timely motion for stay of 
such an order denying confidential treatment.
    (h) If the request is granted, the status of the materials is the 
same as that of materials listed in Sec. 0.457. Any person wishing to 
inspect them may submit a request for inspection under Sec. 0.461.
    (i) Third party owners of materials submitted to the Commission by 
another party may participate in the proceeding resolving the 
confidentiality of the materials.

[40 FR 7313, Feb. 19, 1975, as amended at 49 FR 21719, May 23, 1984; 55 
FR 8951, Mar. 9, 1990; 63 FR 44167, Aug. 18, 1998; 64 FR 55163, Oct. 12, 
1999]



Sec. 0.460  Requests for inspection of records which are routinely available for public inspection.

    (a) Sections 0.453 and 0.455 list those Commission records which are 
routinely available for public inspection and the places at which those 
records may be inspected. Subject to the limitations set out in this 
section and to the provisions of Sec. 0.466 and paragraph (l) of this 
section, a person who wants to inspect such records need only appear at 
the specified location and ask to see the records. Many such records 
also are available through the Commission's site on the World Wide Web, 
located at http://www.fcc.gov>. Commission documents listed in 
Sec. 0.416 are published in the FCC Record, and many such documents or 
summaries thereof are also published in the Federal Register.
    (b) A person who does not want a copy of the records must appear at 
the specified location during the office hours of the Commission and 
must inspect the records at that location. (Procedures governing 
requests for copies are set out in Sec. 0.465.) However, arrangements 
may be made in advance, by telephone or by correspondence, to make the 
records available for inspection on a particular date, and there are 
many circumstances in which such advance arrangements will save 
inconvenience. If the request is for a large number of documents, for 
example, a delay in collecting them is predictable. Current records may 
be in use by the

[[Page 74]]

staff when the request is made. Older records may have been forwarded to 
another location for storage.
    (c) The records in question must be reasonably described by the 
person requesting them so as to permit their location by staff 
personnel. The information needed to locate the records will vary, 
depending on the records requested. Advice concerning the kind of 
information needed to locate particular records will be furnished in 
advance upon request. Members of the public will not be given access to 
the area in which records are kept and will not be permitted to search 
the files.
    (d) If it appears that there will be an appreciable delay in 
locating or producing the records (as where a large number of documents 
is the subject of a single request or where an extended search for a 
document appears to be necessary), the request shall be submitted in 
writing, either in person or by mail.
    (e) Written requests shall be captioned ``REQUEST FOR INSPECTION OF 
RECORDS'', shall be dated, shall list the telephone number (if any) of 
the person making the request and for each document requested, shall set 
out all information known to the person making the request which would 
be helpful in identifying and locating the document. Written requests 
shall, in addition, specify the maximum search fee the person making the 
request is prepared to pay. (see Sec. 0.467)
    (f) Written requests shall be delivered or mailed directly to the 
chief of the organizational unit having custody of the records, as 
listed in Secs. 0.453 and 0.455. If the request is enclosed in an 
envelope, the envelope shall be marked, ``REQUEST FOR INSPECTION OF 
RECORDS.''
    (g) When a written request is received by the custodian of the 
records, it will be date-stamped.
    (h) All requests limited to records listed in Secs. 0.453 and 0.455 
will be granted, subject to paragraph (k) of this section. Requests for 
records listed in those sections shall not be combined with requests for 
other records.
    (i) The records will be produced for inspection at the earliest 
possible time.
    (j) Records shall be inspected within 7 days after notice is given 
that they have been located and are available for inspection. After that 
period, they will be returned to storage and additional charges may be 
imposed for again producing them.
    (k) In addition to the other requirements of this section, the 
following provisions apply to the reports filed with the Commission 
pursuant to subpart E of part 19 of this chapter. (1) Such reports shall 
not be obtained or used:
    (i) For any unlawful purpose; (ii) for any commercial purpose, other 
than by news and communications media for dissemination to the general 
public; (iii) for determining or establishing the credit rating of any 
individual; or (iv) for use, directly or indirectly, in the solicitation 
of money for any political, charitable, or other purpose.
    (2) Such reports may not be made available to any person nor may any 
copy thereof be provided to any person except upon a written application 
by such person stating: (i) That person's name, occupation and address; 
(ii) the name and address of any other person or organization on whose 
behalf the inspection or copying is requested; and (iii) that such 
person is aware of the prohibitions on the obtaining or use of the 
report. Further, any such application for inspection shall be made 
available to the public throughout the period during which the report 
itself is made available to the public.

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 
154, 303, 397; 18 U.S.C. 207(j))

[40 FR 7314, Feb. 19, 1975, as amended at 45 FR 85027, Dec. 24, 1980; 48 
FR 44800, Sept. 30, 1983; 53 FR 39093, Oct. 5, 1988; 62 FR 51797, Oct. 
3, 1997]



Sec. 0.461  Requests for inspection of materials not routinely available for public inspection.

    Any person desiring to inspect Commission records which are not 
listed in Sec. 0.453 or Sec. 0.455 shall file a request for inspection 
meeting the requirements of this section.
    (a)(1) The records in question must be reasonably described by the 
person requesting them, so as to permit their location by staff 
personnel. See Sec. 0.460(c).

[[Page 75]]

    (2) The person requesting records under this section may specify the 
form or format of the records to be produced.
    (b)(1) Requests shall be captioned ``Freedom of Information Act 
Request,'' shall be dated, shall list the telephone number (if any) of 
the person making the request and, for each document requested, shall 
set out all information known to the person making the request which 
would be helpful in identifying and locating the document.
    (2) The request shall, in addition, specify the maximum search fee 
the person making the request is prepared to pay (see Sec. 0.467).
    (c) If the records are of the kinds listed in Sec. 0.457 or if they 
have been withheld from inspection under Sec. 0.459, the request shall, 
in addition, contain a statement of the reasons for inspection and the 
facts in support thereof. In the case of other materials, no such 
statement need accompany the request; but the custodian of the records 
may require the submission of such a statement if he determines that the 
materials in question may lawfully be withheld from inspection.
    (d)(1) Requests shall be delivered or mailed to the Managing 
Director, sent by electronic mail to foia@fcc.gov>, or sent by 
facsimile. (For purposes of this section, the custodian of the records 
is the Chief of the appropriate Bureau or Office.)
    (2) If the request is enclosed in an envelope, the envelope shall be 
marked, ``Freedom of Information Act Request.''
    (3) An original and two copies of the request shall be submitted. If 
the request is for materials not open to routine public inspection under 
Sec. 0.457(d) or Sec. 0.459, or if a request for confidentiality is 
pending pursuant to Sec. 0.459, one copy of the request will be mailed 
by the custodian of the records to the person who originally submitted 
the materials to the Commission.
    (e) When the request is received by the Managing Director, it will 
be assigned to the Freedom of Information Act (FOIA) Control Office, 
where it will be date-stamped and assigned to the custodian of the 
records.
    (f) Requests for inspection of records will be acted on as follows 
by the custodian of the records.
    (1) If the Commission is prohibited from disclosing the records in 
question, the request for inspection will be denied with a statement 
setting forth the specific grounds for denial.
    (2) If the records are the property of another agency, the request 
will be referred to that agency and the person who submitted the request 
will be so advised, with the reasons therefor.
    (3) If it is determined that the Commission does not have authority 
to withhold the records from public inspection, the request will be 
granted.
    (4) If it is determined that the Commission does have authority to 
withhold the records from public inspection, the considerations favoring 
disclosure and non-disclosure will be weighed in light of the facts 
presented, and the request will be granted, either conditionally or 
unconditionally, or denied.
    (5) If there is a statutory basis for withholding part of a document 
only from inspection, that part will be deleted and the remainder will 
be made available for inspection.
    (6) In locating and recovering records responsive to a FOIA request, 
only those records within the Commission's possession and control as of 
the date of its receipt of the request shall be considered.
    (g) The custodian of the records will make every effort to act on 
the request within 20 working days after it is received by the FOIA 
Control Office. If it is not possible to locate the records and to 
determine whether they should be made available for inspection within 20 
working days, the custodian may, in any of the following circumstances, 
extend the time for action by up to 10 working days:
    (1) It is necessary to search for and collect the requested records 
from field facilities or other establishments that are separate from the 
office processing the request.
    (2) It is necessary to search for, collect and appropriately examine 
a voluminous amount of separate and distinct records which are demanded 
in a single request; or

[[Page 76]]

    (3) It is necessary to consult with another agency having a 
substantial interest in the determination of the request, or among two 
or more components of the Commission having substantial subject matter 
interest therein.


The custodian of the records will notify the requester in writing of any 
extension of time exercised pursuant to paragraph (g) of this section. 
If it is not possible to locate the records and make the determination 
within the extended period, the person or persons who made the request 
will be provided an opportunity to limit the scope of the request so 
that it may be processed within the extended time limit, or an 
opportunity to arrange an alternative time frame for processing the 
request or a modified request, and asked to consent to an extension or 
further extension. If the requester agrees to an extension, the 
custodian of the records will confirm the agreement in a letter 
specifying the length of the agreed-upon extension. If he or she does 
not agree to an extension, the request will be denied, on the grounds 
that the custodian has not been able to locate the records and/or to 
make the determination within the period for a ruling mandated by the 
Freedom of Information Act, 5 U.S.C. 552. In that event, the custodian 
will continue to search for and/or assess the records and will advise 
the person who made the request of further developments; but that person 
may file an application for review by the Commission. When action is 
taken by the custodian of the records, written notice of the action will 
be given.
    (h)(1) Requesters who seek expedited processing of FOIA requests 
shall submit such requests, along with their FOIA requests, to the 
Managing Director, as described in Sec. 0.461(d). If the request is 
enclosed in an envelope, the envelope shall be marked ``Request for 
Expedited Proceeding--FOIA Request.'' An original and two copies of the 
request for expedition shall be submitted, but only one copy is 
necessary if submitted by electronic mail. When the request is received 
by the Managing Director, it, and the accompanying FOIA request, will be 
assigned to the FOIA Control Office, where it will be date-stamped and 
assigned to the custodian of records.
    (2) Expedited processing shall be granted to a requester 
demonstrating a compelling need that is certified by the requester to be 
true and correct to the best of his or her knowledge and belief.
    (3) For purposes of this section, compelling need means--
    (i) That failure to obtain requested records on an expedited basis 
could reasonably be expected to pose an imminent threat to the life or 
physical safety of an individual; or
    (ii) With respect to a request made by a person primarily engaged in 
disseminating information, there is an urgency to inform the public 
concerning actual or alleged Federal Government activity.
    (4)(i) Notice of the determination as to whether to grant expedited 
processing shall be provided to the requester by the custodian of 
records within 10 calendar days after receipt of the request by the FOIA 
Control Office. Once the determination has been made to grant expedited 
processing, the custodian shall process the FOIA request as soon as 
practicable.
    (ii) If a request for expedited processing is denied, the person 
seeking expedited processing may file an application for review within 
five working days after the date of the written denial. The application 
for review and the envelope containing it (if any) shall be captioned 
``Review of FOIA Expedited Proceeding Request.'' The application for 
review shall be delivered or mailed to the General Counsel. (For general 
procedures relating to applications for review, see Sec. 1.115 of this 
chapter.) The Commission shall act expeditiously on the application for 
review, and shall notify the custodian of records of the disposition of 
such an application for review.
    (i)(1) If a request for inspection of records submitted to the 
Commission in confidence under Sec. 0.457(d) or Sec. 0.459 is granted, 
an application for review of the action may be filed by the person who 
submitted the records to the Commission or by a third party owner of the 
records. The application for review and the envelope containing it (if 
any) shall be captioned ``Review of Freedom

[[Page 77]]

of Information Action.'' The application for review shall be filed 
within 10 working days after the date of the written ruling, shall be 
delivered or mailed to the General Counsel, and shall be served on the 
person who filed the request for inspection of records. The first day to 
be counted in computing the time period for filing the application for 
review is the day after the date of the written ruling. If an 
application for review is not filed within this period, the records will 
be produced for inspection. The person who filed the request for 
inspection of records may respond to the application for review within 
10 working days after it is filed.
    (2) If the request for inspection of records submitted to the 
Commission in confidence under Sec. 0.457(d) or Sec. 0.459 is partially 
granted and partially denied, the person who submitted the records to 
the Commission, a third party owner of the records and the person who 
filed the request for inspection of those records may file an 
application for review within the 10 working days after the date of the 
written ruling. The application for review and the envelope containing 
it (if any) shall be captioned ``REVIEW OF FREEDOM OF INFORMATION 
ACTION.'' The application for review shall be delivered or mailed to the 
General Counsel. If either person files an application for review, it 
shall be served upon the other person.
    (3) If an application for review is denied, the person filing the 
application for review will be notified in writing and advised of their 
rights.
    (4) If an application for review filed by the person who submitted 
the records to the Commission or who owns the records is denied, or if 
the records are made available on review which were not initially made 
available, the person who submitted the records to the Commission or who 
owns the records will be afforded 10 working days from the date of the 
written ruling in which to move for a judicial stay of the Commission's 
action. The first day to be counted in computing the time period for 
seeking a judicial stay is the day after the date of the written ruling. 
If a motion for stay is not made within this period, the record will be 
produced for inspection.
    (j) Except as provided in paragraph (i) of this section, an 
application for review of an initial action on a request for inspection 
may be filed only by the person who made the request. The application 
shall be filed within 30 days after the date of the written ruling by 
the custodian of records, and shall be captioned, ``Review of Freedom of 
Information Action.'' The envelope (if any) shall also be so captioned. 
The application shall be delivered or mailed to the General Counsel and 
shall be served on the person (if any) who originally submitted the 
materials to the Commission. That person may file a response within 10 
working days after the application for review is filed. If the records 
are made available on review, the person who submitted them to the 
Commission (if any) will be afforded 10 working days after the date of 
the written ruling to seek a judicial stay. See paragraph (i) of this 
section. The first day to be counted in computing the time period for 
filing the application for review or seeking a judicial stay is the day 
after the date of the written ruling. (For general procedures relating 
to applications for review, see Sec. 1.115 of this chapter.)
    (k) The Commission will make every effort to act on an application 
for review of an action on a request for inspection of records within 20 
working days after it is filed. See, however, paragraph (i) of this 
section. If it is not possible to locate the records and to determine 
whether they should be made available for inspection within 20 working 
days, the General Counsel may, in the following circumstances and to the 
extent time has not been extended under paragraphs (g) (1)(i), (ii), or 
(iii) of this section, extend the time for action up to 10 working days. 
(The total period of extensions taken under this paragraph and under 
paragraph (g) of this section without the consent of the person who 
submitted the request shall not exceed 10 working days.):
    (1) It is necessary to search for and collect the requested records 
from field facilities or other establishments that are separate from the 
office processing the request;

[[Page 78]]

    (2) It is necessary to search for, collect and appropriately examine 
a voluminous amount of separate and distinct records which are demanded 
in a single request; or
    (3) It is necessary to consult with another agency having a 
substantial interest in the determination of the request or among two or 
more components of the Commission having substantial subject matter 
interest therein.

If these circumstances are not present or if it is not possible to 
locate the records and make the determination within the extended 
period, the person who made the request will be advised of his/her 
rights and asked to consent to an extension or further extension. If the 
requester or person who made the request agrees to an extension, the 
General Counsel will confirm the agreement in a letter specifying the 
length of the agreed-upon extension. If the requestor or person who made 
the request does not agree to an extension, the Commission will continue 
to search for and/or assess the record and will advise the person who 
made the request of further developments; but that person may file a 
complaint in an appropriate United States district court.
    (l) Subject to the application for review and judicial stay 
provisions of paragraphs (h) and (i) of this section, if the request is 
granted, the records will be produced for inspection at the earliest 
possible time.
    (m) Staff orders and letters denying requests for inspection are 
signed by the official (or officials) who give final approval of their 
contents. If a request is denied by the Commission, notice of denial 
will set forth the names of the Commissioners participating in the 
decision.
    (n) Records shall be inspected within 7 days after notice is given 
that they have been located and are available for inspection. After that 
period, they will be returned to storage, and additional charges may be 
imposed for again producing them.

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 
154, 303, 397; 47 FR 0.231(d))

[40 FR 39507, Aug. 28, 1975, as amended at 40 FR 59439, Dec. 24, 1975; 
45 FR 85028, Dec. 24, 1980; 49 FR 13367, Apr. 4, 1984; 49 FR 38122, 
Sept. 27, 1984; 53 FR 39093, Oct. 5, 1988; 55 FR 8951, Mar. 9, 1990; 55 
FR 9445, Mar. 14, 1990; 62 FR 51797, Oct. 3, 1997; 63 FR 25778, 25779, 
May 11, 1998; 63 FR 44168, Aug. 18, 1998; 64 FR 55163, Oct. 12, 1999]



Sec. 0.463  Demand by competent authority for the production of documents or testimony concerning information contained therein.

    (a) In the event that a demand (subpoena, order or other demand) is 
made by a court or other competent authority outside the Commission for 
the production of records or files or for testimony concerning 
information contained therein, the Managing Director shall promptly be 
advised of such demand, the nature of the papers or information sought, 
and all other relevant facts and circumstances. The Commissioin will 
thereupon issue such instructions as it may deem advisable.
    (b) Unless specifically authorized to produce such records or files 
or to testify with respect thereto, any officer or employee of the 
Commission who is served with a demand for the production of records or 
files or testimony concerning the same, shall appear in response to the 
demand and respectfully decline to produce such records or files or to 
testify concerning them, basing the refusal upon this rule.

(Secs. 4(i), 303(n), Communications Act of 1934, as amended, 47 U.S.C. 
154(i) and 303(n); 47 CFR 0.231(d))

[49 FR 13367, Apr. 4, 1984]



Sec. 0.465  Request for copies of materials which are available, or made available, for public inspection.

    (a) The Commission awards a contract to a commercial duplication 
firm to make copies of Commission records and offer them for sale to the 
public. In

[[Page 79]]

addition to the charge for copying, the contractor may charge a search 
fee for extracting the requested documents from the Commission's files.

    Note to paragraph (a): The name, address, telephone number, and 
schedule of fees for the current duplication contractor are published at 
the time of contract award or renewal in a Public Notice and 
periodically thereafter. Questions regarding this information should be 
directed to the Reference Information Division of the Consumer 
Information Bureau.

    (b) The Commission awards a contract to a commercial firm to 
transcribe Commission proceedings in which a verbatim record is kept and 
to offer copies of the transcript for sale to the public. Except as 
authorized by the Commission, the firm is required to retain the 
capacity to furnish copies of the transcript for a period of 5 years, 
and may retain that capacity for a longer period, even though another 
firm is currently transcribing Commission proceedings. Requests for 
copies of the transcript of the current proceedings should be directed 
to the current contractor. Requests for transcripts of older proceedings 
will be forwarded by the Commission to the firm which made the 
transcript in question; and the names of contracting firms for past 
years will be furnished upon request.

    Note to paragraph (b): The name, address, telephone number, and 
schedule of fees for the current transcription contractor are maintained 
by the Office of the Secretary in the Managing Director's Office.

    (c)(1) Contractual arrangements which have been entered into with 
commercial firms, as described in this section, do not in any way limit 
the right of the public to inspect Commission records or to extract 
therefrom whatever information may be desired. Coin-operated and debit 
card copy machines are available for use by the public.
    (2) The Commission has reserved the right to make copies of its 
records for its own use or for the use of other agencies of the U.S. 
Government. When it serves the regulatory or financial interests of the 
U.S. Government, the Commission will make and furnish copies of its 
records free of charge. In other circumstances, however, if it should be 
necessary for the Commission to make and furnish copies of its records 
for the use of others, the fee for this service shall be 17 cents per 
page. For copies prepared with other media, such as computer tapes, 
microfiche or videotape, the charge will be the actual direct cost 
including operator time. Requests for copying should be accompanied by a 
statement specifying the maximum copying fee the person making the 
request is prepared to pay. If the Commission estimates that copying 
charges are likely to exceed $25 or the amount which the requester has 
indicated that he/she is prepared to pay, then it shall notify the 
requester of the estimated amount of fees. Such a notice shall offer the 
requester the opportunity to confer with Commission personnel with the 
object of revising or clarifying the request.

    Note: The criterion considered in acting on a waiver request is 
whether ``waiver or reduction of the fee is in the public interest 
because furnishing the information can be considered as primarily 
benefiting the general public.'' 5 U.S.C. 552(a)(4)(A). The following 
factors are relevant in applying that criterion: the number of persons 
to be benefited, the significance of the benefit, the private interest 
of the requester which the release may further, the usefulness of the 
materials to be released to the general public and the likelihood that a 
tangible public benefit will be realized. (See Attorney General's 1974 
FOI Amdts. Memorandum, at 15.)

    (3) Requests for copies by representatives of foreign governments or 
persons residing in foreign countries shall be submitted to the General 
Counsel and will be reviewed by the General Counsel under criteria 
established by the Department of Commerce for controlling the export of 
technical data.
    (4) Certified Documents. Copies of documents which are available or 
made available, for inspection under Secs. 0.451 through 0.465, will be 
prepared and certified, under seal, by the Secretary, or for documents 
located in the Commission's Gettysburg, Pennsylvania Office by his 
deputy. Requests shall be in writing, specifying the exact documents, 
the number of copies desired, and the date on which they will be 
required. The request shall allow a reasonable time for the preparation 
and certification of copies. The fee for preparing copies shall be the 
same as that

[[Page 80]]

charged by the Commission as described in Sec. 0.465(c)(2). The fee for 
certification shall be $10 for each document.
    (d)(1) Computer maintained data bases produced by the Commission may 
be obtained from the FCC's internet web site at www.fcc.gov.

    Note: The Commission awards a contract to provide the public with 
direct electronic access to a portion of the non-Government Master 
Frequency File data base released for access and residing on the 
contractor's computer system. The name, address, telephone number, and 
schedule of fees for the current contractor are published annually at 
the time of contract award or renewal in a Public notice. This 
information may be obtained from the Office of Congressional and Public 
Affairs, Consumer Assistance and Small Business Division, Telephone 
(202) 632-7000.

    (2) Copies of computer generated data stored as paper printouts or 
on microfiche may also be obtained from the Commission's duplicating 
contractor (see paragraph (a) of this section).
    (d)(3) Copies of computer source programs and associated 
documentation produced by the Commission shall be obtained from the 
Office of the Managing Director.
    (e) This section has no application to printed publications, which 
may be purchased from the Superintendent of Documents or private firms 
(see Secs. 0.411 through 0.420). Nor does it apply to application forms 
or information bulletins, which are prepared for the use and information 
of the public and are available upon request (see Secs. 0.421 and 
0.423).
    (f) Anyone requesting copies of documents pursuant to this section 
may select either the Commission or the contractor to fulfill the 
request. If a request goes directly to the contractor, the requester 
will be charged by the contractor pursuant to the price list set forth 
in the latest contract. If a request goes directly to the Commission, it 
shall be sent to the Office of the Managing Director for appropriate 
processing according to the fee standards established under the FOIA.

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 
154, 303, 397; 47 CFR 0.231(d))

[32 FR 10573, July 19, 1967, as amended at 41 FR 51610, Nov. 23, 1976; 
45 FR 85028, Dec. 24, 1980; 49 FR 13368, Apr. 4, 1984; 51 FR 34982, Oct. 
1, 1986; 52 FR 36774, Oct. 1, 1987; 53 FR 39093, Oct. 5, 1988; 64 FR 
60725, Nov. 8, 1999]



Sec. 0.466  Definitions.

    (a) For the purpose of Secs. 0.467 and 0.468, the following 
definitions shall apply:
    (1) The term direct costs means those expenditures which the 
Commission actually incurs in searching for and duplicating (and in case 
of commercial requesters, reviewing) documents to respond to a FOIA 
request. Direct costs include the salary of the employee performing the 
work (the basic rate of pay for the employee plus 16 percent of that 
rate to cover benefits), and the cost of operating duplicating 
machinery. Not included in direct costs are overhead expenses, such as 
costs of space, and heating or lighting the facility in which the 
records are stored.
    (2) The term search includes all time spent looking for material 
that is responsive to a request, including page-by-page or line-by-line 
identification of material contained within documents. Such activity 
should be distinguished, however, from ``review'' of material in order 
to determine whether the material is exempt from disclosure (see 
paragraph (a)(3) of this section).
    (3) The term review refers to the process of examining documents 
located in response to a commercial use request (see paragraph (a)(4) of 
this section) to determine whether any portion of a document located is 
exempt from disclosure. It also includes processing any documents for 
disclosure, e.g., performing such functions that are necessary to excise 
them or otherwise prepare them for release. Review does not include time 
spent resolving general legal or policy issues regarding the application 
of FOIA exemptions.

[[Page 81]]

    (4) The term commercial use request refers to a request from or on 
behalf of one who seeks information for a use or purpose that furthers 
the commercial interests of the requester. In determining whether a 
requester properly falls within this category, the Commission shall 
determine the use to which a requester will put the documents requested. 
Where the Commission has reasonable cause to question the use to which a 
requester will put the documents sought, or where that use is not clear 
from the request itself, the Commission shall seek additional 
clarification before assigning the request to a specific category.
    (5) The term educational institution refers to a preschool, a public 
or private elementary or secondary school, an institution or graduate 
higher education, an institution of professional education and an 
institution of vocational education, which operates a program or 
programs of scholarly research.
    (6) The term non-commercial scientific institution refers to an 
institution that is not operated on a commercial basis as that term is 
referenced in paragraph (a)(4) of this section, and which is operated 
solely for the purpose of conducting scientific research the results of 
which are not intended to promote any particular product or industry.
    (7) The term representative of the news media refers to any person 
actively gathering news for an entity that is organized and operated to 
publish or broadcast news to the public. The term news means information 
that is about current events or that would be of current interest to the 
public. Examples of news media entities include television or radio 
stations broadcasting to the public at large, and publishers of 
periodicals (but only in those instances where they can qualify as 
disseminators of ``news'') who make their products available for 
purchase or subscription by the general public. These examples are not 
intended to be all inclusive. Moreover, as traditional methods of news 
delivery evolve (e.g., electronic dissemination of newspapers through 
telecommunications services), such alternative media would be included 
in this category. In the case of ``freelance'' journalists, they may be 
regarded as working for a news organization if they can demonstrate a 
solid basis for expecting publication through that organization, even 
though not actually employed by it.

[53 FR 39093, Oct. 5, 1988]



Sec. 0.467  Search and review fees.

    (a)(1) Subject to the provisions of this section, an hourly fee 
shall be charged for recovery of the full, allowable direct costs of 
searching for and reviewing records requested under Sec. 0.460(e) or 
Sec. 0.461, unless such fees are precluded or waived pursuant to 
Sec. 0.470. The fee is based on the grade level of the employee(s) who 
conduct(s) the search or review, as specified in the following schedule:

 
------------------------------------------------------------------------
                           Grade                              Hourly fee
------------------------------------------------------------------------
GS-1.......................................................         9.85
GS-2.......................................................        10.73
GS-3.......................................................        12.10
GS-4.......................................................        13.57
GS-5.......................................................        15.18
GS-6.......................................................        16.93
GS-7.......................................................        18.80
GS-8.......................................................        20.83
GS-9.......................................................        23.00
GS-10......................................................        25.34
GS-11......................................................        27.84
GS-12......................................................        33.37
GS-13......................................................        39.68
GS-14......................................................        46.88
GS-15......................................................        55.15
------------------------------------------------------------------------

    Note: These fees will be modified periodically to correspond with 
modifications in the rate of pay approved by Congress.
    (2) The fees in paragraph (a)(1) of this section were computed at 
Step 5 of each grade level based on the General Schedule effective 
January 2000 and include 20 percent for personnel benefits.
    (b) Search fees may be assessed for time spent searching, even if 
the Commission fails to locate the records or if the records are 
determined to be exempt from disclosure.
    (c) The Commission shall charge only for the initial review, i.e., 
the review undertaken initially when the Commission analyzes the 
applicability of a specific exemption to a particular record. The 
Commission shall not charge for review at the appeal level of an 
exemption already applied. However, records or portions of records 
withheld in full under an exemption that is subsequently determined not 
to apply may

[[Page 82]]

be reviewed again to determine the applicability of other exemptions not 
previously considered. The costs of such a subsequent review, under 
these circumstances, are properly assessable.
    (d) The fee charged will not exceed an amount based on the time 
typically required to locate records of the kind requested.
    (e) If the Commission estimates that search charges are likely to 
exceed $25 or the amount which the requester indicated he/she is 
prepared to pay, then it shall notify the requester of the estimated 
amount of fees. Such a notice shall offer the requester the opportunity 
to confer with Commission personnel with the object of revising or 
clarifying the request.
    (f) When the search has been completed, the custodian of the records 
will give notice of the charges incurred to the person who made the 
request.
    (g) The fee shall be paid to the Financial Management Division, 
Office of Managing Director, or as otherwise directed by the Commission.
    (h) Records shall be inspected within 7 days after notice is given 
that they have been located and are available for inspection. After that 
period, they will be returned to storage, and additional charges may be 
imposed for again producing them.

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 
154, 303, 397; 47 CFR 0.231(d))

[40 FR 7316, Feb. 19, 1975, as amended at 45 FR 85028, Dec. 24, 1980; 49 
FR 13368, Apr. 4, 1984. Redesignated and amended at 53 FR 39093, Oct. 5, 
1988; 59 FR 21946, Apr. 27, 1994; 64 FR 31139, June 10, 1999; 65 FR 
51234, Aug. 23, 2000]



Sec. 0.468  Interest.

    Interest shall be charged those requesters who fail to pay the fees 
charged. The agency will begin assessing interest charges on the amount 
billed starting on the 31st day following the day on which the billing 
was sent. The date on which the payment is received by the agency will 
determine whether and how much interest is due. The interest shall be 
set at the rate prescribed in 31 U.S.C. 3717.

[53 FR 39094, Oct. 5, 1988]



Sec. 0.469  Advance payments.

    (a)(1) The Commission may not require advance payment of estimated 
FOIA fees except as provided in subsection (a)(2) or where the 
Commission estimates or determines that allowable charges that a 
requester may be required to pay are likely to exceed $250.00 and the 
requester has no history of payment. Where allowable charges are likely 
to exceed $250.00 and the requester has a history of prompt payment of 
FOIA fees the Commission may notify the requester of the estimated cost 
and obtain satisfactory assurance of full payment.
    (2) Where a requester has previously failed to pay a fee charged in 
a timely fashion (i.e., within 30 days of the date of the billing), the 
Commission may require the requester to pay the full amount owed plus 
any applicable interest as provided in Sec. 0.468, and to make an 
advance payment of the full amount of the estimated fee before the 
Commission begins to process a new request or a pending request from 
that requester.
    (3) When the Commission acts under paragraph (a) (1) or (2) of this 
section, the administrative time limits prescribed in subsection (a)(6) 
of the FOIA (i.e., 10 working days from receipt of initial requests and 
20 working days from receipt of appeals from initial denials, plus 
permissible extensions of these time limits) will begin only after the 
agency has received the fee payments described above.
    (b) [Reserved]

[53 FR 39094, Oct. 5, 1988]



Sec. 0.470  Assessment of fees.

    (a)(1) Commercial use requesters. When the Commission receives a 
request for documents for commercial use, it will assess charges that 
recover the full direct cost of searching for, reviewing and duplicating 
the records sought pursuant to Secs. 0.466 and 0.467, above.
    (2) Educational and non-commercial scientific institution requesters 
and requesters who are representatives of the news media. The Commission 
shall provide documents to requesters in these categories for the cost 
of reproduction

[[Page 83]]

only, pursuant to Sec. 0.465 above, excluding reproduction charges for 
the first 100 pages, provided however, that requesters who are 
representatives of the news media shall be entitled to a reduced 
assessment of charges only when the request is for the purpose of 
disseminating information.
    (3) All other requesters. The Commission shall charge requesters who 
do not fit into any of the categories above fees which cover the full, 
reasonable direct cost of searching for and reproducing records that are 
responsive to the request, pursuant to Secs. 0.467 and 0.465 above, 
except that the first 100 pages of reproduction and the first two hours 
of search time shall be furnished without charge.
    (b)(1) The 100 page restriction on assessment of reproduction fees 
in paragraphs (a)(2) and (a)(3) of this section refers to 100 paper 
copies of a standard size, which will normally be ``8\1/2\  x  11'' or 
``11  x  14,'' or microfiche containing the equivalent of 100 pages or 
100 pages of computer printout. Requesters will not be entitled to 100 
microfiche.
    (2) When the agency reasonably believes that a requester or group of 
requesters is attempting to segregate a request into a series of 
separate individual requests for the purpose of evading the assessment 
of fees, the agency will aggregate any such requests and assess charges 
accordingly.
    (c) When a requester believes he is entitled to a restricted fee 
assessment pursuant to paragraphs (a)(2) and (a)(3), of this section , 
or a waiver pursuant to paragraph (e) of this section, the requester 
must include, in his original FOIA request, a statement explaining with 
specificity, the reasons demonstrating that he/she qualifies for a 
restricted fee or a fee waiver. Included in this statement should be a 
certification that the information will not be used to further the 
commercial interests of the requester.

    Note: Anyone requesting a restricted fee must submit the request 
directly to the Commission and not to the contractor who will provide 
documents only at the contract price.

    (d) If the Commission reasonably believes that a commercial interest 
exists, based on the information provided pursuant to paragraph (c) of 
this section, the requester shall be so notified and given an additional 
5 working days to provide further information to justify receiving a 
restricted fee. During this time period, the materials will be available 
for inspection to the extent that the time period exceeds the 10 or 20 
day time period for responding to FOIA requests, as appropriate.
    (e) Copying, search and review charges shall be waived or reduced by 
the General Counsel, when ``disclosure of the information is in the 
public interest because it is likely to contribute significantly to 
public understanding of the operations or activities of the government 
and is not primarily in the commercial interest of the requester.'' 5 
U.S.C. 552(a)(4)(A)(iii).
    (f) The Commission shall not assess any fees if the routine cost of 
collecting the fee would be equal to or greater than the fee itself.

[53 FR 39094, Oct. 5, 1988]

 Places for Making Submittals or Requests, for Filing Applications, and 
                         for Taking Examinations



Sec. 0.471  Miscellaneous submittals or requests.

    Persons desiring to make submittals or requests of a general nature 
should communicate with the Secretary of the Commission.

[36 FR 15121, Aug. 13, 1971]



Sec. 0.473  Reports of violations.

    Reports of violations of the Communications Act or of the 
Commission's rules and regulations may be submitted to the Commission in 
Washington or to any field office.

[32 FR 10578, July 19, 1967]



Sec. 0.475  Applications for employment.

    Persons who wish to apply for employment should communicate with the 
Associate Managing Director-Personnel Management.

(Secs. 4(i), 303(n), Communications Act of 1934, as amended, 47 U.S.C. 
154(i) and 303(n); 47 CFR 0.231(d))

[49 FR 13368, Apr. 4, 1984]

[[Page 84]]



Sec. 0.481  Place of filing applications for radio authorizations.

    For locations for filing applications, and appropriate fees, see 
Secs. 1.1102-1.1105 of this chapter.

[56 FR 64714, Dec. 12, 1991]



Sec. 0.482  Application for waiver of wireless radio service rules.

    All requests for waiver of the rules (see Sec. 1.925) governing the 
Wireless Radio Services (see Sec. 1.907) that require a fee (see 
Sec. 1.1102) shall be submitted via the Universal Licensing System or to 
the Mellon Bank, Pittsburgh, Pennsylvania at the address set forth in 
Sec. 1.1102. Waiver requests that do not require a fee should be 
submitted via the Universal Licensing System or to: Federal 
Communications Commission, 1270 Fairfield Road, Gettysburg, Pennsylvania 
17325-7245. Waiver requests attached to applications must be submitted 
in accordance with Sec. 0.401(b) or Sec. 0.401(c) of the rules.

[63 FR 68919, Dec. 14, 1998]



Sec. 0.483  Applications for amateur or commercial radio operator licenses.

    (a) Application filing procedures for amateur radio operator 
licenses are set forth in part 97 of this chapter.
    (b) Application filing procedures for commercial radio operator 
licenses are set forth in part 13 of this chapter. Detailed information 
about application forms, filing procedures, and places to file 
applications for commercial radio operator licenses is contained in the 
bulletin ``Commercial Radio Operator Licenses and Permits.'' This 
bulletin is available from any Commission field office or the FCC, 
Washington, DC 20554.

[47 FR 53378, Nov. 26, 1982]



Sec. 0.484  Amateur radio operator examinations.

    Generally, examinations for amateur radio operation licenses shall 
be administered at locations and times specified by volunteer examiners. 
(See Sec. 97.509). When the FCC conducts examinations for amateur radio 
operator licenses, they shall take place at locations and times 
designated by the FCC.

[58 FR 13021, Mar. 9, 1993]



Sec. 0.485  Commercial radio operator examinations.

    Generally, written and telegraphy examinations for commercial radio 
operator licenses shall be conducted at locations and times specified by 
commercial operator license examination managers. (See Sec. 13.209 of 
this chapter). When the FCC conducts these examinations, they shall take 
place at locations and times specified by the FCC.

[58 FR 9124, Feb. 19, 1993]



Sec. 0.489  Applications for ship radio inspection and periodical survey.

    Applications for ship radio inspection or for periodical survey 
shall be forwarded to the radio district office nearest the desired port 
of inspection or place of survey.

[28 FR 12413, Nov. 22, 1963. Redesignated at 32 FR 10578, July 19, 1967]



Sec. 0.491  Application for exemption from compulsory ship radio requirements.

    Applications for exemption filed under the provisions of 
Secs. 352(b) or 383 of the Communications Act; Regulation 4, chapter I 
of the Safety Convention; Regulation 5, chapter IV of the Safety 
Convention; or Article IX of the Great Lakes Agreement, must be filed as 
a waiver request using the procedures specified in Sec. 0.482 of this 
part. Emergency requests must be filed via the Universal Licensing 
System or at the Federal Communications Commission, Office of the 
Secretary, 445 12th Street, SW, Room TW-B204, Washington, DC 20554.

[63 FR 68919, Dec. 14, 1998]



Sec. 0.493  Non-radio common carrier applications.

    All such applications shall be filed at the Commission's offices in 
Washington, DC.

[28 FR 12413, Nov. 22, 1963. Redesignated at 32 FR 10578, July 19, 1967]

[[Page 85]]



 Subpart D--Mandatory Declassification of National Security Information

    Authority: Secs. 4(i), 303(r), Communications Act of 1934, as 
amended (47 U.S.C. 154(i) and 303(r)).

    Source: 47 FR 53377, Nov. 26, 1982, unless otherwise noted.



Sec. 0.501  General.

    Executive Order 12356 requires that information relating to national 
security be protected against unauthorized disclosure as long as 
required by national security considerations. The Order also provides 
that all information classified under Executive Order 12356 or 
predecessor orders be subject to a review for declassification upon 
receipt of a request made by a United States citizen or permanent 
resident alien, a Federal agency, or a state or local government.



Sec. 0.502  Purpose.

    This subpart prescribes the procedures to be followed in submitting 
requests, processing such requests, appeals taken from denials of 
declassification requests and fees and charges.



Sec. 0.503  Submission of requests for mandatory declassification review.

    (a) Requests for mandatory review of national security information 
shall be in writing, addressed to the Managing Director, and reasonably 
describe the information sought with sufficient particularity to enable 
Commission personnel to identify the documents containing that 
information and be reasonable in scope.
    (b) When the request is for information originally classified by the 
Commission, the Managing Director shall assign the request to the 
appropriate bureau or office for action.
    (c) Requests related to information, either derivatively classified 
by the Commission or originally classified by another agency, shall be 
forwarded, together with a copy of the record, to the originating 
agency. The transmittal may contain a recommendation for action.



Sec. 0.504  Processing requests for declassification.

    (a) Responses to mandatory declassification review requests shall be 
governed by the amount of search and review time required to process the 
request. A final determination shall be made within one year from the 
date of receipt of the request, except in unusual circumstances.
    (b) Upon a determination by the bureau or office that the requested 
material originally classified by the Commission no longer warrants 
protection, it shall be declassified and made available to the 
requester, unless withholding is otherwise authorized under law.
    (c) If the information may not be declassified or released in whole 
or in part, the requester shall be notified as to the reasons for the 
denial, given notice of the right to appeal the denial to the 
Classification Review Committee, and given notice that such an appeal 
must be filed within 60 days of the date of denial in order to be 
considered.
    (d) The Commission's Classification Review Committee, consisting of 
the Managing Director (Chairman), the General Counsel or his designee, 
and the Chief, Internal Review and Security Division, shall have 
authority to act, within 30 days, upon all appeals regarding denials of 
requests for mandatory declassification of Commission-originated 
classifications. The Committee shall be authorized to overrule previous 
determinations in whole or in part when, in its judgment, continued 
classification is no longer required. If the Committee determines that 
continued classification is required under the criteria of the Order, 
the requester shall be promptly notified and advised that an application 
for review may be filed with the Commission pursuant to 47 CFR 1.115.



Sec. 0.505  Fees and charges.

    (a) The Commission has designated a contractor to make copies of 
Commission records and offer them for sale (See Sec. 0.465).
    (b) An hourly fee is charged for recovery of the direct costs of 
searching for requested documents (See Sec. 0.466).

[[Page 86]]



Sec. 0.506  FOIA and Privacy Act requests.

    Requests for declassification that are submitted under the 
provisions of the Freedom of Information Act, as amended, (See 
Sec. 0.461), of the Privacy Act of 1974, (See Sec. 0.554) shall be 
processed in accordance with the provisions of those Acts.



                   Subpart E--Privacy Act Regulations

    Authority: Secs. 4, 303, 49 Stat. as amended, 1066, 1082 (47 U.S.C. 
154, 303).

    Source: 40 FR 44512, Sept. 26, 1975, unless otherwise noted.



Sec. 0.551  Purpose and scope; definitions.

    (a) The purpose of this subpart is to implement the Privacy Act of 
1974, 5 U.S.C. 552(a), and to protect the rights of the individual in 
the accuracy and privacy of information concerning him which is 
contained in Commission records. The regulations contained herein cover 
any group of records under the Commission's control from which 
information about individuals is retrievable by the name of an 
individual or by some other personal identifier.
    (b) In this subpart:
    (1) Individual means a citizen of the United States or an alien 
lawfully admitted for permanent residence;
    (2) Record means any item, collection or grouping of information 
about an individual that is maintained by the Commission, including but 
not limited to, such individual's education, financial transactions, 
medical history, and criminal or employment history, and that contains 
such individual's name, or the identifying number, symbol, or other 
identifying particular assigned to the individual, such as a finger or 
voice print or a photograph.
    (3) System of Records means a group of records under the control of 
the Commission from which information is retrievable by the name of the 
individual or by some identifying number, symbol, or other identifying 
particular assigned to the individual;
    (4) Routine Use means, with respect to the disclosure of a record, 
the use of such record for a purpose which is compatible with the 
purpose for which it was collected;
    (5) System Manager means the Commission official responsible for the 
storage, maintenance, safekeeping, and disposal of a system of records.

(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 
U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))

[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13368, Apr. 4, 1984]



Sec. 0.552  Notice identifying Commission systems of records.

    The Commission publishes in the Federal Register upon establishment 
or revision a notice of the existence and character of the system of 
records, including for each system of records:
    (a) The name and location of the system;
    (b) The categories of individuals on whom records are maintained in 
the system;
    (c) The categories of records maintained in the system;
    (d) Each routine use of the records contained in the system, 
including the categories of users and the purposes of such use;
    (e) The policies and practices of the agency regarding storage, 
retrievability, access controls, retention, and disposal of the records;
    (f) The title and business address of the system manager;
    (g) The address of the agency office to which inquiries should be 
addressed and the addresses of locations at which the individual may 
inquire whether a system contains records pertaining to himself;
    (h) The agency procedures whereby an individual can be notified how 
access can be gained to any record pertaining to that individual 
contained in a system of records, and the procedure for correcting or 
contesting its contents; and
    (i) The categories of sources of records in the system.

(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 
U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))

[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13368, Apr. 4, 1984]



Sec. 0.553  New uses of information.

    Before establishing a new routine use of a system of records, the 
Commission

[[Page 87]]

will publish a notice in the Federal Register of its intention to do so, 
and will provide at least 30 days for public comment on such use. The 
notice will contain:
    (a) The name of the system of records for which the new routine use 
is to be established;
    (b) The authority for the system;
    (c) The categories of records maintained;
    (d) The proposed routine use(s); and
    (e) The categories of recipients for each proposed routine use.



Sec. 0.554  Procedures for requests pertaining to individual records in a system of records.

    (a) Upon request, the Commission will notify individuals as to 
whether it maintains information about them in a system of records and, 
subject to the provisons of Sec. 0.555(b), will disclose the substance 
of such information to that individual. In order to properly request 
notification or access to record information, reference must be made to 
the Notice described in Sec. 0.552. A table of contents, which is 
alphabetized by bureau or office, precedes the system descriptions and 
allows members of the public to easily identify record systems of 
interest to them. An individual may inquire into information contained 
in any or all systems of records described in the Notice. However, each 
inquiry shall be limited to information from systems located within a 
single bureau or office and shall be addressed to that bureau or office.
    (b) Reasonable identification is required of all individuals making 
requests pursuant to paragraph (a) of this section in order to assure 
that disclosure of any information is made to the proper person.
    (1) Individuals who choose to register a request for information in 
person may verify their identity by showing any two of the following: 
social security card; drivers license; employee identification card; 
medicare card; birth certificate; bank credit card; or other positive 
means of identification. Documents incorporating a picture and/or 
signature of the individual shall be produced if possible. If an 
individual cannot provide suitable documentation for identification, 
that individual will be required to sign an identity statement 
stipulating that knowingly or willfully seeking or obtaining access to 
records about another person under false pretenses is punishable by a 
fine of up to $5,000.

    Note: An individual's refusal to disclose his social security number 
shall not constitute cause in and of itself, for denial of a request.

    (2) All requests for record information sent by mail shall be signed 
by the requestor and shall include his printed name, current address and 
telephone number (if any). Commission officials receiving such requests 
will attempt to verify the identity of the requestor by comparing his or 
her signature to those in the record. If the record contains no 
signatures and if positive identification cannot be made on the basis of 
other information submitted, the requestor will be required to sign an 
identity statement and stipulate that knowingly or willfully seeking or 
obtaining access to records about another person under false pretense is 
punishable by a fine of up to $5,000.
    (3) If positive identification cannot be made on the basis of the 
information submitted, and if data in the record is so sensitive that 
unauthorized access could cause harm or embarrassment to the individual 
to whom the record pertains, the Commission reserves the right to deny 
access to the record pending the production of additional more 
satisfactory evidence of identity.

    Note: The Commission will require verification of identity only 
where it has determined that knowledge of the existence of record 
information or its substance is not subject to the public disclosure 
requirements of the Freedom of Information Act, 5 U.S.C. 552, as 
amended.

    (c) All requests for notification of the existence of record 
information or for access to such information shall be delivered to the 
business address of the system manager responsible for the system of 
records in question, except that requests relating to official personnel 
records shall be addressed to the Associate Managing Director--Personnel 
Management. Such addresses can be found in the Federal Register Notice 
described in Sec. 0.552.

[[Page 88]]

    (d) A written acknowledgement of receipt of a request for 
notification and/or access will be provided within 10 days (excluding 
Saturdays, Sundays, and legal public holidays) to the individual making 
the request. Such an acknowledgement may, if necessary, request any 
additional information needed to locate a record. A search of all 
systems of records identified in the individual's request will be made 
to determine if any records pertaining to the individual are contained 
therein, and the individual will be notified of the search results as 
soon as the search has been completed. Normally, a request will be 
processed and the individual notified of the search results within 30 
days (excluding Saturdays, Sundays, and legal holidays) from the date 
the inquiry is received. However, in some cases, as where records have 
to be recalled from Federal Record Centers, notification may be delayed. 
If it is determined that a record pertaining to the individual making 
the request does exist, the notification will state approximately when 
the record will be available for personal review. No separate 
acknowledgement is required if the request can be processed and the 
individual notified of the search results within the ten-day period.

(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 
U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))

[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13368, Apr. 4, 1984]



Sec. 0.555  Disclosure of record information to individuals.

    (a) Individuals having been notified that the Commission maintains a 
record pertaining to them in a system of records may request access to 
such record in one of three ways: by in person inspection at the system 
location; by transfer of the record to a nearer location; or by mail.
    (1) Individuals who wish to review their records at the system 
location must do so during regular Commission business hours (8:00 a.m.-
4:30 p.m., Monday through Friday). For personal and administrative 
convenience, individuals are urged to arrange to review a record by 
appointment. Preferences as to specific dates and times can be made by 
writing or calling the system manager responsible for the system of 
records in question at least two days in advance of the desired 
appointment date, and by providing a telephone number where the 
individual can be reached during the day in case the appointment must be 
changed. Verification of identity is required as in Sec. 0.554(b)(1) 
before access will be granted an individual appearing in person. 
Individuals may be accompanied by a person of his or her own choosing 
when reviewing a record. However, in such cases, a written statement 
authorizing discussion of their record in the presence of a Commission 
representative having physical custody of the records.
    (2) Individuals may request that a record be transferred to a 
Commission field office or installation in the vicinity of his or her 
home and that access be granted at that location. The addresses of 
Commission field offices are listed in Sec. 0.121. A request to transfer 
records must specify the exact location where the records should be sent 
and a telephone number to call when the information is available for 
review at the field location. Paragraph (a)(1) of this section regarding 
personal appointments, verification of identity accompanying persons, 
and disclosure of original records applies equally to this paragraph.
    (3) Individuals may request that copies of records be sent directly 
to them. In such cases, individuals must verify their identity as 
Sec. 0.554(b)(2) and provide an accurate return address. Records shall 
be sent only to that address.
    (b) The disclosure of record information under this section is 
subject to the following limitations:
    (1) Records containing medical information pertaining to an 
individual are subject to individual access under this section unless, 
in the judgment of the system manager having custody of the records 
after consultation with a medical doctor, access to such record 
information could have an adverse impact on the individual. In such 
cases, a copy of the record will be delivered to a medical doctor named 
by the individual.
    (2) Classified material, investigative material compiled for law 
enforcement

[[Page 89]]

purposes, investigatory material compiled solely for determining 
suitability for Federal employment or access to classified information, 
and certain testing or examination material shall be removed from the 
records to the extent permitted in the Privacy Act of 1974, 5 U.S.C. 
552(a). Section 0.561 of this subpart sets forth the systems of records 
maintained by the Commission which are either totally or partially 
exempt from disclosure under this subparagraph.
    (c) No fee will be imposed if the number of pages of records 
requested is 25 or less. Requests involving more than 25 pages shall be 
submitted to the duplicating contractor (see Sec. 0.456(a)).
    (d) The provisions of this section in no way give an individual the 
right to access any information compiled in reasonable anticipation of a 
civil action or proceeding.
    (e) In the event that a determination is made denying an individual 
access to records pertaining to that individual for any reason, such 
individual may either:
    (1) Seek administrative review of the adverse determination. Such a 
request shall be in writing and should be addressed to the system 
manager who made the initial decision. In addition, the request for 
review shall state specifically why the initial decision should be 
reversed.
    (2) Seek judicial relief in the district courts of the United States 
pursuant to paragraph (g)(1)(B) of the Act.

(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 
U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))

[40 FR 44512, Sept. 26, 1975, as amended at 40 FR 58858, Dec. 19, 1975; 
49 FR 13369, Apr. 4, 1984]



Sec. 0.556  Request to correct or amend records.

    (a) An individual may request the amendment of information contained 
in their record. Except as otherwise provided in this paragraph, the 
request to amend should be submitted in writing to the system manager 
responsible for the records. Requests to amend the official personnel 
records of active FCC employees should be submitted to the Associate 
Managing Director--Human Resources Management, 445 12th Street, SW., 
Washington, D.C. 20554. Requests to amend official personnel records of 
former FCC employees should be sent to the Assistant Director for Work 
Force Information, Compliance and Investigations Group, Office of 
Personnel Management, 1900 E Street, NW., Washington, D.C. 20415. Any 
request to amend should contain as a minimum:
    (1) The identity verification information required by 
Sec. 0.554(b)(2) and the information needed to locate the record as 
required by Sec. 0.554(a).
    (2) A brief description of the item or items of information to be 
amended; and
    (3) The reason for the requested change.
    (b) A written acknowledgement of the receipt of a request to amend a 
record will be provided within 10 days (excluding Saturdays, Sundays, 
and legal public holidays) to the individual requesting the amendment. 
Such an acknowledgement may, if necessary, request any additional 
information needed to make a determination. There will be no 
acknowledgement if the request can be reviewed, processed, and the 
individual notified of compliance or denial within the 10 day period.
    (c) The responsible system manager, or in the case of official 
personnel records of active FCC employees, the Associate Managing 
Director--Personnel Management, shall (normally within 30 days) take one 
of the following actions regarding a request to amend:
    (1) If the system manager agrees that an amendment to the record is 
warranted, the system manager shall:
    (i) So advise the individual in writing;
    (ii) Correct the record in compliance with the individual's request; 
and
    (iii) If an accounting of disclosures has been made, advise all 
previous recipients of the fact that the record has been corrected and 
of the substance of the correction.
    (2) If the system manager, after an initial review, does not agree 
that all or any portion of the record merits amendment, the system 
manager shall:
    (i) Notify the individual in writing of such refusal to amend and 
the reasons therefore;

[[Page 90]]

    (ii) Advise the individual that further administrative review of the 
initial decision by the full Commission may be sought pursuant to the 
procedures set forth in Sec. 0.557. (In cases where the request to amend 
involves official personnel records, review is available exclusively 
from the Assistant Director for Work Force Information, Compliance and 
Investigations Group, Office of Personnel Management, Washington, DC 
20415; and
    (iii) Inform the individual of the procedures for requesting 
Commission review pursuant to Sec. 0.557.
    (d) In reviewing a record in response to a request to amend, the 
system manager shall assess the accuracy, relevance, timeliness, or 
completeness of the record in light of each data element placed into 
controversy and the use of the record in making decisions that could 
possibly affect the individual. Moreover, the system manager shall 
ajudge the merits of any request to delete information based on whether 
or not the information in controversy is both relevant and necessary to 
accomplish a statutory purpose required of the Commission by law or 
executive order of the President.

(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 
U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))

[40 FR 44512, Sept. 26, 1975, as amended at 45 FR 39850, June 12, 1980; 
49 FR 13369, Apr. 4, 1984; 65 FR 58466, Sept. 29, 2000]



Sec. 0.557  Administrative review of an initial decision not to amend a record.

    (a) Individuals have 30 days from the date of the determination not 
to amend a record consistent with their request to seek further 
administrative review by the full Commisison. Such a request shall be in 
writing and should be addressed to either the system manager who made 
the initial adverse decision, or, in the case of official personnel 
records of active FCC employees, to the Assistant Director for Work 
Force Information, Compliance and Investigations Group, Office of 
Personnel Management, Washington, DC 20415. Any request for 
administrative review must:
    (1) Clearly identify the questions presented for review (e.g., 
whether the record information in question is, in fact, accurate; 
whether information subject to a request to delete is relevant and 
necessary to the purpose for which it is maintained);
    (2) Specify with particularity why the decision reached by the 
system manager is erroneous or inequitable; and
    (3) Clearly state how the record should be amended or corrected.
    (b) The Commission shall conduct an independent review of the record 
in controversy using the standards of review set out in Sec. 0.556(d). 
It may seek such additional information as is necessary to make its 
determination. Final administrative review shall be completed not later 
than 30 days (excluding Saturdays, Sundays and legal public holidays) 
from the date on which the individual requests such review unless the 
Chairman determines that a fair and equitable review cannot be made 
within the 30 day period. In such event, the individual will be informed 
in writing of the reasons for the delay and the approximate date on 
which the review is expected to be completed.
    (c) If upon review of the record in controversy the Commission 
agrees with the individual that the requested amendment is warranted, 
the Commission will proceed in accordance with Sec. 0.556(c)(1) (i) 
through (iii).
    (d) If after the review, the Commission also refuses to amend the 
record as requested, it shall:
    (1) Notify the individual in writing of its refusal and the reasons 
therefore;
    (2) Advise the individual that a concise statement of the reasons 
for disagreeing with the decision of the Commisison may be filed;
    (3) Inform the individual:
    (i) That such a statement should be signed and addressed to the 
system manager having custody of the record in question;
    (ii) That the statement will be made available to any one to whom 
the record is subsequently disclosed together with, at the Commission's 
discretion, a summary of its reasons for refusing to amend the record; 
and
    (iii) That prior recipients of the record will be provided a copy of 
the statement of dispute to the extent that

[[Page 91]]

an accounting of such disclosures is maintained; and
    (4) Advise the individual that judicial review of the Commisison's 
decision not to amend the record in any district court of the United 
States is available.

(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 
U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))

[40 FR 44512, Sept. 26, 1975, as amended at 45 FR 39850, June 12, 1980; 
49 FR 13369, Apr. 4, 1984]



Sec. 0.558  Advice and assistance.

    Individuals who have questions regarding the procedures contained in 
this subpart for gaining access to a particular system of records or for 
contesting the contents of a record, either administratively or 
judicially, should write or call the Privacy Liaison Officer at the 
following address:

Federal Communications Commission, Office of General Counsel, 445 12th 
Street, SW., Washington, DC 20554.


Individuals who request clarification of the Notice described in 
Sec. 0.552 or who have questions concerning the characterization of 
specific systems of records as set forth therein, should write or call 
the Privacy Liaison Officer at the following address:

Federal Communications Commission, Performance Evaluation and Records 
Management, Office of the Managing Director, 445 12th Street, SW., 
Washington, DC 20554

(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 
U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))

[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13369, Apr. 4, 1984; 
65 FR 58466, Sept. 29, 2000]



Sec. 0.559  Disclosure of disputed information to persons other than the individual to whom it pertains.

    If the Commission determines not to amend a record consistent with 
an individual's request, and if the individual files a statement of 
disagreement pursuant to Sec. 0.557(d)(2), the Commission shall clearly 
annotate the record so that the disputed portion becomes apparent to 
anyone who may subsequently have access to, use or disclose the record. 
A copy of the individual's statement of disagreement shall accompany any 
subsequent disclosure of the record. In addition, the Commission may 
include a brief summary of its reasons for not amending the record when 
disclosing the record. Such statements become part of the individual's 
record for granting access, but are not subject to the amendment 
procedures of Sec. 0.556.



Sec. 0.560  Penalty for false representation of identity.

    Any individual who knowingly and willfully requests or obtains under 
false pretenses any record concerning an individual from any system of 
records maintained by the Commission shall be guilty of a misdemeanor 
and subject to a fine of not more than $5,000.



Sec. 0.561  Exemptions.

    The following systems of records are totally or partially exempt 
from subsections (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f) 
of the Privacy Act of 1974, 5 U.S.C. 552(a), and from Secs. 0.554 
through 0.557 of this subpart:
    (a) System name. Radio Operator Records--FCC/FOB-1. Parts of this 
system of records are exempt pursuant to Section (k)(2) of the Act 
because they contain investigatory material compiled solely for law 
enforcement purposes.
    (b) System name. Violators File (records kept on individuals who 
have been subjects of FCC field enforcement actions)--FCC/FOB-2. Parts 
of this system of records are EXEMPT because they are maintained as a 
protective service for individuals described in section 3056 of title 
18, and because they are necessary for Commission employees to perform 
their duties, pursuant to sections (k) (1), (2), and (3) of the Act.
    (c) System name. Attorney Misconduct Files--FCC/OGC-2. This system 
of records is exempt pursuant to section 3(k)(2) of the Act because it 
is maintained for law enforcement purposes.
    (d) System name. Licensees or Unlicensed Persons Operating Radio 
Equipment Improperly--FCC. Parts of this system of records are exempt 
pursuant to section 3(k)(2) of the Act because they embody investigatory 
material compiled solely for law enforcement purposes.

[[Page 92]]

    (e) System name. Personnel Investigation Records--FCC/Central-6. 
Parts of these systems of records are exempt because they emobdy 
investigatory material pursuant to sections 3(k)(2) and 3(k)(5) of the 
Act as applicable.
    (f) System name. Criminal Investigative Files--FCC/OIG-1. Compiled 
for the purpose of criminal investigations. This system of records is 
exempt pursuant to section (j)(2) of the Act because the records contain 
investigatory material compiled for criminal law enforcement purposes.
    (g) System name. General Investigative Files--FCC/OIG-2. Compiled 
for law enforcement purposes. This system of records is exempt pursuant 
to section (k)(2) of the Act because the records contain investigatory 
material compiled for law enforcement purposes.

(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 
U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))

[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13369, Apr. 4, 1984; 
58 FR 11549, Feb. 26, 1993]



                      Subpart F--Meeting Procedures

    Authority: Secs. 4, 303, 48 Stat., as amended, 1066, 1082; (47 
U.S.C. 154, 303).

    Source: 42 FR 12867, Mar. 7, 1977, unless otherwise noted.



Sec. 0.601  Definitions.

    For purposes of this section:
    (a) The term agency means:
    (1) The Commission,
    (2) A board of Commissioners (see Sec. 0.212),
    (3) The Telecommunications Committee (see Sec. 0.215), and
    (4) Any other group of Commissioners hereafter established by the 
Commission on a continuing or ad hoc basis and authorized to act on 
behalf of the Commission.
    (b) The term meeting means the deliberations among a quorum of the 
Commission, a Board of Commissioners, or a quorum of a committee of 
Commissioners, where such deliberations determine or result in the joint 
conduct or disposition of official agency business, except that the term 
does not include deliberations to decide whether to announce a meeting 
with less than seven days notice, or whether a meeting should be open or 
closed. (The term includes conference telephone calls, but does not 
include the separate consideration of Commission business by 
Commissioners.) For purposes of this subpart each item on the agenda of 
a meeting is considered a meeting or a portion of a meeting.

[42 FR 12867, Mar. 7, 1977, as amended at 48 FR 56391, Dec. 21, 1983; 64 
FR 2149, Jan. 13, 1999]



Sec. 0.602  Open meetings.

    (a) All meetings shall be conducted in accordance with the 
provisions of this subpart.
    (b) Except as provided in Sec. 0.603, every portion of every meeting 
shall be open to public observation. Observation does not include 
participation or disruptive conduct by observers, and persons engaging 
in such conduct will be removed from the meeting.
    (c) The right of the public to observe open meetings does not alter 
those rules in this chapter which relate to the filing of motions, 
pleadings, or other documents. Unless such pleadings conform to the 
other procedural requirements of this chapter, pleadings based upon 
comments or discussions at open meetings, as a general rule, will not 
become part of the official record, will receive no consideration, and 
no further action by the Commission will be taken thereon.
    (d) Deliberations, discussions, comments or observations made during 
the course of open meetings do not themselves constitute action of the 
Commission. Comments made by Commissioners may be advanced for purposes 
of discussion and may not reflect the ultimate position of a 
Commissioner.

[42 FR 12867, Mar. 7, 1977, as amended at 45 FR 63491, Sept. 25, 1980]



Sec. 0.603  Bases for closing a meeting to the public.

    Except where the agency finds that the public interest requires 
otherwise, an agency or advisory committee meeting may be closed to the 
public, and information pertaining to such meetings which would 
otherwise be disclosed to the public under Sec. 0.605 may be withheld, 
if the agency determines

[[Page 93]]

that an open meeting or the disclosure of such information is likely to:
    (a) Disclose matters that: (1) Are specifically authorized under 
criteria established by executive order to be kept secret in the 
interest of national defense or foreign policy, and (2) are in fact 
properly classified pursuant to such executive order (see 
Sec. 0.457(a));
    (b) Relate solely to the internal personnel rules and practices of 
an agency (see Sec. 0.457(b));
    (c) Disclose matters specifically exempted from disclosure, by 
statute (other than the Freedom of Information Act, 5 U.S.C. 552). 
Provided, That such statute (1) requires that the matters be withheld 
from the public in such a manner as to leave no discretion on the issue, 
or (2) establishes particular criteria for withholding or refers to 
particular types of matters to be withheld (see Sec. 0.457(c));
    (d) Disclose trade secrets and commercial or financial information 
obtained from a person and privileged or confidential (see 
Sec. 0.457(d));
    (e) Involve accusing any person of a crime or formally censuring any 
person;
    (f) Disclose information of a personal nature where disclosure would 
constitute a clearly unwarranted invasion of personal privacy (see 
Sec. 0.457(f));
    (g) Disclose investigatory records compiled for law enforcement 
purposes, or information which if written would be contained in such 
records, but only to the extent that the production of such records or 
information would (1) interfere with enforcement proceedings, (2) 
deprive a person of a right to a fair trial or an impartial 
adjudication, (3) constitute an unwarranted invasion of personal 
privacy, (4) disclose the identity of a confidential source, and, in the 
case of a record compiled by a criminal law enforcement authority in the 
course of a criminal investigation, or by an agency conducting a lawful 
national security intelligence investigation, confidential information 
furnished only by the confidential source, (5) disclose investigative 
techniques and procedures, or (6) endanger the life or physical safety 
of law enforcement personnel;
    (h) Disclose information contained in or related to examination, 
operating, or condition reports prepared by, on behalf of, or for the 
use of an agency responsible for the regulation or supervision of 
financial institutions;
    (i) Disclose information the premature disclosure of which would be 
likely to significantly frustrate implementation of a proposed agency 
action, except where the agency has already disclosed to the public the 
content or nature of the disclosed action, or where the agency is 
required by law to make such disclosure on its own initiative prior to 
taking final agency action on such proposal; or
    (j) Specifically concern the agency's issuance of a subpoena, or the 
agency's participation in a civil action or proceeding, an action in a 
foreign court or international tribunal, or an arbitration, or the 
initiation, conduct, or disposition by the agency of a particular case 
of formal agency adjudication pursuant to the procedures specified in 5 
U.S.C. 554 or otherwise involving a determination on the record after 
opportunity for hearing.



Sec. 0.605  Procedures for announcing meetings.

    (a) Notice of all open and closed meetings will be given.
    (b) The meeting notice will be submitted for publication in the 
Federal Register on or before the date on which the announcement is 
made. Copies will be available in the Press and News Media Division on 
the day the announcement is made. Copies will also be attached to ``FCC 
Actions Alert'', which is mailed to certain individuals and groups who 
have demonstrated an interest in representing the public in Commission 
proceedings.
    (c)(1) If the agency staff determines that a meeting should be open 
to the public, it will, at least one week prior to the meeting, announce 
in writing the time, place and subject matter of the meeting, that it is 
to be open to the public, and the name and phone number of the Chief, 
Press and News Media Division, who has been designated to respond to 
requests for information about the meeting.
    (2) If the staff determines that a meeting should be closed to the 
public, it will refer the matter to the General Counsel, who will 
certify that there is

[[Page 94]]

(or is not) a legal basis for closing the meeting to the public. 
Following action by the General Counsel, the matter may be referred to 
the agency for a vote on the question of closing the meeting (See 
Sec. 0.606).
    (d)(1) If the question of closing a meeting is considered by the 
agency but no vote is taken, the agency will, at least one week prior to 
the meeting, announce in writing the time, place and subject matter of 
the meeting, that it is to be open to the public, and the name and phone 
number of the Chief, Press and News Media Division.
    (2) If a vote is taken, the agency will, in the same announcement 
and within one day after the vote, make public the vote of each 
participating Commissioner.
    (3) If the vote is to close the meeting, the agency will also, in 
that announcement, set out a full written explanation of its action, 
including the applicable provision(s) of Sec. 0.603, and a list of 
persons expected to attend the meeting, including Commission personnel, 
together with their affiliations. The Commissioners, their assistants, 
the General Counsel, the Executive Director, the Chief, Press and News 
Media Division, and the Secretary are expected to attend all Commission 
meetings. The appropriate Bureau or Office Chief and Division Chief are 
expected to attend meetings which relate to their responsibilities (see 
subpart A of this part).
    (4) If a meeting is closed, the agency may omit from the 
announcement information usually included, if and to the extent that it 
finds that disclosure would be likely to have any of the consequences 
listed in Sec. 0.603.
    (e) If the prompt and orderly conduct of agency business requires 
that a meeting be held less than one week after the announcement of the 
meeting, or before that announcement, the agency will issue the 
announcement at the earliest practicable time. In addition to other 
information, the announcement will contain the vote of each member of 
the agency who participated in the decision to give less than seven days 
notice, and the particular reason for that decision.
    (f) If, after announcement of a meeting, the time or place of the 
meeting is changed or the meeting is cancelled, the agency will announce 
the change at the earliest practicable time.
    (g) If the subject matter or the determination to open or close a 
meeting is changed, the agency will publicly announce the change and the 
vote of each member at the earliest practicable time. The announcement 
will contain a finding that agency business requires the change and that 
no earlier announcement of the change was possible.

(47 U.S.C. 154, 155, 303)

[42 FR 12867, Mar. 7, 1977, as amended at 44 FR 12425, Mar. 7, 1979; 44 
FR 70472, Dec. 7, 1979; 64 FE 2150, Jan. 13, 1999]



Sec. 0.606  Procedures for closing a meeting to the public.

    (a) For every meeting closed under Sec. 0.603, the General Counsel 
will certify that there is a legal basis for closing the meeting to the 
public and will state each relevant provision of Sec. 0.603. The staff 
of the agency will refer the matter to the General Counsel for 
certification before it is referred to the agency for a vote on closing 
the meeting. Certifications will be retained in a public file in the 
Minute and Rules Branch, Office of the Secretary.
    (b) The agency will vote on the question of closing a meeting.
    (1) If a member of the agency requests that a vote be taken;
    (2) If the staff recommends that a meeting be closed and one member 
of the agency requests that a vote be taken; or
    (3) If a person whose interests may be directly affected by a 
meeting requests the agency to close the meeting for any of the reasons 
listed in Sec. 0.603 (e), (f) or (g), or if any person requests that a 
closed meeting be opened, and a member of the agency requests that a 
vote be taken. (Such requests may be filed with the Secretary at any 
time prior to the meeting and should briefly state the reason(s) for 
opening or closing the meeting. To assure that they reach the Commission 
for consideration prior to the meeting, they should be submitted at the 
earliest practicable time and should be called specifically to the 
attention of the Secretary--in person or by telephone. It will be 
helpful if copies of the request are furnished to the

[[Page 95]]

members of the agency and the General Counsel. The filing of a request 
shall not stay the holding of a meeting.)
    (c) A meeting will be closed to the public pursuant to Sec. 0.603 
only by vote of a majority of the entire membership of the agency. The 
vote of each participating Commissioner will be recorded. No 
Commissioner may vote by proxy.
    (d) A separate vote will be taken before any meeting is closed to 
the public and before any information is withheld from the meeting 
notice. However, a single vote may be taken with respect to a series of 
meetings proposed to be closed to the public, and with respect to 
information concerning such series of meetings (a vote on each question, 
if both are presented), if each meeting involves the same particular 
matters and is scheduled to be held no later than 30 days after the 
first meeting in the series.
    (e) Less than seven days notice may be given only by majority vote 
of the entire membership of the agency.
    (f) The subject matter or the determination to open or close a 
meeting will be changed only if a majority of the entire membership of 
the agency determines by recorded vote that agency business so requires 
and that no earlier announcement of the change was possible.



Sec. 0.607  Transcript, recording or minutes; availability to the public.

    (a) The agency will maintain a complete transcript or electronic 
recording adequate to record fully the proceedings of each meeting 
closed to the public, except that in a meeting closed pursuant to 
paragraph (h) or (j) of Sec. 0.603, the agency may maintain minutes in 
lieu of a transcript or recording. Such minutes shall fully and clearly 
describe all matters discussed and shall provide a full and accurate 
summary of any actions taken, and the reasons therefor, including a 
description of each of the views expressed on any item and the record of 
any roll call vote. All documents considered in connection with any item 
will be identified in the minutes.
    (b) A public file of transcripts (or minutes) of closed meetings 
will be maintained in the Minute and Rules Branch, Office of the 
Secretary. The transcript of a meeting will be placed in that file if, 
after the meeting, the responsible Bureau or Office Chief determines, in 
light of the discussion, that the meeting could have been open to the 
public or that the reason for withholding information concerning the 
matters discussed no longer pertains. Transcripts placed in the public 
file are available for inspection under Sec. 0.460. Other transcripts, 
and separable portions thereof which do not contain information properly 
withheld under Sec. 0.603, may be made available for inspection under 
Sec. 0.461. When a transcript, or portion thereof, is made available for 
inspection under Sec. 0.461, it will be placed in the public file. 
Copies of transcripts may be obtained from the duplicating contractor 
pursuant to Sec. 0.465(a). There will be no search or transcription fee. 
Requests for inspection or copies of transcripts shall specify the date 
of the meeting, the name of the agenda and the agenda item number; this 
information will appear in the notice of the meeting. Pursuant to 
Sec. 0.465(c)(3), the Commission will make copies of the transcript 
available directly, free of charge, if it serves the financial or 
regulatory interests of the United States.
    (c) The Commission will maintain a copy of the transcript or minutes 
for a period of at least two years after the meeting, or until at least 
one year after conclusion of the proceeding to which the meeting 
relates, whichever occurs later.



PART 1--PRACTICE AND PROCEDURE--Table of Contents




           Subpart A--General Rules of Practice and Procedure

                                 General

Sec.
1.1  Proceedings before the Commission.
1.2  Declaratory rulings.
1.3  Suspension, amendment, or waiver of rules.
1.4  Computation of time.
1.5  Mailing address furnished by licensee.
1.6  Availability of station logs and records for Commission inspection.
1.7  Documents are filed upon receipt.
1.8  Withdrawal of papers.
1.10  Transcript of testimony; copies of documents submitted.

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1.12  Notice to attorneys of Commission documents.
1.13  Filing of petitions for review and notices of appeals of 
          Commission orders.
1.14  Citation of Commission documents.
1.16  Unsworn declarations under penalty of perjury in lieu of 
          affidavits.
1.17  Truthful written statements and responses to Commission inquiries 
          and correspondence.
1.18  Administrative Dispute Resolution.
1.19  Use of metric units required.

                  Parties, Practitioners, and Witnesses

1.21  Parties.
1.22  Authority for representation.
1.23  Persons who may be admitted to practice.
1.24  Censure, suspension, or disbarment of attorneys.
1.25  [Reserved]
1.26  Appearances.
1.27  Witnesses; right to counsel.
1.28-1.29  [Reserved]

                   Pleadings, Briefs, and Other Papers

1.41  Informal requests for Commission action.
1.42  Applications, reports, complaints; cross-reference.
1.43  Requests for stay; cross-reference.
1.44  Separate pleadings for different requests.
1.45  Pleadings; filing periods.
1.46  Motions for extension of time.
1.47  Service of documents and proof of service.
1.48  Length of pleadings.
1.49  Specifications as to pleadings and documents.
1.50  Specifications as to briefs.
1.51  Number of copies of pleadings, briefs and other papers.
1.52  Subscription and verification.
1.53  Separate pleadings for petitions for forbearance.

                     General Application Procedures

1.61  Procedures for handling applications requiring special 
          aeronautical study.
1.62  Operation pending action on renewal application.
1.65  Substantial and significant changes in information furnished by 
          applicants to the Commission.
1.68  Action on application for license to cover construction permit.
1.77  Detailed application procedures; cross references.

                        Miscellaneous Proceedings

1.80  Forfeiture proceedings.
1.83  Applications for radio operator licenses.
1.85  Suspension of operator licenses.
1.87  Modification of license or construction permit on motion of the 
          Commission.
1.88  Predesignation pleading procedure.
1.89  Notice of violations.
1.91  Revocation and/or cease and desist proceedings; hearings.
1.92  Revocation and/or cease and desist proceedings; after waiver of 
          hearing.
1.93  Consent orders.
1.94  Consent order procedures.
1.95  Violation of consent orders.

   Reconsideration and Review of Actions Taken by the Commission and 
 Pursuant to Delegated Authority; Effective Dates and Finality Dates of 
                                 Actions

1.101  General provisions.
1.102  Effective dates of actions taken pursuant to delegated authority.
1.103  Effective dates of Commission actions; finality of Commission 
          actions.
1.104  Preserving the right of review; deferred consideration of 
          application for review.
1.106  Petitions for reconsideration.
1.108  Reconsideration on Commission's own motion.
1.110  Partial grants; rejection and designation for hearing.
1.113  Action modified or set aside by person, panel, or board.
1.115  Application for review of action taken pursuant to delegated 
          authority.
1.117  Review on motion of the Commission.
1.120  Protests of grants without hearing.

                     Subpart B--Hearing Proceedings

                                 General

1.201  Scope.
1.202  Official reporter; transcript.
1.203  The record.
1.204  Pleadings; definition.
1.205  Continuances and extensions.
1.207  Interlocutory matters, reconsideration and review; cross 
          references.
1.209  Identification of responsible officer in caption to pleading.
1.211  Service.

                         Participants and Issues

1.221  Notice of hearing; appearances.
1.223  Petitions to intervene.
1.224  Motion to proceed in forma pauperis.
1.225  Participation by non-parties; consideration of communications.
1.227  Consolidations.
1.229  Motions to enlarge, change, or delete issues.

                            Presiding Officer

1.241  Designation of presiding officer.
1.243  Authority of presiding officer.
1.244  Designation of a settlement judge.
1.245  Disqualification of presiding officer.

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                          Prehearing Procedures

1.246  Admission of facts and genuineness of documents.
1.248  Prehearing conferences; hearing conferences.
1.249  Prehearing statement.

                    Hearing and Intermediate Decision

1.250  Discovery and preservation of evidence; cross-reference.
1.251  Summary decision.
1.253  Time and place of hearing.
1.254  Nature of the hearing; burden of proof.
1.255  Order of procedure.
1.258  Closing of the hearing.
1.260  Certification of transcript.
1.261  Corrections to transcript.
1.263  Proposed findings and conclusions.
1.264  Contents of findings of fact and conclusions.
1.267  Initial and recommended decisions.

                           Review Proceedings

1.271  Delegation of review function.
1.273  Waiver of initial or recommended decision.
1.274  Certification of the record to the Commission for initial or 
          final decision.
1.276  Appeal and review of initial decision.
1.277  Exceptions; oral arguments.
1.279  Limitation of matters to be reviewed.
1.282  Final decision of the Commission.

              Interlocutory Actions in Hearing Proceedings

1.291  General provisions.
1.294  Oppositions and replies.
1.296  Service.
1.297  Oral argument.
1.298  Rulings; time for action.

        Appeal and Reconsideration of Presiding Officer's Ruling

1.301  Appeal from presiding officer's interlocutory ruling; effective 
          date of ruling.
1.302  Appeal from presiding officer's final ruling; effective date of 
          ruling.

               The Discovery and Preservation of Evidence

1.311  General.
1.313  Protective orders.
1.315  Depositions upon oral examination--notice and preliminary 
          procedure.
1.316  Depositions upon written interrogatories--notice and preliminary 
          procedure.
1.318  The taking of depositions.
1.319  Objections to the taking of depositions.
1.321  Use of depositions at the hearing.
1.323  Interrogatories to parties.
1.325  Discovery and production of documents and things for inspection, 
          copying, or photographing.

                                Subpenas

1.331  Who may sign and issue.
1.333  Requests for issuance of subpena.
1.334  Motions to quash.
1.335  Rulings.
1.336  Service of subpenas.
1.337  Return of service.
1.338  Subpena forms.
1.339  Witness fees.
1.340  Attendance of witness; disobedience.

                                Evidence

1.351  Rules of evidence.
1.352  Cumulative evidence.
1.353  Further evidence during hearing.
1.354  Documents containing matter not material.
1.355  Documents in foreign language.
1.356  Copies of exhibits.
1.357  Mechanical reproductions as evidence.
1.358  Tariffs as evidence.
1.359  Proof of official record; authentication of copy.
1.360  Proof of lack of record.
1.361  Other proof of official record.
1.362  Production of statements.
1.363  Introduction of statistical data.
1.364  Testimony by speakerphone.

                    Subpart C--Rulemaking Proceedings

                                 General

1.399  Scope.
1.400  Definitions.

                     Petitions and Related Pleadings

1.401  Petitions for rulemaking.
1.403  Notice and availability.
1.405  Responses to petitions; replies.
1.407  Action on petitions.

                         Rulemaking Proceedings

1.411  Commencement of rulemaking proceedings.
1.412  Notice of proposed rulemaking.
1.413  Content of notice.
1.415  Comments and replies.
1.419  Form of comments and replies; number of copies.
1.420  Additional procedures in proceedings for amendment of the FM or 
          TV Tables of Allotments.
1.421  Further notice of rulemaking.
1.423  Oral argument and other proceedings.
1.425  Commission action.
1.427  Effective date of rules.
1.429  Petition for reconsideration.

                                Inquiries

1.430  Proceedings on a notice of inquiry.

            Subpart D--Broadcast Applications and Proceedings

1.502  Emergency Broadcast Authorizations.

[[Page 98]]

                       General Filing Requirements

1.511  Applications required.
1.512  Where to file; number of copies.
1.513  Who may sign applications.
1.514  Content of applications.
1.516  Specification of facilities.
1.517  Contingent applications.
1.518  Inconsistent or conflicting applications.
1.519  Repetitious applications.
1.520  Multiple applications.
1.522  Amendment of applications.
1.525  Agreements between parties for amendment or dismissal of, or 
          failure to prosecute, broadcast applications.
1.526  Records to be maintained locally for public inspection by 
          commercial applicants, permittees and licensees.
1.527  Records to be maintained locally for public inspection by 
          noncommercial educational applicants, permittees and 
          licensees.
1.531  Formal and informal applications.
1.533  Application forms for authority to construct a new station or 
          make changes in an existing station.
1.534  Application for extension of construction permit or for 
          construction permit to replace expired construction permit.
1.536  Application for license to cover construction permit.
1.538  Application for modification of license.
1.539  Application for renewal of license.
1.540  Application for voluntary assignment or transfer of control.
1.541  Application for involuntary assignment of license or transfer of 
          control.
1.542  Application for temporary authorization.
1.543  Application for renewal or modification of special service 
          authorization.
1.544  Application for broadcast station to conduct field strength 
          measurements and for experimental operation.
1.545  Application for permit to deliver programs to foreign countries.
1.546  Application to determine operating power by direct measurement of 
          antenna power.
1.549  Requests for extension of authority to operate without required 
          monitors, indicating instruments, and EBS Attention Signal 
          devices.
1.550  Requests for new or modified call sign assignments.
1.561  Staff consideration of applications which receive action by the 
          Commission.
1.562  Staff consideration of applications which do not require action 
          by the Commission.
1.564  Acceptance of applications.
1.566  Defective applications.
1.568  Dismissal of applications.
1.570  AM broadcast station applications involving other North American 
          countries.
1.571  Processing AM broadcast station applications.
1.572  Processing TV broadcast and translator station applications.
1.573  Processing FM broadcast and translator station applications.
1.574  Processing of international broadcast station applications.
1.578  Amendments to applications for renewal, assignment or transfer of 
          control.
1.580  Local public notice of filing of broadcast applications.
1.584  Petitions to deny.
1.587  Procedure for filing informal applications.
1.591  Grants without hearing.
1.592  Conditional grant.
1.593  Designation for hearing.
1.594  Local public notice of designation for hearing.
1.597  Procedures on transfer and assignment applications.
1.598  Period of construction.
1.599  Forfeiture of construction permit.
1.601  Simultaneous modification and renewal of license.
1.603  Special waiver procedure relative to applications.
1.605  Retention of applications in hearing status after designation for 
          hearing.
1.612  Annual employment report.
1.613  Filing of contracts.
1.615  Ownership reports.

  Subpart E--Complaints, Applications, Tariffs, and Reports Involving 
                             Common Carriers

                                 General

1.701  Show cause orders.
1.703  Appearances.

                               Complaints

1.711  Formal or informal complaints.

                           informal complaints

1.716  Form.
1.717  Procedure.
1.718  Unsatisfied informal complaints; formal complaints relating back 
          to the filing dates of informal complaints.
1.719  Informal complaints filed pursuant to section 258.

                            Formal Complaints

1.720  General pleading requirements.
1.721  Format and content of complaints.
1.722  Damages.
1.723  Joinder of complainants and causes of action.
1.724  Answers.
1.725  Cross-complaints and counterclaims.
1.726  Replies.
1.727  Motions.
1.728  Formal complaints not stating a cause of action; defective 
          pleadings.

[[Page 99]]

1.729  Discovery.
1.730  The Enforcement Bureau's Accelerated Docket.
1.731  Confidentiality of information produced or exchanged by the 
          parties.
1.732  Other required written submissions.
1.733  Status conference.
1.734  Specifications as to pleadings, briefs, and other documents; 
          subscription.
1.735  Copies; service; separate filings against multiple defendants.
1.736  Complaints filed pursuant to 47 U.S.C. 271(d)(6)(B).

                              Applications

1.741  Scope.
1.742  Place of filing, fees, and number of copies.
1.743  Who may sign applications.
1.744  Amendments.
1.745  Additional statements.
1.746  Defective applications.
1.747  Inconsistent or conflicting applications.
1.748  Dismissal of applications.
1.749  Action on application under delegated authority.

   Specific Types of Applications Under Title II of Communications Act

1.761  Cross reference.
1.762  Interlocking directorates.
1.763  Construction, extension, acquisition or operation of lines.
1.764  Discontinuance, reduction, or impairment of service.
1.765  Consolidation or acquisition of telephone companies.
1.766  Consolidation of domestic telegraph carriers.
1.767  Cable landing licenses.

                                 Tariffs

1.771  Filing.
1.772  Application for special tariff permission.
1.773  Petitions for suspension or rejection of new tariff filings.
1.774  Pricing flexibility.

    Contracts, Reports, and Requests Required to be Filed by Carriers

1.781  Requests for extension of filing time.

                                Contracts

1.783  Filing.

              Financial and Accounting Reports and Requests

1.785  Annual financial reports.
1.786  [Reserved]
1.787  Reports of proposed changes in depreciation rates.
1.788  Reports regarding pensions and benefits.
1.789  Reports regarding division of international telegraph 
          communication charges.
1.790  Reports relating to traffic by international carriers.
1.791  Reports and requests to be filed under part 32 of this chapter.
1.795  Reports regarding interstate rates of return.

                     Services and Facilities Reports

1.802  Reports relating to continuing authority to supplement facilities 
          or to provide temporary or emergency service.
1.803  Reports relating to reduction in temporary experimental service.
1.805  Reports relating to service by carriers engaged in public radio 
          service operations.

                          Miscellaneous Reports

1.811  Reports regarding amendments to charters, by-laws and partnership 
          agreements of carriers engaged in domestic public radio 
          services.
1.813  Reports of negotiations regarding foreign communication matters.
1.814  Reports regarding free service rendered the Government for 
          national defense.
1.815  Reports of annual employment.

                       Grants by Random Selection

1.821  Scope.
1.822  General selection procedures.
1.824  Random selection procedures for Multichannel Multipoint 
          Distribution Service and Multipoint Distribution Service H-
          Channel stations.

    Subpart F--Wireless Telecommunications Services Applications and 
                               Proceedings

                           Scope and Authority

1.901  Basis and purpose.
1.902  Scope.
1.903  Authorization required.
1.907  Definitions.

                 Application Requirements and Procedures

1.911  Station files.
1.913  Application forms; electronic and manual filing.
1.915  General application requirements.
1.917  Who may sign applications.
1.919  Ownership information.
1.923  Content of applications.
1.924  Quiet zones.
1.925  Waivers.
1.926  Application processing; initial procedures.
1.927  Amendment of applications.
1.928  Frequency coordination, Canada.
1.929  Classification of filings as major or minor.

[[Page 100]]

1.931  Application for special temporary authority.
1.933  Public notices.
1.934  Defective applications and dismissal.
1.935  Agreements to dismiss applications, amendments or pleadings.
1.937  Repetitious or conflicting applications.
1.939  Petitions to deny.
1.945  License grants.
1.946  Construction and coverage requirements.
1.947  Modification of licenses.
1.948  Assignment of authorization or transfer of control, notification 
          of consummation.
1.949  Application for renewal of license.
1.951  Duty to respond to official communications.
1.955  Termination of authorizations.
1.956  Settlement conferences.
1.957  Procedure with respect to amateur radio operator license.

                 Reports To Be Filed With the Commission

1.981  Reports, annual and semiannual.

   Subpart G--Schedule of Statutory Charges and Procedures for Payment

1.1101  Authority.
1.1102  Schedule of charges for applications and other filings in the 
          wireless telecommunications services.
1.1103  Schedule of charges for equipment approval, experimental radio 
          services, and international telecommunications settlements.
1.1104  Schedule of charges for applications and other filings for the 
          Mass Media Services.
1.1105  Schedule of charges for applications and other filings in the 
          common carrier services.
1.1106  Schedule of charges for applications and other filings in the 
          cable services.
1.1107  Schedule of charges for applications and other filings in the 
          international services.
1.1108  Attachment of charges.
1.1109  Payment of charges.
1.1110  Form of payment.
1.1111  Filing locations.
1.1112  Conditionality of Commission or staff authorizations.
1.1113  Return or refund of charges.
1.1114  General exemptions to charges.
1.1115  Adjustments to charges.
1.1116  Penalty for late or insufficient payments.
1.1117  Petitions and applications for review.
1.1118  Error claims.
1.1119  Billing procedures.
1.1151  Authority to prescribe and collect regulatory fees.
1.1152  Schedule of annual regulatory fees and filing locations for 
          wireless radio services.
1.1153  Schedule of annual regulatory fees and filing locations for mass 
          media services.
1.1154  Schedule of annual regulatory charges and filing locations for 
          common carrier services.
1.1155  Schedule of regulatory fees and filing locations for cable 
          television services.
1.1156  Schedule of regulatory fees and filing locations for 
          international services.
1.1157  Payment of charges for regulatory fees.
1.1158  Form of payment for regulatory.
1.1159  Filing locations and receipts for regulatory fees.
1.1160  Refunds of regulatory fees.
1.1161  Conditional license grants and delegated authorizations.
1.1162  General exemptions from regulatory fees.
1.1163  Adjustments to regulatory fees.
1.1164  Penalties for late or insufficient regulatory fee payments.
1.1165  Payment by cashier's check for regulatory fees.
1.1166  Waivers, reductions and deferrals of regulatory fees.
1.1167  Error claims related to regulatory fees.
1.1181  Authority to prescribe and collect fees for competitive bidding-
          related services and products.
1.1182  Schedule of fees for products and services provided by the 
          Commission in connection with competitive bidding procedures.

                   Subpart H--Ex Parte Communications

                                 General

1.1200  Introduction.
1.1202  Definitions.

                       Sunshine Period Prohibition

1.1203  Sunshine period prohibition.

                           General Exemptions

1.1204  Exempt ex parte presentations and proceedings.

                       Non-Restricted Proceedings

1.1206  Permit-but-disclose proceedings.

                         Restricted Proceedings

1.1208  Restricted proceedings.

              Prohibition on Solicitation of Presentations

1.1210  Prohibition on solicitation of presentations.

[[Page 101]]

      Procedures for Handling of Prohibited Ex Parte Presentations

1.1212  Procedures for handling of prohibited ex parte presentations.
1.1214  Disclosure of information concerning violations of this subpart.

                                Sanctions

1.1216  Sanctions.

Subpart I--Procedures Implementing the National Environmental Policy Act 
                                 of 1969

1.1301  Basis and purpose.
1.1302  Cross-reference; Regulations of the Council on Environmental 
          Quality.
1.1303  Scope.
1.1304  Information and assistance.
1.1305  Actions which normally will have a significant impact upon the 
          environment, for which Environmental Impact Statements must be 
          prepared.
1.1306  Actions which are categorically excluded from environmental 
          processing.
1.1307  Actions that may have a significant environmental effect, for 
          which Environmental Assessments (EAs) must be prepared.
1.1308  Consideration of environmental assessments (EAs); findings of no 
          significant impact.
1.1309  Application amendments.
1.1310  Radiofrequency radiation exposure limits.
1.1311  Environmental information to be included in the environmental 
          assessment (EA).
1.1312  Facilities for which no preconstruction authorization is 
          required.
1.1313  Objections.
1.1314  Environmental impact statements (EISs).
1.1315  The Draft Environmental Impact Statement (DEIS); Comments.
1.1317  The Final Environmental Impact Statement (FEIS).
1.1319  Consideration of the environmental impact statements.

             Subpart J--Pole Attachment Complaint Procedures

1.1401  Purpose.
1.1402  Definitions.
1.1403  Duty to provide access; modifications; notice of removal, 
          increase or modification; petition for temporary stay; and 
          cable operator notice.
1.1404  Complaint.
1.1405  File numbers.
1.1406  Dismissal of complaints.
1.1407  Response and reply.
1.1408  Number of copies and form of pleadings.
1.1409  Commission consideration of the complaint.
1.1410  Remedies.
1.1411  Meetings and hearings.
1.1412  Enforcement.
1.1413  Forfeiture.
1.1414  State certification.
1.1415  Other orders.
1.1416  Imputation of rates; modification costs.
1.1417  Allocation of Unusable Space Costs.
1.1418  Allocation of Usable Space Costs.

 Subpart K--Implementation of the Equal Access to Justice Act (EAJA) in 
                           Agency Proceedings

                           General Provisions

1.1501  Purpose of these rules.
1.1502  When the EAJA applies.
1.1503  Proceedings covered.
1.1504  Eligibility of applicants.
1.1505  Standards for awards.
1.1506  Allowable fees and expenses.
1.1507  Rulemaking on maximum rates for attorney fees.
1.1508  Awards against other agencies.

                  Information Required From Applicants

1.1511  Contents of application.
1.1512  Net worth exhibit.
1.1513  Documentation of fees and expenses.
1.1514  When an application may be filed.

                 Procedures for Considering Applications

1.1521  Filing and service of documents.
1.1522  Answer to application.
1.1523  Reply.
1.1524  Comments by other parties.
1.1525  Settlement.
1.1526  Further proceedings.
1.1527  Decision.
1.1528  Commission review.
1.1529  Judicial review.
1.1530  Payment of award.

     Subpart L--Random Selection Procedures for Mass Media Services

                           General Procedures

1.1601  Scope.
1.1602  Designation for random selection.
1.1603  Conduct of random selection.
1.1604  Post-selection hearings.
1.1621  Definitions.
1.1622  Preferences.
1.1623  Probability calculation.

Subpart M  [Reserved]

Subpart N--Enforcement of Nondiscrimination on the Basis of Handicap in 
     Programs or Activities Conducted by the Federal Communications 
                               Commission

1.1801  Purpose.
1.1802  Applications.

[[Page 102]]

1.1803  Definitions.
1.1804-1.1809  [Reserved]
1.1810  Self-evaluation.
1.1811  Notice.
1.1812-1.1829  [Reserved]
1.1830  General prohibitions against discrimination.
1.1831-1.1839  [Reserved]
1.1840  Employment.
1.1841-1.1848  [Reserved]
1.1849  Program accessibility: Discrimination prohibited.
1.1850  Program accessibility: Existing facilities.
1.1851  Program accessibility: New construction and alterations.
1.1852-1.1859  [Reserved]
1.1860  Communications.
1.1861-1.1869  [Reserved]
1.1870  Compliance procedures.
1.1871-1.1899  [Reserved]

         Subpart O--Collection of Claims Owed the United States

                           General Provisions

1.1901  Definitions.
1.1902  Exceptions.
1.1903  Use of procedures.
1.1904  Conformance to law and regulations.
1.1905  Other procedures; collection of forfeiture penalties.
1.1906  Informal action.
1.1907  Return of property.
1.1908  Omissions not a defense.

  Administrative Offset--Consumer Reporting Agencies--Contracting for 
                               Collection

1.1911  Demand for payment.
1.1912  Collection by administrative offset.
1.1913  Administrative offset against amounts payable from Civil Service 
          Retirement and Disability Fund.
1.1914  Collection in installments.
1.1915  Exploration of compromise.
1.1916  Suspending or terminating collection action.
1.1917  Referrals to the Department of Justice or the General Accounting 
          Office.
1.1918  Use of consumer reporting agencies.
1.1919  Contracting for collection services.

                              Salary Offset

1.1925  Purpose.
1.1926  Scope.
1.1927  Notification.
1.1928  Hearing.
1.1929  Deduction from pay.
1.1930  Liquidation from final check or recovery from other payment.
1.1931  Non-waiver of rights by payments.
1.1932  Refunds.
1.1933  Interest, penalties and administrative costs.
1.1934  Recovery when paying agency is not creditor agency.
1.1935  Obtaining the services of a hearing official.

      Interest, Penalties, Administrative Costs and Other Sanctions

1.1940  Assessment.
1.1941  Exemptions.
1.1942  Other sanctions.

              Cooperation With the Internal Revenue Service

1.1950  Reporting discharged debts to the Internal Revenue Service.
1.1951  Offset against tax refunds.

           General Provisions Concerning Interagency Requests

1.1952  Interagency requests.

      Subpart P--Implementation of the Anti-Drug Abuse Act of 1988

1.2001  Purpose.
1.2002  Applicants required to submit information.
1.2003  Applications affected.

               Subpart Q--Competitive Bidding Proceedings

                           General Procedures

1.2101  Purpose.
1.2102  Eligibility of applications for competitive bidding.
1.2103  Competitive bidding design options.
1.2104  Competitive bidding mechanisms.
1.2105  Bidding application and certification procedures; prohibition of 
          collusion.
1.2106  Submission of upfront payments.
1.2107  Submission of down payment and filing of long-form applications.
1.2108  Procedures for filing petitions to deny against long-form 
          applications.
1.2109  License grant, denial, default, and disqualification.
1.2110  Designated entities.
1.2111  Assignment or transfer of control: unjust enrichment.
1.2112  Ownership disclosure requirements for short- and long-form 
          applications.
1.2113  Construction prior to grant of application.

Subpart R--Implementation of Section 4(g)(3) of the Communications Act: 
 Procedures Governing Acceptance of Unconditional Gifts, Donations and 
                                Bequests

1.3000  Purpose and scope.
1.3001  Definitions.
1.3002  Structural rules and prohibitions.
1.3003  Mandatory factors for evaluating conflicts of interest.

[[Page 103]]

1.3004  Public disclosure and reporting requirements.

Subpart S--Preemption of Restrictions That ``Impair'' a Viewer's Ability 
  To Receive Television Broadcast Signals, Direct Broadcast Satellite 
        Services or Multichannel Multipoint Distribution Services

1.4000  Restrictions impairing reception of television broadcast 
          signals, direct broadcast satellite services or multichannel 
          multipoint distribution services.

             Subpart T--Exempt Telecommunications Companies

1.5000  Purpose.
1.5001  Definitions.
1.5002  Contents of application and procedure for filing.
1.5003  Effect of filing.
1.5004  Commission action.
1.5005  Notification of Commission action to the Securities and Exchange 
          Commission.
1.5006  Procedure for notifying Commission of material change in facts.
1.5007  Comments.

 Subpart U--Implementation of Section 325(e) of the Communications Act: 
 Procedures Governing Complaints Filed by Television Broadcast Stations 
      Against Satellite Carriers for Retransmission Without Consent

1.6000  Purpose.
1.6001  Retransmission consent complaint procedures.
1.6002  Form and content.
1.6003  Service requirements.
1.6004  Answers.
1.6005  Exclusive defenses.
1.6006  Counting of violations.
1.6007  Burden of proof.
1.6008  Determinations.
1.6009  Relief.
1.6010  Reporting of remedial measures.
1.6011  Effective date.
1.6012  Sunset provisions.

 Subpart V--Implementation of Section 706 of the Telecommunications Act 
of 1996; Commission Collection of Advanced Telecommunications Capability 
                                  Data

1.7000  Purpose.
1.7001  Scope and content of filed reports.
1.7002  Frequency of reports.

Appendix A to Part 1--A Plan of Cooperative Procedure in Matters and 
          Cases Under the Provisions of Section 410 of the 
          Communications Act of 1934

    Authority: 47 U.S.C. 151, 154(i), 154(j), 155, 225, 303(r), 309 and 
325(e).

    Editorial Note: Nomenclature changes to part 1 appear at 63 FR 
54077, Oct. 8, 1998.



           Subpart A--General Rules of Practice and Procedure

    Source: 28 FR 12415, Nov. 22, 1963, unless otherwise noted.

                                 General



Sec. 1.1  Proceedings before the Commission.

    The Commission may on its own motion or petition of any interested 
party hold such proceedings as it may deem necessary from time to time 
in connection with the investigation of any matter which it has power to 
investigate under the law, or for the purpose of obtaining information 
necessary or helpful in the determination of its policies, the carrying 
out of its duties or the formulation or amendment of its rules and 
regulations. For such purposes it may subpena witnesses and require the 
production of evidence. Procedures to be followed by the Commission 
shall, unless specifically prescribed in this part, be such as in the 
opinion of the Commission will best serve the purposes of such 
proceedings.

(Sec. 403, 48 Stat. 1094; 47 U.S.C. 403)



Sec. 1.2  Declaratory rulings.

    The Commission may, in accordance with section 5(d) of the 
Administrative Procedure Act, on motion or on its own motion issue a 
declaratory ruling terminating a controversy or removing uncertainty.

(5 U.S.C. 554)



Sec. 1.3  Suspension, amendment, or waiver of rules.

    The provisions of this chapter may be suspended, revoked, amended, 
or waived for good cause shown, in whole or in part, at any time by the 
Commission, subject to the provisions of the Administrative Procedure 
Act and the provisions of this chapter. Any provision of the rules may 
be waived by the Commission on its own motion or on petition if good 
cause therefor is shown.

[[Page 104]]


    Cross Reference: See subpart C of this part for practice and 
procedure involving rulemaking.



Sec. 1.4  Computation of time.

    (a) Purpose. The purpose of this rule section is to detail the 
method for computing the amount of time within which persons or entities 
must act in response to deadlines established by the Commission. It also 
applies to computation of time for seeking both reconsideration and 
judicial review of Commission decisions.
    (b) General Rule--Computation of Beginning Date When Action is 
Initiated by Commission or Staff. Unless otherwise provided, the first 
day to be counted when a period of time begins with an action taken by 
the Commission, an Administrative Law Judge or by members of the 
Commission or its staff pursuant to delegated authority is the day after 
the day on which public notice of that action is given. See Sec. 1.4(b) 
(1)-(5) of this section. Unless otherwise provided, all Rules measuring 
time from the date of the issuance of a Commission document entitled 
``Public Notice'' shall be calculated in accordance with this section. 
See Sec. 1.4(b)(4) of this section for a description of the ``Public 
Notice'' document. Unless otherwise provided in Sec. 1.4 (g) and (h) of 
this section, it is immaterial whether the first day is a ``holiday.'' 
For purposes of this section, the term public notice means the date of 
any of the following events: See Sec. 1.4(e)(1) of this section for 
definition of ``holiday.''
    (1) For all documents in notice and comment and non-notice and 
comment rulemaking proceedings required by the Administrative Procedure 
Act, 5 U.S.C. 552, 553, to be published in the Federal Register, 
including summaries thereof, the date of publication in the Federal 
Register.
    Note to paragraph (b)(1): Licensing and other adjudicatory decisions 
with respect to specific parties that may be associated with or 
contained in rulemaking documents are governed by the provisions of 
Sec. 1.4(b)(2).

    Example 1: A document in a Commission rule making proceeding is 
published in the Federal Register on Wednesday, May 6, 1987. Public 
notice commences on Wednesday, May 6, 1987. The first day to be counted 
in computing the beginning date of a period of time for action in 
response to the document is Thursday, May 7, 1987, the ``day after the 
day'' of public notice.
    Example 2:  Section 1.429(e) provides that when a petition for 
reconsideration is timely filed in proper form, public notice of its 
filing is published in the Federal Register. Section 1.429(f) provides 
that oppositions to a petition for reconsideration shall be filed within 
15 days after public notice of the petition's filing in the Federal 
Register. Public notice of the filing of a petition for reconsideration 
is published in the Federal Register on Wednesday, June 10, 1987. For 
purposes of computing the filing period for an opposition, the first day 
to be counted is Thursday, June 11, 1987, which is the day after the 
date of public notice. Therefore, oppositions to the reconsideration 
petition must be filed by Thursday, June 25, 1987, 15 days later.

    (2) For non-rulemaking documents released by the Commission or 
staff, including the Commission's section 271 determinations, 47 U.S.C. 
271, the release date.

    Example 3: The Chief, Mass Media Bureau, adopts an order on 
Thursday, April 2, 1987. The text of that order is not released to the 
public until Friday, April 3, 1987. Public notice of this decision is 
given on Friday, April 3, 1987. Saturday, April 4, 1987, is the first 
day to be counted in computing filing periods.

    (3) For rule makings of particular applicability, if the rule making 
document is to be published in the Federal Register and the Commission 
so states in its decision, the date of public notice will commence on 
the day of the Federal Register publication date. If the decision fails 
to specify Federal Register publication, the date of public notice will 
commence on the release date, even if the document is subsequently 
published in the Federal Register. See Declaratory Ruling, 51 FR 23059 
(June 25, 1986).

    Example 4: An order establishing an investigation of a tariff, and 
designating issues to be resolved in the investigation, is released on 
Wednesday, April 1, 1987, and is published in the Federal Register on 
Friday, April 10, 1987. If the decision itself specifies Federal 
Register publication, the date of public notice is Friday, April 10, 
1987. If this decision does not specify Federal Register publication, 
public notice occurs on Wednesday, April 1, 1987, and the first day to 
be counted in computing filing periods is Thursday, April 2, 1987.


[[Page 105]]


    (4) If the full text of an action document is not to be released by 
the Commission, but a descriptive document entitled ``Public Notice'' 
describing the action is released, the date on which the descriptive 
``Public Notice'' is released.

    Example 5: At a public meeting the Commission considers an 
uncontested application to transfer control of a broadcast station. The 
Commission grants the application and does not plan to issue a full text 
of its decision on the uncontested matter. Five days after the meeting, 
a descriptive ``Public Notice'' announcing the action is publicly 
released. The date of public notice commences on the day of the release 
date.
    Example 6: A Public Notice of petitions for rule making filed with 
the Commission is released on Wednesday, September 2, 1987; public 
notice of these petitions is given on September 2, 1987. The first day 
to be counted in computing filing times is Thursday, September 3, 1987.

    (5) If a document is neither published in the Federal Register nor 
released, and if a descriptive document entitled ``Public Notice'' is 
not released, the date appearing on the document sent (e.g., mailed, 
telegraphed, etc.) to persons affected by the action.

    Example 7: A Bureau grants a license to an applicant, or issues a 
waiver for non-conforming operation to an existing licensee, and no 
``Public Notice'' announcing the action is released. The date of public 
notice commences on the day appearing on the license mailed to the 
applicant or appearing on the face of the letter granting the waiver 
mailed to the licensee.

    (c) General Rule--Computation of Beginning Date When Action is 
Initiated by Act, Event or Default. Commission procedures frequently 
require the computation of a period of time where the period begins with 
the occurrence of an act, event or default and terminates a specific 
number of days thereafter. Unless otherwise provided, the first day to 
be counted when a period of time begins with the occurrence of an act, 
event or default is the day after the day on which the act, event or 
default occurs.

    Example 8: Commission Rule Sec. 21.39(d) requires the filing of an 
application requesting consent to involuntary assignment or control of 
the permit or license within thirty days after the occurrence of the 
death or legal disability of the licensee or permittee. If a licensee 
passes away on Sunday, March 1, 1987, the first day to be counted 
pursuant to Sec. 1.4(c) is the day after the act or event. Therefore, 
Monday, March 2, 1987, is the first day of the thirty day period 
specified in Sec. 21.39(d).

    (d) General Rule--Computation of Terminal Date. Unless otherwise 
provided, when computing a period of time the last day of such period of 
time is included in the computation, and any action required must be 
taken on or before that day.

    Example 9: Paragraph 1.4(b)(1) of this section provides that 
``public notice'' in a notice and comment rule making proceeding begins 
on the day of Federal Register publication. Paragraph 1.4(b) of this 
section provides that the first day to be counted in computing a 
terminal date is the ``day after the day'' on which public notice 
occurs. Therefore, if the commission allows or requires an action to be 
taken 20 days after public notice in the Federal Register, the first day 
to be counted is the day after the date of the Federal Register 
publication. Accordingly, if the Federal Register document is published 
on Thursday, July 23, 1987, public notice is given on Thursday, July 23, 
and the first day to be counted in computing a 20 day period is Friday, 
July 24, 1987. The 20th day or terminal date upon which action must be 
taken is Wednesday, August 12, 1987.

    (e) Definitions for purposes of this section:
    (1) The term holiday means Saturday, Sunday, officially recognized 
Federal legal holidays and any other day on which the Commission's 
offices are closed and not reopened prior to 5:30 p.m. For example, a 
regularly scheduled Commission business day may become a holiday if its 
offices are closed prior to 5:30 p.m. due to adverse weather, emergency 
or other closing.

    Note: As of August 1987, officially recognized Federal legal 
holidays are New Year's Day, January 1; Martin Luther King's Birthday, 
third Monday in January; Washington's Birthday, third Monday in 
February; Memorial Day, last Monday in May; Independence Day, July 4; 
Labor Day, first Monday in September; Columbus Day, second Monday in 
October; Veterans Day, November 11; Thanksgiving Day, fourth Thursday in 
November; Christmas Day, December 25. If a legal holiday falls on 
Saturday or Sunday, the holiday is taken, respectively, on the preceding 
Friday or the following Monday. In addition, January 20, (Inauguration 
Day) following a Presidential election year is a

[[Page 106]]

legal holiday in the metropolitan Washington, DC area. If Inauguration 
Day falls on Sunday, the next succeeding day is a legal holiday. See 5 
U.S.C. 6103; Executive Order No. 11582, 36 FR 2957 (Feb. 11, 1971). The 
determination of a ``holiday'' will apply only to the specific 
Commission location(s) designated as on ``holiday'' on that particular 
day.

    (2) The term business day means all days, including days when the 
Commission opens later than the time specified in Rule Sec. 0.403, which 
are not ``holidays'' as defined above.
    (3) The term filing period means the number of days allowed or 
prescribed by statute, rule, order, notice or other Commission action 
for filing any document with the Commission. It does not include any 
additional days allowed for filing any document pursuant to paragraphs 
(g), (h) and (j) of this section.
    (4) The term filing date means the date upon which a document must 
be filed after all computations of time authorized by this section have 
been made.
    (f) Except as provided in Sec. 0.401(b) of this chapter, all 
petitions, pleadings, tariffs or other documents not required to be 
accompanied by a fee and which are hand-delivered must be tendered for 
filing in complete form, as directed by the Rules, with the Office of 
the Secretary before 7:00 p.m., at 445 12th St., SW., TW-A325, 
Washington, DC. The Secretary will determine whether a tendered document 
meets the pre-7:00 p.m. deadline. Documents filed electronically 
pursuant to Sec. 1.49(f) must be received by the Commission's electronic 
filing system before midnight. Applications, attachments and pleadings 
filed electronically in the Universal Licensing System (ULS) pursuant to 
Sec. 1.939(b) must be received before midnight on the filing date. Mass 
Media Bureau applications and reports filed electronically pursuant to 
Sec. 73.3500 of this chapter must be received by the electronic filing 
system before midnight on the filing date.
    (g) Unless otherwise provided (e.g., Secs. 1.773 and 76.1502(e)(1) 
of this chapter), if the filing period is less than 7 days, intermediate 
holidays shall not be counted in determining the filing date.

    Example 10: A reply is required to be filed within 5 days after the 
filing of an opposition in a license application proceeding. The 
opposition is filed on Wednesday, June 10, 1987. The first day to be 
counted in computing the 5 day time period is Thursday, June 11, 1987. 
Saturday and Sunday are not counted because they are holidays. The 
document must be filed with the Commission on or before the following 
Wednesday, June 17, 1987.

    (h) If a document is required to be served upon other parties by 
statute or Commission regulation and the document is in fact served by 
mail (see Sec. 1.47(f)), and the filing period for a response is 10 days 
or less, an additional 3 days (excluding holidays) will be allowed to 
all parties in the proceeding for filing a response. This paragraph (h) 
shall not apply to documents filed pursuant to Sec. 1.89, Sec. 1.120(d), 
Sec. 1.315(b) or Sec. 1.316. For purposes of this paragraph (h) service 
by facsimile or by electronic means shall be deemed equivalent to hand 
delivery.

    Example 11: A reply to an opposition for a petition for 
reconsideration must be filed within 7 days after the opposition is 
filed. 47 CFR 1.106(h). The rules require that the opposition be served 
on the person seeking reconsideration. 47 CFR 1.106(g). If the 
opposition is served on the party seeking reconsideration by mail and 
the opposition is filed with the Commission on Monday, November 9, 1987, 
the first day to be counted is Tuesday, November 10, 1987 (the day after 
the day on which the event occurred, Sec. 1.4(c)), and the seventh day 
is Monday, November 16. An additional 3 days (excluding holidays) is 
then added at the end of the 7 day period, and the reply must be filed 
no later than Thursday, November 19, 1987.
    Example 12: Assume that oppositions to a petition in a particular 
proceeding are due 10 days after the petition is filed and must be 
served on the parties to the proceeding. If the petition is filed on 
October 28, 1993, the last day of the filing period for oppositions is 
Sunday, November 7. If service is made by mail, the opposition is due 
three days after November 7, or Wednesday, November 10.

    (i) If both paragraphs (g) and (h) of this section are applicable, 
make the paragraph (g) computation before the paragraph (h) computation.

    Example 13: Section 1.45(b) requires the filing of replies to 
oppositions within five days after the time for filing oppositions has 
expired. If an opposition has been filed on the last day of the filing 
period (Friday, July 10, 1987), and was served on the replying party by 
mail, Sec. 1.4(i) of this section specifies that the paragraph (g) 
computation should be made before the paragraph (h) computation. 
Therefore, since the specified filing period is

[[Page 107]]

less than seven days, paragraph (g) is applied first. The first day of 
the filing period is Monday, July 13, 1987, and Friday, July 17, 1987 is 
the fifth day (the intervening weekend was not counted). Paragraph (h) 
is then applied to add three days for mailing (excluding holidays). That 
period begins on Monday, July 20, 1987. Therefore, Wednesday, July 22, 
1987, is the date by which replies must be filed, since the intervening 
weekend is again not counted.

    (j) Unless otherwise provided (e.g. Sec. 76.1502(e) of this chapter) 
if, after making all the computations provided for in this section, the 
filing date falls on a holiday, the document shall be filed on the next 
business day. See paragraph (e)(1) of this section.

    Example 14: The filing date falls on Friday, December 25, 1987. The 
document is required to be filed on the next business day, which is 
Monday, December 28, 1987.

    (k) Where specific provisions of part 1 conflict with this section, 
those specific provisions of part 1 are controlling. See, 
e.g.,Secs. 1.45(d), 1.773(a)(3) and 1.773(b)(2). Additionally, where 
Sec. 76.1502(e) of this chapter conflicts with this section, those 
specific provisions of Sec. 76.1502 are controlling. See e.g. 47 CFR 
76.1502(e).

[52 FR 49159, Dec. 30, 1987; 53 FR 44196, Nov. 2, 1988, as amended at 56 
FR 40567, 40568, Aug. 15, 1991; 58 FR 17529, Apr. 5, 1993; 61 FR 11749, 
Mar. 22, 1996; 62 FR 26238, May 13, 1997; 63 FR 24124, May 1, 1998; 64 
FR 27201, May 19, 1999; 64 FR 60725, Nov. 8, 1999; 65 FR 46109, July 27, 
2000]



Sec. 1.5  Mailing address furnished by licensee.

    (a) Each licensee shall furnish the Commission with an address to be 
used by the Commission in serving documents or directing correspondence 
to that licensee. Unless any licensee advises the Commission to the 
contrary, the address contained in the licensee's most recent 
application will be used by the Commission for this purpose.
    (b) The licensee is responsible for making any arrangements which 
may be necessary in his particular circumstances to assure that 
Commission documents or correspondence delivered to this address will 
promptly reach him or some person authorized by him to act in his 
behalf.



Sec. 1.6  Availability of station logs and records for Commission inspection.

    (a) Station records and logs shall be made available for inspection 
or duplication at the request of the Commission or its representative. 
Such logs or records may be removed from the licensee's possession by a 
Commission representative or, upon request, shall be mailed by the 
licensee to the Commission by either registered mail, return receipt 
requested, or certified mail, return receipt requested. The return 
receipt shall be retained by the licensee as part of the station records 
until such records or logs are returned to the licensee. A receipt shall 
be furnished when the logs or records are removed from the licensee's 
possession by a Commission representative and this receipt shall be 
retained by the licensee as part of the station records until such 
records or logs are returned to the licensee. When the Commission has no 
further need for such records or logs, they shall be returned to the 
licensee. The provisions of this rule shall apply solely to those 
station logs and records which are required to be maintained by the 
provisions of this chapter.
    (b) Where records or logs are maintained as the official records of 
a recognized law enforcement agency and the removal of the records from 
the possession of the law enforcement agency will hinder its law 
enforcement activities, such records will not be removed pursuant to 
this section if the chief of the law enforcement agency promptly 
certifies in writing to the Federal Communications Commission that 
removal of the logs or records will hinder law enforcement activities of 
the agency, stating insofar as feasible the basis for his decision and 
the date when it can reasonably be expected that such records will be 
released to the Federal Communications Commission.



Sec. 1.7  Documents are filed upon receipt.

    Unless otherwise provided in this Title, by Public Notice, or by 
decision of the Commission or of the Commission's staff acting on 
delegated authority, pleadings and other documents are

[[Page 108]]

considered to be filed with the Commission upon their receipt at the 
location designated by the Commission.

[60 FR 16055, Mar. 29, 1995]



Sec. 1.8  Withdrawal of papers.

    The granting of a request to dismiss or withdraw an application or a 
pleading does not authorize the removal of such application or pleading 
from the Commission's records.



Sec. 1.10  Transcript of testimony; copies of documents submitted.

    In any matter pending before the Commission, any person submitting 
data or evidence, whether acting under compulsion or voluntarily, shall 
have the right to retain a copy thereof, or to procure a copy of any 
document submitted by him, or of any transcript made of his testimony, 
upon payment of the charges therefor to the person furnishing the same, 
which person may be designated by the Commission. The Commission itself 
shall not be responsible for furnishing the copies.

[29 FR 14406, Oct. 20, 1964]



Sec. 1.12  Notice to attorneys of Commission documents.

    In any matter pending before the Commission in which an attorney has 
appeared for, submitted a document on behalf of or been otherwise 
designated by a person, any notice or other written communication 
pertaining to that matter issued by the Commission and which is required 
or permitted to be furnished to the person will be communicated to the 
attorney, or to one of such attorneys if more than one is designated. If 
direct communication with the party is appropriate, a copy of such 
communication will be mailed to the attorney.

[29 FR 14406, Oct. 20, 1964]



Sec. 1.13  Filing of petitions for review and notices of appeals of Commission orders.

    (a)(1) This section pertains to each party filing a petition for 
review in any United States court of appeals of a Commission Order, 
pursuant to section 402(a) of the Communications Act, 47 U.S.C. 402(a), 
and 28 U.S.C. 2342(l), that wishes to avail itself of procedures 
established for selection of a court in the case of multiple appeals, 
pursuant to 28 U.S.C. 2112(a). Each such party shall, within ten days 
after the issuance of that order, file with the General Counsel in the 
Office of General Counsel, Room 8-A741, 445 12th Street, SW., 
Washington, DC 20554, a copy of its petition for review as filed and 
date-stamped by the court of appeals within which it was filed. Such 
copies of petitions for review must be filed by 5:30 p.m. Eastern Time 
on the tenth day of the filing period. A stamp indicating the time and 
date received by the Office of General Counsel will constitute proof of 
filing. Upon receipt of any copies of petitions for review, the 
Commission shall follow the procedures established in section 28 U.S.C. 
2112(a) to determine the court in which to file the record in that case.
    (2) Computation of time of the ten-day period for filing copies of 
petitions for review of a Commission order shall be governed by Sec. 1.4 
of the Commission's Rules, 47 CFR 1.4. The date of issuance of a 
Commission order for purposes of filing copies of petitions for review 
shall be the date of public notice as defined in Sec. 1.4(b), 47 CFR 
1.4(b).
    (b) Copies of notices of appeals filed pursuant to 47 U.S.C. 402(b) 
shall be served upon the General Counsel.

    Note: For administrative efficiency, the Commission requests that 
any petitioner seeking judicial review of Commission actions pursuant to 
47 U.S.C. 402(a) serve a copy of its petition on the General Counsel 
regardless of whether it wishes to avail itself of the procedures for 
multiple appeals set forth in 47 U.S.C. 2112(a).

[54 FR 12453, Mar. 27, 1989, as amended at 65 FR 14476, Mar. 17, 2000]



Sec. 1.14  Citation of Commission documents.

    The appropriate reference to the FCC Record shall be included as 
part of the citation to any document that has been printed in the 
Record. The citation should provide the volume, page number and year, in 
that order (e.g., 1 FCC Rcd. 1 (1986). Older documents may continue to 
be cited to the FCC Reports, first or second series, if they were 
printed in the Reports (e.g., 1 FCC 2d 1 (1965)).

[51 FR 45890, Dec. 23, 1986]

[[Page 109]]



Sec. 1.16  Unsworn declarations under penalty of perjury in lieu of affidavits.

    Any document to be filed with the Federal Communications Commission 
and which is required by any law, rule or other regulation of the United 
States to be supported, evidenced, established or proved by a written 
sworn declaration, verification, certificate, statement, oath or 
affidavit by the person making the same, may be supported, evidenced, 
established or proved by the unsworn declaration, certification, 
verification, or statement in writing of such person, except that, such 
declaration shall not be used in connection with: (a) A deposition, (b) 
an oath of office, or (c) an oath required to be taken before a 
specified official other than a notary public. Such declaration shall be 
subscribed by the declarant as true under penalty of perjury, and dated, 
in substantially the following form:
    (1) If executed without the United States:

``I declare (or certify, verify, or state) under penalty of perjury 
under the laws of the United States of America that the foregoing is 
true and correct. Executed on (date).
                                                        (Signature)''.  

    (2) If executed within the United States, its territories, 
possessions, or commonwealths:

``I declare (or certify, verify, or state) under penalty of perjury that 
the foregoing is true and correct. Executed on (date).
                                                        (Signature)''.  

[48 FR 8074, Feb. 25, 1983]



Sec. 1.17  Truthful written statements and responses to Commission inquiries and correspondence.

    The Commission or its representatives may, in writing, require from 
any applicant, permittee or licensee written statements of fact relevant 
to a determination whether an application should be granted or denied, 
or to a determination whether a license should be revoked, or to some 
other matter within the jurisdiction of the Commission. No applicant, 
permittee or licensee shall in any response to Commission correspondence 
or inquiry or in any application, pleading, report or any other written 
statement submitted to the Commission, make any misrepresentation or 
willful material omission bearing on any matter within the jurisdiction 
of the Commission.

    Note: Section 1.17 is limited in application to written matter. It 
implies no change in the Commission's existing policies respecting the 
obligation of applicants, permittees and licensees in all instances to 
respond truthfully to requests for information deemed necessary to the 
proper execution of the Commission's functions.

[55 FR 23084, June 6, 1990]



Sec. 1.18  Administrative Dispute Resolution.

    (a) The Commission has adopted an initial policy statement that 
supports and encourages the use of alternative dispute resolution 
procedures in its administrative proceedings and proceedings in which 
the Commission is a party, including the use of regulatory negotiation 
in Commission rulemaking matters, as authorized under the Administrative 
Dispute Resolution Act and Negotiated Rulemaking Act.
    (b) In accordance with the Commission's policy to encourage the 
fullest possible use of alternative dispute resolution procedures in its 
administrative proceedings, procedures contained in the Administrative 
Dispute Resolution Act, including the provisions dealing with 
confidentiality, shall also be applied in Commission alternative dispute 
resolution proceedings in which the Commission itself is not a party to 
the dispute.

[56 FR 51178, Oct. 10, 1991, as amended at 57 FR 32181, July 21, 1992]



Sec. 1.19  Use of metric units required.

    Where parenthesized English units accompany metric units throughout 
this chapter, and the two figures are not precisely equivalent, the 
metric unit shall be considered the sole requirement; except, however, 
that the use of metric paper sizes is not currently required, and 
compliance with the English unit shall be considered sufficient when the 
Commission form requests that data showing compliance with that 
particular standard be submitted in English units.

[58 FR 44893, Aug. 25, 1993]

[[Page 110]]

                  Parties, Practitioners, and Witnesses



Sec. 1.21  Parties.

    (a) Any party may appear before the Commission and be heard in 
person or by attorney.
    (b) The appropriate Bureau Chief(s) of the Commission shall be 
deemed to be a party to every adjudicatory proceeding (as defined in the 
Administrative Procedure Act) without the necessity of being so named in 
the order designating the proceeding for hearing.
    (c) When, in any proceeding, a pleading is filed on behalf of either 
the General Counsel or the Chief Engineer, he shall thereafter be deemed 
a party to the proceeding.
    (d) Except as otherwise expressly provided in this chapter, a duly 
authorized corporate officer or employee may act for the corporation in 
any matter which has not been designated for an evidentiary hearing and, 
in the discretion of the presiding officer, may appear and be heard on 
behalf of the corporation in an evidentiary hearing proceeding.

[28 FR 12415, Nov. 22, 1963, as amended at 37 FR 8527, Apr. 28, 1972; 44 
FR 39180, July 5, 1979; 51 FR 12616, Apr. 14, 1986]



Sec. 1.22  Authority for representation.

    Any person, in a representative capacity, transacting business with 
the Commission, may be required to show his authority to act in such 
capacity.



Sec. 1.23  Persons who may be admitted to practice.

    (a) Any person who is a member in good standing of the bar of the 
Supreme Court of the United States or of the highest court of any state, 
territory or the District of Columbia, and who is not under any final 
order of any authority having power to suspend or disbar an attorney in 
the practice of law within any state, territory or the District of 
Columbia that suspends, enjoins, restrains, disbars, or otherwise 
restricts him or her in the practice of law, may represent others before 
the Commission.
    (b) When such member of the bar acting in a representative capacity 
appears in person or signs a paper in practice before the Commission, 
his personal appearance or signature shall constitute a representation 
to the Commission that, under the provisions of this chapter and the 
law, he is authorized and qualified to represent the particular party in 
whose behalf he acts. Further proof of authority to act in a 
representative capacity may be required.

[28 FR 12415, Nov. 22, 1963, as amended at 57 FR 38285, Aug. 24, 1992]



Sec. 1.24  Censure, suspension, or disbarment of attorneys.

    (a) The Commission may censure, suspend, or disbar any person who 
has practiced, is practicing or holding himself out as entitled to 
practice before it if it finds that such person:
    (1) Does not possess the qualifications required by Sec. 1.23;
    (2) Has failed to conform to standards of ethical conduct required 
of practitioners at the bar of any court of which he is a member;
    (3) Is lacking in character or professional integrity; and/or
    (4) Displays toward the Commission or any of its hearing officers 
conduct which, if displayed toward any court of the United States or any 
of its Territories or the District of Columbia, would be cause for 
censure, suspension, or disbarment.
    (b) Except as provided in paragraph (c) of this section, before any 
member of the bar of the Commission shall be censured, suspended, or 
disbarred, charges shall be preferred by the Commission against such 
practitioner, and he or she shall be afforded an opportunity to be heard 
thereon.
    (c) Upon receipt of official notice from any authority having power 
to suspend or disbar an attorney in the practice of law within any 
state, territory, or the District of Columbia which demonstrates that an 
attorney practicing before the Commission is subject to an order of 
final suspension (not merely temporary suspension pending further 
action) or disbarment by such authority, the Commission may, without any 
preliminary hearing, enter an order temporarily suspending the attorney 
from practice before it pending final disposition of a disciplinary 
proceeding brought pursuant to Sec. 1.24(a)(2),

[[Page 111]]

which shall afford such attorney an opportunity to be heard and 
directing the attorney to show cause within thirty days from the date of 
said order why identical discipline should not be imposed against such 
attorney by the Commission.
    (d) Allegations of attorney misconduct in Commission proceedings 
shall be referred under seal to the Office of General Counsel. Pending 
action by the General Counsel, the decision maker may proceed with the 
merits of the matter but in its decision may make findings concerning 
the attorney's conduct only if necessary to resolve questions concerning 
an applicant and may not reach any conclusions regarding the ethical 
ramifications of the attorney's conduct. The General Counsel will 
determine if the allegations are substantial, and, if so, shall 
immediately notify the attorney and direct him or her to respond to the 
allegations. No notice will be provided to other parties to the 
proceeding. The General Counsel will then determine what further 
measures are necessary to protect the integrity of the Commission's 
administrative process, including but not limited to one or more of the 
following:
    (1) Recommending to the Commission the institution of a proceeding 
under paragraph (a) of this section;
    (2) Referring the matter to the appropriate State, territorial, or 
District of Columbia bar; or
    (3) Consulting with the Department of Justice.

[28 FR 12415, Nov. 22, 1963, as amended at 57 FR 38285, Aug. 24, 1992; 
60 FR 53277, Oct. 13, 1995]



Sec. 1.25  [Reserved]



Sec. 1.26  Appearances.

    Rules relating to appearances are set forth in Secs. 1.87, 1.91, 
1.221, and 1.703.



Sec. 1.27  Witnesses; right to counsel.

    Any individual compelled to appear in person in any Commission 
proceeding may be accompanied, represented, and advised by counsel as 
provided in this section. (Regulations as to persons seeking voluntarily 
to appear and give evidence are set forth in Sec. 1.225.)
    (a) Counsel may advise his client in confidence, either upon his own 
initiative or that of the witness, before, during, and after the 
conclusion of the proceeding.
    (b) Counsel for the witness will be permitted to make objections on 
the record, and to state briefly the basis for such objections, in 
connection with any examination of his client.
    (c) At the conclusion of the examination of his client, counsel may 
ask clarifying questions if in the judgment of the presiding officer 
such questioning is necessary or desirable in order to avoid ambiguity 
or incompleteness in the responses previously given.
    (d) Except as provided by paragraph (c) of this section, counsel for 
the witness may not examine or cross-examine any witness, or offer 
documentary evidence, unless authorized by the Commission to do so.

(5 U.S.C. 555)

[29 FR 12775, Sept. 10, 1964]



Secs. 1.28-1.29  [Reserved]

                   Pleadings, Briefs, and Other Papers



Sec. 1.41  Informal requests for Commission action.

    Except where formal procedures are required under the provisions of 
this chapter, requests for action may be submitted informally. Requests 
should set forth clearly and concisely the facts relied upon, the relief 
sought, the statutory and/or regulatory provisions (if any) pursuant to 
which the request is filed and under which relief is sought, and the 
interest of the person submitting the request. In application and 
licensing matters pertaining to the Wireless Radio Services, as defined 
in Sec. 1.904 of this part, such requests may also be sent 
electronically, via the ULS.

[28 FR 12415, Nov. 22, 1963, as amended at 63 FR 68919, Dec. 14, 1998]



Sec. 1.42  Applications, reports, complaints; cross-reference.

    (a) Rules governing applications and reports are contained in 
subparts D, E, and F of this part.

[[Page 112]]

    (b) Special rules governing complaints against common carriers 
arising under the Communications Act are set forth in subpart E of this 
part.



Sec. 1.43  Requests for stay; cross-reference.

    General rules relating to requests for stay of any order or decision 
are set forth in Secs. 1.41, 1.44(e), 1.45 (d) and (e), and 1.298(a). 
See also Secs. 1.102, 1.106(n), and 1.115(h).



Sec. 1.44  Separate pleadings for different requests.

    (a) Requests requiring action by the Commission shall not be 
combined in a pleading with requests for action by an administrative law 
judge or by any person or persons acting pursuant to delegated 
authority.
    (b) Requests requiring action by an administrative law judge shall 
not be combined in a pleading with requests for action by the Commission 
or by any person or persons acting pursuant to delegated authority.
    (c) Requests requiring action by any person or persons pursuant to 
delegated authority shall not be combined in a pleading with requests 
for action by any other person or persons acting pursuant to delegated 
authority.
    (d) Pleadings which combine requests in a manner prohibited by 
paragraph (a), (b), or (c) of this section may be returned without 
consideration to the person who filed the pleading.
    (e) Any request to stay the effectiveness of any decision or order 
of the Commission shall be filed as a separate pleading. Any such 
request which is not filed as a separate pleading will not be considered 
by the Commission.

    Note: Matters which are acted on pursuant to delegated authority are 
set forth in subpart B of part 0 of this chapter. Matters acted on by 
the hearing examiner are set forth in Sec. 0.341.



Sec. 1.45  Pleadings; filing periods.

    Except as otherwise provided in this chapter, pleadings in 
Commission proceedings shall be filed in accordance with the provisions 
of this section. Pleadings associated with licenses, applications, 
waivers and other documents in the Wireless Radio Services may be filed 
via the ULS.
    (a) Petitions. Petitions to deny may be filed pursuant to Sec. 1.939 
of this part.
    (b) Oppositions. Oppositions to any motion, petition, or request may 
be filed within 10 days after the original pleading is filed.
    (c) Replies. The person who filed the original pleading may reply to 
oppositions within 5 days after the time for filing oppositions has 
expired. The reply shall be limited to matters raised in the 
oppositions, and the response to all such matters shall be set forth in 
a single pleading; separate replies to individual oppositions shall not 
be filed.
    (d) Requests for temporary relief; shorter filing periods. 
Oppositions to a request for stay of any order or to a request for other 
temporary relief shall be filed within 7 days after the request is 
filed. Replies to oppositions should not be filed and will not be 
considered. The provisions of Sec. 1.4(h) shall not apply in computing 
the filing date for oppositions to a request for stay or for other 
temporary relief.
    (e) Ex parte disposition of certain pleadings. As a matter of 
discretion, the Commission may rule ex parte upon requests for 
continuances and extensions of time, requests for permission to file 
pleadings in excess of the length prescribed in this chapter, and 
requests for temporary relief, without waiting for the filing of 
oppositions or replies.

    Note: Where specific provisions contained in part 1 conflict with 
this section, those specific provisions are controlling. See, in 
particular, Secs. 1.294(c), 1.298(a), and 1.773.

[28 FR 12415, Nov. 22, 1963, as amended at 33 FR 7153, May 15, 1968; 45 
FR 64190, Sept. 29, 1980; 54 FR 31032, July 26, 1989; 54 FR 37682, Sept. 
12, 1989; 63 FR 68919, Dec. 14, 1998]



Sec. 1.46  Motions for extension of time.

    (a) It is the policy of the Commission that extensions of time shall 
not be routinely granted.
    (b) Motions for extension of time in which to file responses to 
petitions for rulemaking, replies to such responses, comments filed in 
response to notice of proposed rulemaking, replies to such comments and 
other filings in rulemaking proceedings conducted under Subpart C of 
this part shall be filed at least 7 days before the filing date. If a 
timely motion is denied, the responses and comments, replies thereto, or

[[Page 113]]

other filings need not be filed until 2 business days after the 
Commission acts on the motion. In emergency situations, the Commission 
will consider a late-filed motion for a brief extension of time related 
to the duration of the emergency and will consider motions for 
acceptance of comments, reply comments or other filings made after the 
filing date.
    (c) If a motion for extension of time in which to make filings in 
proceedings other than notice and comment rule making proceedings is 
filed less than 7 days prior to the filing day, the party filing the 
motion shall (in addition to serving the motion on other parties) orally 
notify other parties and Commission staff personnel responsible for 
acting on the motion that the motion has been (or is being) filed.

[39 FR 43301, Dec. 12, 1974, as amended at 41 FR 9550, Mar. 5, 1976; 41 
FR 14871, Apr. 8, 1976; 42 FR 28887, June 6, 1977; 63 FR 24124, May 1, 
1998]



Sec. 1.47  Service of documents and proof of service.

    (a) Where the Commission or any person is required by statute or by 
the provisions of this chapter to serve any document upon any person, 
service shall (in the absence of specific provisions in this chapter to 
the contrary) be made in accordance with the provisions of this section.
    (b) Where any person is required to serve any document filed with 
the Commission, service shall be made by that person or by his 
representative on or before the day on which the document is filed.
    (c) Commission counsel who formally participate in any proceeding 
shall be served in the same manner as other persons who participate in 
that proceeding. The filing of a document with the Commission does not 
constitute service upon Commission counsel.
    (d) Except in formal complaint proceedings against common carriers 
under Secs. 1.720 through 1.736, documents may be served upon a party, 
his attorney, or other duly constituted agent by delivering a copy or by 
mailing a copy to the last known address. See Sec. 1.736. Documents that 
are required to be served must be served in paper form, even if 
documents are filed in electronic form with the Commission, unless the 
party to be served agrees to accept service in some other form.
    (e) Delivery of a copy pursuant to this section means handing it to 
the party, his attorney, or other duly constituted agent; or leaving it 
with the clerk or other person in charge of the office of the person 
being served; or, if there is no one in charge of such office, leaving 
it in a conspicuous place therein; or, if such office is closed or the 
person to be served has no office, leaving it at his dwelling house or 
usual place of abode with some person of suitable age and discretion 
then residing therein.
    (f) Service by mail is complete upon mailing.
    (g) Proof of service, as provided in this section, shall be filed 
before action is taken. The proof of service shall show the time and 
manner of service, and may be by written acknowledgement of service, by 
certificate of the person effecting the service, or by other proof 
satisfactory to the Commission. Failure to make proof of service will 
not affect the validity of the service. The Commission may allow the 
proof to be amended or supplied at any time, unless to do so would 
result in material prejudice to a party.
    (h) Every common carrier subject to the Communications Act of 1934, 
as amended, shall designate an agent in the District of Columbia, and 
may designate additional agents if it so chooses, upon whom service of 
all notices, process, orders, decisions, and requirements of the 
Commission may be made for and on behalf of said carrier in any 
proceeding before the Commission. Such designation shall include, for 
both the carrier and its designated agents, a name, business address, 
telephone or voicemail number, facsimile number, and, if available, 
Internet e-mail address. The carrier shall additionally list any other 
names by which it is known or under which it does business, and, if the 
carrier is an affiliated company, the parent, holding, or management 
company. Within thirty (30) days of the commencement of provision of 
service, each carrier shall file such information with the Chief of the 
Enforcement Bureau's Market Disputes Resolution Division. Carriers may 
file

[[Page 114]]

a hard copy of the relevant portion of the Telecommunications Reporting 
Worksheet, as delineated by the Commission in the Federal Register, to 
satisfy this requirement. Each Telecommunications Reporting Worksheet 
filed annually by a common carrier must contain a name, business 
address, telephone or voicemail number, facsimile number, and, if 
available, Internet e-mail address for its designated agents, regardless 
of whether such information has been revised since the previous filing. 
Carriers must notify the Commission within one week of any changes in 
their designation information by filing revised portions of the 
Telecommunications Reporting Worksheet with the Chief of the Enforcement 
Bureau's Market Disputes Resolution Division. A paper copy of this 
designation list shall be maintained in the Office of the Secretary of 
the Commission. Service of any notice, process, orders, decisions or 
requirements of the Commission may be made upon such carrier by leaving 
a copy thereof with such designated agent at his office or usual place 
of residence. If a carrier fails to designate such an agent, service of 
any notice or other process in any proceeding before the Commission, or 
of any order, decision, or requirement of the Commission, may be made by 
posting such notice, process, order, requirement, or decision in the 
Office of the Secretary of the Commission.

[28 FR 12415, Nov. 22, 1963, as amended at 40 FR 55644, Dec. 1, 1975; 53 
FR 11852, Apr. 11, 1988; 63 FR 1035, Jan. 7, 1998; 63 FR 24124, May 1, 
1998; 64 FR 41330, July 30, 1999; 64 FR 60725, Nov. 8, 1999]



Sec. 1.48  Length of pleadings.

    (a) Affidavits, statements, tables of contents and summaries of 
filings, and other materials which are submitted with and factually 
support a pleading are not counted in determining the length of the 
pleading. If other materials are submitted with a pleading, they will be 
counted in determining its length; and if the length of the pleadings, 
as so computed, is greater than permitted by the provisions of this 
chapter, the pleading will be returned without consideration.
    (b) It is the policy of the Commission that requests for permission 
to file pleadings in excess of the length prescribed by the provisions 
of this chapter shall not be routinely granted. Where the filing period 
is 10 days or less, the request shall be made within 2 business days 
after the period begins to run. Where the period is more than 10 days, 
the request shall be filed at least 10 days before the filing date. (See 
Sec. 1.4.) If a timely request is made, the pleading need not be filed 
earlier than 2 business days after the Commission acts upon the request.

[41 FR 14871, Apr. 8, 1976, and 49 FR 40169, Oct. 15, 1984]



Sec. 1.49  Specifications as to pleadings and documents.

    (a) All pleadings and documents filed in paper form in any 
Commission proceeding shall be typewritten or prepared by mechanical 
processing methods, and shall be filed on A4 (21 cm.  x  29.7 cm.) or on 
8\1/2\  x  11 inch (21.6 cm.  x  27.9 cm.) paper with the margins set so 
that the printed material does not exceed 6 \1/2\  x  9\1/2\ inches 
(16.5 cm.  x  24.1 cm.). The printed material may be in any typeface of 
at least 12-point (0.42333 cm. or \12/72\") in height. The body of the 
text must be double spaced with a minimum distance of \7/32\ of an inch 
(0.5556 cm.) between each line of text. Footnotes and long, indented 
quotations may be single spaced, but must be in type that is 12-point or 
larger in height, with at least \1/16\ of an inch (0.158 cm.) between 
each line of text. Counsel are cautioned against employing extended 
single spaced passages or excessive footnotes to evade prescribed 
pleading lengths. If single-spaced passages or footnotes are used in 
this manner the pleading will, at the discretion of the Commission, 
either be rejected as unacceptable for filing or dismissed with leave to 
be refiled in proper form. Pleadings may be printed on both sides of the 
paper. Pleadings that use only one side of the paper shall be stapled, 
or otherwise bound, in the upper left-hand corner; those using both 
sides of the paper shall be stapled twice, or otherwise bound, along the 
left-hand margin so that it opens like a book. The foregoing shall not 
apply to printed briefs specifically requested by the Commission, 
official publications, charted or maps, original documents

[[Page 115]]

(or admissible copies thereof) offered as exhibits, specially prepared 
exhibits, or if otherwise specifically provided. All copies shall be 
clearly legible.
    (b) Except as provided in paragraph (d) of this section, all 
pleadings and documents filed with the Commission, the length of which 
as computed under this chapter exceeds ten pages, shall include, as part 
of the pleading or document, a table of contents with page references.
    (c) Except as provided in paragraph (d) of this section, all 
pleadings and documents filed with the Commission, the length of which 
filings as computed under this chapter exceeds ten pages, shall include, 
as part of the pleading or document, a summary of the filing, suitably 
paragraphed, which should be a succinct, but accurate and clear 
condensation of the substance of the filing. It should not be a mere 
repetition of the headings under which the filing is arranged. For 
pleadings and documents exceeding ten but not twenty-five pages in 
length, the summary should seldom exceed one and never two pages; for 
pleadings and documents exceeding twenty-five pages in length, the 
summary should seldom exceed two and never five pages.
    (d) The requirements of paragraphs (b) and (c) of this section shall 
not apply to:
    (1) Interrogatories or answers to interrogatories, and depositions;
    (2) FCC forms or applications;
    (3) Transcripts;
    (4) Contracts and reports;
    (5) Letters; or
    (6) Hearing exhibits, and exhibits or appendicies accompanying any 
document or pleading submitted to the Commission.
    (e) Petitions, pleadings, and other documents associated with 
licensing matters in the Wireless Radio Services may be filed 
electronically in ULS. See Sec. 22.6 for specifications.
    (f)(1) In the following types of proceedings, all pleadings, 
including permissible ex parte submissions, notices of ex parte 
presentations, comments, reply comments, and petitions for 
reconsideration and replies thereto, may be filed in electronic format:
    (i) General rulemaking proceedings other than broadcast allotment 
proceedings;
    (ii) Notice of inquiry proceedings; and
    (iii) Petition for rulemaking proceedings (except broadcast 
allotment proceedings).
    (2) For purposes of paragraphs (b) and (c) of this section, and any 
prescribed pleading lengths, the length of any document filed in 
electronic form shall be equal to the length of the document if printed 
out and formatted according to the specifications of paragraph (a) of 
this section, or shall be no more that 250 words per page.

    Note: The table of contents and the summary pages shall not be 
included in complying with any page limitation requirements as set forth 
by Commission rule.

[40 FR 19198, May 2, 1975, as amended at 47 FR 26393, June 18, 1982; 51 
FR 16322, May 2, 1986; 54 FR 31032, July 26, 1989; 58 FR 44893, Aug. 25, 
1993; 59 FR 37721, July 25, 1994; 63 FR 24125, May 1, 1998; 63 FR 68920, 
Dec. 14, 1998]



Sec. 1.50  Specifications as to briefs.

    The Commission's preference is for briefs that are either 
typewritten, prepared by other mechanical processing methods, or, in the 
case of matters in the Wireless Radio Services, composed electronically 
and sent via ULS. Printed briefs will be accepted only if specifically 
requested by the Commission. Typewritten, mechanically produced, or 
electronically transmitted briefs must conform to all of the applicable 
specifications for pleadings and documents set forth in Sec. 1.49.

[63 FR 68920, Dec. 14, 1998]



Sec. 1.51  Number of copies of pleadings, briefs and other papers.

    Except as otherwise specifically provided in the Commission's rules 
and regulations, the number of copies of pleadings, briefs, and other 
papers to be filed is as follows:
    (a) In hearing proceedings, the following number of copies shall be 
filed:
    (1) If the paper filed relates to a matter to be acted upon by the 
presiding officer or the Chief Administrative Law Judge, an original and 
6 copies shall be filed.

[[Page 116]]

    (2) If the paper filed relates to matters to be acted on by the 
Commission, an original and 14 copies shall be filed.
    (3) If more than one person presided (is presiding) at the hearing 
an additional copy shall be filed for each such additional person.
    (b) In rulemaking proceedings which have not been designated for 
hearing, see section 1.419 of this chapter.
    (c) In matters other than rule making and hearing cases, the 
following number of copies shall be filed:
    (1) If the paper filed relates to matters to be acted on by the 
Commission, an original and 4 copies shall be filed. If the matter 
relates to Part 22 of the rules, see Sec. 22.6.
    (2) If the paper filed related to matters to be acted on by staff 
officials under delegated authority, an original and 4 copies shall be 
filed. If the matter relates to Part 22 of the rules, see Sec. 22.6.
    (d) Where statute or regulation provides for service by the 
Commission of papers filed with the Commission, an additional copy of 
such papers shall be filed for each person to be served.
    (e) The parties to any proceeding may, on notice, be required to 
file additional copies of any or all filings made in that proceeding.
    (f) For application and licensing matters involving the Wireless 
Radio Services, pleadings, briefs or other documents may be filed 
electronically in ULS, or if filed manually, one original and one copy 
of a pleading, brief or other document must be filed.
    (g) Participants that file pleadings, briefs or other documents 
electronically in ULS need only submit one copy, so long as the 
submission conforms to any procedural or filing requirements established 
for formal electronic comments. (see Sec. 1.49)
    (h) Pleadings, briefs or other documents filed electronically in ULS 
by a party represented by an attorney shall include the name, street 
address, and telephone number of at least one attorney of record. 
Parties not represented by an attorney that file electronically in ULS 
shall provide their name, street address, and telephone number.

(Secs. 4, 303, 48 Stat., as amended, 1066, 1082; (47 U.S.C. 154, 303))

[40 FR 48136, Oct. 14, 1975, as amended at 41 FR 50399, Nov. 16, 1976; 
45 FR 64190, Sept. 29, 1980; 45 FR 79486, Dec. 1, 1980; 50 FR 26567, 
June 27, 1985; 54 FR 29037, July 11, 1989; 54 FR 31032, July 26, 1989; 
62 FR 4170, Jan. 29, 1997; 63 FR 24125, May 1, 1998; 63 FR 68920, Dec. 
14, 1998]



Sec. 1.52  Subscription and verification.

    The original of all petitions, motions, pleadings, briefs, and other 
documents filed by any party represented by counsel shall be signed by 
at least one attorney of record in his individual name, whose address 
shall be stated. A party who is not represented by an attorney shall 
sign and verify the document and state his address. Either the original 
document, the electronic reproduction of such original document 
containing the facsimile signature of the attorney or represented party, 
or, in the case of matters in the Wireless Radio Services, an electronic 
filing via ULS is acceptable for filing. If a facsimile or electronic 
reproduction of such original document is filed, the signatory shall 
retain the original until the Commission's decision is final and no 
longer subject to judicial review. If pursuant to Sec. 1.429(h) a 
document is filed electronically, a signature will be considered any 
symbol executed or adopted by the party with the intent that such symbol 
be a signature, including symbols formed by computer-generated 
electronic impulses. Except when otherwise specifically provided by rule 
or statute, documents signed by the attorney for a party need not be 
verified or accompanied by affidavit. The signature or electronic 
reproduction thereof by an attorney constitutes a certificate by him 
that he has read the document; that to the best of his knowledge, 
information, and belief there is good ground to support it; and that it 
is not interposed for delay. If the original of a document is not signed 
or is signed with intent to defeat the purpose of this section, or an

[[Page 117]]

electronic reproduction does not contain a facsimile signature, it may 
be stricken as sham and false, and the matter may proceed as though the 
document had not been filed. An attorney may be subjected to appropriate 
disciplinary action, pursuant to Sec. 1.24, for a willful violation of 
this section or if scandalous or indecent matter is inserted.

[63 FR 24125, May 1, 1998, as amended at 63 FR 68920, Dec. 14, 1998]



Sec. 1.53  Separate pleadings for petitions for forbearance.

    In order to be considered as a petition for forbearance subject to 
the one-year deadline set forth in 47 U.S.C. 160(c), any petition 
requesting that the Commission exercise its forbearance authority under 
47 U.S.C. 160 shall be filed as a separate pleading and shall be 
identified in the caption of such pleading as a petition for forbearance 
under 47 U.S.C. 160(c). Any request which is not in compliance with this 
rule is deemed not to constitute a petition pursuant to 47 U.S.C. 
160(c), and is not subject to the deadline set forth therein.


[65 FR 7460, Feb. 15, 2000]

                     General Application Procedures



Sec. 1.61  Procedures for handling applications requiring special aeronautical study.

    (a) Antenna Structure Registration is conducted by the Wireless 
Telecommunications Bureau as follows:
    (1) Each antenna structure owner that must notify the FAA of 
proposed construction using FAA Form 7460-1 shall, upon proposing new or 
modified construction, register that antenna structure with the Wireless 
Telecommunications Bureau using FCC Form 854.
    (2) If an Environmental Assessment is required under Sec. 1.1307, 
the Bureau will address the environmental concerns prior to processing 
the registration.
    (3) If a final FAA determination of ``no hazard'' is not submitted 
along with FCC Form 854, processing of the registration may be delayed 
or disapproved.
    (4) If the owner of the antenna structure cannot file FCC Form 854 
because it is subject to a denial of Federal benefits under the Anti-
Drug Abuse Act of 1988, 21 U.S.C. 862, the first licensee authorized to 
locate on the structure must register the structure using FCC Form 854, 
and provide a copy of the Antenna Structure Registration (FCC Form 854R) 
to the owner. The owner remains responsible for providing a copy of FCC 
Form 854R to all tenant licensees on the structure and for posting the 
registration number as required by Sec. 17.4(g) of this chapter.
    (5) Upon receipt of FCC Form 854, and attached final FAA 
determination of ``no hazard,'' the Bureau prescribes antenna structure 
painting and/or lighting specifications or other conditions in 
accordance with the FAA airspace recommendation and returns a completed 
Antenna Structure Registration (FCC Form 854R) to the registrant. If the 
proposed structure is disapproved the registrant is so advised.
    (b) Each operating Bureau or Office examines the applications for 
Commission authorization for which it is responsible to ensure 
compliance with FAA notification procedures as well as Commission 
Antenna Structure Registration as follows:
    (1) If Antenna Structure Registration is required, the operating 
Bureau reviews the application for the Antenna Structure Registration 
Number and proceeds as follows:
    (i) If the application contains the Antenna Structure Registration 
Number or if the applicant seeks a Cellular or PCS system authorization, 
the operating Bureau processes the application.
    (ii) If the application does not contain the Antenna Structure 
Registration Number, but the structure owner has already filed FCC Form 
854, the operating Bureau places the application on hold until 
Registration can be confirmed, so long as the owner exhibits due 
diligence in filing.
    (iii) If the application does not contain the Antenna Structure 
Registration Number, and the structure owner has not filed FCC Form 854, 
the operating Bureau notifies the applicant that FCC Form 854 must be 
filed and places the application on hold until Registration can be 
confirmed, so long

[[Page 118]]

as the owner exhibits due diligence in filing.
    (2) If Antenna Structure Registration is not required, the operating 
Bureau processes the application.
    (c) Where one or more antenna farm areas have been designated for a 
community or communities (see Sec. 17.9 of this chapter), an application 
proposing the erection of an antenna structure over 1,000 feet in height 
above ground to serve such community or communities will not be accepted 
for filing unless:
    (1) It is proposed to locate the antenna structure in a designated 
antenna farm area, or
    (2) It is accompanied by a statement from the Federal Aviation 
Administration that the proposed structure will not constitute a menace 
to air navigation, or
    (3) It is accompanied by a request for waiver setting forth reasons 
sufficient, if true, to justify such a waiver.

    Note: By Commission Order (FCC 65-455), 30 FR 7419, June 5, 1965, 
the Commission issued the following policy statement concerning the 
height of radio and television antenna towers:
``We have concluded that this objective can best be achieved by adopting 
the following policy: Applications for antenna towers higher than 2,000 
feet above ground will be presumed to be inconsistent with the public 
interest, and the applicant will have a burden of overcoming that strong 
presumption. The applicant must accompany its application with a 
detailed showing directed to meeting this burden. Only in the 
exceptional case, where the Commission concludes that a clear and 
compelling showing has been made that there are public interest reasons 
requiring a tower higher than 2,000 feet above ground, and after the 
parties have complied with applicable FAA procedures, and full 
Commission coordination with FAA on the question of menace to air 
navigation, will a grant be made. Applicants and parties in interest 
will, of course, be afforded their statutory hearing rights.''

[28 FR 12415, Nov. 22, 1963, as amended at 32 FR 8813, June 21, 1967; 32 
FR 20860, Dec. 28, 1967; 34 FR 6481, Apr. 15, 1969; 45 FR 55201, Aug. 
19, 1980; 58 FR 13021, Mar. 9, 1993, 61 FR 4361, Feb. 6, 1996]



Sec. 1.62  Operation pending action on renewal application.

    (a)(1) Where there is pending before the Commission at the time of 
expiration of license any proper and timely application for renewal of 
license with respect to any activity of a continuing nature, in 
accordance with the provisions of section 9(b) of the Administrative 
Procedure Act, such license shall continue in effect without further 
action by the Commission until such time as the Commission shall make a 
final determination with respect to the renewal application. No 
operation by any licensee under this section shall be construed as a 
finding by the Commission that the operation will serve the public 
interest, convenience, or necessity, nor shall such operation in any way 
affect or limit the action of the Commission with respect to any pending 
application or proceeding.
    (2) A licensee operating by virtue of this paragraph shall, after 
the date of expiration specified in the license, post, in addition to 
the original license, any acknowledgment received from the Commission 
that the renewal application has been accepted for filing or a signed 
copy of the application for renewal of license which has been submitted 
by the licensee, or in services other than broadcast and common carrier, 
a statement certifying that the licensee has mailed or filed a renewal 
application, specifying the date of mailing or filing.
    (b) Where there is pending before the Commission at the time of 
expiration of license any proper and timely application for renewal or 
extension of the term of a license with respect to any activity not of a 
continuing nature, the Commission may in its discretion grant a 
temporary extension of such license pending determination of such 
application. No such temporary extension shall be construed as a finding 
by the Commission that the operation of any radio station thereunder 
will serve the public interest, convenience, or necessity beyond the 
express terms of such temporary extension of license, nor shall such 
temporary extension in any way affect or limit the action of the 
Commission with respect to any pending application or proceeding.
    (c) Except where an instrument of authorization clearly states on 
its face that it relates to an activity not of a continuing nature, or 
where the non-continuing nature is otherwise clearly

[[Page 119]]

apparent upon the face of the authorization, all licenses issued by the 
Commission shall be deemed to be related to an activity of a continuing 
nature.

(5 U.S.C. 558)



Sec. 1.65  Substantial and significant changes in information furnished by applicants to the Commission.

    (a) Each applicant is responsible for the continuing accuracy and 
completeness of information furnished in a pending application or in 
Commission proceedings involving a pending application. Whenever the 
information furnished in the pending application is no longer 
substantially accurate and complete in all significant respects, the 
applicant shall as promptly as possible and in any event within 30 days, 
unless good cause is shown, amend or request the amendment of his 
application so as to furnish such additional or corrected information as 
may be appropriate. Whenever there has been a substantial change as to 
any other matter which may be of decisional significance in a Commission 
proceeding involving the pending application, the applicant shall as 
promptly as possible and in any event within 30 days, unless good cause 
is shown, submit a statement furnishing such additional or corrected 
information as may be appropriate, which shall be served upon parties of 
record in accordance with Sec. 1.47. Where the matter is before any 
court for review, statements and requests to amend shall in addition be 
served upon the Commission's General Counsel. For the purposes of this 
section, an application is ``pending'' before the Commission from the 
time it is accepted for filing by the Commission until a Commission 
grant or denial of the application is no longer subject to 
reconsideration by the Commission or to review by any court.
    (b) Applications in ITFS and broadcast services subject to 
competitive bidding will be subject to the provisions of 
Secs. 1.2105(b), 73.5002 and 73.3522 regarding the modification of their 
applications.
    (c) All broadcast permittees and licensees must report annually to 
the Commission any adverse finding or adverse final action taken by any 
court or administrative body that involves conduct bearing on the 
permittee's or licensee's character qualifications and that would be 
reportable in connection with an application for renewal as reflected in 
the renewal form. If a report is required by this paragraph(s), it shall 
be filed on the anniversary of the date that the licensee's renewal 
application is required to be filed, except that licensees owning 
multiple stations with different anniversary dates need file only one 
report per year on the anniversary of their choice, provided that their 
reports are not more than one year apart. Permittees and licensees bear 
the obligation to make diligent, good faith efforts to become 
knowledgeable of any such reportable adjudicated misconduct.

    Note: The terms adverse finding and adverse final action as used in 
paragraph (c) of this section include adjudications made by an ultimate 
trier of fact, whether a government agency or court, but do not include 
factual determinations which are subject to review de novo unless the 
time for taking such review has expired under the relevant procedural 
rules. The pendency of an appeal of an adverse finding or adverse final 
action does not relieve a permittee or licensee from its obligation to 
report the finding or action.

[48 FR 27200, June 13, 1983, as amended at 55 FR 23084, June 6, 1990; 56 
FR 25635, June 5, 1991; 56 FR 44009, Sept. 6, 1991; 57 FR 47412, Oct. 
16, 1992; 63 FR 48622, Sept. 11, 1998]



Sec. 1.68  Action on application for license to cover construction permit.

    (a) An application for license by the lawful holder of a 
construction permit will be granted without hearing where the 
Commission, upon examination of such application, finds that all the 
terms, conditions, and obligations set forth in the application and 
permit have been fully met, and that no cause or circumstance arising or 
first coming to the knowledge of the Commission since the granting of 
the permit would, in the judgment of the Commission, make the operation 
of such station against the public interest.
    (b) In the event the Commission is unable to make the findings in 
paragraph (a) of this section, the Commission will designate the 
application for hearing upon specified issues.

(Sec. 319, 48 Stat. 1089, as amended; 47 U.S.C. 319)

[[Page 120]]



Sec. 1.77  Detailed application procedures; cross references.

    The application procedures set forth in Secs. 1.61 through 1.68 are 
general in nature. More detailed procedures are set forth in this 
chapter as follows:
    (a) Rules governing applications for authorizations in the Broadcast 
Radio Services are set forth in subpart D of this part.
    (b) Rules governing applications for authorizations in the Common 
Carrier Radio Services are set forth in subpart E of this part.
    (c) Rules governing applications for authorizations in the Private 
Radio Services are set forth in subpart F of this part.
    (d) Rules governing applications for authorizations in the 
Experimental Radio Services (other than broadcast) are set forth in part 
5 of this chapter.
    (e) Rules governing applications for authorizations in the Domestic 
Public Radio Services are set forth in part 21 of this chapter.
    (f) Rules governing applications for authorizations in the 
Industrial, Scientific, and Medical Service are set forth in part 18 of 
this chapter.
    (g) Rules governing applications for certification of equipment are 
set forth in part 2, subpart J, of this chapter.
    (h) Rules governing applications for commercial radio operator 
licenses are set forth in part 13 of this chapter.
    (i) Rules governing applications for authorizations in the Common 
Carrier and Private Radio terrestrial microwave services and Local 
Multipoint Distribution Services are set out in part 101 of this 
chapter.

[28 FR 12415, Nov. 22, 1963, as amended at 44 FR 39180, July 5, 1979; 47 
FR 53378, Nov. 26, 1982; 61 FR 26670, May 28, 1996; 62 FR 23162, Apr. 
29, 1997; 63 FR 36596, July 7, 1998]

                        Miscellaneous Proceedings



Sec. 1.80  Forfeiture proceedings.

    (a) Persons against whom and violations for which a forfeiture may 
be assessed. A forfeiture penalty may be assessed against any person 
found to have:
    (1) Willfully or repeatedly failed to comply substantially with the 
terms and conditions of any license, permit, certificate, or other 
instrument of authorization issued by the Commission;
    (2) Willfully or repeatedly failed to comply with any of the 
provisions of the Communications Act of 1934, as amended; or of any 
rule, regulation or order issued by the Commission under that Act or 
under any treaty, convention, or other agreement to which the United 
States is a party and which is binding on the United States;
    (3) Violated any provision of section 317(c) or 508(a) of the 
Communications Act; or
    (4) Violated any provision of section 1304, 1343, or 1464 of Title 
18, United States Code.


A forfeiture penalty assessed under this section is in addition to any 
other penalty provided for by the Communications Act, except that the 
penalties provided for in paragraphs (b)(1), (b)(2) and (b)(3) of this 
section shall not apply to conduct which is subject to a forfeiture 
penalty under sections 202(c), 203(e), 205(b), 214(d), 219(b), 220(d), 
223(b), 362(a), 362(b), 386(a), 386(b), 503(b), 506, and 634 of the 
Communications Act. The remaining provisions of this section are 
applicable to such conduct.
    (b) Limits on the amount of forfeiture assessed. (1) If the violator 
is a broadcast station licensee or permittee, a cable television 
operator, or an applicant for any broadcast or cable television operator 
license, permit, certificate, or other instrument of authorization 
issued by the Commission, except as otherwise noted in this paragraph, 
the forfeiture penalty under this section shall not exceed $27,500 for 
each violation or each day of a continuing violation, except that the 
amount assessed for any continuing violation shall not exceed a total of 
$275,000 for any single act or failure to act described in paragraph (a) 
of this section. There is no limit on forfeiture assessments for EEO 
violations by cable operators that occur after notification by the 
Commission of a potential violation. See section 634(f)(2) of the 
Communications Act.
    (2) If the violator is a common carrier subject to the provisions of 
the Communications Act or an applicant for any common carrier license, 
permit, certificate, or other instrument of

[[Page 121]]

authorization issued by the Commission, the amount of any forfeiture 
penalty determined under this section shall not exceed $110,000 for each 
violation or each day of a continuing violation, except that the amount 
assessed for any continuing violation shall not exceed a total of 
$1,100,000 for any single act or failure to act described in paragraph 
(a) of this section.
    (3) In any case not covered in paragraphs (b)(1) or (b)(2) of this 
section, the amount of any forfeiture penalty determined under this 
section shall not exceed $11,000 for each violation or each day of a 
continuing violation, except that the amount assessed for any continuing 
violation shall not exceed a total of $82,500 for any single act or 
failure to act described in paragraph (a) of this section.

    Note: For information concerning notices of apparent liability and 
notices of opportunity for hearing, see paragraphs (e), (f), and (g) of 
this section.

    (4) Factors considered in determining the amount of the forfeiture 
penalty. In determining the amount of the forfeiture penalty, the 
Commission or its designee will take into account the nature, 
circumstances, extent and gravity of the violations and, with respect to 
the violator, the degree of culpability, any history of prior offenses, 
ability to pay, and such other matters as justice may require.

     Note to paragraph (b)(4):

                  Guidelines for Assessing Forfeitures

    The Commission and its staff may use these guidelines in particular 
cases. The Commission and its staff retain the discretion to issue a 
higher or lower forfeiture than provided in the guidelines, to issue no 
forfeiture at all, or to apply alternative or additional sanctions as 
permitted by the statute. The forfeiture ceiling per violation or per 
day for a continuing violation stated in Section 503 of the 
Communications Act and the Commission's Rules are $25,000 for 
broadcasters and cable operators or applicants, $100,000 for common 
carriers or applicants, and $10,000 for all others. These base amounts 
listed are for a single violation or single day of a continuing 
violation. 47 U.S.C. 503(b)(2); 47 CFR 1.80. For continuing violations 
involving a single act or failure to act, the statute limits the 
forfeiture to $250,000 for broadcasters and cable operators or 
applicants, $1,000,000 for common carriers or applicants, and $75,000 
for all others. Id. Pursuant to the Debt Collection Improvement Act of 
1996 (DCIA), Public Law 104-134, section 31001, 110 Stat. 1321 (1996), 
civil monetary penalties assessed by the Federal government, whether set 
by statutory maxima or specific dollar amounts as provided by Federal 
law, must be adjusted for inflation at least every four years based on 
the formula outlined in the DCIA. Thus, the statutory maxima increased 
to $27,500 for broadcasters and cable operators or applicants; $110,000 
for common carriers or applicants, and $11,000 for others. For 
continuing violations, the statutory maxima increased to $275,000 for 
broadcasters, cable operators, or applicants; $1,100,000 for common 
carriers or applicants; and $82,500 for others. The increased statutory 
maxima became effective March 5, 1997. There is an upward adjustment 
factor for repeated or continuous violations, see Section II, infra. 
That upward adjustment is not necessarily applied on a per violation or 
per day basis. Id. Unless Commission authorization is required for the 
behavior involved, a Section 503 forfeiture proceeding against a non-
licensee or non-applicant who is not a cable operator or common carrier 
can only be initiated for a second violation, after issuance of a 
citation in connection with a first violation. 47 U.S.C. 503(b)(5). A 
prior citation is not required, however, for non-licensee tower owners 
who have previously received notice of the obligations imposed by 
Section 303(q) and part 17 of the Commission's rules from the 
Commission. Forfeitures issued under other sections of the Act are dealt 
with separately in Section III of this note.

          Section I.--Base Amounts for Section 503 Forfeitures

------------------------------------------------------------------------
                                                               Violation
                         Forfeitures                             Amount
------------------------------------------------------------------------
Misrepresentation/lack of candor.............................      (\1\)
Construction and/or operation without an instrument of           $10,000
 authorization for the service...............................
Failure to comply with prescribed lighting and/or marking....     10,000
Violation of public file rules...............................     10,000
Violation of political rules: reasonable access, lowest unit       9,000
 charge, equal opportunity, and discrimination...............
Unauthorized substantial transfer of control.................      8,000
Violation of children's television commercialization or            8,000
 programming requirements....................................
Violations of rules relating to distress and safety                8,000
 frequencies.................................................
False distress communications................................      8,000
EAS equipment not installed or operational...................      8,000
Alien ownership violation....................................      8,000
Failure to permit inspection.................................      7,000
Transmission of indecent/obscene materials...................      7,000
Interference.................................................      7,000
Importation or marketing of unauthorized equipment...........      7,000
Exceeding of authorized antenna height.......................      5,000
Fraud by wire, radio or television...........................      5,000
Unauthorized discontinuance of service.......................      5,000
Use of unauthorized equipment................................      5,000

[[Page 122]]

 
Exceeding power limits.......................................      4,000
Failure to respond to Commission communications..............      4,000
Violation of sponsorship ID requirements.....................      4,000
Unauthorized emissions.......................................      4,000
Using unauthorized frequency.................................      4,000
Failure to engage in required frequency coordination.........      4,000
Construction or operation at unauthorized location...........      4,000
Violation of requirements pertaining to broadcasting of            4,000
 lotteries or contests.......................................
Violation of transmitter control and metering requirements...      3,000
Failure to file required forms or information................      3,000
Failure to make required measurements or conduct required          2,000
 monitoring..................................................
Failure to provide station ID................................      1,000
Unauthorized pro forma transfer of control...................      1,000
Failure to maintain required records.........................      1,000
------------------------------------------------------------------------
\1\ Statutory Maximum for each Service.

                    Violations Unique to the Service

------------------------------------------------------------------------
              Violation                   Services affected      Amount
------------------------------------------------------------------------
Unauthorized conversion of long        Common Carrier.........   $40,000
 distance telephone service.
Violation of operator services         Common Carrier.........     7,000
 requirements.
Violation of pay-per-call              Common Carrier.........     7,000
 requirements.
Failure to implement rate reduction    Cable..................     7,500
 or refund order.
Violation of cable program access      Cable..................     7,500
 rules.
Violation of cable leased access       Cable..................     7,500
 rules.
Violation of cable cross-ownership     Cable..................     7,500
 rules.
Violation of cable broadcast carriage  Cable..................     7,500
 rules.
Violation of pole attachment rules...  Cable..................     7,500
Failure to maintain directional        Broadcast..............     7,000
 pattern within prescribed parameters.
Violation of main studio rule........  Broadcast..............     7,000
Violation of broadcast hoax rule.....  Broadcast..............     7,000
AM tower fencing.....................  Broadcast..............     7,000
Broadcasting telephone conversations   Broadcast..............     4,000
 without authorization.
Violation of enhanced underwriting     Broadcast..............     2,000
 requirements.
------------------------------------------------------------------------

       Section II. Adjustment Criteria for Section 503 Forfeitures

                       Upward Adjustment Criteria

    (1) Egregious misconduct.
    (2) Ability to pay/relative disincentive.
    (3) Intentional violation.
    (4) Substantial harm.
    (5) Prior violations of any FCC requirements.
    (6) Substantial economic gain.
    (7) Repeated or continuous violation.

                      Downward Adjustment Criteria

    (1) Minor violation.
    (2) Good faith or voluntary disclosure.
    (3) History of overall compliance.
    (4) Inability to pay.

   Section III. Non-Section 503 Forfeitures That Are Affected by the 
                       Downward Adjustment Factors

    Unlike Section 503 of the Act, which establishes maximum forfeiture 
amounts, other sections of the Act, with one exception, state prescribed 
amounts of forfeitures for violations of the relevant section. These 
amounts are then subject to mitigation or remission under Section 504 of 
the Act. The one exception is Section 223 of the Act, which provides a 
maximum of $50,000 per day. For convenience, the Commission will treat 
the $50,000 set forth in Section 223 as if it were a prescribed base 
amount, subject to downward adjustments. The following amounts were 
adjusted for inflation pursuant to the Debt Collection Improvement Act 
of 1996 (DCIA) Public Law 104-134, section 31001, 110 Stat 1321 (1996). 
The new amounts became effective on March 5, 1997. These non-Section 503 
forfeitures may be adjusted downward using the ``Downward Adjustment 
Criteria'' shown for Section 503 forfeitures in Section II of this note.

------------------------------------------------------------------------
                                                              Statutory
                         Violation                            amount ($)
------------------------------------------------------------------------
Sec. 202(c) Common Carrier Discrimination..................   6,600 330/
                                                                     day
Sec. 203(e) Common Carrier Tariffs.........................   6,600 330/
                                                                     day
Sec. 205(b) Common Carrier Prescriptions...................       13,200
Sec. 214(d) Common Carrier Line Extensions.................    1,200/day
Sec. 219(b) Common Carrier Reports.........................        1,200
Sec. 220(d) Common Carrier Records & Accounts..............    6,600/day
Sec. 223(b) Dial-a-Porn....................................       55,000
                                                             maximum/day
Sec. 364(a) Ship Station Inspection........................        5,500
                                                                 (owner)
Sec. 364(b) Ship Station Inspection........................        1,100
                                                                 (vessel
                                                                 master)
Sec. 386(a) Forfeitures....................................    5,500/day
                                                                 (owner)
Sec. 386(b) Forfeitures....................................        1,100
                                                                 (vessel
                                                                 master)
Sec. 634 Cable EEO.........................................      500/day
------------------------------------------------------------------------


    (5) Inflation adjustments to the maximum forfeiture amount. (i) 
Pursuant to the Debt Collection Improvement Act of 1996, Public Law 104-
134 (110 Stat. 1321-358), which amends the Federal Civil Monetary 
Penalty Inflation Adjustment Act of 1990, Public Law 101-

[[Page 123]]

410 (104 Stat. 890; 28 U.S.C. 2461 note), the statutory maximum amount 
of a forfeiture penalty assessed under this section shall be adjusted 
for inflation at least once every four years using the following 
formula. First, obtain the inflation factor by dividing the CPI for June 
of the preceding year by the CPI for June of the year the forfeiture was 
last set or adjusted. Then, multiply the inflation factor by the 
statutory maximum amount. Round off this result using the rules in 
paragraph (b)(5)(ii) of this section. Add the rounded result to the 
statutory maximum forfeiture penalty amount. The sum is the statutory 
maximum amount, adjusted for inflation.
    (ii) The rounding rules are as follows:
    (A) Round increase to the nearest multiple of $10 if the penalty is 
from $0 to $100;
    (B) Round increase to the nearest multiple of $100 if the penalty is 
from $101 to $1,000;
    (C) Round increase to the nearest multiple of $1,000 if the penalty 
is from $1,001 to $10,000;
    (D) Round increase to the nearest multiple of $5,000 if the penalty 
is from $10,001 to $100,000;
    (E) Round increase to the nearest multiple of $10,000 if the penalty 
is from $100,001 to $200,000; or
    (F) Round increase to the nearest multiple of $25,000 if the penalty 
is over $200,001.
    (iii) The first application of the inflation adjustments required by 
Public Law 104-134 results in the following adjustments to the statutory 
forfeitures currently authorized by the Communications Act:

------------------------------------------------------------------------
                                                               Maximum
                                                  Current      penalty
                                                 statutory      after
              U.S. Code citation                  maximum     Public Law
                                                  penalty      104-134
                                                              adjustment
------------------------------------------------------------------------
47 USC 202(c).................................       $6,000       $6,600
                                                        300          330
47 USC 203(e).................................        6,000        6,600
                                                        300          330
47 USC 205(b).................................       12,000       13,200
47 USC 214(d).................................        1,200        1,200
47 USC 219(b).................................        1,200        1,200
47 USC 220(d).................................        6,000        6,600
47 USC 223(b).................................       50,000       55,000
47 USC 362(a).................................        5,000        5,500
47 USC 362(b).................................        1,000        1,100
47 USC 386(a).................................        5,000        5,500
47 USC 386(b).................................        1,000        1,100
47 USC 503(b)(2)(A)...........................       25,000       27,500
                                                    250,000      275,000
47 USC 503(b)(2)(B)...........................      100,000      110,000
                                                  1,000,000    1,100,000
47 USC 503(b)(2)(C)...........................       10,000       11,000
                                                     75,000       82,500
47 USC 506(a).................................          500          550
47 USC 506(b).................................          100          110
47 USC 554....................................          500          500
------------------------------------------------------------------------
Note: Pursuant to Public Law 104-134, the first inflation adjustment
  cannot exceed 10 percent of the statutory maximum amount.

    (c) Limits on the time when a proceeding may be initiated. (1) In 
the case of a broadcast station, no forfeiture penalty shall be imposed 
if the violation occurred more than 1 year prior to the issuance of the 
appropriate notice or prior to the date of commencement of the current 
license term, whichever is earlier. For purposes of this paragraph, 
``date of commencement of the current license term'' means the date of 
commencement of the last term of license for which the licensee has been 
granted a license by the Commission. A separate license term shall not 
be deemed to have commenced as a result of continuing a license in 
effect under section 307(c) pending decision on an application for 
renewal of the license.
    (2) In the case of a forfeiture imposed against a carrier under 
sections 202(c), 203(e), and 220(d), no forfeiture will be imposed if 
the violation occurred more than 5 years prior to the issuance of a 
notice of apparent liability.
    (3) In all other cases, no penalty shall be imposed if the violation 
occurred more than 1 year prior to the date on which the appropriate 
notice is issued.
    (d) Preliminary procedure in some cases; citations. No forfeiture 
penalty shall be imposed upon any person under this section, if such 
person does not hold a license, permit, certificate, or other 
authorization issued by the Commission, and if such person is not an 
applicant for a license, permit, certificate, or other authorization 
issued by the Commission, unless, prior to the issuance of the 
appropriate notice, such person: (1) Is sent a citation reciting the 
violation charged; (2) is given a reasonable opportunity (usually 30 
days) to request a personal interview with a Commission official, at the 
field office which is nearest to such person's

[[Page 124]]

place of residence; and (3) subsequently engages in conduct of the type 
described in the citation. However, a forfeiture penalty may be imposed, 
if such person is engaged in (and the violation relates to) activities 
for which a license, permit, certificate, or other authorization is 
required or if such person is a cable television operator, or in the 
case of violations of section 303(q), if the person involved is a 
nonlicensee tower owner who has previously received notice of the 
obligations imposed by section 303(q) from the Commission or the 
permittee or licensee who uses that tower. Paragraph (c) of this section 
does not limit the issuance of citations. When the requirements of this 
paragraph have been satisfied with respect to a particular violation by 
a particular person, a forfeiture penalty may be imposed upon such 
person for conduct of the type described in the citation without 
issuance of an additional citation.
    (e) Alternative procedures. In the discretion of the Commission, a 
forfeiture proceeding may be initiated either: (1) By issuing a notice 
of apparent liability, in accordance with paragraph (f) of this section, 
or (2) a notice of opportunity for hearing, in accordance with paragraph 
(g).
    (f) Notice of apparent liability. Before imposing a forfeiture 
penalty under the provisions of this paragraph, the Commission or its 
designee will issue a written notice of apparent liability.
    (1) Content of notice. The notice of apparent liability will:
    (i) Identify each specific provision, term, or condition of any act, 
rule, regulation, order, treaty, convention, or other agreement, 
license, permit, certificate, or instrument of authorization which the 
respondent has apparently violated or with which he has failed to 
comply,
    (ii) Set forth the nature of the act or omission charged against the 
respondent and the facts upon which such charge is based,
    (iii) State the date(s) on which such conduct occurred, and
    (iv) Specify the amount of the apparent forfeiture penalty.
    (2) Delivery. The notice of apparent liability will be sent to the 
respondent, by certified mail, at his last known address (see Sec. 1.5).
    (3) Response. The respondent will be afforded a reasonable period of 
time (usually 30 days from the date of the notice) to show, in writing, 
why a forfeiture penalty should not be imposed or should be reduced, or 
to pay the forfeiture. Any showing as to why the forfeiture should not 
be imposed or should be reduced shall include a detailed factual 
statement and such documentation and affidavits as may be pertinent.
    (4) Forfeiture order. If the proposed forfeiture penalty is not paid 
in full in response to the notice of apparent liability, the Commission, 
upon considering all relevant information available to it, will issue an 
order canceling or reducing the proposed forfeiture or requiring that it 
be paid in full and stating the date by which the forfeiture must be 
paid.
    (5) Judicial enforcement of forfeiture order. If the forfeiture is 
not paid, the case will be referred to the Department of Justice for 
collection under section 504(a) of the Communications Act.
    (g) Notice of opportunity for hearing. The procedures set out in 
this paragraph will ordinarily be followed only when a hearing is being 
held for some reason other than the assessment of a forfeiture (such as, 
to determine whether a renewal application should be granted) and a 
forfeiture is to be considered as an alternative or in addition to any 
other Commission action. However, these procedures may be followed 
whenever the Commission, in its discretion, determines that they will 
better serve the ends of justice.
    (1) Before imposing a forfeiture penalty under the provisions of 
this paragraph, the Commission will issue a notice of opportunity for 
hearing. The hearing will be a full evidentiary hearing before an 
administrative law judge, conducted under procedures set out in subpart 
B of this part, including procedures for appeal and review of initial 
decisions. A final Commission order assessing a forfeiture under the 
provisions of this paragraph is subject to judicial review under section 
402(a) of the Communications Act.
    (2) If, after a forfeiture penalty is imposed and not appealed or 
after a court enters final judgment in favor of the

[[Page 125]]

Commission, the forfeiture is not paid, the Commission will refer the 
matter to the Department of Justice for collection. In an action to 
recover the forfeiture, the validity and appropriateness of the order 
imposing the forfeiture are not subject to review.
    (3) Where the possible assessment of a forfeiture is an issue in a 
hearing case to determine which pending application should be granted, 
and the applicant facing a potential forfeiture is dismissed pursuant to 
a settlement agreement or otherwise, and the presiding judge has not 
made a determination on the forfeiture issue, the order of dismissal 
shall be forwarded to the attention of the full Commission. Within the 
time provided by Sec. 1.117, the Commission may, on its own motion, 
proceed with a determination of whether a forfeiture against the 
dismissing applicant is warranted. If the Commission so proceeds, it 
will provide the applicant with a reasonable opportunity to respond to 
the forfeiture issue (see paragraph (f)(3) of this section) and make a 
determination under the procedures outlined in paragraph (f) of this 
section.
    (h) Payment. The forfeiture should be paid by check or money order 
drawn to the order of the Federal Communications Commission. The 
Commission does not accept responsibility for cash payments sent through 
the mails. The check or money order should be mailed to: Federal 
Communications Commission, P.O. Box 73482, Chicago, Illinois 60673-7482.
    (i) Remission and mitigation. In its discretion, the Commission, or 
its designee, may remit or reduce any forfeiture imposed under this 
section. After issuance of a forfeiture order, any request that it do so 
shall be submitted as a petition for reconsideration pursuant to 
Sec. 1.106.
    (j) Effective date. Amendments to paragraph (b) of this section 
implementing Pub. L. No. 101-239 are effective December 19, 1989.

[43 FR 49308, Oct. 23, 1978, as amended at 48 FR 15631, Apr. 12, 1983; 
50 FR 40855, Oct. 7, 1985; 55 FR 25605, June 22, 1990; 56 FR 25638, June 
5, 1991; 57 FR 23161, June 2, 1992; 57 FR 47006, Oct. 14, 1992; 57 FR 
48333, Oct. 23, 1992; 58 FR 6896, Feb. 3, 1993; 58 FR 27473, May 10, 
1993; 62 FR 4918, Feb. 3, 1997; 62 FR 43475, Aug. 14, 1997; 63 FR 26992, 
May 15, 1998]



Sec. 1.83  Applications for radio operator licenses.

    (a) Application filing procedures for amateur radio operator 
licenses are set forth in part 97 of this chapter.
    (b) Application filing procedures for commercial radio operator 
licenses are set forth in part 13 of this chapter. Detailed information 
about application forms, filing procedures, and where to file 
applications for commercial radio operator licenses is contained in the 
bulletin ``Commercial Radio Operator Licenses and Permits.'' This 
bulletin is available from the Commission's Forms Distribution Center by 
calling 1-800-418-FORM (3676).

[47 FR 53378, Nov. 26, 1982, as amended at 58 FR 13021, Mar. 9, 1993; 63 
FR 68920, Dec. 14, 1998]



Sec. 1.85  Suspension of operator licenses.

    Whenever grounds exist for suspension of an operator license, as 
provided in Sec. 303(m) of the Communications Act, the Chief of the 
Wireless Telecommunications Bureau, with respect to amateur and 
commercial radio operator licenses, may issue an order suspending the 
operator license. No order of suspension of any operator's license shall 
take effect until 15 days' notice in writing of the cause for the 
proposed suspension has been given to the operator licensee, who may 
make written application to the Commission at any time within the said 
15 days for a hearing upon such order. The notice to the operator 
licensee shall not be effective until actually received by him, and from 
that time he shall have 15 days in which to mail the said application. 
In the event that physical conditions prevent mailing of the application 
before the expiration of the 15-day period, the application shall then 
be mailed as soon as possible thereafter, accompanied by a satisfactory 
explanation of the delay. Upon receipt by the Commission of such 
application for hearing, said order of suspension shall be designated 
for hearing by the Chief, Wireless Telecommunications Bureau and said 
suspension shall be held in abeyance until the conclusion of the 
hearing. Upon the conclusion of said hearing, the Commission may affirm, 
modify, or revoke said order of suspension. If the license is ordered 
suspended, the

[[Page 126]]

operator shall send his operator license to the Licensing and Technical 
Analysis Branch, Public Safety and Private Wireless Division, Wireless 
Telecommunications Bureau, in Washington, DC, on or before the effective 
date of the order, or, if the effective date has passed at the time 
notice is received, the license shall be sent to the Commission 
forthwith.

[63 FR 68920, Dec. 14, 1998]



Sec. 1.87  Modification of license or construction permit on motion of the Commission.

    (a) Whenever it appears that a station license or construction 
permit should be modified, the Commission shall notify the licensee or 
permittee in writing of the proposed action and reasons therefor, and 
afford the licensee or permittee at least thirty days to protest such 
proposed order of modification, except that, where safety of life or 
property is involved, the Commission may by order provide a shorter 
period of time.
    (b) The notification required in paragraph (a) of this section may 
be effectuated by a notice of proposed rule making in regard to a 
modification or addition of an FM or television channel to the Table of 
Allotments (Secs. 73.202 and 73.504) or Table of Assignments 
(Sec. 73.606). The Commission shall send a copy of any such notice of 
proposed rule making to the affected licensee or permittee by certified 
mail, return receipt requested.
    (c) Any other licensee or permittee who believes that its license or 
permit would be modified by the proposed action may also protest the 
proposed action before its effective date.
    (d) Any protest filed pursuant to this section shall be subject to 
the requirements of section 309 of the Communications Act of 1934, as 
amended, for petitions to deny.
    (e) In any case where a hearing is conducted pursuant to the 
provisions of this section, both the burden of proceeding with the 
introduction of evidence and the burden of proof shall be upon the 
Commission except that, with respect to any issue that pertains to the 
question of whether the proposed action would modify the license or 
permit of a person filing a protest pursuant to paragraph (c) of this 
section, such burdens shall be as described by the Commission.
    (f) In order to utilize the right to a hearing and the opportunity 
to appear and give evidence upon the issues specified in any hearing 
order, the licensee or permittee, in person or by attorney, shall, 
within the period of time as may be specified in the hearing order, file 
with the Commission a written statement stating that he or she will 
appear at the hearing and present evidence on the matters specified in 
the hearing order.
    (g) The right to file a protest or have a hearing shall, unless good 
cause is shown in a petition to be filed not later than 5 days before 
the lapse of time specified in paragraph (a) or (f) of this section, be 
deemed waived:
    (1) In case of failure to timely file the protest as required by 
paragraph (a) of this section or a written statement as required by 
paragraph (f) of this section.
    (2) In case of filing a written statement provided for in paragraph 
(f) of this section but failing to appear at the hearing, either in 
person or by counsel.
    (h) Where the right to file a protest or have a hearing is waived, 
the licensee or permittee will be deemed to have consented to the 
modification as proposed and a final decision may be issued by the 
Commission accordingly. Irrespective of any waiver as provided for in 
paragraph (g) of this section or failure by the licensee or permittee to 
raise a substantial and material question of fact concerning the 
proposed modification in his protest, the Commission may, on its own 
motion, designate the proposed modification for hearing in accordance 
with this section.
    (i) Any order of modification issued pursuant to this section shall 
include a statement of the findings and the grounds and reasons 
therefor, shall specify the effective date of the modification, and 
shall be served on the licensee or permittee.

[52 FR 22654, June 15, 1987]



Sec. 1.88  Predesignation pleading procedure.

    In cases where an investigation is being conducted by the Commission 
in

[[Page 127]]

connection with the operation of a broadcast station or a pending 
application for renewal of a broadcast license, the licensee may file a 
written statement to the Commission setting forth its views regarding 
the matters under investigation; the staff, in its discretion, may in 
writing, advise such licensee of the general nature of the 
investigation, and advise the licensee of its opportunity to submit such 
a statement to the staff. Any filing by the licensee will be forwarded 
to the Commission in conjunction with any staff memorandum recommending 
that the Commission take action as a result of the invesigation. Nothing 
in this rule shall supersede the application of our ex parte rules to 
situations described in Sec. 1.1203 of these rules.

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; (47 U.S.C. 
154, 303, 307))

[45 FR 65597, Oct. 3, 1980]



Sec. 1.89  Notice of violations.

    (a) Except in cases of willfulness or those in which public health, 
interest, or safety requires otherwise, any person who holds a license, 
permit or other authorization appearing to have violated any provision 
of the Communications Act or any provision of this chapter will, before 
revocation, suspension, or cease and desist proceedings are instituted, 
be served with a written notice calling these facts to his or her 
attention and requesting a statement concerning the matter. FCC Form 793 
may be used for this purpose. The Notice of Violation may be combined 
with a Notice of Apparent Liability to Monetary Forfeiture. In such 
event, notwithstanding the Notice of Violation, the provisions of 
Sec. 1.80 apply and not those of Sec. 1.89.
    (b) Within 10 days from receipt of notice or such other period as 
may be specified, the recipient shall send a written answer, in 
duplicate, directly to the Commission office originating the official 
notice. If an answer cannot be sent or an acknowledgment cannot be made 
within such 10-day period by reason of illness or other unavoidable 
circumstance, acknowledgment and answer shall be made at the earliest 
practicable date with a satisfactory explanation of the delay.
    (c) The answer to each notice shall be complete in itself and shall 
not be abbreviated by reference to other communications or answers to 
other notices. In every instance the answer shall contain a statement of 
action taken to correct the condition or omission complained of and to 
preclude its recurrence. In addition:
    (1) If the notice relates to violations that may be due to the 
physical or electrical characteristics of transmitting apparatus and any 
new apparatus is to be installed, the answer shall state the date such 
apparatus was ordered, the name of the manufacturer, and the promised 
date of delivery. If the installation of such apparatus requires a 
construction permit, the file number of the application shall be given, 
or if a file number has not been assigned by the Commission, such 
identification shall be given as will permit ready identification of the 
application.
    (2) If the notice of violation relates to lack of attention to or 
improper operation of the transmitter, the name and license number of 
the operator in charge (where applicable) shall be given.

[48 FR 24890, June 3, 1983]



Sec. 1.91  Revocation and/or cease and desist proceedings; hearings.

    (a) If it appears that a station license or construction permit 
should be revoked and/or that a cease and desist order should be issued, 
the Commission will issue an order directing the person to show cause 
why an order of revocation and/or a cease and desist order, as the facts 
may warrant, should not be issued.
    (b) An order to show cause why an order of revocation and/or a cease 
and desist order should not be issued will contain a statement of the 
matters with respect to which the Commission is inquiring and will call 
upon the person to whom it is directed (the respondent) to appear before 
the Commission at a hearing, at a time and place stated in the order, 
but not less than thirty days after the receipt of such order, and given 
evidence upon the matters specified in the order to show cause. However, 
if safety of life or property is involved, the order to show cause may 
specify a hearing date less

[[Page 128]]

than thirty days from the receipt of such order.
    (c) To avail himself of such opportunity for hearing, the 
respondent, personally or by his attorney, shall file with the 
Commission, within thirty days of the service of the order or such 
shorter period as may be specified therein, a written appearance stating 
that he will appear at the hearing and present evidence on the matters 
specified in the order. The Commission in its discretion may accept a 
late appearance. However, an appearance tendered after the specified 
time has expired will not be accepted unless accompanied by a petition 
stating with particularity the facts and reasons relied on to justify 
such late filing. Such petition for acceptance of late appearance will 
be granted only if the Commission determines that the facts and reasons 
stated therein constitute good cause for failure to file on time.
    (d) Hearings on the matters specified in such orders to show cause 
shall accord with the practice and procedure prescribed in this subpart 
and subpart B of this part, with the following exceptions: (1) In all 
such revocation and/or cease and desist hearings, the burden of 
proceeding with the introduction of evidence and the burden of proof 
shall be upon the Commission; and (2) the Commission may specify in a 
show cause order, when the circumstances of the proceeding require 
expedition, a time less than that prescribed in Secs. 1.276 and 1.277 
within which the initial decision in the proceeding shall become 
effective, exceptions to such initial decision must be filed, parties 
must file requests for oral argument, and parties must file notice of 
intention to participate in oral argument.
    (e) Correction of or promise to correct the conditions or matters 
complained of in a show cause order shall not preclude the issuance of a 
cease and desist order. Corrections or promises to correct the 
conditions or matters complained of, and the past record of the 
licensee, may, however, be considered in determining whether a 
revocation and/or a cease and desist order should be issued.
    (f) Any order of revocation and/or cease and desist order issued 
after hearing pursuant to this section shall include a statement of 
findings and the grounds therefor, shall specify the effective date of 
the order, and shall be served on the person to whom such order is 
directed.

(Sec. 312, 48 Stat. 1086, as amended; 47 U.S.C. 312)



Sec. 1.92  Revocation and/or cease and desist proceedings; after waiver of hearing.

    (a) After the issuance of an order to show cause, pursuant to 
Sec. 1.91, calling upon a person to appear at a hearing before the 
Commission, the occurrence of any one of the following events or 
circumstances will constitute a waiver of such hearing and the 
proceeding thereafter will be conducted in accordance with the 
provisions of this section.
    (1) The respondent fails to file a timely written appearance as 
prescribed in Sec. 1.91(c) indicating that he will appear at a hearing 
and present evidence on the matters specified in the order.
    (2) The respondent, having filed a timely written appearance as 
prescribed in Sec. 1.91(c), fails in fact to appear in person or by his 
attorney at the time and place of the duly scheduled hearing.
    (3) The respondent files with the Commission, within the time 
specified for a written appearance in Sec. 1.91(c), a written statement 
expressly waiving his rights to a hearing.
    (b) When a hearing is waived under the provisions of paragraph (a) 
(1) or (3) of this section, a written statement signed by the respondent 
denying or seeking to mitigate or justify the circumstances or conduct 
complained of in the order to show cause may be submitted within the 
time specified in Sec. 1.91(c). The Commission in its discretion may 
accept a late statement. However, a statement tendered after the 
specified time has expired will not be accepted unless accompanied by a 
petition stating with particularity the facts and reasons relied on to 
justify such late filing. Such petitions for acceptance of a late 
statement will be granted only if the Commission determines that the 
facts and reasons stated

[[Page 129]]

therein constitute good cause for failure to file on time.
    (c) Whenever a hearing is waived by the occurrence of any of the 
events or circumstances listed in paragraph (a) of this section, the 
Chief Administrative Law Judge (or the presiding officer if one has been 
designated) shall, at the earliest practicable date, issue an order 
reciting the events or circumstances constituting a waiver of hearing, 
terminating the hearing proceeding, and certifying the case to the 
Commission. Such order shall be served upon the respondent.
    (d) After a hearing proceeding has been terminated pursuant to 
paragraph (c) of this section, the Commission will act upon the matters 
specified in the order to show cause in the regular course of business. 
The Commission will determine on the basis of all the information 
available to it from any source, including such further proceedings as 
may be warranted, if a revocation order and/or a cease and desist order 
should issue, and if so, will issue such order. Otherwise, the 
Commission will issue an order dismissing the proceeding. All orders 
specified in this paragraph will include a statement of the findings of 
the Commission and the grounds and reasons therefor, will specify the 
effective date thereof, and will be served upon the respondent.
    (e) Corrections or promise to correct the conditions or matters 
complained of in a show cause order shall not preclude the issuance of a 
cease and desist order. Corrections or promises to correct the 
conditions or matters complained of, and the past record of the 
licensee, may, however, be considered in determining whether a 
revocation and/or a cease and desist order should be issued.

(Sec. 312, 48 Stat. 1086, as amended; 47 U.S.C. 312)

[28 FR 12415, Nov. 22, 1963, as amended at 29 FR 6443, May 16, 1964; 37 
FR 19372, Sept. 20, 1972]



Sec. 1.93  Consent orders.

    (a) As used in this subpart, a ``consent order'' is a formal decree 
accepting an agreement between a party to an adjudicatory hearing 
proceeding held to determine whether that party has violated statutes or 
Commission rules or policies and the appropriate operating Bureau, with 
regard to such party's future compliance with such statutes, rules or 
policies, and disposing of all issues on which the proceeding was 
designated for hearing. The order is issued by the officer designated to 
preside at the hearing or (if no officer has been designated) by the 
Chief Administrative Law Judge.
    (b) Where the interests of timely enforcement or compliance, the 
nature of the proceeding, and the public interest permit, the 
Commission, by its operating Bureaus, may negotiate a consent order with 
a party to secure future compliance with the law in exchange for prompt 
disposition of a matter subject to administrative adjudicative 
proceedings. Consent orders may not be negotiated with respect to 
matters which involve a party's basic statutory qualifications to hold a 
license (see 47 U.S.C. 308 and 309).

[41 FR 14871, Apr. 8, 1976]



Sec. 1.94  Consent order procedures.

    (a) Negotiations leading to a consent order may be initiated by the 
operating Bureau or by a party whose possible violations are issues in 
the proceeding. Negotiations may be initiated at any time after 
designation of a proceeding for hearing. If negotiations are initiated 
the presiding officer shall be notified. Parties shall be prepared at 
the initial prehearing conference to state whether they are at that time 
willing to enter negotiations. See Sec. 1.248(c)(7). If either party is 
unwilling to enter negotiations, the hearing proceeding shall proceed. 
If the parties agree to enter negotiations, they will be afforded an 
appropriate opportunity to negotiate before the hearing is commenced.
    (b) Other parties to the proceeding are entitled, but are not 
required, to participate in the negotiations, and may join in any 
agreement which is reached.
    (c) Every agreement shall contain the following:
    (1) An admission of all jurisdictional facts;
    (2) A waiver of the usual procedures for preparation and review of 
an initial decision;

[[Page 130]]

    (3) A waiver of the right of judicial review or otherwise to 
challenge or contest the validity of the consent order;
    (4) A statement that the designation order may be used in construing 
the consent order;
    (5) A statement that the agreement shall become a part of the record 
of the proceeding only if the consent order is signed by the presiding 
officer and the time for review has passed without rejection of the 
order by the Commission;
    (6) A statement that the agreement is for purposes of settlement 
only and that its signing does not constitute an admission by any party 
of any violation of law, rules or policy (see 18 U.S.C. 6002); and
    (7) A draft order for signature of the presiding officer resolving 
by consent, and for the future, all issues specified in the designation 
order.
    (d) If agreement is reached, it shall be submitted to the presiding 
officer or Chief Administrative Law Judge, as the case may be, who shall 
either sign the order, reject the agreement, or suggest to the parties 
that negotiations continue on such portion of the agreement as he 
considers unsatisfactory or on matters not reached in the agreement. If 
he rejects the agreement, the hearing shall proceed. If he suggests 
further negotiations, the hearing will proceed or negotiations will 
continue, depending on the wishes of parties to the agreement. If he 
signs the consent order, he shall close the record.
    (e) Any party to the proceeding who has not joined in any agreement 
which is reached may appeal the consent order under Sec. 1.302, and the 
Commission may review the agreement on its own motion under the 
provisions of that section. If the Commission rejects the consent order, 
the proceeding will be remanded for further proceedings. If the 
Commission does not reject the consent order, it shall be entered in the 
record as a final order and is subject to judicial review on the 
initiative only of parties to the proceeding who did not join in the 
agreement. The Commission may revise the agreement and consent order. In 
that event, private parties to the agreement may either accept the 
revision or withdraw from the agreement. If the party whose possible 
violations are issues in the proceeding withdraws from the agreement, 
the consent order will not be issued or made a part of the record, and 
the proceeding will be remanded for further proceedings.
    (f) The provisions of this section shall not alter any existing 
procedure for informal settlement of any matter prior to designation for 
hearing (see, e.g., 47 U.S.C. 208) or for summary decision after 
designation for hearing.
    (g) Consent orders, pleadings relating thereto, and Commission 
orders with respect thereto shall be served on parties to the 
proceeding. Public notice will be given of orders issued by an 
administrative law judge, the Chief Administrative Law Judge, or the 
Commission. Negotiating papers constitute work product, are available to 
parties participating in negotiations, but are not routinely available 
for public inspection.

[41 FR 14871, Apr. 8, 1976]



Sec. 1.95  Violation of consent orders.

    Violation of a consent order shall subject the consenting party to 
any and all sanctions which could have been imposed in the proceeding 
resulting in the consent order if all of the issues in that proceeding 
had been decided against the consenting party and to any further 
sanctions for violation noted as agreed upon in the consent order. The 
Commission shall have the burden of showing that the consent order has 
been violated in some (but not in every) respect. Violation of the 
consent order and the sanctions to be imposed shall be the only issues 
considered in a proceeding concerning such an alleged violation.

[41 FR 14871, Apr. 8, 1976]

   Reconsideration and Review of Actions Taken by the Commission and 
 Pursuant to Delegated Authority; Effective Dates and Finality Dates of 
                                 Actions



Sec. 1.101  General provisions.

    Under section 5(c) of the Communications Act of 1934, as amended, 
the Commission is authorized, by rule or order, to delegate certain of 
its functions to a panel of commissioners, an individual commissioner, 
an employee board, or

[[Page 131]]

an individual employee. Section 0.201(a) of this chapter describes in 
general terms the basic categories of delegations which are made by the 
Commission. Subpart B of part 0 of this chapter sets forth all 
delegations which have been made by rule. Sections 1.102 through 1.120 
set forth procedural rules governing reconsideration and review of 
actions taken pursuant to authority delegated under section 5(c) of the 
Communications Act, and reconsideration of actions taken by the 
Commission. As used in Secs. 1.102 through 1.117, the term designated 
authority means any person, panel, or board which has been authorized by 
rule or order to exercise authority under section 5(c) of the 
Communications Act.

[28 FR 12415, Nov. 22, 1963, as amended at 62 FR 4170, Jan. 29, 1997]



Sec. 1.102  Effective dates of actions taken pursuant to delegated authority.

    (a) Final actions following review of an initial decision. (1) Final 
decisions of a commissioner, or panel of commissioners following review 
of an initial decision shall be effective 40 days after public release 
of the full text of such final decision.
    (2) If a petition for reconsideration of such final decision is 
filed, the effect of the decision is stayed until 40 days after release 
of the final order disposing of the petition.
    (3) If an application for review of such final decision is filed, or 
if the Commission on its own motion orders the record of the proceeding 
before it for review, the effect of the decision is stayed until the 
Commission's review of the proceeding has been completed.
    (b) Non-hearing and interlocutory actions. (1) Non-hearing or 
interlocutory actions taken pursuant to delegated authority shall, 
unless otherwise ordered by the designated authority, be effective upon 
release of the document containing the full text of such action, or in 
the event such a document is not released, upon release of a public 
notice announcing the action in question.
    (2) If a petition for reconsideration of a non-hearing action is 
filed, the designated authority may in its discretion stay the effect of 
its action pending disposition of the petition for reconsideration. 
Petitions for reconsideration of interlocutory actions will not be 
entertained.
    (3) If an application for review of a non-hearing or interlocutory 
action is filed, or if the Commission reviews the action on its own 
motion, the Commission may in its discretion stay the effect of any such 
action until its review of the matters at issue has been completed.

[28 FR 12415, Nov. 22, 1963, as amended at 62 FR 4170, Jan. 29, 1997]



Sec. 1.103  Effective dates of Commission actions; finality of Commission actions.

    (a) Unless otherwise specified by law or Commission rule (e.g. 
Secs. 1.102 and 1.427), the effective date of any Commission action 
shall be the date of public notice of such action as that latter date is 
defined in Sec. 1.4(b) of these rules: Provided, That the Commission 
may, on its own motion or on motion by any party, designate an effective 
date that is either earlier or later in time than the date of public 
notice of such action. The designation of an earlier or later effective 
date shall have no effect on any pleading periods.
    (b) Notwithstanding any determinations made under paragraph (a) of 
this section, Commission action shall be deemed final, for purposes of 
seeking reconsideration at the Commission or judicial review, on the 
date of public notice as defined in Sec. 1.4(b) of these rules.

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 
154, 303, 307)

[46 FR 18556, Mar. 25, 1981]



Sec. 1.104  Preserving the right of review; deferred consideration of application for review.

    (a) The provisions of this section apply to all final actions taken 
pursuant to delegated authority, including final actions taken by 
members of the Commission's staff on nonhearing matters. They do not 
apply to interlocutory actions of the Chief Administrative Law Judge in 
hearing proceedings, or to hearing designation orders issued under 
delegated authority. See Secs. 0.351, 1.106(a) and 1.115(e).
    (b) Any person desiring Commission consideration of a final action 
taken

[[Page 132]]

pursuant to delegated authority shall file either a petition for 
reconsideration or an application for review (but not both) within 30 
days from the date of public notice of such action, as that date is 
defined in Sec. 1.4(b) of these rules. The petition for reconsideration 
will be acted on by the designated authority or referred by such 
authority to the Commission: Provided, That a petition for 
reconsideration of an order designating a matter for hearing will in all 
cases be referred to the Commission. The application for review will in 
all cases be acted upon by the Commission.

    Note: In those cases where the Commission does not intend to release 
a document containing the full text of its action, it will state that 
fact in the public notice announcing its action.

    (c) If in any matter one party files a petition for reconsideration 
and a second party files an application for review, the Commission will 
withhold action on the application for review until final action has 
been taken on the petition for reconsideration.
    (d) Any person who has filed a petition for reconsideration may file 
an application for review within 30 days from the date of public notice 
of such action, as that date is defined in Sec. 1.4(b) of these rules. 
If a petition for reconsideration has been filed, any person who has 
filed an application for review may: (1) Withdraw his application for 
review, or (2) substitute an amended application therefor.

    Note: In those cases where the Commission does not intend to release 
a document containing the full text of its action, it will state that 
fact in the public notice announcing its action.

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 
154, 303, 307)

[28 FR 12415, Nov. 22, 1963, as amended at 41 FR 14871, Apr. 8, 1976; 44 
FR 60294, Oct. 19, 1979; 46 FR 18556, Mar. 25, 1981; 62 FR 4170, Jan. 
29, 1997]



Sec. 1.106  Petitions for reconsideration.

    (a)(1) Petitions requesting reconsideration of a final Commission 
action will be acted on by the Commission. Petitions requesting 
reconsideration of other final actions taken pursuant to delegated 
authority will be acted on by the designated authority or referred by 
such authority to the Commission. A petition for reconsideration of an 
order designating a case for hearing will be entertained if, and insofar 
as, the petition relates to an adverse ruling with respect to 
petitioner's participation in the proceeding. Petitions for 
reconsideration of other interlocutory actions will not be entertained. 
(For provisions governing reconsideration of Commission action in notice 
and comment rule making proceedings, see Sec. 1.429. This Sec. 1.106 
does not govern reconsideration of such actions.)
    (2) Within the period allowed for filing a petition for 
reconsideration, any party to the proceeding may request the presiding 
officer to certify to the Commission the question as to whether, on 
policy in effect at the time of designation or adopted since 
designation, and undisputed facts, a hearing should be held. If the 
presiding officer finds that there is substantial doubt, on established 
policy and undisputed facts, that a hearing should be held, he will 
certify the policy question to the Commission with a statement to that 
effect. No appeal may be filed from an order denying such a request. See 
also, Secs. 1.229 and 1.251.
    (b)(1) Subject to the limitations set forth in paragraph (b)(2) of 
this section, any party to the proceeding, or any other person whose 
interests are adversely affected by any action taken by the Commission 
or by the designated authority, may file a petition requesting 
reconsideration of the action taken. If the petition is filed by a 
person who is not a party to the proceeding, it shall state with 
particularity the manner in which the person's interests are adversely 
affected by the action taken, and shall show good reason why it was not 
possible for him to participate in the earlier stages of the proceeding.
    (2) Where the Commission has denied an application for review, a 
petition for reconsideration will be entertained only if one or more of 
the following circumstances is present:
    (i) The petition relies on facts which relate to events which have 
occurred or circumstances which have changed since the last opportunity 
to present such matters; or

[[Page 133]]

    (ii) The petition relies on facts unknown to petitioner until after 
his last opportunity to present such matters which could not, through 
the exercise of ordinary diligence, have been learned prior to such 
opportunity.
    (3) A petition for reconsideration of an order denying an 
application for review which fails to rely on new facts or changed 
circumstances may be dismissed by the staff as repetitious.
    (c) A petition for reconsideration which relies on facts not 
previously presented to the Commission or to the designated authority 
may be granted only under the following circumstances:
    (1) The facts fall within one or more of the categories set forth in 
Sec. 1.106(b)(2); or
    (2) The Commission or the designated authority determines that 
consideration of the facts relied on is required in the public interest.
    (d)(1) The petition shall state with particularity the respects in 
which petitioner believes the action taken by the Commission or the 
designated authority should be changed. The petition shall state 
specifically the form or relief sought and, subject to this requirement, 
may contain alternative requests.
    (2) The petition for reconsideration shall also, where appropriate, 
cite the findings of fact and/or conclusions of law which petitioner 
believes to be erroneous, and shall state with particularity the 
respects in which he believes such findings and conclusions should be 
changed. The petition may request that additional findings of fact and 
conclusions of law be made.
    (e) Where a petition for reconsideration is based upon a claim of 
electrical interference, under appropriate rules in this chapter, to an 
existing station or a station for which a construction permit is 
outstanding, such petition, in addition to meeting the other 
requirements of this section, must be accompanied by an affidavit of a 
qualified radio engineer. Such affidavit shall show, either by following 
the procedures set forth in this chapter for determining interference in 
the absence of measurements, or by actual measurements made in 
accordance with the methods prescribed in this chapter, that electrical 
interference will be caused to the station within its normally protected 
contour.
    (f) The petition for reconsideration and any supplement thereto 
shall be filed within 30 days from the date of public notice of the 
final Commission action, as that date is defined in Sec. 1.4(b) of these 
rules, and shall be served upon parties to the proceeding. The petition 
for reconsideration shall not exceed 25 double spaced typewritten pages. 
No supplement or addition to a petition for reconsideration which has 
not been acted upon by the Commission or by the designated authority, 
filed after expiration of the 30 day period, will be considered except 
upon leave granted upon a separate pleading for leave to file, which 
shall state the grounds therefor.
    (g) Oppositions to a petition for reconsideration shall be filed 
within 10 days after the petition is filed, and shall be served upon 
petitioner and parties to the proceeding. Oppositions shall not exceed 
25 double spaced typewritten pages.
    (h) Petitioner may reply to oppositions within seven days after the 
last day for filing oppositions, and any such reply shall be served upon 
parties to the proceeding. Replies shall not exceed 10 double spaced 
typewritten pages, and shall be limited to matters raised in the 
opposition.
    (i) Petitions for reconsideration, oppositions, and replies shall 
conform to the requirements of Secs. 1.49, 1.51, and 1.52 and shall be 
submitted to the Secretary, Federal Communications Commission, 
Washington, D.C., 20554.
    (j) The Commission or designated authority may grant the petition 
for reconsideration in whole or in part or may deny the petition. Its 
order will contain a concise statement of the reasons for the action 
taken. Where the petition for reconsideration relates to an instrument 
of authorization granted without hearing, the Commission or designated 
authority will take such action within 90 days after the petition is 
filed.
    (k)(1) If the Commission or the designated authority grants the 
petition for reconsideration in whole or in part, it may, in its 
decision:

[[Page 134]]

    (i) Simultaneously reverse or modify the order from which 
reconsideration is sought;
    (ii) Remand the matter to a bureau or other Commission personnel for 
such further proceedings, including rehearing, as may be appropriate; or
    (iii) Order such other proceedings as may be necessary or 
appropriate.
    (2) If the Commission or designated authority initiates further 
proceedings, a ruling on the merits of the matter will be deferred 
pending completion of such proceedings. Following completion of such 
further proceedings, the Commission or designated authority may affirm, 
reverse, or modify its original order, or it may set aside the order and 
remand the matter for such further proceedings, including rehearing, as 
may be appropriate.
    (3) Any order disposing of a petition for reconsideration which 
reverses or modifies the original order is subject to the same 
provisions with respect to reconsideration as the original order. In no 
event, however, shall a ruling which denies a petition for 
reconsideration be considered a modification of the original order. A 
petition for reconsideration of an order which has been previously 
denied on reconsideration may be dismissed by the staff as repetitious.

    Note: For purposes of this section, the word ``order'' refers to 
that portion of its action wherein the Commission announces its 
judgment. This should be distinguished from the ``memorandum opinion'' 
or other material which often accompany and explain the order.

    (l) No evidence other than newly discovered evidence, evidence which 
has become available only since the original taking of evidence, or 
evidence which the Commission or the designated authority believes 
should have been taken in the original proceeding shall be taken on any 
rehearing ordered pursuant to the provisions of this section.
    (m) The filing of a petition for reconsideration is not a condition 
precedent to judicial review of any action taken by the Commission or by 
the designated authority, except where the person seeking such review 
was not a party to the proceeding resulting in the action, or relies on 
questions of fact or law upon which the Commission or designated 
authority has been afforded no opportunity to pass. (See Sec. 1.115(c).) 
Persons in those categories who meet the requirements of this section 
may qualify to seek judicial review by filing a petition for 
reconsideration.
    (n) Without special order of the Commission, the filing of a 
petition for reconsideration shall not excuse any person from complying 
with or obeying any decision, order, or requirement of the Commission, 
or operate in any manner to stay or postpone the enforcement thereof. 
However, upon good cause shown, the Commission will stay the 
effectiveness of its order or requirement pending a decision on the 
petition for reconsideration. (This paragraph applies only to actions of 
the Commission en banc. For provisions applicable to actions under 
delegated authority, see Sec. 1.102.)
    (o) Petitions for reconsideration of licensing actions, as well as 
oppositions and replies thereto, that are filed with respect to the 
Wireless Radio Services, may be filed electronically via ULS.

(Secs. 4, 303, 307, 405, 48 Stat., as amended, 1066, 1082, 1083, 1095; 
47 U.S.C. 154, 303, 307, 405)

[28 FR 12415, Nov. 22, 1963, as amended at 37 FR 7507, Apr. 15, 1972; 41 
FR 1287, Jan. 7, 1976; 44 FR 60294, Oct. 19, 1979; 46 FR 18556, Mar. 25, 
1981; 62 FR 4170, Jan. 29, 1997; 63 FR 68920, Dec. 14, 1998]



Sec. 1.108  Reconsideration on Commission's own motion.

    The Commission may, on its own motion, set aside any action made or 
taken by it within 30 days from the date of public notice of such 
action, as that date is defined in Sec. 1.4(b) of these rules.

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 
154, 303, 307)

[28 FR 12415, Nov. 22, 1963, as amended at 46 FR 18556, Mar. 25, 1981]



Sec. 1.110  Partial grants; rejection and designation for hearing.

    Where the Commission without a hearing grants any application in 
part, or with any privileges, terms, or conditions other than those 
requested, or subject to any interference that may

[[Page 135]]

result to a station if designated application or applications are 
subsequently granted, the action of the Commission shall be considered 
as a grant of such application unless the applicant shall, within 30 
days from the date on which such grant is made or from its effective 
date if a later date is specified, file with the Commission a written 
request rejecting the grant as made. Upon receipt of such request, the 
Commission will vacate its original action upon the application and set 
the application for hearing in the same manner as other applications are 
set for hearing.



Sec. 1.113  Action modified or set aside by person, panel, or board.

    (a) Within 30 days after public notice has been given of any action 
taken pursuant to delegated authority, the person, panel, or board 
taking the action may modify or set it aside on its own motion.
    (b) Within 60 days after notice of any sanction imposed under 
delegated authority has been served on the person affected, the person, 
panel, or board which imposed the sanction may modify or set it aside on 
its own motion.
    (c) Petitions for reconsideration and applications for review shall 
be directed to the actions as thus modified, and the time for filing 
such pleadings shall be computed from the date upon which public notice 
of the modified action is given or notice of the modified sanction is 
served on the person affected.



Sec. 1.115  Application for review of action taken pursuant to delegated authority.

    (a) Any person aggrieved by any action taken pursuant to delegated 
authority may file an application requesting review of that action by 
the Commission. Any person filing an application for review who has not 
previously participated in the proceeding shall include with his 
application a statement describing with particularity the manner in 
which he is aggrieved by the action taken and showing good reason why it 
was not possible for him to participate in the earlier stages of the 
proceeding. Any application for review which fails to make an adequate 
showing in this respect will be dismissed.
    (b)(1) The application for review shall concisely and plainly state 
the questions presented for review with reference, where appropriate, to 
the findings of fact or conclusions of law.
    (2) Except as provided in paragraph (b)(5) of this section, the 
application for review shall specify with particularity, from among the 
following, the factor(s) which warrant Commission consideration of the 
questions presented:
    (i) The action taken pursuant to delegated authority is in conflict 
with statute, regulation, case precedent, or established Commission 
policy.
    (ii) The action involves a question of law or policy which has not 
previously been resolved by the Commission.
    (iii) The action involves application of a precedent or policy which 
should be overturned or revised.
    (iv) An erroneous finding as to an important or material question of 
fact.
    (v) Prejudicial procedural error.
    (3) The application for review shall state with particularity the 
respects in which the action taken by the designated authority should be 
changed.
    (4) The application for review shall state the form of relief sought 
and, subject to this requirement, may contain alternative requests.
    (c) No application for review will be granted if it relies on 
questions of fact or law upon which the designated authority has been 
afforded no opportunity to pass.

    Note: Subject to the requirements of Sec. 1.106, new questions of 
fact or law may be presented to the designated authority in a petition 
for reconsideration.

    (d) Except as provided in paragraph (e) of this section, the 
application for review and any supplemental thereto shall be filed 
within 30 days of public notice of such action, as that date is defined 
in section 1.4(b). Opposition to the application shall be filed within 
15 days after the application for review is filed. Except as provided in 
paragraph (e)(3) of this section, replies to oppositions shall be filed 
within 10 days after the opposition is filed and shall be limited to 
matters raised in the opposition.

[[Page 136]]

    (e)(1) Applications for review of interlocutory rulings made by the 
Chief Administrative Law Judge (see Sec. 0.351) shall be deferred until 
the time when exceptions are filed unless the Chief Judge certifies the 
matter to the Commission for review. A matter shall be certified to the 
Commission only if the Chief Judge determines that it presents a new or 
novel question of law or policy and that the ruling is such that error 
would be likely to require remand should the appeal be deferred and 
raised as an exception. The request to certify the matter to the 
Commission shall be filed within 5 days after the ruling is made. The 
applicaton for review shall be filed within 5 days after the order 
certifying the matter to the Commission is released or such ruling is 
made. Oppositions shall be filed within 5 days after the application is 
filed. Replies to oppositions shall be filed only if they are requested 
by the Commission. Replies (if allowed) shall be filed within 5 days 
after they are requested. A ruling certifying or not certifying a matter 
to the Commission is final: Provided, however, That the Commission may, 
on its own motion, dismiss the application for review on the ground that 
objections to the ruling should be deferred and raised as an exception.
    (2) The failure to file an application for review of an 
interlocutory ruling made by the Chief Administrative Law Judge or the 
denial of such application by the Commission, shall not preclude any 
party entitled to file exceptions to the initial decision from 
requesting review of the ruling at the time when exceptions are filed. 
Such requests will be considered in the same manner as exceptions are 
considered.
    (3) Applications for review of a hearing designation order issued 
under delegated authority shall be deferred until exceptions to the 
initial decision in the case are filed, unless the presiding 
Administrative Law Judge certifies such an application for review to the 
Commission. A matter shall be certified to the Commission only if the 
presiding Administrative Law Judge determines that the matter involves a 
controlling question of law as to which there is substantial ground for 
difference of opinion and that immediate consideration of the question 
would materially expedite the ultimate resolution of the litigation. A 
ruling refusing to certify a matter to the Commission is not appealable. 
In addition, the Commission may dismiss, without stating reasons, an 
application for review that has been certified, and direct that the 
objections to the hearing designation order be deferred and raised when 
exceptions in the initial decision in the case are filed. A request to 
certify a matter to the Commission shall be filed with the presiding 
Administrative Law Judge within 5 days after the designation order is 
released. Any application for review authorized by the Administrative 
Law Judge shall be filed within 5 days after the order certifying the 
matter to the Commission is released or such a ruling is made. 
Oppositions shall be filed within 5 days after the application for 
review is filed. Replies to oppositions shall be filed only if they are 
requested by the Commission. Replies (if allowed) shall be filed within 
5 days after they are requested.
    (4) Applications for review of final staff decisions issued on 
delegated authority in formal complaint proceedings on the Common 
Carrier Bureau's Accelerated Docket (see, e.g., Sec. 1.730) shall be 
filed within 15 days of public notice of the decision, as that date is 
defined in Sec. 1.4(b). These applications for review, oppositions and 
replies in Accelerated Docket proceedings shall be served on parties to 
the proceeding by hand or facsimile transmission.
    (f) Applications for review, oppositions, and replies shall conform 
to the requirements of Secs. 1.49, 1.51, and 1.52, and shall be 
submitted to the Secretary, Federal Communications Commission, 
Washington, DC 20554. Except as provided below, applications for review 
and oppositions thereto shall not exceed 25 double-space typewritten 
pages. Applications for review of interlocutory actions in hearing 
proceedings (including designation orders) and oppositions thereto shall 
not exceed 5 double-spaced typewritten pages. When permitted (see 
paragraph (e)(3) of this section), reply pleadings shall not exceed 5 
double-spaced typewritten pages. The application for review shall be

[[Page 137]]

served upon the parties to the proceeding. Oppositions to the 
application for review shall be served on the person seeking review and 
on parties to the proceeding. When permitted (see paragraph (e)(3) of 
this section), replies to the opposition(s) to the application for 
review shall be served on the person(s) opposing the application for 
review and on parties to the proceeding.
    (g) The Commission may grant the application for review in whole or 
in part, or it may deny the application with or without specifying 
reasons therefor. A petition requesting reconsideration of a ruling 
which denies an application for review will be entertained only if one 
or more of the following circumstances is present:
    (1) The petition relies on facts which related to events which have 
occurred or circumstances which have changed since the last opportunity 
to present such matters; or
    (2) The petition relies on facts unknown to petitioner until after 
his last opportunity to present such matters which could not, through 
the exercise of ordinary diligence, have been learned prior to such 
opportunity.
    (h)(1) If the Commission grants the application for review in whole 
or in part, it may, in its decision:
    (i) Simultaneously reverse or modify the order from which review is 
sought;
    (ii) Remand the matter to the designated authority for 
reconsideration in accordance with its instructions, and, if an 
evidentiary hearing has been held, the remand may be to the person(s) 
who conducted the hearing; or
    (iii) Order such other proceedings, including briefs and oral 
argument, as may be necessary or appropriate.
    (2) In the event the Commission orders further proceedings, it may 
stay the effect of the order from which review is sought. (See 
Sec. 1.102.) Following the completion of such further proceedings the 
Commission may affirm, reverse or modify the order from which review is 
sought, or it may set aside the order and remand the matter to the 
designated authority for reconsideration in accordance with its 
instructions. If an evidentiary hearing has been held, the Commission 
may remand the matter to the person(s) who conducted the hearing for 
rehearing on such issues and in accordance with such instructions as may 
be appropriate.

    Note: For purposes of this section, the word ``order'' refers to 
that portion of its action wherein the Commission announces its 
judgment. This should be distinguished from the ``memorandum opinion'' 
or other material which often accompany and explain the order.

    (i) An order of the Commission which reverses or modifies the action 
taken pursuant to delegated authority is subject to the same provisions 
with respect to reconsideration as an original order of the Commission. 
In no event, however, shall a ruling which denies an application for 
review be considered a modification of the action taken pursuant to 
delegated authority.
    (j) No evidence other than newly discovered evidence, evidence which 
has become available only since the original taking of evidence, or 
evidence which the Commission believes should have been taken in the 
original proceeding shall be taken on any rehearing ordered pursuant to 
the provisions of this section.
    (k) The filing of an application for review shall be a condition 
precedent to judicial review of any action taken pursuant to delegated 
authority.

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 
154, 303, 307)

[28 FR 12415, Nov. 22, 1963, as amended at 41 FR 14871, Apr. 8, 1976; 44 
FR 60295, Oct. 19, 1979; 46 FR 18556, Mar. 25, 1981; 48 FR 12719, Mar. 
28, 1983; 50 FR 39000, Sept. 26, 1985; 54 FR 40392, Oct. 2, 1989; 55 FR 
36641, Sept. 6, 1990; 57 FR 19387, May 6, 1992; 62 FR 4170, Jan. 29, 
1997; 63 FR 41446, Aug. 4, 1998]



Sec. 1.117  Review on motion of the Commission.

    (a) Within 40 days after public notice is given of any action taken 
pursuant to delegated authority, the Commission may on its own motion 
order the record of the proceeding before it for review.
    (b) If the Commission reviews the proceeding on its own motion, it 
may order such further procedure as may be useful to it in its review of 
the action taken pursuant to delegated authority.
    (c) With or without such further procedure, the Commission may 
either affirm, reverse, modify, or set aside the

[[Page 138]]

action taken, or remand the proceeding to the designated authority for 
reconsideration in accordance with its instructions. If an evidentiary 
hearing has been held, the Commission may remand the proceeding to the 
person(s) who conducted the hearing for rehearing on such issues and in 
accordance with such instructions as may be appropriate. An order of the 
Commission which reverses or modifies the action taken pursuant to 
delegated authority, or remands the matter for further proceedings, is 
subject to the same provisions with respect to reconsideration as an 
original action of the Commission.



Sec. 1.120  Protests of grants without hearing.

    (a) The provisions of this section shall not be applicable to any 
application: (1) Filed on or after December 12, 1960; (2) filed before 
December 12, 1960, but substantially amended (as defined in the 
applicable provisions of this chapter) on or after that date; or (3) 
filed before December 12, 1960, and not thereafter substantially 
amended, but with respect to which the rules in this chapter provide an 
opportunity for petitions to deny to be filed under section 309 of the 
Communications Act, as amended. See Secs. 1.580 and 1.962.
    (b) Where any instrument of authorization for a radio station, other 
than a license pursuant to a construction permit, has been granted 
without a hearing, any party in interest may file a protest directed to 
such grant and request a hearing on the application granted. Such 
protest shall be signed by the protestant and subscribed to under oath. 
Such protest must be filed with the Commission within 30 days after 
release of the document containing the full text of such action, or in 
case such a document is not released, after release of a ``Public 
Notice'' announcing the action in question and must separately set 
forth:
    (1) Such allegations of fact as will show the protestant to be a 
party in interest, i.e., a person aggrieved or whose interests are 
adversely affected by the Commission's authorization, protest of which 
is sought. Each such allegation of fact shall be separately stated.
    (2) Facts indicating the reasons why the grant was improperly made 
or would otherwise not be in the public interest. Each such reason shall 
be separately stated, and facts in support thereof shall be specified in 
detail and shall not include general non-specific conclusory arguments 
and allegations.
    (3) The specific issues upon which protestant wishes a hearing to be 
held, which issues must relate directly to a matter specified with 
particularity as part of paragraph (b)(2) of this section.
    (c) Arguments and citations of authority may be set forth in a brief 
accompanying the protest but must be excluded from the protest itself.
    (d) Oppositions to protests and briefs in support thereof shall 
contain all material, including that pertinent to the determination 
referred to in paragraph (i) of this section, deemed appropriate to the 
Commission's resolution of the protest. Such oppositions and supporting 
briefs must be filed within 10 days after the filing of such protest, 
and any replies to such oppositions must be filed within 5 days after 
the filing of the oppositions.
    (e) Protests, oppositions, and replies shall be filed with the 
Commission in original and 14 copies and shall be accompanied by proof 
of service upon the grantee or the protestant, as the case may be, and/
or their respective attorneys.
    (f) The Commission may upon consideration of a protest direct either 
the protestant or grantee or both to submit further statements of fact 
under oath relating to the matters raised in the protest.
    (g) Within 30 days from the date of the filing of the protest, the 
Commission will enter findings as to whether such protest meets the 
requirements set forth in paragraphs (b) (1) and (2) of this section. If 
the Commission finds that one of these requirements is not met, it will 
dismiss the protest. If the Commission finds that these requirements are 
met, it will designate the application in question for hearing. As to 
issues which the Commission believes present no grounds for setting 
aside the grant, even if the facts alleged were to be proven, the 
Commission may designate such issues for oral argument

[[Page 139]]

only. The other issues will be designated for evidentiary hearing except 
that the Commission may redraft the issues in accordance with the facts 
or substantive matters alleged in the protest and may also specify such 
additional issues as it deems desirable. In any evidentiary hearing 
subsequently held upon issues specified by the Commission, upon its own 
initiative or adopted by it, both the burden of proceeding with the 
introduction of evidence and the burden of proof shall be upon the 
grantee. With respect to issues resulting from facts set forth in the 
protest and not adopted or specified by the Commission on its own 
motion, both the burden of proceeding with the introduction of evidence 
and the burden of proof shall be upon the protestant.
    (h) The procedure in such protest hearing shall be governed by the 
provisions of subpart B of this part, except as otherwise provided in 
this section.
    (i) Pending hearing and decision, the effective date of the 
Commission's action to which protest is made shall be postponed to the 
effective date of the Commission's decision after hearing, unless the 
authorization involved is necessary to the maintenance or conduct of an 
existing service or unless the Commission affirmatively finds that the 
public interest requires that the grant remain in effect, in which event 
the Commission shall authorize the applicant to utilize the facilities 
or authorization in question pending the Commission's decision after 
hearing.

(Sec. 7, 66 Stat. 715, as amended. See, in particular, sec. 4 (a) and 
(d), 74 Stat. 889, 892; 47 U.S.C. 309)

[28 FR 12415, Nov. 22, 1963, as amended at 28 FR 14503, Dec. 31, 1963]



                     Subpart B--Hearing Proceedings

    Source: 28 FR 12425, Nov. 22, 1963, unless otherwise noted.

                                 General



Sec. 1.201  Scope.

    This subpart shall be applicable to the following cases which have 
been designated for hearing:
    (a) Adjudication (as defined by the Administrative Procedure Act); 
and
    (b) Rule making proceedings which are required by law to be made on 
the record after opportunity for a Commission hearing.

    Note: For special provisions relating to AM broadcast station 
applications involving other North American countries see Sec. 73.3570.

[28 FR 12425, Nov. 22, 1963, as amended at 51 FR 32088, Sept. 9, 1986]



Sec. 1.202  Official reporter; transcript.

    The Commission will designate from time to time an official reporter 
for the recording and transcribing of hearing proceedings. The 
transcript of the testimony taken, or argument had, at any hearing will 
not be furnished by the Commission, but will be open to inspection under 
Sec. 0.453(a)(1) of this chapter. Copies of such transcript, if desired, 
may be obtained from the official reporter upon payment of the charges 
therefor.

(5 U.S.C. 556)

[32 FR 20861, Dec. 28, 1967]



Sec. 1.203  The record.

    The transcript of testimony and exhibits, together with all papers 
and requests filed in the proceeding, shall constitute the exclusive 
record for decision. Where any decision rests on official notice of a 
material fact not appearing in the record, any party shall on timely 
request be afforded an opportunity to show the contrary.

(5 U.S.C. 556)



Sec. 1.204  Pleadings; definition.

    As used in this subpart, the term pleading means any written notice, 
motion, petition, request, opposition, reply, brief, proposed findings, 
exceptions, memorandum of law, or other paper filed with the Commission 
in a hearing proceeding. It does not include exhibits or documents 
offered in evidence. See Sec. 1.356.

[29 FR 8219, June 30, 1964]



Sec. 1.205  Continuances and extensions.

    Continuances of any proceeding or hearing and extensions of time for 
making any filing or performing any act required or allowed to be done 
within a specified time may be granted

[[Page 140]]

by the Commission or the presiding officer upon motion for good cause 
shown, unless the time for performance or filing is limited by statute.



Sec. 1.207  Interlocutory matters, reconsideration and review; cross references.

    (a) Rules governing interlocutory pleadings in hearing proceedings 
are set forth in Secs. 1.291 through 1.298.
    (b) Rules governing appeal from rulings made by the presiding 
officer are set forth as Secs. 1.301 and 1.302.
    (c) Rules governing the reconsideration and review of actions taken 
pursuant to delegated authority, and the reconsideration of actions 
taken by the Commission, are set forth in Secs. 1.101 through 1.120.

[28 FR 12425, Nov. 22, 1963, as amended at 29 FR 6443, May 16, 1964; 36 
FR 19439, Oct. 6, 1971]



Sec. 1.209  Identification of responsible officer in caption to pleading.

    Each pleading filed in a hearing proceeding shall indicate in its 
caption whether it is to be acted upon by the Commission, the Chief 
Administrative Law Judge, or the presiding officer. If it is to be acted 
upon by the presiding officer, he shall be identified by name.

[29 FR 8219, June 30, 1964, as amended at 37 FR 19372, Sept. 20, 1972; 
62 FR 4171, Jan. 29, 1997]



Sec. 1.211  Service.

    Except as otherwise expressly provided in this chapter, all 
pleadings filed in a hearing proceeding shall be served upon all other 
counsel in the proceeding or, if a party is not represented by counsel, 
then upon such party. All such papers shall be accompanied by proof of 
service. For provisions governing the manner of service, see Sec. 1.47.

[29 FR 8219, June 30, 1964]

                         Participants and Issues



Sec. 1.221  Notice of hearing; appearances.

    (a) Upon designation of an application for hearing, the Commission 
issues an order containing the following:
    (1) A statement as to the reasons for the Commission's action.
    (2) A statement as to the matters of fact and law involved, and the 
issues upon which the application will be heard.
    (3) A statement as to the time, place, and nature of the hearing. 
(If the time and place are not specified, the order will indicate that 
the time and place will be specified at a later date.)
    (4) A statement as to the legal authority and jurisdiction under 
which the hearing is to be held.
    (b) The order designating an application for hearing is mailed to 
the applicant by the Reference Operations Division of the Consumer 
Information Bureau and this order or a summary thereof is published in 
the Federal Register. Reasonable notice of hearing will be given to the 
parties in all proceedings; and, whenever possible, the Commission will 
give at least 60 days notice of comparative hearings.
    (c) In order to avail himself of the opportunity to be heard, the 
applicant, in person or by his attorney, shall, within 20 days of the 
mailing of the notice of designation for hearing by the Reference 
Information Division of the Consumer Information Bureau, file with the 
Commission, in triplicate, a written appearance stating that he will 
appear of the date fixed for hearing and present evidence on the issues 
specified in the order. Where an applicant fails to file such a written 
appearance within the time specified, or has not filed prior to the 
expiration of that time a petition to dismiss without prejudice, or a 
petition to accept, for good cause shown, such written appearance beyond 
expiration of said 20 days, the application will be dismissed with 
prejudice for failure to prosecute.
    (d) The Commission will on its own motion name as parties to the 
hearing any person found to be a party in interest.
    (e) In order to avail himself of the opportunity to be heard, any 
person named as a party pursuant to paragraph (d) of this section shall, 
within 20 days of the mailing of the notice of his designation as a 
party, file with the Commission, in person or by attorney, a written 
appearance in triplicate, stating that he will appear at the hearing. 
Any person so named who fails to file this written statement within the

[[Page 141]]

time specified, shall, unless good cause for such failure is shown, 
forfeit his hearing rights.
    (f) A fee must accompany each written appearance filed with the 
Commission in certain cases designated for hearing. See subpart G, part 
1 for the amount due. Except as provided in paragraph (g) of this 
section, the fee must accompany each written appearance at the time of 
its filing and must be in conformance with the requirements of subpart G 
of the rules. A written appearance that does not contain the proper fee, 
or is not accompanied by a deferral request as per Sec. 1.1115 of the 
rules, shall be dismissed and returned to the applicant by the fee 
processing staff. The presiding judge will be notified of this action 
and may dismiss the applicant with prejudice for failure to prosecute if 
the written appearance is not resubmitted with the correct fee within 
the original 20 day filing period.

    Note: If the parties file a settlement agreement prior to filing the 
Notice of Appearance or simultaneously with it, the hearing fee need not 
accompany the Notice of Appearance. In filing the Notice of Appearance, 
the applicant should clearly indicate that a settlement agreement has 
been filed. (The fact that there are ongoing negotiations that may lead 
to a settlement does not affect the requirement to pay the fee.) If a 
settlement agreement is not effectuated, the Presiding Judge will 
require immediate payment of the fee.

    (g) In comparative broadcast proceedings involving applicants for 
new facilities, where the hearing fee was paid before designation of the 
applications for hearing as required by the Public Notice described at 
Sec. 73.3571(c), Sec. 73.3572(d), or Sec. 73.3573(g) of this chapter, a 
hearing fee payment should not be made with the filing of the Notice of 
Appearance.

(5 U.S.C. 554. Sec. 309, 48 Stat. 1085, as amended; 47 U.S.C. 309)

[28 12424, Nov. 22, 1963, as amended at 51 FR 19347, May 29, 1986; 52 FR 
5288, Feb. 20, 1987; 55 FR 19154, May 8, 1990; 56 FR 25638, June 5, 
1991; 64 FR 60725, Nov. 8, 1999]



Sec. 1.223  Petitions to intervene.

    (a) Where, in cases involving applications for construction permits 
and station licenses, or modifications or renewals thereof, the 
Commission has failed to notify and name as a party to the hearing any 
person who qualifies as a party in interest, such person may acquire the 
status of a party by filing, under oath and not more than 30 days after 
the publication in the Federal Register of the hearing issues or any 
substantial amendment thereto, a petition for intervention showing the 
basis of its interest. Where such person's interest is based upon a 
claim that a grant of the application would cause objectionable 
interference under applicable provisions of this chapter to such person 
as a licensee or permittee of an existing or authorized station, the 
petition to intervene must be accompanied by an affidavit of a qualified 
radio engineer which shall show, either by following the procedures 
prescribed in this chapter for determining interference in the absence 
of measurements or by actual measurements made in accordance with the 
methods prescribed in this chapter, the extent of such interference. 
Where the person's status as a party in interest is established, the 
petition to intervene will be granted.
    (b) Any other person desiring to participate as a party in any 
hearing may file a petition for leave to intervene not later than 30 
days after the publication in the Federal Register of the full text or a 
summary of the order designating an application for hearing or any 
substantial amendment thereto. The petition must set forth the interest 
of petitioner in the proceedings, must show how such petitioner's 
participation will assist the Commission in the determination of the 
issues in question, must set forth any proposed issues in addition to 
those already designated for hearing, and must be accompanied by the 
affidavit of a person with knowledge as to the facts set forth in the 
petition. The presiding officer, in his discretion, may grant or deny 
such petition or may permit intervention by such persons limited to a 
particular stage of the proceeding.
    (c) Any person desiring to file a petition for leave to intervene 
later than 30 days after the publication in the Federal Register of the 
full text or a summary of the order designating an application for 
hearing or any substantial amendment thereto shall set forth

[[Page 142]]

the interest of petitioner in the proceeding, show how such petitioner's 
participation will assist the Commission in the determination of the 
issues in question, must set forth any proposed issues in addition to 
those already designated for hearing, and must set forth reasons why it 
was not possible to file a petition within the time prescribed by 
paragraphs (a) and (b) of this section. Such petition shall be 
accompanied by the affidavit of a person with knowledge of the facts set 
forth in the petition, and where petitioner claims that a grant of the 
application would cause objectionable interference under applicable 
provisions of this chapter, the petition to intervene must be 
accompanied by the affidavit of a qualified radio engineer showing the 
extent of such alleged interference according to the methods prescribed 
in paragraph (a) of this section. If, in the opinion of the presiding 
officer, good cause is shown for the delay in filing, he may in his 
discretion grant such petition or may permit intervention limited to 
particular issues or to a particular stage of the proceeding.

(Sec. 309, 48 Stat. 1085, as amended; 47 U.S.C. 309)

[28 FR 12425, Nov. 22, 1963, as amended at 29 FR 7821, June 19, 1964; 41 
FR 14872, Apr. 8, 1976; 51 FR 19347, May 29, 1986]



Sec. 1.224  Motion to proceed in forma pauperis.

    (a) A motion to proceed in forma pauperis may be filed by an 
individual, a corporation, and unincorporated entity, an association or 
other similar group, if the moving party is either of the following:
    (1) A respondent in a revocation proceeding, or a renewal applicant, 
who cannot carry on his livelihood without the radio license at stake in 
the proceeding; or
    (2) An intervenor in a hearing proceeding who is in a position to 
introduce testimony which is of probable decisional significance, on a 
matter of substantial public interest importance, which cannot, or 
apparently will not, be introduced by other parties to the proceeding, 
and who is not seeking personal financial gain.
    (b) In the case of a licensee, the motion to proceed in forma 
pauperis shall contain specific allegations of fact sufficient to show 
that the moving party is eligible under paragraph (a) of this section 
and that he cannot, because of his poverty, pay the expenses of 
litigation and still be able to provide himself and his dependents with 
the necessities of life. Such allegations of fact shall be supported by 
affidavit of a person or persons with personal knowledge thereof. The 
information submitted shall detail the income and assets of the 
individual and his financial obligations and responsibilities, and shall 
contain an estimate of the cost of participation in the proceeding. 
Personal financial information may be submitted to the presiding officer 
in confidence.
    (c)(1) In the case of an individual intervenor, the motion to 
proceed in forma pauperis shall contain specific allegations of fact 
sufficient to show that he is eligible under paragraph (a) of this 
section and that he has dedicated financial resources to sustain his 
participation which are reasonable in light of his personal resources 
and other demands upon them but are inadequate for effective 
participation in the proceeding. Such allegations of fact shall be 
supported by affidavit of a person or persons with personal knowledge 
thereof. The information submitted shall detail the income and assets of 
the individual and his immediate family and his financial obligations 
and responsibilities, and shall contain an estimate of the cost of 
participation. Personal financial information may be submitted to the 
presiding officer in confidence.
    (2) In the case of an intervening group, the motion to proceed in 
forma pauperis shall contain specific allegations of fact sufficient to 
show that the moving party is eligible under paragraph (a) of this 
section and that it cannot pay the expenses of litigation and still be 
able to carry out the activities and purposes for which it was 
organized. Such allegations of fact shall be supported by affidavit of 
the President and Treasurer of the group, and/or by other persons having 
personal knowledge thereof. The information submitted shall include a 
copy of the corporate charter or other documents that describe the 
activities and purposes of the organization; a current

[[Page 143]]

balance sheet and profit and loss statement; facts showing, under all 
the circumstances, that it would not be reasonable to expect added 
resources of individuals composing the group to be pooled to meet the 
expenses of participating in the proceeding; and an estimate of the cost 
of participation. Personal financial information pertaining to members 
of the group may be submitted to the presiding officer in confidence.
    (d) If the motion is granted, the presiding officer may direct that 
a free copy of the transcript of testimony be made available to the 
moving party and may relax the rules of procedure in any manner which 
will ease his financial burden, is fair to other parties to the 
proceeding, and does not involve the payment of appropriated funds to a 
party.

[41 FR 53021, Dec. 3, 1976]



Sec. 1.225  Participation by non-parties; consideration of communications.

    (a) Any person who wishes to appear and give evidence on any matter 
and who so advises the Secretary, will be notified by the Secretary if 
that matter is designated for hearing. In the case of requests bearing 
more than one signature, notice of hearing will be given to the person 
first signing unless the request indicates that such notice should be 
sent to someone other than such person.
    (b) No person shall be precluded from giving any relevant, material, 
and competent testimony at a hearing because he lacks a sufficient 
interest to justify his intervention as a party in the matter.
    (c) When a hearing is held, no communication will be considered in 
determining the merits of any matter unless it has been received into 
evidence. The admissibility of any communication shall be governed by 
the applicable rules of evidence, and no communication shall be 
admissible on the basis of a stipulation unless Commission counsel as 
well as counsel for all of the parties shall join in such stipulation.



Sec. 1.227  Consolidations.

    (a) The Commission, upon motion or upon its own motion, will, where 
such action will best conduce to the proper dispatch of business and to 
the ends of justice, consolidate for hearing:
    (1) Any cases which involve the same applicant or involve 
substantially the same issues, or
    (2) Any applications which present conflicting claims, except where 
a random selection process is used.
    (b)(1) In broadcast cases, except as provided in paragraph (b)(5) of 
this section, and except as otherwise provided in Sec. 1.1601, et seq., 
no application will be consolidated for hearing with a previously filed 
application or applications unless such application, or such application 
as amended, if amended so as to require a new file number, is 
substantially complete and tendered for filing by the close of business 
on the day preceding the day designated by Public Notice as the day any 
one of the previously filed applications is available and ready for 
processing.
    (2) In other than broadcast, common carrier, and safety and special 
radio services cases, any application that is mutually exclusive with 
another application or applications already designated for hearing will 
be consolidated for hearing with such other application or applications 
only if the later application in question has been filed within 5 days 
after public notice has been given in the Federal Register of the 
Commission's order which first designated for hearing the prior 
application or applications with which such application is in conflict.
    (3) Common carrier cases: (i) General rule. Where an application is 
mutually exclusive with a previously filed application, the second 
application will be entitled to comparative consideration with the first 
or entitled to be included in a random selection process, only if the 
second has been properly filed at least one day before the Commission 
takes action on the first application. Specifically, the later filed 
application must have been received by the Commission, in a condition 
acceptable for filing, before the close of business on the day prior to 
the grant date or designation date of the earlier filed application.
    (ii) Domestic public fixed and public mobile. See Rule Secs. 21.31 
and 22.31 for the requirements as to mutually exclusive applications. 
See also Rule Secs. 21.23 and

[[Page 144]]

22.23 for the requirements as to amendments of applications.
    (iii) Public coast stations (Maritime mobile service). See paragraph 
(b)(4) of this section.
    (4) This paragraph applies when mutually-exclusive applications 
subject to section 309(b) of the Communications Act are filed in the 
Private Radio Services or when there are more such applications for 
initial licenses than can be accommodated on available frequencies. In 
such cases, the applications either will be consolidated for hearing or 
designated for random selection (see Sec. 1.972 of this part). An 
application which is substantially amended (as defined by Sec. 1.962(c) 
of this part) will, for the purpose of this section, be considered to be 
a newly-filed application as of the receipt date of the amendment. 
Except for applications filed under part 94, Private Operational Fixed 
Microwave Service, mutual exclusivity will occur if the later 
application or applications are received by the Commission's offices in 
Gettysburg, PA (or Pittsburgh, PA for applications requiring the fees 
set forth at part 1, subpart G of the rules) in a condition acceptable 
for filing within 30 days after the release date of public notice 
listing the first prior filed application (with which subsequent 
applications are in conflict) as having been accepted for filing or 
within such other period as specified by the Commission. For 
applications in the Private Operational Fixed Microwave Service, mutual 
exclusivity will occur if two or more acceptable applications that are 
in conflict are filed on the same day.
    (5) Any mutually exclusive application filed after the date 
prescribed in paragraph (b)(1), (b)(2), (b)(3), or (b)(4) of this 
section will be dismissed without prejudice and will be eligible for 
refiling only after a final decision is rendered by the Commission with 
respect to the prior application or applications or after such 
application or applications are dismissed or removed from the hearing 
docket.
    (6) An application which is mutually exclusive with an application 
for renewal of license of a broadcast station filed on or before May 1, 
1995 will be designated for comparative hearing with such license 
renewal application if it is substantially complete and tendered for 
filing no later than the date prescribed in Sec. 73.3516(e).

[28 FR 12425, Nov. 22, 1963, as amended at 34 FR 7966, May 21, 1969; 37 
FR 13983, July 15, 1972; 38 FR 26202, Sept. 19, 1973; 48 FR 27200, June 
13, 1983; 48 FR 34039, July 27, 1983; 52 FR 10229, Mar. 31, 1987; 55 FR 
46008, Oct. 31, 1990; 55 FR 46513, Nov. 5, 1990; 61 FR 18291, Apr. 25, 
1996]



Sec. 1.229  Motions to enlarge, change, or delete issues.

    (a) A motion to enlarge, change or delete the issues may be filed by 
any party to a hearing. Except as provided for in paragraph (b) of this 
section, such motions must be filed within 15 days after the full text 
or a summary of the order designating the case for hearing has been 
published in the Federal Register.
    (b)(1) In comparative broadcast proceedings involving applicants for 
only new facilities, such motions shall be filed within 30 days of the 
release of the designation order, except that persons not named as 
parties to the proceeding in the designation order may file such motions 
with their petitions to intervene up to 30 days after publication of the 
full text or a summary of the designation order in the Federal Register. 
(See Sec. 1.223 of this part).
    (2) In comparative broadcast proceedings involving renewal 
applicants, such motions shall be filed within 30 days after publication 
of the full text or a summary of the designation order in the Federal 
Register.
    (3) Any person desiring to file a motion to modify the issues after 
the expiration of periods specified in paragraphs (a), (b)(1), and 
(b)(2), of this section, shall set forth the reason why it was not 
possible to file the motion within the prescribed period. Except as 
provided in paragraph (c) of this section, the motion will be granted 
only if good cause is shown for the delay in filing. Motions for 
modifications of issues which are based on new facts or newly discovered 
facts shall be filed within 15 days after such facts are discovered by 
the moving party.
    (c) In the absence of good cause for late filing of a motion to 
modify the issues, the motion to enlarge will be considered fully on its 
merits if (and

[[Page 145]]

only if) initial examination of the motion demonstrates that it raises a 
question of probable decisional significance and such substantial public 
interest importance as to warrant consideration in spite of its untimely 
filing.
    (d) Such motions, opposition thereto, and replies to oppositions 
shall contain specific allegations of fact sufficient to support the 
action requested. Such allegations of fact, except for those of which 
official notice may be taken, shall be supported by affidavits of a 
person or persons having personal knowledge thereof. The failure to file 
an opposition or a reply will not necessarily be construed as an 
admission of any fact or argument contained in a pleading.
    (e) In comparative broadcast proceedings involving applicants for 
only new facilities, in addition to the showing with respect to the 
requested issue modification described in paragraph (d) of this section, 
the party requesting the enlargement of issues against an applicant in 
the proceeding shall identify those documents the moving party wishes to 
have produced and any other discovery procedures the moving party wishes 
to employ in the event the requested issue is added to the proceeding.
    (1) In the event the motion to enlarge issues is granted, the 
Commission or delegated authority acting on the motion will also rule on 
the additional discovery requests, and, if granted, such additional 
discovery will be scheduled to be completed within 30 days of the action 
on the motion.
    (2) The moving party may file supplemental discovery requests on the 
basis of information provided in responsive pleadings or discovered as a 
result of initial discovery on the enlarged issue. The grant or denial 
of any such supplemental requests and the timing of the completion of 
such supplemental discovery are subject to the discretion of the 
presiding judge.
    (3) The 30-day time limit for completion of discovery on enlarged 
issues shall not apply where the persons subject to such additional 
discovery are not parties to the proceeding. In such case, additional 
time will be required to afford such persons adequate notice of the 
discovery procedures being employed.
    (f) In any case in which the presiding judge or the Commission 
grants a motion to enlarge the issues to inquire into allegations that 
an applicant made misrepresentations to the Commission or engaged in 
other misconduct during the application process, the enlarged issues 
include notice that, after hearings on the enlarged issue and upon a 
finding that the alleged misconduct occurred and warrants such penalty, 
in addition to or in lieu of denying the application, the applicant may 
be liable for a forfeiture of up to the maximum statutory amount. See 47 
U.S.C. 503(b)(2)(A).

[41 FR 14872, Apr. 8, 1976, as amended at 44 FR 34947, June 18, 1979; 51 
FR 19347, May 29, 1986; 56 FR 792, Jan. 9, 1991; 56 FR 25639, June 5, 
1991; 62 FR 4171, Jan. 29, 1997]

                            Presiding Officer



Sec. 1.241  Designation of presiding officer.

    (a) Hearings will be conducted by the Commission, by one or more 
commissioners, or by a law judge designated pursuant to section 11 of 
the Administrative Procedure Act. If a presiding officer becomes 
unavailable to the Commission prior to the taking of testimony another 
presiding officer will be designated.
    (b) Unless the Commission determines that due and timely execution 
of its functions requires otherwise, presiding officers shall be 
designated, and notice thereof released to the public, at least 10 days 
prior to the date set for hearing.

(5 U.S.C. 556)



Sec. 1.243  Authority of presiding officer.

    From the time he is designated to preside until issuance of his 
decision or the transfer of the proceeding to the Commission or to 
another presiding officer the presiding officer shall have such 
authority as is vested in him by law and by the provisions of this 
chapter, including authority to:
    (a) Administer oaths and affirmations;
    (b) Issue subpenas;
    (c) Examine witnesses;
    (d) Rule upon questions of evidence;

[[Page 146]]

    (e) Take or cause depositions to be taken;
    (f) Regulate the course of the hearing, maintain decorum, and 
exclude from the hearing any person engaging in contemptuous conduct or 
otherwise disrupting the proceedings;
    (g) Require the filing of memoranda of law and the presentation of 
oral argument with respect to any question of law upon which he is 
required to rule during the course of the hearing;
    (h) Hold conferences for the settlement or simplification of the 
issues by consent of the parties;
    (i) Dispose of procedural requests or similar matters, as provided 
for in Sec. 0.341 of this chapter;
    (j) Take actions and make decisions in conformity with the 
Administrative Procedure Act;
    (k) Act on motions to enlarge, modify or delete the hearing issues; 
and
    (l) Act on motions to proceed in forma pauperis pursuant to 
Sec. 1.224.

(5 U.S.C. 556)

[28 FR 12425, Nov. 22, 1963, as amended at 41 FR 53022, Dec. 3, 1976]



Sec. 1.244  Designation of a settlement judge.

    (a) In broadcast comparative cases involving applicants for only new 
facilities, the applicants may request the appointment of a settlement 
judge to facilitate the resolution of the case by settlement.
    (b) Where all applicants in the case agree that such procedures may 
be beneficial, such requests may be filed with the presiding judge no 
later than 15 days prior to the date scheduled by the presiding judge 
for the commencement of hearings. The presiding judge shall suspend the 
procedural dates in the case and forward the request to the Chief 
Administrative Law Judge for action.
    (c) If, in the discretion of the Chief Administrative Law Judge, it 
appears that the appointment of a settlement judge will facilitate the 
settlement of the case, the Chief Judge will appoint a ``neutral'' as 
defined in 5 U.S.C. 581 and 583(a) to act as the settlement judge.
    (1) The parties may request the appointment of a settlement judge of 
their own choosing so long as that person is a ``neutral'' as defined in 
5 U.S.C. 581.
    (2) The appointment of a settlement judge in a particular case is 
subject to the approval of all the applicants in the proceeding. See 5 
U.S.C. 583(b).
    (3) The Commission's Administrative Law Judges are eligible to act 
as settlement judges, except that an Administrative Law Judge will not 
be appointed as a settlement judge in any case in which the 
Administrative Law Judge also acts as the presiding officer.
    (4) Other members of the Commission's staff who qualify as neutrals 
may be appointed as settlement judges, except that staff members whose 
duties include drafting, review, and/or recommendations in adjudicatory 
matters pending before the Commission shall not be appointed as 
settlement judges.
    (d) The settlement judge shall have the authority to require 
applicants to submit their Standardized Integration Statements and/or 
their written direct cases for review. The settlement judge may also 
meet with the applicants and/or their counsel, individually and/or at 
joint conferences, to discuss their cases and the cases of their 
competitors. All such meetings will be off-the-record, and the 
settlement judge may express an opinion as to the relative comparative 
standing of the applicants and recommend possible means to resolve the 
proceeding by settlement. The proceedings before the settlement judge 
shall be subject to the confidentiality provisions of 5 U.S.C. 574. 
Moreover, no statements, offers of settlement, representations or 
concessions of the parties or opinions expressed by the settlement judge 
will be admissible as evidence in any Commission licensing proceeding.

[56 FR 793, Jan. 9, 1991, as amended at 62 FR 4171, Jan. 29, 1997]



Sec. 1.245  Disqualification of presiding officer.

    (a) In the event that a presiding officer deems himself disqualified 
and desires to withdraw from the case, he shall notify the Commission of 
his withdrawal at least 7 days prior to the date set for hearing.
    (b) Any party may request the presiding officer to withdraw on the

[[Page 147]]

grounds of personal bias or other disqualification.
    (1) The person seeking disqualification shall file with the 
presiding officer an affidavit setting forth in detail the facts alleged 
to constitute grounds for disqualification. Such affidavit shall be 
filed not later than 5 days before the commencement of the hearing 
unless, for good cause shown, additional time is necessary.
    (2) The presiding officer may file a response to the affidavit; and 
if he believes himself not disqualified, shall so rule and proceed with 
the hearing.
    (3) The person seeking disqualification may appeal a ruling of 
disqualification, and, in that event, shall do so at the time the ruling 
is made. Unless an appeal of the ruling is filed at this time, the right 
to request withdrawal of the presiding officer shall be deemed waived.
    (4) If an appeal of the ruling is filed, the presiding officer shall 
certify the question, together with the affidavit and any response filed 
in connection therewith, to the Commission. The hearing shall be 
suspended pending a ruling on the question by the Commission.
    (5) The Commission may rule on the question without hearing, or it 
may require testimony or argument on the issues raised.
    (6) The affidavit, response, testimony or argument thereon, and the 
Commission's decision shall be part of the record in the case.

(5 U.S.C. 556)

[28 FR 12425, Nov. 22, 1963, as amended at 55 FR 36641, Sept. 6, 1990; 
62 FR 4171, Jan. 29, 1997]

                          Prehearing Procedures



Sec. 1.246  Admission of facts and genuineness of documents.

    (a) Within 20 days after the time for filing a notice of appearance 
has expired; or within 20 days after the release of an order adding 
parties to the proceeding (see Secs. 1.223 and 1.227) or changing the 
issues (see Sec. 1.229); or within such shorter or longer time as the 
presiding officer may allow on motion or notice, a party may serve upon 
any other party a written request for the admission by the latter of the 
genuineness of any relevant documents identified in and exhibited by a 
clear copy with the request or of the truth of any relevant matters of 
fact set forth in the request.
    (b) Each of the matters of which an admission is requested shall be 
deemed admitted unless, within a period designated in the request, not 
less than 10 days after service thereof, or within such shorter or 
longer time as the presiding officer may allow on motion or notice, the 
party to whom the request is directed serves upon the party requesting 
the admission either: (1) A sworn statement denying specifically the 
matters of which an admission is requested or setting forth in detail 
the reasons why he cannot truthfully admit or deny those matters, or (2) 
written objections on the ground that some or all of the requested 
admissions are privileged or irrelevant or that the request is otherwise 
improper in whole or in part. If written objections to a part of the 
request are made, the remainder of the request shall be answered within 
the period designated in the request. A denial shall fairly meet the 
substance of the requested admission, and when good faith requires that 
a party deny only a part or a qualification of a matter of which an 
admission is requested, he shall specify so much of it as is true and 
deny only the remainder.
    (c) A copy of the request and of any answer shall be served by the 
party filing on all other parties to the proceeding and upon the 
presiding officer.
    (d) Written objections to the requested admissions may be ruled upon 
by the presiding officer without additional pleadings.

[33 FR 463, Jan. 12, 1968, as amended at 35 FR 17333, Nov. 11, 1970]



Sec. 1.248  Prehearing conferences; hearing conferences.

    (a) The Commission, on its own initiative or at the request of any 
party, may direct the parties or their attorneys to appear at a 
specified time and place for a conference prior to a hearing, or to 
submit suggestions in writing, for the purpose of considering, among 
other things, the matters set forth in paragraph (c) of this section. 
The initial prehearing conference shall

[[Page 148]]

be scheduled 30 days after the effective date of the order designating a 
case for hearing, unless good cause is shown for scheduling such 
conference at a later date.
    (b)(1) The presiding officer (or the Commission or a panel of 
commissioners in a case over which it presides), on his own initiative 
or at the request of any party, may direct the parties or their 
attorneys to appear at a specified time and place for a conference prior 
to or during the course of a hearing, or to submit suggestions in 
writing, for the purpose of considering any of the matters set forth in 
paragraph (c) of this section. The initial prehearing conference shall 
be scheduled 30 days after the effective date of the order designating a 
case for hearing, unless good cause is shown for scheduling such 
conference at a later date.
    (2) Except as circumstances otherwise require, the presiding officer 
shall allow a reasonable period prior to commencement of the hearing for 
the orderly completion of all prehearing procedures, including 
discovery, and for the submission and disposition of all prehearing 
motions. Where the circumstances so warrant, the presiding officer 
shall, promptly after the hearing is ordered, call a preliminary 
prehearing conference, to inquire into the use of available procedures 
contemplated by the parties and the time required for their completion, 
to formulate a schedule for their completion, and to set a date for 
commencement of the hearing.
    (c) In conferences held, or in suggestions submitted, pursuant to 
paragraphs (a) and (b) of this section, the following matters, among 
others, may be considered:
    (1) The necessity or desirability of simplification, clarification, 
amplification, or limitation of the issues;
    (2) The admission of facts and of the genuineness of documents (see 
Sec. 1.246), and the possibility of stipulating with respect to facts;
    (3) The procedure at the hearing;
    (4) The limitation of the number of witnesses;
    (5) In cases arising under Title II of the Communications Act, the 
necessity or desirability of amending the pleadings and offers of 
settlement or proposals of adjustment; and
    (6) In cases involving comparative broadcast applications:
    (i) Narrowing the issues or the areas of inquiry and proof at the 
hearing;
    (ii) [Reserved]
    (iii) Reports and letters relating to surveys or contacts;
    (iv) Assumptions regarding the availability of equipment;
    (v) Network programming;
    (vi) Assumptions regarding the availability of networks proposed;
    (vii) Offers of letters in general;
    (viii) The method of handling evidence relating to the past 
cooperation of existing stations owned and/or operated by the applicants 
with organizations in the area;
    (ix) Proof of contracts, agreements, or understandings reduced to 
writing;
    (x) Stipulations;
    (xi) Need for depositions;
    (xii) The numbering of exhibits;
    (xiii) The order or offer of proof with relationship to docket 
number;
    (xiv) The date for the formal hearing; and
    (xv) Such other matters as may expedite the conduct of the hearing.
    (7) In proceedings in which consent agreements may be negotiated 
(see Sec. 1.93), the parties shall be prepared to state at the initial 
prehearing conference whether they are at that time willing to enter 
negotiations leading to a consent agreement.
    (d) This paragraph applies to broadcast proceedings only.
    (1) At the prehearing conference prescribed by this section, the 
parties to the proceeding shall be prepared to discuss the advisability 
of reducing any or all phases of their affirmative direct cases to 
written form.
    (2) In hearings involving applications for new, improved and changed 
facilities and in comparative hearings involving only applications for 
new facilities, where it appears that it will contribute significantly 
to the disposition of the proceeding for the parties to submit all or 
any portion of their affirmative direct cases in writing, the presiding 
officer may, in his discretion, require them to do so.
    (3) In other broadcast proceedings, where it appears that it will 
contribute

[[Page 149]]

significantly to the disposition of the proceeding for the parties to 
submit all or any portion of their affirmative direct cases in writing, 
it is the policy of the Commission to encourage them to do so. However, 
the phase or phases of the proceeding to be submitted in writing, the 
dates for the exchange of the written material, and other limitations 
upon the effect of adopting the written case procedure (such as whether 
material ruled out as incompetent may be restored by other competent 
testimony) is to be left to agreement of the parties as approved by the 
presiding officer.
    (4) In broadcast comparative cases involving applicants for only new 
facilities, oral testimony and cross examination will be permitted only 
where, in the discretion of the presiding judge, material issues of 
decisional fact cannot be resolved without oral evidentiary hearing 
procedures or the public interest otherwise requires oral evidentiary 
proceedings.
    (e) An official transcript of all conferences shall be made.
    (f) The presiding officer may, upon the written request of a party 
or parties, approve the use of a speakerphone as a means of attendance 
at a prehearing conference if such use is found to conduce to the proper 
dispatch of business and the ends of justice.

[28 FR 12425, Nov. 22, 1963, as amended at 33 FR 463, Jan. 12, 1968; 36 
FR 14133, July 30, 1971; 37 FR 7507, Apr. 15, 1972; 41 FR 14873, Apr. 8, 
1976; 43 FR 33251, July 31, 1978; 56 FR 793, Jan. 9, 1991]



Sec. 1.249  Prehearing statement.

    Immediately upon convening the formal hearing in any proceeding, the 
presiding officer shall enter upon the record a statement reciting all 
actions taken at the prehearing conferences, and incorporating into the 
record all of the stipulations and agreements of the parties which are 
approved by him, and any special rules which he may deem necessary to 
govern the course of the proceeding.

[28 FR 12425, Nov. 22, 1963. Redesignated at 33 FR 463, Jan. 12, 1968]

                    Hearing and Intermediate Decision



Sec. 1.250  Discovery and preservation of evidence; cross-reference.

    For provisions relating to prehearing discovery and preservation of 
admissible evidence, see Secs. 1.311 through 1.325.

[33 FR 463, Jan. 12, 1968]



Sec. 1.251  Summary decision.

    (a)(1) Any party to an adjudicatory proceeding may move for summary 
decision of all or any of the issues set for hearing. The motion shall 
be filed at least 20 days prior to the date set for commencement of the 
hearing. The party filing the motion may not rest upon mere allegations 
or denials but must show, by affidavit or by other materials subject to 
consideration by the presiding officer, that there is no genuine issue 
of material fact for determination at the hearing.
    (2) With the permission of the presiding officer, or upon his 
invitation, a motion for summary decision may be filed at any time 
before or after the commencement of the hearing. No appeal from an order 
granting or denying a request for permission to file a motion for 
summary decision shall be allowed. If the presiding officer authorizes a 
motion for summary decision after the commencement of the hearing, 
proposed findings of fact and conclusions of law on those issues which 
the moving party believes can be resolved shall be attached to the 
motion, and any other party may file findings of fact and conclusions of 
law as an attachment to pleadings filed by him pursuant to paragraph (b) 
of this section.
    (b) Within 14 days after a motion for summary decision is filed, any 
other party to the proceeding may file an opposition or a countermotion 
for summary decision. A party opposing the motion may not rest upon mere 
allegations or denials but must show, by affidavit or by other materials 
subject to consideration by the presiding officer, that there is a 
genuine issue of material fact for determination at the hearing, that he 
cannot, for good cause, present by affidavit or otherwise facts 
essential to justify his opposition, or that summary decision is 
otherwise inappropriate.

[[Page 150]]

    (c) Affidavits shall be made on personal knowledge, shall set forth 
such facts as would be admissible in evidence, and shall show 
affirmatively that the affiant is competent to testify to the matters 
stated therein.
    (d) The presiding officer may, in his discretion, set the matter for 
argument and call for the submission of proposed findings, conclusions, 
briefs or memoranda of law. The presiding officer, giving appropriate 
weight to the nature of the proceeding, the issue or issues, the proof, 
and to the need for cross-examination, may grant a motion for summary 
decision to the extent that the pleadings, affidavits, materials 
obtained by discovery or otherwise, admissions, or matters officially 
noticed, show that there is no genuine issue as to any material fact and 
that a party is otherwise entitled to summary decision. If it appears 
from the affidavits of a party opposing the motion that he cannot, for 
good cause shown, present by affidavit or otherwise facts essential to 
justify his opposition, the presiding officer may deny the motion, may 
order a continuance to permit affidavits to be obtained or discovery to 
be had, or make such other order as is just.
    (e) If all of the issues (or a dispositive issue) are determined on 
a motion for summary decision no hearing (or further hearing) will be 
held. The presiding officer will issue a Summary Decision, which is 
subject to appeal or review in the same manner as an Initial Decision. 
See Secs. 1.271 through 1.282. If some of the issues only (including no 
dispositive issue) are decided on a motion for summary decision, or if 
the motion is denied, the presiding officer will issue a memorandum 
opinion and order, interlocutory in character, and the hearing will 
proceed on the remaining issues. Appeal from interlocutory rulings is 
governed by Sec. 1.301.
    (f) The presiding officer may take any action deemed necessary to 
assure that summary decision procedures are not abused. He may rule in 
advance of a motion that the proceeding is not appropriate for summary 
decision, and may take such other measures as are necessary to prevent 
any unwarranted delay.
    (1) Should it appear to the satisfaction of the presiding officer 
that a motion for summary decision has been presented in bad faith or 
solely for the purpose of delay, or that such a motion is patently 
frivolous, he will enter a determination to that effect upon the record.
    (2) If, on making such determination, the presiding officer 
concludes that the facts warrant disciplinary action against an 
attorney, he will certify the matter to the Commission with his findings 
and recommendations, for consideration under Sec. 1.24.
    (3) If, on making such determination, the presiding officer 
concludes that the facts warrant a finding of bad faith on the part of a 
party to the proceeding, he will certify the matter to the Commission, 
with his findings and recommendations, for a determination as to whether 
the facts warrant addition of an issue as to the character 
qualifications of that party.

[37 FR 7507, Apr. 15, 1972, as amended at 42 FR 56508, Oct. 26, 1977]



Sec. 1.253  Time and place of hearing.

    (a) The Commission will specify the day on which and the place at 
which any hearing is to commence.
    (b) The presiding officer will specify the days on which subsequent 
hearing sessions are to be held.
    (c) If the Commission specifies that a hearing is to commence in the 
District of Columbia, it shall be moved therefrom only by order of the 
Commission.
    (d) If the Commission specifies that a hearing is to commence at a 
field location, all appropriate proceedings will be completed at such 
location before the hearing is moved therefrom. When such proceedings 
are completed, the presiding officer may move the hearing from the field 
location specified to another appropriate field location or to the 
District of Columbia.



Sec. 1.254  Nature of the hearing; burden of proof.

    Any hearing upon an application shall be a full hearing in which the 
applicant and all other parties in interest shall be permitted to 
participate but in which both the burden of proceeding with the 
introduction of evidence upon any issue specified by the Commission,

[[Page 151]]

as well as the burden of proof upon all such issues, shall be upon the 
applicant except as otherwise provided in the order of designation.

(Sec. 309, 48 Stat. 1085, as amended; 47 U.S.C. 309)



Sec. 1.255  Order of procedure.

    (a) At hearings on a formal complaint or petition or in a proceeding 
for any instrument of authorization which the Commission is empowered to 
issue, the complainant, petitioner, or applicant, as the case may be, 
shall, unless the Commission otherwise orders, open and close. At 
hearings on protests, the protestant opens and closes the proceedings in 
case the issues are not specifically adopted by the Commission; 
otherwise the grantee does so. At hearings on orders to show cause, to 
cease and desist, to revoke or modify a station license under sections 
312 and 316 of the Communications Act, or other like proceedings 
instituted by the Commission, the Commission shall open and close.
    (b) At all hearings under Title II of the Communications Act, other 
than hearings on formal complaints, petitions, or applications, the 
respondent shall open and close unless otherwise specified by the 
Commission.
    (c) In all other cases, the Commission or presiding officer shall 
designate the order of presentation. Intervenors shall follow the party 
in whose behalf intervention is made, and in all cases where the 
intervention is not in support of an original party, the Commission or 
presiding officer shall designate at what stage such intervenors shall 
be heard.

[28 FR 12425, Nov. 22, 1963, as amended at 33 FR 463, Jan. 12, 1968]



Sec. 1.258  Closing of the hearing.

    The record of hearing shall be closed by an announcement to that 
effect at the hearing by the presiding officer when the taking of 
testimony has been concluded. In the discretion of the presiding 
officer, the record may be closed as of a future specified date in order 
to permit the admission into the record of exhibits to be prepared: 
Provided, The parties to the proceeding stipulate on the record that 
they waive the opportunity to cross-examine or present evidence with 
respect to such exhibits. The record in any hearing which has been 
adjourned may not be closed by such officer prior to the day on which 
the hearing is to resume, except upon 10 days' notice to all parties to 
the proceeding.



Sec. 1.260  Certification of transcript.

    After the close of the hearing, the complete transcript of 
testimony, together with all exhibits, shall be certified as to identity 
by the presiding officer and filed in the office of the Secretary of the 
Commission. Notice of such certification shall be served on all parties 
to the proceedings.



Sec. 1.261  Corrections to transcript.

    At any time during the course of the proceeding, or as directed by 
the presiding officer, but not later than 10 days after the date of 
notice of certification of the transcript, any party to the proceeding 
may file with the presiding officer a motion requesting the correction 
of the transcript, which motion shall be accompanied by proof of service 
thereof upon all other parties to the proceeding. Within 5 days after 
the filing of such a motion, other parties may file a pleading in 
support of or in opposition to such motion. Thereafter, the presiding 
officer shall, by order, specify the corrections to be made in the 
transcript, and a copy of the order shall be served upon all parties and 
made a part of the record. The presiding officer, on his own initiative, 
may specify corrections to be made in the transcript on 5 days' notice.

[40 FR 51441, Nov. 5, 1975]



Sec. 1.263  Proposed findings and conclusions.

    (a) Each party to the proceeding may file proposed findings of fact 
and conclusions, briefs, or memoranda of law: Provided, however, That 
the presiding officer may direct any party other than Commission counsel 
to file proposed findings of fact and conclusions, briefs, or memoranda 
of law. Such proposed findings of fact, conclusions, briefs, and 
memoranda of law shall be filed within 20 days after the record is 
closed, unless additional time is allowed.
    (b) All pleadings and other papers filed pursuant to this section 
shall be

[[Page 152]]

accompanied by proof of service thereof upon all other counsel in the 
proceeding; if a party is not represented by counsel, proof of service 
upon such party shall be made.
    (c) In the absence of a showing of good cause therefor, the failure 
to file proposed findings of fact, conclusions, briefs, or memoranda of 
law, when directed to do so, may be deemed a waiver of the right to 
participate further in the proceeding.

(5 U.S.C. 557)



Sec. 1.264  Contents of findings of fact and conclusions.

    Proposed findings of fact shall be set forth in serially numbered 
paragraphs and shall set out in detail and with particularity all basic 
evidentiary facts developed on the record (with appropriate citations to 
the transcript of record or exhibit relied on for each evidentiary fact) 
supporting the conclusions proposed by the party filing same. Proposed 
conclusions shall be separately stated. Proposed findings of fact and 
conclusions submitted by a person other than an applicant may be limited 
to those issues in connection with the hearing which affect the 
interests of such person.

(5 U.S.C. 557)



Sec. 1.267  Initial and recommended decisions.

    (a) Except as provided in this paragraph, in Secs. 1.94, 1.251 and 
1.274, or where the proceeding is terminated on motion (see Sec. 1.302), 
the presiding officer shall prepare an initial (or recommended) 
decision, which shall be transmitted to the Secretary of the Commission. 
In the case of rate making proceedings conducted under sections 201-205 
of the Communications Act, the presumption shall be that the presiding 
officer shall prepare an initial or recommended decision. The Secretary 
will make the decision public immediately and file it in the docket of 
the case.
    (b) Each initial and recommended decision shall contain findings of 
fact and conclusions, as well as the reasons or basis therefor, upon all 
the material issues of fact, law, or discretion presented on the record; 
each initial decision shall also contain the appropriate rule or order, 
and the sanction, relief or denial thereof; and each recommended 
decision shall contain recommendations as to what disposition of the 
case should be made by the Commission. Each initial decision will show 
the date upon which it will become effective in accordance with the 
rules in this part in the absence of exceptions, appeal, or review.
    (c) The authority of the Presiding Officer over the proceedings 
shall cease when he has filed his Initial or Recommended Decision, or if 
it is a case in which he is to file no decision, when he has certified 
the case for decision: Provided, however, That he shall retain limited 
jurisdiction over the proceeding for the purpose of effecting 
certification of the transcript and corrections to the transcript, as 
provided in Secs. 1.260 and 1.261, respectively, and for the purpose of 
ruling initially on applications for awards of fees and expenses under 
the Equal Access to Justice Act.

(Sec. 409, 48 Stat. 1096, as amended; 47 U.S.C. 409, 5 U.S.C. 557; secs. 
4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083: 47 U.S.C. 154, 303, 
307)

[28 FR 12425, Nov. 22, 1963, as amended at 41 FR 14873, Apr. 8, 1976; 47 
FR 3786, Jan. 27, 1982]

                           Review Proceedings



Sec. 1.271  Delegation of review function.

    The Commission may direct, by order or rule, that its review 
function in a case or category of cases be performed by a commissioner, 
or a panel of commissioners, in which event the commissioner or panel 
shall exercise the authority and perform the functions which would 
otherwise have been performed by the Commission under Secs. 1.273 
through 1.282.

    Note: To provide for an orderly completion of cases, exceptions and 
related pleadings filed after March 1, 1996, shall be directed to the 
Commission and will not be acted upon by the Review Board.

[62 FR 4171, Jan. 29, 1997]



Sec. 1.273  Waiver of initial or recommended decision.

    At the conclusion of the hearing or within 20 days thereafter, all 
parties to the proceeding may agree to waive an

[[Page 153]]

initial or recommended decision, and may request that the Commission 
issue a final decision or order in the case. If the Commission has 
directed that its review function in the case be performed by a 
commissioner, a panel of commissioners, the request shall be directed to 
the appropriate review authority. The Commission or such review 
authority may in its discretion grant the request, in whole or in part, 
if such action will best conduce to the proper dispatch of business and 
to the ends of justice.

[28 FR 12425, Nov. 22, 1963, as amended at 62 FR 4171, Jan. 29, 1997]



Sec. 1.274  Certification of the record to the Commission for initial or final decision.

    (a) Where the presiding officer is available to the Commission, and 
where the Commission finds upon the record that due and timely execution 
of its functions imperatively and unavoidably so requires, the 
Commission may direct that the record in a pending proceeding be 
certified to it for initial or final decision. Unless the Commission 
finds that due and timely execution of its functions imperatively and 
unavoidably requires that no recommended decision be issued, the 
presiding officer will prepare and file a recommended decision, which 
will be released with the Commission's initial or final decision.
    (b) Where the presiding officer becomes unavailable to the 
Commission after the taking of testimony has been concluded, the 
Commission may direct that the record in a pending proceeding be 
certified to it for initial or final decision. In that event, the record 
shall be certified to the Commission by the Chief Administrative Law 
Judge.
    (c)(1) Where the presiding officer becomes unavailable to the 
Commission after the taking of evidence has commenced but before it has 
been concluded, the Commission may order a rehearing before another 
presiding officer designated in accordance with Sec. 1.241.
    (2) Upon a finding that due and timely execution of its functions 
imperatively and unavoidably so requires, the Commission may (as an 
alternative) order that the hearing be continued by another presiding 
officer designated in accordance with Sec. 1.241 or by the Commission 
itself. In that event, the officer continuing the hearing shall, upon 
completion of the hearing, certify the proceeding to the Commission for 
an initial or final decision. Unless the Commission finds upon the 
record that due and timely execution of its functions imperatively and 
unavoidably requires that no recommended decision be issued, the officer 
continuing the hearing shall prepare and file a recommended decision to 
be released with the Commission's initial or final decision. If all the 
parties expressly consent, and if the Commission does not order 
otherwise, the officer continuing the hearing may prepare an initial 
decision.

(Sec. 409, 48 Stat. 1096, as amended; 47 U.S.C. 409)



Sec. 1.276  Appeal and review of initial decision.

    (a)(1) Within 30 days after the date on which public release of the 
full text of an initial decision is made, or such other time as the 
Commission may specify, any of the parties may appeal to the Commission 
by filing exceptions to the initial decision, and such decision shall 
not become effective and shall then be reviewed by the Commission, 
whether or not such exceptions may thereafter be withdrawn. It is the 
Commission's policy that extensions of time for filing exceptions shall 
not be routinely granted.
    (2) Exceptions shall be consolidated with the argument in a 
supporting brief and shall not be submitted separately. As used in this 
subpart, the term exceptions means the document consolidating the 
exceptions and supporting brief. The brief shall contain (i) a table of 
contents, (ii) a table of citations, (iii) a concise statement of the 
case, (iv) a statement of the questions of law presented, and (v) the 
argument, presenting clearly the points of fact and law relied upon in 
support of the position taken on each question, with specific reference 
to the record and all legal or other materials relied on.
    (b) The Commission may on its own initiative provide, by order 
adopted not later than 20 days after the time for filing exceptions 
expires, that an initial

[[Page 154]]

decision shall not become final, and that it shall be further reviewed 
or considered by the Commission.
    (c) In any case in which an initial decision is subject to review in 
accordance with paragraph (a) or (b) of this section, the Commission 
may, on its own initiative or upon appropriate requests by a party, take 
any one or more of the following actions:
    (1) Hear oral argument on the exceptions;
    (2) Require the filing of briefs;
    (3) Prior to or after oral argument or the filing of exceptions or 
briefs, reopen the record and/or remand the proceedings to the presiding 
officer to take further testimony or evidence;
    (4) Prior to or after oral argument or the filing of exceptions or 
briefs, remand the proceedings to the presiding officer to make further 
findings or conclusions; and
    (5) Prior to or after oral argument or the filing of exceptions or 
briefs, issue, or cause to be issued by the presiding officer, a 
supplemental initial decision.
    (d) No initial decision shall become effective before 50 days after 
public release of the full text thereof is made unless otherwise ordered 
by the Commission. The timely filing of exceptions, the further review 
or consideration of an initial decision on the Commission's initiative, 
or the taking of action by the Commission under paragraph (c) of this 
section shall stay the effectiveness of the initial decision until the 
Commission's review thereof has been completed. If the effective date of 
an initial decision falls within any further time allowed for the filing 
of exceptions, it shall be postponed automatically until 30 days after 
time for filing exceptions has expired.
    (e) If no exceptions are filed, and the Commission has not ordered 
the review of an initial decision on its initiative, or has not taken 
action under paragraph (c) of this section, the initial decision shall 
become effective, an appropriate notation to that effect shall be 
entered in the docket of the case, and a ``Public Notice'' thereof shall 
be given by the Commission. The provisions of Sec. 1.108 shall not apply 
to such public notices.
    (f) When any party fails to file exceptions within the specified 
time to an initial decision which proposes to deny its application, such 
party shall be deemed to have no interest in further prosecution of its 
application, and its application may be dismissed with prejudice for 
failure to prosecute.

(Sec. 40, 48 Stat. 1096, as amended; 47 U.S.C. 409)

[28 FR 12425, Nov. 22, 1963, as amended at 41 FR 14873, Apr. 8, 1976]



Sec. 1.277  Exceptions; oral arguments.

    (a) The consolidated supporting brief and exceptions to the initial 
decision (see Sec. 1.276(a)(2)), including rulings upon motions or 
objections, shall point out with particularity alleged material errors 
in the decision or ruling and shall contain specific references to the 
page or pages of the transcript of hearing, exhibit or order if any on 
which the exception is based. Any objection not saved by exception filed 
pursuant to this section is waived.
    (b) Within the period of time allowed in Sec. 1.276(a) for the 
filing of exceptions, any party may file a brief in support of an 
initial decision, in whole or in part, which may contain exceptions and 
which shall be similar in form to the brief in support of exceptions 
(see Sec. 1.276(a)(2)).
    (c) Except by special permission, the consolidated brief and 
exceptions will not be accepted if the exceptions and argument exceed 25 
double-spaced typewritten pages in length. (The table of contents and 
table of citations are not counted in the 25 page limit; however, all 
other contents of and attachments to the brief are counted.) Within 10 
days, or such other time as the Commission or delegated authority may 
specify, after the time for filing exceptions has expired, any other 
party may file a reply brief, which shall not exceed 25 double spaced 
typewritten pages and shall contain a table of contents and a table of 
citations. If exceptions have been filed, any party may request oral 
argument not later than five days after the time for filing replies to 
the exceptions has expired. The Commission or delegated authority, in 
its discretion, will grant oral argument by order only in cases where 
such oral presentations will assist in the resolution of the issues 
presented. Within

[[Page 155]]

five days after release of an order designating an initial decision for 
oral argument, as provided in paragraph (d) of this section, any party 
who wishes to participate in oral argument shall file a written notice 
of intention to appear and participate in oral argument. Failure to file 
a written notice shall constitute a waiver of the opportunity to 
participate.
    (d) Each order scheduling a case for oral argument will contain the 
allotment of time for each party for oral argument before the 
Commission. The Commission will grant, in its discretion, upon good 
cause shown, an extension of such time upon petition by a party, which 
petition must be filed within 5 days after issuance of said order for 
oral argument.
    (e) Within 10 days after a transcript of oral argument has been 
filed in the office of the Secretary of the Commission, any party who 
participated in the oral argument may file with the Commission a motion 
requesting correction of the transcript, which motion shall be 
accompanied by proof of service thereof upon all other parties who 
participated in the oral argument. Within 5 days after the filing of 
such a motion, other parties may file a pleading in support of or in 
opposition to such motion. Thereafter, the officer who presided at the 
oral argument shall, by order, specify the corrections to be made in the 
transcript, and a copy of the order shall be served upon all parties to 
the proceeding. The officer who presided at the oral argument may, on 
his own initiative, by order, specify corrections to be made in the 
transcript on 5 days notice of the proposed corrections to all parties 
who participated in the oral argument.
    (f) Any commissioner who is not present at oral argument and who is 
otherwise authorized to participate in a final decision may participate 
in making that decision after reading the transcript of oral argument.

(Sec. 409, 48 Stat. 1096, as amended; 47 U.S.C. 409)

[28 FR 12425, Nov. 22, 1963, as amended at 41 FR 14873, Apr. 8, 1976; 41 
FR 34259, Aug. 13, 1976; 44 FR 12426, Mar. 7, 1979; 56 FR 793, Jan. 9, 
1991; 62 FR 4171, Jan. 29, 1997]



Sec. 1.279  Limitation of matters to be reviewed.

    Upon review of any initial decision, the Commission may, in its 
discretion, limit the issues to be reviewed to those findings and 
conclusions to which exceptions have been filed, or to those findings 
and conclusions specified in the Commission's order of review issued 
pursuant to Sec. 1.276(b).



Sec. 1.282  Final decision of the Commission.

    (a) After opportunity has been afforded for the filing of proposed 
findings of fact and conclusions, exceptions, supporting statements, 
briefs, and for the holding of oral argument as provided in this 
subpart, the Commission will issue a final decision in each case in 
which an initial decision has not become final.
    (b) The final decision shall contain:
    (1) Findings of fact and conclusions, as well as the reasons or 
basis therefor, upon all the material issues of fact, law or discretion 
presented on the record;
    (2) Rulings on each relevant and material exception filed; the 
Commission will deny irrelevant exceptions, or those which are not of 
decisional significance, without a specific statement of reasons 
prescribed by paragraph (b)(1) of this section; and
    (3) The appropriate rule or oder and the sanction, relief or denial 
thereof.

(Sec. 8(b), 60 Stat. 2422; 5 U.S.C. 1007(b))

[28 FR 12425, Nov. 22, 1963, as amended at 41 FR 14873, Apr. 8, 1976]

              Interlocutory Actions in Hearing Proceedings



Sec. 1.291  General provisions.

    (a)(1) The Commission acts on petitions to amend, modify, enlarge or 
delete the issues in hearing proceedings which involve rule making 
matters exclusively. It also acts on interlocutory pleadings filed in 
matters or proceedings which are before the Commission.
    (2) The Chief Administrative Law Judge acts on those interlocutory 
matters listed in Sec. 0.351 of this chapter.
    (3) All other interlocutory matters in hearing proceedings are acted 
on by

[[Page 156]]

the presiding officer. See Secs. 0.218 and 0.341 of this chapter.
    (4) Each interlocutory pleading shall indicate in its caption 
whether the pleading is to be acted upon by the Commission, the Chief 
Administrative Law Judge, or the presiding officer. If the pleading is 
to be acted upon by the presiding officer, he shall be identified by 
name.
    (b) All interlocutory pleadings shall be submitted in accordance 
with the provisions of Secs. 1.4, 1.44, 1.47, 1.48, 1.49, and 1.52.
    (c)(1) Procedural rules governing interlocutory pleadings are set 
forth in Secs. 1.294-1.298.
    (2) Rules governing appeal from, and reconsideration of, 
interlocutory rulings made by the presiding officer are set forth in 
Secs. 1.301 and 1.303.
    (3) Rules governing the review of interlocutory rulings made by the 
Chief Administrative Law Judge are set forth in Secs. 1.101, 1.102(b), 
1.115, and 1.117. Petitions requesting reconsideration of an 
interlocutory ruling made by the Commission, or the Chief Administrative 
Law Judge will not be entertained. See, however, Sec. 1.113.
    (d) No initial decision shall become effective under Sec. 1.276(e) 
until all interlocutory matters pending before the Commission in the 
proceeding at the time the initial decision is issued have been disposed 
of and the time allowed for appeal from interlocutory rulings of the 
presiding officer has expired.

(Secs. 4(i), 303(r) and 5(c)(1) of the Communications Act of 1934, as 
amended; 47 CFR 0.61 and 0.283)

[29 FR 6443, May 16, 1964, as amended at 29 FR 12773, Sept. 10, 1964; 37 
FR 19372, Sept. 20, 1972; 41 FR 14873, Apr. 8, 1976; 49 FR 4381, Feb. 6, 
1984; 62 FR 4171, Jan. 29, 1997]



Sec. 1.294  Oppositions and replies.

    (a) Any party to a hearing may file an opposition to an 
interlocutory request filed in that proceeding.
    (b) Except as provided in paragraph (c) of this section, oppositions 
shall be filed within 4 days after the original pleading is filed, and 
replies to oppositions will not be entertained. See, however, 
Sec. 1.732.
    (c) Oppositions to pleadings in the following categories shall be 
filed within 10 days after the pleading is filed. Replies to such 
oppositions shall be filed within 5 days after the opposition is filed, 
and shall be limited to matters raised in the opposition.
    (1) Petitions to amend, modify, enlarge, or delete the issues upon 
which the hearing was ordered.
    (2) [Reserved]
    (3) Petitions by adverse parties requesting dismissal of an 
application.
    (4) Joint requests for approval of agreements filed pursuant to 
Sec. 1.525.
    (d) Additional pleadings may be filed only if specifically requested 
or authorized by the person(s) who is to make the ruling.

[29 FR 6444, May 16, 1964, as amended at 39 FR 10909, Mar. 22, 1974]



Sec. 1.296  Service.

    No pleading filed pursuant to Sec. 1.51 or Sec. 1.294 will be 
considered unless it is accompanied by proof of service upon the parties 
to the proceeding.

(Secs. 4(i), 303(r) and 5(c)(1) of the Communications Act of 1934, as 
amended; 47 CFR 0.61 and 0.283)

[49 FR 4381, Feb. 6, 1984, as amended at 62 FR 4171, Jan. 29, 1997]



Sec. 1.297  Oral argument.

    Oral argument with respect to any contested interlocutory matter 
will be held when, in the opinion of the person(s) who is to make the 
ruling, the ends of justice will be best served thereby. Timely notice 
will be given of the date, time, and place of any such oral argument.

[29 FR 6444, May 16, 1964]



Sec. 1.298  Rulings; time for action.

    (a) Unless it is found that irreparable injury would thereby be 
caused one of the parties, or that the public interest requires 
otherwise, or unless all parties have consented to the contrary, 
consideration of interlocutory requests will be withheld until the time 
for filing oppositions (and replies, if replies are allowed) has 
expired. As a matter of discretion, however, requests for continuances 
and extensions of time, requests for permission to file pleadings in 
excess of the length prescribed in this chapter, and requests for 
temporary relief may be ruled upon ex parte without

[[Page 157]]

waiting for the filing of responsive pleadings.
    (b) In the discretion of the presiding officer, rulings on 
interlocutory matters may be made orally at the hearing. The presiding 
officer may, in his discretion, state his reasons on the record or 
subsequently issue a written statement of the reasons for his ruling, 
either separately or as part of the initial decision.

[28 FR 12425, Nov. 22, 1963, as amended at 29 FR 6444, May 16, 1964; 41 
FR 14874, Apr. 8, 1976]

        Appeal and Reconsideration of Presiding Officer's Ruling



Sec. 1.301  Appeal from presiding officer's interlocutory ruling; effective date of ruling.

    (a) Interlocutory rulings which are appealable as a matter of right. 
Rulings listed in this paragraph are appealable as a matter of right. An 
appeal from such a ruling may not be deferred and raised as an exception 
to the initial decision.
    (1) If the presiding officer's ruling denies or terminates the right 
of any person to participate as a party to a hearing proceeding, such 
person, as a matter of right, may file an appeal from that ruling.
    (2) If the presiding officer's ruling requires testimony or the 
production of documents, over objection based on a claim of privilege, 
the ruling on the claim of privilege is appealable as a matter of right.
    (3) If the presiding officer's ruling denies a motion to disqualify 
the presiding judge, the ruling is appealable as a matter of right.
    (4) Rulings granting a joint request filed under Sec. 1.525 without 
terminating the proceeding are appealable by any party as a matter of 
right.
    (5) A ruling removing counsel from the hearing is appealable as a 
matter of right, by counsel on his own behalf or by his client. (In the 
event of such ruling, the presiding officer will adjourn the hearing for 
such period as is reasonably necessary for the client to secure new 
counsel and for counsel to familiarize himself with the case).
    (b) Other interlocutory rulings. Except as provided in paragraph (a) 
of this section, appeals from interlocutory rulings of the presiding 
officer shall be filed only if allowed by the presiding officer. Any 
party desiring to file an appeal shall first file a request for 
permission to file appeal. The request shall be filed within 5 days 
after the order is released or (if no written order) after the ruling is 
made. Pleadings responsive to the request shall be filed only if they 
are requested by the presiding officer. The request shall contain a 
showing that the appeal presents a new or novel question of law or 
policy and that the ruling is such that error would be likely to require 
remand should the appeal be deferred and raised as an exception. The 
presiding officer shall determine whether the showing is such as to 
justify an interlocutory appeal and, in accordance with his 
determination, will either allow or disallow the appeal or modify the 
ruling. If the presiding officer allows or disallows the appeal, his 
ruling is final: Provided, however, That the Commission may, on its own 
motion, dismiss an appeal allowed by the presiding officer on the ground 
that objection to the ruling should be deferred and raised as an 
exception. In the discretion of the presiding officer, the request for 
permission to file appeal may be made orally, on the record of the 
proceeding. The request may be disposed of orally.
    (1) If an appeal is not allowed, or is dismissed by the Commission, 
or if permission to file an appeal is not requested, objection to the 
ruling may be raised on review of the initial decision.
    (2) If an appeal is allowed and is considered on its merits, the 
disposition on appeal is final. Objection to the ruling or to the action 
on appeal may not be raised on review of the initial decision.
    (3) If the presiding officer modifies the ruling, any party 
adversely affected by the modified ruling may file a request for 
permission to file appeal, pursuant to the provisions of this paragraph.
    (c) Procedures, effective date. (1) Unless the presiding officer 
orders otherwise, rulings made by him shall be effective when the order 
is released or (if no written order) when the ruling is made. The 
Commission may stay the

[[Page 158]]

effect of any ruling which comes before it for consideration on appeal.
    (2) Appeals filed under paragraph (a) of this section shall be filed 
within 5 days after the order is released or (if no written order) after 
the ruling is made. Appeals filed under paragraph (b) of this section 
shall be filed within 5 days after the appeal is allowed.
    (3) The appeal shall conform with the specifications set out in 
Sec. 1.49 and shall be subscribed and verified as provided in Sec. 1.52.
    (4) The appeal shall be served on parties to the proceeding (see 
Secs. 1.47 and 1.211), and shall be filed with the Secretary, Federal 
Communications Commission, Washington, D.C. 20554.
    (5) The appeal shall not exceed 5 double-spaced typewritten pages.
    (6) Appeals are acted on by the Commission.
    (7) Oppositions and replies shall be served and filed in the same 
manner as appeals and shall be served on appellant if he is not a party 
to the proceeding. Oppositions shall be filed within 5 days after the 
appeal is filed. Replies shall not be permitted, unless the Commission 
specifically requests them. Oppositions shall not exceed 5 double-spaced 
typewritten pages. Replies shall not exceed 5 double-spaced typewritten 
pages.

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 
154, 303, 307)

[35 FR 17333, Nov. 11, 1970, as amended at 40 FR 39509, Aug. 28, 1975; 
41 FR 14874, Apr. 8, 1976; 41 FR 28789, July 13, 1976; 46 FR 58682, Dec. 
3, 1981; 55 FR 36641, Sept. 6, 1990; 62 FR 4171, Jan. 29, 1997]



Sec. 1.302  Appeal from presiding officer's final ruling; effective date of ruling.

    (a) If the presiding officer's ruling terminates a hearing 
proceeding, any party to the proceeding, as a matter of right, may file 
an appeal from that ruling within 30 days after the ruling is released.
    (b) Any party who desires to preserve the right to appeal shall file 
a notice of appeal within 10 days after the ruling is released. If a 
notice of appeal is not filed within 10 days, the ruling shall be 
effective 30 days after the ruling is released and within this period, 
may be reviewed by the Commission on its own motion. If an appeal is not 
filed following notice of appeal, the ruling shall be effective 50 days 
after the day of its release and, within this period, may be reviewed by 
the Commission on its own motion. If an appeal is filed, or if the 
Commission reviews the ruling on its own motion, the effect of the 
ruling is further stayed pending the completion of proceedings on appeal 
or review.
    (c) The appeal shall conform with the specifications set out in 
Sec. 1.49 and shall be subscribed and verified as provided in Sec. 1.52.
    (d) The appeal shall be served on parties to the proceeding (see 
Secs. 1.47 and 1.211), and shall be filed with the Secretary, Federal 
Communications Commission, Washington, D.C. 20554.
    (e) The appeal shall not exceed 25 double-spaced typewritten pages.
    (f) The Commission will act on the appeal.
    (g) Oppositions and replies shall be filed and served in the same 
manner as the appeal. Oppositions to an appeal shall be filed within 15 
days after the appeal is filed. Replies to oppositions shall be filed 
within 10 days after the opposition is filed and shall be limited to 
matters raised in the oppositions. Oppositions shall not exceed 25 
double-spaced typewritten pages. Replies shall not exceed 10 double-
spaced typewritten pages.

[35 FR 17333, Nov. 11, 1970, as amended at 36 FR 7423, Apr. 20, 1971; 62 
FR 4171, Jan. 29, 1997]

               The Discovery and Preservation of Evidence

    Authority: Sections 1.311 through 1.325 are issued under secs. 4, 
303, 409, 48 Stat., as amended, 1066, 1082, 1096; 47 U.S.C. 154, 303, 
409, 5 U.S.C. 552.



Sec. 1.311  General.

    Sections 1.311 through 1.325 provide for taking the deposition of 
any person (including a party), for interrogatories to parties, and for 
orders to parties relating to the production of documents and things and 
for entry upon real property. These procedures may be used for the 
discovery of relevant facts, for the production and preservation of 
evidence for use at the hearing, or for both purposes.

[[Page 159]]

    (a) Applicability. For purposes of discovery, these proecdures may 
be used in any case of adjudication (as defined in the Administrative 
Procedure Act) which has been designated for hearing. For the 
preservation of evidence, they may be used in any case which has been 
designated for hearing and is conducted under the provisions of this 
subpart (see Sec. 1.201).
    (b) Scope of examination. Persons and parties may be examined 
regarding any matter, not privileged, which is relevant to the hearing 
issues, including the existence, description, nature, custody, condition 
and location of any books, documents, or other tangible things and the 
identity and location of persons having knowledge of relevant facts. It 
is not ground for objection to use of these procedures that the 
testimony will be inadmissible at the hearing if the testimony sought 
appears reasonably calculated to lead to the discovery of admissible 
evidence. The use of these procedures against the Commission is subject 
to the following additional limitations:
    (1) The informer's privilege shall encompass information which may 
lead to the disclosure of an informer's identity.
    (2) Commission personnel may not be questioned by deposition for the 
purposes of discovery except on special order of the Commission, but may 
be questioned by written interrogatories under Sec. 1.323. 
Interrogatories shall be served on the appropriate Bureau Chief (see 
Sec. 1.21(b)). They will be answered and signed by those personnel with 
knowledge of the facts. The answers will be served by the Secretary of 
the Commission upon parties to the proceeding.
    (3) Commission records are not subject to discovery under 
Sec. 1.325. The inspection of Commission records is governed by the 
Freedom of Information Act, as amended, and by Secs. 0.451 through 0.467 
of this chapter. Commission employees may be questioned by written 
interrogatories regarding the existence, nature, description, custody, 
condition and location of Commission records, but may not be questioned 
concerning their contents unless the records are available (or are made 
available) for inspection under Secs. 0.451 through 0.467. See 
Sec. 0.451(b)(5) of this chapter.
    (4) Subject to paragraphs (b) (1) through (3) of this section, 
Commission personnel may be questioned generally by written 
interrogatories regarding the existence, description, nature, custody, 
condition and location of relevant documents and things and regarding 
the identity and location of persons having knowledge of relevant facts, 
and may otherwise only be examined regarding facts of the case as to 
which they have direct personal knowledge.
    (c) Schedule for use of the procedures. (1) In comparative broadcast 
proceedings involving applicants for only new facilities, discovery 
commences with the release of the hearing designation order, and, in 
routine cases, the discovery phase of the proceeding will be conducted 
in a manner intended to conclude that portion of the case within 90 days 
of the release of the designation order.
    (2) In all other proceedings, except as provided by special order of 
the presiding officer, discovery may be initiated before or after the 
prehearing conference provided for in Sec. 1.248 of this part.
    (3) In all proceedings, the presiding officer may at any time order 
the parties or their attorneys to appear at a conference to consider the 
proper use of these procedures, the time to be allowed for such use, 
and/or to hear agrument and render a ruling on disputes that arise under 
these rules.
    (d) Who shall act. Actions provided for in Secs. 1.311 through 1.325 
will, in most cases, be taken by the officer designated to preside at 
the hearing (see Sec. 1.241). If the proceeding, or a particular matter 
to which the action relates, is before the Commission, a commissioner or 
panel of commissioners, or the Chief Administrative Law Judge, the 
action will be taken by such officer or body. The term presiding 
officer, as used in Secs. 1.311 through 1.325 shall be understood to 
refer to the appropriate officer or body. See Secs. 0.341, 0.351, 0.365, 
and 1.271 of this chapter.

[[Page 160]]

    (e) Stipulations regarding the taking of depositions. If all of the 
parties so stipulate in writing and if there is no interference to the 
conduct of the proceeding, depositions may be taken before any person, 
at any time (subject to the limitation below) or place, upon any notice 
and in any manner, and when so taken may be used like other depositions. 
An original and one copy of the stipulation shall be filed with the 
Secretary of the Commission, and a copy of the stipulation shall be 
served on the presiding officer, at least 3 days before the scheduled 
taking of the deposition.

[33 FR 463, Jan. 12, 1968, as amended at 40 FR 39509, Aug. 28, 1975; 47 
FR 51873, Nov. 18, 1982; 56 FR 794, Jan. 9, 1991; 62 FR 4171, Jan. 29, 
1997]



Sec. 1.313  Protective orders.

    The use of the procedures set forth in Secs. 1.311 through 1.325 of 
this part is subject to control by the presiding officer, who may issue 
any order consistent with the provisions of those sections which is 
appropriate and just for the purpose of protecting parties and deponents 
or of providing for the proper conduct of the proceeding. Whenever doing 
so would be conducive to the efficient and expeditious conduct of the 
proceeding, the presiding officer may convene a conference to hear 
argument and issue a ruling on any disputes that may arise under these 
rules. The ruling, whether written or delivered on the record at a 
conference, may specify any measures, including the following to assure 
proper conduct of the proceeding or to protect any party or deponent 
from annoyance, expense, embarassment or oppression:
    (a) That depositions shall not be taken or that interrogatories 
shall not be answered.
    (b) That certain matters shall not be inquired into.
    (c) That the scope of the examination or interrogatories shall be 
limited to certain matters.
    (d) That depositions may be taken only at some designated time or 
place, or before an officer, other than that stated in the notice.
    (e) That depositions may be taken only by written interrogatories or 
only upon oral examination.
    (f) That, after being sealed, the deposition shall be opened only by 
order of the presiding officer.

[33 FR 463, Jan. 12, 1968, as amended at 56 FR 794, Jan. 9, 1991]



Sec. 1.315  Depositions upon oral examination--notice and preliminary procedure.

    (a) Notice. A party to a hearing proceeding desiring to take the 
deposition of any person upon oral examination shall give a minimum of 
21 days notice in writing to every other party, to the person to be 
examined, and to the presiding officer. An original and three copies of 
the notice shall be filed with the Secretary of the Commission. Related 
pleadings shall be served and filed in the same manner. The notice shall 
contain the following information:
    (1) The name and address of each person to be examined, if known, 
and if the name is not known, a general description sufficient to 
identify him or the particular class or group to which he belongs.
    (2) The time and place for taking the deposition of each person to 
be examined, and the name or descriptive title and address of the 
officer before whom the deposition is to be taken.
    (3) The matters upon which each person will be examined. See 
Sec. 1.319.
    (b) Responsive pleadings. (1) Within 7 days after service of the 
notice to take depositions, a motion opposing the taking of depositions 
may be filed by any party to the proceeding or by the person to be 
examined. See Sec. 1.319(a).
    (2) Within 14 days after service of the notice to take depositions, 
a response to the opposition motion may be filed by any party to the 
proceeding.
    (3) Additional pleadings should not be filed and will not be 
considered.
    (4) The computation of time provisions set forth in Sec. 1.4(g) 
shall not apply to pleadings filed under the provisions of this 
paragraph.
    (c) Protective order. On an opposition motion filed under paragraph 
(b) of this section, or on his own motion, the presiding officer may 
issue a protective order. See Sec. 1.313. A protective order issued by 
the presiding officer on his own motion may be issued at any time

[[Page 161]]

prior to the date specified in the notice for the taking of depositions.
    (d) Authority to take depositions. (1) If an opposition motion is 
not filed within 7 days after service of the notice to take depositions, 
and if the presiding officer does not on his own motion issue a 
protective order prior to the time specified in the notice for the 
taking of depositions, the depositions described in the notice may be 
taken. An order for the taking of depositions is not required.
    (2) If an opposition motion is filed, the depositions described in 
the notice shall not be taken until the presiding officer has acted on 
that motion. If the presiding officer authorizes the taking of 
depositions, he may specify a time, place or officer for taking them 
different from that specified in the notice to take depositions.
    (3) If the presiding officer issues a protective order, the 
depositions described in the notice may be taken (if at all) only in 
accordance with the provisions of that order.
    (e) Broadcast comparative proceedings involving applicants for only 
new facilities. In these cases, the 21-day advance notice provision of 
paragraph (a) of this section shall be inapplicable to depositions of 
active and passive owners of applicants in the proceeding. All 
applicants in such proceedings should be prepared to make their active 
and passive owners available for depositions during the period 
commencing with the deadline for filing notices of appearance and ending 
90 days after the release of the designation order, if such depositions 
are requested by a party to the proceeding. All such depositions will be 
conducted in Washington, DC or in the community of license of the 
proposed station, at the deponent's option, unless all parties agree to 
some other location.

[33 FR 10571, July 25, 1968, as amended at 56 FR 794, Jan. 9, 1991]



Sec. 1.316  Depositions upon written interrogatories--notice and preliminary procedure.

    (a) Service of interrogatories; notice. A party to the hearing 
proceeding desiring to take the deposition of any person upon written 
interrogatories shall serve the interrogatories upon every other party 
and shall give a minimum of 35 days notice in writing to every other 
party and to the person to be examined. An original and three copies of 
the interrogatories and the notice (and of all related pleadings) shall 
be filed with the Secretary of the Commission. A copy of the 
interrogatories and the notice (and of all related pleadings) shall be 
served on the presiding officer. The notice shall contain the following 
information:
    (1) The name and address of each person to be examined, if known, 
and if the name is not known, a general description sufficient to 
identify him or the particular class or group to which he belongs.
    (2) The time and place for taking the deposition of each person to 
be examined, and the name or descriptive title and address of the 
officer before whom the deposition is to be taken.
    (3) The matters upon which each person will be examined. See 
Sec. 1.319.
    (b) Additional interrogatories. Within 7 days after the filing and 
service of the original interrogatories, any other party to the 
proceeding may, in the same manner, file and serve additional 
interrogatories to be asked of the same witness at the same time and 
place, with notice to the witness of any additional matters upon which 
he will be examined.
    (c) Cross interrogatories. Within 14 days after the filing and 
service of the original interrogatories, any party to the proceeding 
may, in the same manner, file and serve cross interrogatories, which 
shall be limited to matters raised in the original or in the additional 
interrogatories.
    (d) Responsive pleadings. (1) Within 21 days after service of the 
original interrogatories, any party to the proceeding may move to limit 
or suppress any original, additional or cross interrogatory, and the 
person to be examined may file a motion opposing the taking of 
depositions. See Sec. 1.319(a).
    (2) Within 28 days after service of the original interrogatories, a 
response to a motion to limit or suppress any interrogatory or to a 
motion opposing the taking of depositions may be filed by any party to 
the proceeding.
    (3) Additional pleadings should not be filed and will not be 
considered.

[[Page 162]]

    (e) Protective order. On a motion to limit or suppress or an 
opposition motion filed under paragraph (d) of this section, or on his 
own motion, the presiding officer may issue a protective order. See 
Sec. 1.313. A protective order issued by the presiding officer on his 
own motion may be issued at any time prior to the date specified in the 
notice for the taking of depositions.
    (f) Authority to take depositions. (1) If an opposition motion is 
not filed within 21 days after service of the notice to take 
depositions, and if the presiding officer does not on his own motion 
issue a protective order prior to the time specified in the notice for 
the taking of depositions, the depositions described in the notice may 
be taken. An order for the taking of depositions is not required.
    (2) If an opposition motion is filed, the depositions described in 
the notice shall not be taken until the presiding officer has acted on 
that motion. If the presiding officer authorizes the taking of 
depositions, he may specify a time, place or officer for taking them 
different from that specified in the notice to take depositions.
    (3) If the presiding officer issues a protective order, the 
depositions described in the notice may be taken (if at all) only in 
accordance with the provisions of that order.

    Note: The computation of time provisions of Sec. 1.4(g) shall not 
apply to interrogatories and pleadings filed under the provisions of 
this section.

[33 FR 10571, July 25, 1968]



Sec. 1.318  The taking of depositions.

    (a) Persons before whom depositions may be taken. Depositions shall 
be taken before any judge of any court of the United States; any U.S. 
Commissioner; any clerk of a district court; any chancellor, justice or 
judge of a supreme or superior court; the mayor or chief magistrate of a 
city; any judge of a county court, or court of common pleas of any of 
the United States; any notary public, not being of counsel or attorney 
to any party, nor interested in the event of the proceeding; or 
presiding officers, as provided in Sec. 1.243.
    (b) Attendance of witnesses. The attendance of witnesses at the 
taking of depositions may be compelled by the use of subpena as provided 
in Secs. 1.331 through 1.340.
    (c) Oath; transcript. The officer before whom the deposition is to 
be taken shall administer an oath or affirmation to the witness and 
shall personally, or by someone acting under his direction and in his 
presence record the testimony of the witness. The testimony may be taken 
stenographically or, upon approval by the presiding officer, testimony 
may be taken through the use of telephonically or electronically 
recorded methods, including videotape. In the event these latter methods 
are used for the deposition, the parties may agree to the waiver of the 
provisions of paragraphs (e) and (f) as appropriate and as approved by 
the presiding officer.
    (d) Examination. (1) In the taking of depositions upon oral 
examination, the parties may proceed with examination and cross-
examination of deponents as permitted at the hearing. In lieu of 
participating in the oral examination, parties served with the notice to 
take depositions may transmit written interrogatories to the officer 
designated in the notice, who shall propound them to the witness and 
record the answers verbatim.
    (2) In the taking of depositions upon written interrogatories, the 
party who served the original interrogatories shall transmit copies of 
all interrogatories to the officer designated in the notice, who shall 
propound them to the witness and record the answers verbatim.
    (e) Submission of deposition to witness; changes; signing. When the 
testimony is fully transcribed, the deposition of each witness shall be 
submitted to him for examination and shall be read to or by him, unless 
such examination and reading are waiver by the witness and by the 
parties. Any changes in form or substance which the witness desires to 
make shall be entered upon the deposition by the officer with a 
statement of the reasons given by the witness for making them. The 
deposition shall then be signed by the witness, unless the parties by 
stipulation waive the signing, or the witness is ill, cannot be found, 
or refuses to sign. If the deposition is not signed by the witness, the 
officer shall sign it and state on the

[[Page 163]]

record the fact of the waiver, the illness or absence of the witness, or 
of his refusal to sign, together with the reason (if any) given 
therefor; and the deposition may then be used as fully as though signed, 
unless upon a motion to suppress, the presiding officer holds that the 
reason given for the refusal to sign requires rejection of the 
deposition in whole or in part.
    (f) Certification of deposition and filing by officer; copies. The 
officer shall certify on the deposition that the witness was duly sworn 
by him, that the deposition is a true record of the testimony given by 
the witness, and that said officer is not of counsel or attorney to 
either of the parties, nor interested in the event of the proceeding or 
investigation. He shall then securely seal the deposition in an envelope 
endorsed with the title of the action and marked ``Deposition of (here 
insert name of witness)'' and shall promptly send the original and two 
copies of the deposition and of all exhibits, together with the notice 
and any interrogatories received by him, by certified mail to the 
Secretary of the Commission.

[33 FR 463, Jan. 12, 1968, as amended at 47 FR 51873, Nov. 18, 1982]



Sec. 1.319  Objections to the taking of depositions.

    (a) Objections to be made by motion prior to the taking of 
depositions. If there is objection to the substance of any interrogatory 
or to examination on any matter clearly covered by the notice to take 
depositions, the objection shall be made in a motion opposing the taking 
of depositions or in a motion to limit or suppress the interrogatory as 
provided in Secs. 1.315(b) and 1.316(d) and shall not be made at the 
taking of the deposition.
    (b) Objections to be made at the taking of depositions. Errors and 
irregularities occurring at the oral examination in the manner of taking 
the deposition, in the form of the questions or answers, in the oath or 
affirmation, or in the conduct of parties, and errors of any kind which 
might be obviated, removed, or cured if promptly presented, are waived 
unless reasonable objection thereto is made at the taking of the 
deposition. If such objection is made, counsel shall, if possible, agree 
upon the measures required to obviate, remove, or cure such errors. The 
measures agreed upon shall be taken. If agreement cannot be reached, the 
objection shall be noted on the deposition by the officer taking it, and 
the testimony objected to shall be taken subject to the objection.
    (c) Additional objections which may be made at the taking of 
depositions. Objection may be made at the taking of depositions on the 
ground of relevancy or privilege, if the notice to take depositions does 
not clearly indicate that the witness is to be examined on the matters 
to which the objection relates. See paragraph (a) of this section. 
Objection may also be made on the ground that the examination is being 
conducted in such manner as to unreasonably annoy, embarrass, or oppress 
a deponent or party.
    (1) When there is objection to a line of questioning, as permitted 
by this paragraph, counsel shall, if possible, reach agreement among 
themselves regarding the proper limits of the examination.
    (2) If counsel cannot agree on the proper limits of the examination 
the taking of depositions shall continue on matters not objected to and 
counsel shall, within 24 hours, either jointly or individually, 
telegraph statements of their positions to the presiding officer, 
together with the telephone numbers at which they and the officer taking 
the depositions can be reached, or shall otherwise jointly confer with 
the presiding officer. If individual statements are submitted, copies 
shall be provided to all counsel participating in the taking of 
depositions.
    (3) The presiding officer shall promptly rule upon the question 
presented or take such other action as may be appropriate under 
Sec. 1.313, and shall give notice of his ruling, by telephone, to 
counsel who submitted statements and to the officer taking the 
depositions. The presiding officer shall thereafter reduce his ruling to 
writing.
    (4) The taking of depositions shall continue in accordance with the 
presiding officer's ruling. Such rulings are not subject to appeal.

[33 FR 463, Jan. 12, 1968]

[[Page 164]]



Sec. 1.321  Use of depositions at the hearing.

    (a) No inference concerning the admissibility of a deposition in 
evidence shall be drawn because of favorable action on the notice to 
take depositions.
    (b) Except as provided in this paragraph and in Sec. 1.319, 
objection may be made at the hearing to receiving in evidence any 
deposition or part thereof for any reason which would require the 
exclusion of the evidence if the witness were then present and 
testifying.
    (1) Objections to the competency of a witness, or the competency, 
relevancy or materiality of testimony are waived by failure to make them 
before or during the taking of depositions if (and only if) the ground 
of the objection is one which might have been obviated or removed if 
presented at that time.
    (2) Objection on the ground of privilege is waived by failure to 
make it before or during the taking of depositions.
    (c) A party shall not be deemed to make a person his own witness for 
any purpose by taking his deposition. The introduction in evidence of 
the deposition or any part thereof for any purpose other than that of 
contradicting or impeaching the deponent makes the deponent the witness 
of the party introducing the deposition, but this shall not apply to the 
use by an adverse party of a deposition as described in paragraph (d)(2) 
of this section. At the hearing any party may rebut any relevant 
evidence contained in a deposition whether introduced by him or by any 
other party.
    (d) At the hearing (or in a pleading), any part or all of a 
deposition, so far as admissible, may be used against any party who was 
present or represented at the taking of the deposition or who had due 
notice thereof, in accordance with any one of the following provisions:
    (1) Any deposition may be used by any party for the purpose of 
contradicting or impeaching the testimony of deponent as a witness.
    (2) The deposition of a party or of any one who at the time of 
taking the deposition was an officer, director, or managing agent of a 
public or private corporation, partnership or association which is a 
party may be used by an adverse party for any purpose.
    (3) To the extent that the affirmative direct case of a party is 
made in writing pursuant to Sec. 1.248(d), the deposition of any 
witness, whether or not a party, may be used by any party for any 
purpose, provided the witness is made available for cross-examination. 
In all cases, the deposition of a witness, whether or not a party, may 
be used by any party for any purpose if the presiding officer finds: (i) 
That the witness is dead; or (ii) that the witness is out of the United 
States, unless it appears that the absence of the witness was procured 
by the party offering the deposition; or (iii) that the witness is 
unable to attend or testify because of age, sickness, infirmity, or 
imprisonment; or (iv) upon application and notice, that such exceptional 
circumstances exist as to make it desirable in the interest of justice 
and with due regard to the importance of presenting the testimony of 
witnesses orally in open hearing, to allow the deposition to be used.
    (4) If only part of a deposition is offered in evidence by a party, 
an adverse party may require him to introduce all of it which is 
relevant to the part introduced, and any party may introduce any other 
parts.
    (5) Substitution of parties does not affect the right to use 
depositions previously taken; and, when an action in any hearing has 
been dismissed and another action involving the same subject matter is 
afterward brought between the same parties or their representatives or 
successors in interest, all depositions lawfully taken and duly filed in 
the former action may be used in the latter as if originally taken 
therefor.

[33 FR 463, Jan. 12, 1968, as amended at 41 FR 14874, Apr. 8, 1976]



Sec. 1.323  Interrogatories to parties.

    (a) Interrogatories. Any party may serve upon any other party 
written interrogatories to be answered in writing by the party served 
or, if the party served is a public or private corporation or a 
partnership or association, by any officer or agent, who shall furnish 
such information as is available to the party. A copy of the 
interrogatories

[[Page 165]]

shall be served upon all parties to the proceeding. An original and 
three copies of the interrogatories, answers, and all related pleadings 
shall be filed with the Secretary of the Commission. A copy of the 
interrogatories, answers and all related pleadings shall be served on 
the presiding officer.
    (1) Except as otherwise provided in a protective order, the number 
of interrogatories or sets of interrogatories is not limited.
    (2) Except as provided in such an order, interrogatories may be 
served after a deposition has been taken, and a deposition may be sought 
after interrogatories have been answered.
    (b) Answers and objections. Each interrogatory shall be answered 
separately and fully in writing under oath or affirmation, unless it is 
objected to, in which event the reasons for objection shall be stated in 
lieu of an answer. The answers shall be signed by the person making 
them, and the objections by the attorney making them. The party upon 
whom the interrogatories were served shall serve a copy of the answers 
and objections upon all parties to the proceeding within 14 days after 
service of the interrogatories, or within such shorter or longer period 
as the presiding officer may allow. Answers may be used in the same 
manner as depositions of a party (see Sec. 1.321(d)).
    (c) Motion to compel an answer. Any party to the proceeding may, 
within 7 days, move for an order with respect to any objection or other 
failure to answer an interrogatory. For purposes of this paragraph, an 
evasive or incomplete answer is a failure to answer; and if the motion 
is based on the assertion that the answer is evasive or incomplete, it 
shall contain a statement as to the scope and detail of an answer which 
would be considered responsive and complete. The party upon whom the 
interrogatories were served may file a response within 7 days after the 
motion is filed, to which he may append an answer or an amended answer. 
Additional pleadings should not be submitted and will not be considered.
    (d) Action by the presiding officer. If the presiding officer 
determines that an objection is not justified, he shall order that the 
answer be served. If an interrogatory has not been answered, the 
presiding officer may rule that the right to object has been waived and 
may order that an answer be served. If an answer does not comply fully 
with the requirements of this section, the presiding officer may order 
that an amended answer be served, may specify the scope and detail of 
the matters to be covered by the amended answer, and may specify any 
appropriate procedural consequences (including adverse findings of fact 
and dismissal with prejudice) which will follow from the failure to make 
a full and responsive answer. If a full and responsive answer is not 
made, the presiding officer may issue an order invoking any of the 
procedural consequences specified in the order to compel an answer.
    (e) Appeal. As order to compel an answer is not subject to appeal.

[33 FR 10572, July 25, 1968, as amended at 35 FR 17334, Nov. 11, 1970]



Sec. 1.325  Discovery and production of documents and things for inspection, copying, or photographing.

    (a) A party to a Commission proceeding may request any other party 
except the Commission to produce and permit inspection and copying or 
photographing, by or on behalf of the requesting party, of any 
designated documents, papers, books, accounts, letters, photographs, 
objects, or tangible things which constitute or contain evidence within 
the scope of the examination permitted by Sec. 1.311(b) of this part and 
which are in his possession, custody, or control or to permit entry upon 
designated land or other property in his possession or control for 
purposes of inspecting, measuring, surveying, or photographing the 
property or any designated object or operation thereon within the scope 
of the examination permitted by Sec. 1.311(b) of this part.
    (1) Such requests need not be filed with the presiding officer, but 
copies of the request shall be served on all other parties to the 
proceeding.
    (2) The party against whom the request was made must, within 10 
days, comply with the request or object to the request, claiming a 
privilege or raising other proper objections. If the request is not 
complied with in whole or in part, the requesting party may

[[Page 166]]

file a motion to compel production of documents or access to property 
with the presiding officer. A motion to compel must be accompanied by a 
copy of the original request and the responding party's objection or 
claim of privilege. Motions to compel must be filed within five business 
days of the objection or claim of privilege.
    (3) In resolving any disputes involving the production of documents 
or access to property, the presiding officer may direct that the 
materials objected to be presented to him for in camera inspection.
    (b) Any party seeking the production of Commission records should 
proceed under Sec. 0.460 or Sec. 0.461 of this chapter. See Secs. 0.451 
through 0.467.
    (c) In comparative broadcast proceedings involving applicants for 
only new facilities, all applicants will serve the materials listed in 
the Standard Document Production Order and the Standardized Integration 
Statement on all other parties in the case that have filed Notices of 
Appearance. The exchange of these materials must be accomplished within 
five days after the date established for filing notices of appearance 
(see Sec. 1.221).
    (1) Standard Document Production Order. The following documents must 
be produced or objected to on grounds of privilege (Unless otherwise 
directed by the presiding officer, copies of these documents should not 
be filed with the presiding officer):
    (i) All formation and organizational documents, including articles 
of incorporation, by laws, partnership agreements, voting rights, 
proxies, and any amendments to the foregoing documents;
    (ii) All minutes of meetings relating to the application;
    (iii) All documents relating to the rights or plans of persons or 
entities to purchase an interest in the applicant or of current owners 
to alineate their interests;
    (iv) All documents relating to pledges, mortgages, security 
interests, or other encumbrances of any kind with respect to the 
applicant;
    (v) All bank letters and other financing documents with the dollar 
amounts unexpurgated;
    (vi) All documents relating to the applicant's proposed transmitter 
site;
    (vii) All documents relating to communications by proposed 
integrated principals with respect to their proposed participation in 
the management of the station and the disposition of their current 
employment;
    (viii) All documents relating to prior integration pledges made by 
principals who propose to be integrated into the management of the 
station at issue;
    (ix) All documents relating to communications by and between 
principals of the applicant concerning the application, including 
communications between active and passive principals;
    (x) Representative documents relating to enhancement credits and 
preferences sought by the applicant's principals for local residence, 
civic participation, past broadcast experience, minority/female status, 
and the like;
    (xi) All documents relating to commitments to divest other media 
interests; and
    (xii) All documents that identify or describe the principals who are 
responsible for completing the application, arranging financing, 
obtaining the applicant's transmitter site, publishing the required 
notices, establishing the local public inspection file, and retaining 
lawyers, engineers, and other professionals.
    (2) Standardized Integration Statement. On the same day that 
documents are exchanged pursuant to the Standardized Document Production 
Order, the following information must also be provided by all applicants 
(Copies of this statement should be filed with the presiding officer and 
served on all parties to the proceeding that have filed Notices of 
Appearance):
    (i) The ownership structure of the applicant, i.e., whether it is a 
partnership, limited partnership, or a corporation (if a corporation, 
indicate whether it has voting and non-voting stock);
    (ii) The ownership percentage of each owner;
    (iii) The identity of the owners who will work at the proposed 
station, what titles and duties they will have, how many hours they will 
work per week, and how they will reconcile any current business 
interests or employment with that commitment to the station;

[[Page 167]]

    (iv) All other media interests held by the persons identified under 
paragraph (c)(2)(ii), of this section;
    (v) Whether the integrated owners will claim credit for minority or 
female ownership and if so, specifically on what basis;
    (vi) Whether the integrated owners will claim credit for local 
residence and civic involvement in the city of license or service area 
and if so, specifically on what basis (including a detailed chronology 
of past residence and a description of civic activities and their 
duration);
    (vii) Whether the integrated owners will claim credit for previous 
broadcast experience and if so, provide a detailed list of the stations 
they worked at, the titles and duties they had, and the years in which 
they were so employed; and
    (viii) Whether the applicant will claim a daytimer preference and if 
so, specifically on what basis.
    (3) Supplemental document production. Parties may request additional 
relevant documents, not called for in the Standard Document Production 
Order, at any time after the release of the designation order. 
Supplemental requests for documents based on materials exchanged 
pursuant to the Standardized Document Production Order and Standardized 
Integration Statement must be filed no later than ten days after those 
standardized exchanges. Other supplemental document requests must be 
filed no later than ten days after receipt of the information on which 
those requests are based. Supplemental document requests will be handled 
under the procedures established in paragraph (a) of this section. To 
facilitate the resolution of disputes concerning the production of 
documents, the presiding officer may convene a pre-hearing conference to 
hear argument on and dispose of any such disputes.

[33 FR 463, Jan. 12, 1968, as amended at 40 FR 39509, Aug. 28, 1975; 56 
FR 794, Jan. 9, 1991; 56 FR 25639, June 5, 1991]

                                Subpenas

    Authority: Sections 1.331 and 1.333 through 1.340 are issued under 
sec. 409, 48 Stat. 1096; 47 U.S.C. 409.



Sec. 1.331  Who may sign and issue.

    Subpenas requiring the attendance and testimony of witnesses, and 
subpenas requiring the production of any books, papers, schedules of 
charges, contracts, agreements, and documents relating to any matter 
under investigation or hearing, may be signed and issued as follows:
    (a) Hearings before the Commission en banc, an individual 
commissioner, or a panel of commissioners: By any commissioner 
participating in the conduct of the hearing.
    (b) Hearings before an administrative law judge: By the 
administrative law judge or, in his absence, by the Chief Administrative 
Law Judge.



Sec. 1.333  Requests for issuance of subpena.

    (a) Unless submitted on the record while a hearing is in progress, 
requests for a subpena ad testificandum shall be submitted in writing.
    (b) Requests for a subpena duces tecum shall be submitted in 
writing, duly subscribed and verified, and shall specify with 
particularity the books, papers, and documents desired and the facts 
expected to be proved thereby. Where the subpena duces tecum request is 
directed to a nonparty to the proceeding, the presiding officer may 
issue the same, upon request, without an accompanying subpena to enforce 
a notice to take depositions, provided for in paragraph (e) of this 
section, where it appears that the testimony of said person is not 
required in connection with the subpena duces tecum.
    (c) All requests for subpenas shall be supported by a showing of the 
general relevance and materiality of the evidence sought.
    (d) Requests for subpenas shall be submitted in triplicate, but need 
not be served on the parties to the proceeding.
    (e) Requests for issuance of a subpena ad testificandum to enforce a 
notice to take depositions shall be submitted in writing. Such requests 
may be submitted with the notice or at a later date. The request shall 
not be granted until the period for the filing of motions opposing the 
taking of depositions has expired or, if a motion has been filed, until 
that motion has been acted on. Regardless of the time when

[[Page 168]]

the subpena request is submitted, it need not be accompanied by a 
showing that relevant and material evidence will be adduced, but merely 
that the person will be examined regarding a nonprivileged matter which 
is relevant to the hearing issues. The subpena request may ask that a 
subpena duces tecum be contemporaneously issued commanding the person to 
whom it is directed to produce designated books, papers, documents, or 
tangible things which constitute or contain evidence relating to any of 
the matters within the scope of the examination permitted by 
Sec. 1.311(b) but in that event the subpena request will be subject to 
the provisions of Sec. 1.313 and paragraph (b) of this section.
    (f) Requests for issuance of a subpena duces tecum to enforce an 
order for the production of documents and things for inspection and 
copying under Sec. 1.325 may be submitted with the motion requesting the 
issuance of such an order. Regardless of the time when the subpena 
request is submitted, it need not be accompanied by a showing that 
relevant and material evidence will be adduced, but merely that the 
documents and things to be examined contain nonprivileged matter which 
is relevant to the subject matter of the proceeding.

[28 FR 12425, Nov. 22, 1963, as amended at 33 FR 466, Jan. 12, 1968; 47 
FR 51873, Nov. 18, 1982]



Sec. 1.334  Motions to quash.

    Any person against whom a subpena is directed may file a motion to 
quash or limit the subpena, setting forth the reasons why the subpena 
should not be complied with or why it should be limited in scope.



Sec. 1.335  Rulings.

    Prompt notice, including a brief statement of the reasons therefor, 
will be given of the denial, in whole or in part, of a request for 
subpena or of a motion to quash.



Sec. 1.336  Service of subpenas.

    (a) A subpena may be served by a United States marshal or his 
deputy, by Commission personnel, or by any person who is not a party to 
the proceeding and is not less than 18 years of age.
    (b) Service of a subpena upon the person named therein shall be made 
by exhibiting the original subpena to him, by reading the original 
subpena to him if he is unable to read, by delivering the duplicate 
subpena to him, and by tendering to him the fees for one day's 
attendance at the proceeding to which he is summoned and the mileage 
allowed by law. If the subpena is issued on behalf of the United States 
or an officer or agency thereof, attendance fees and mileage need not be 
tendered.



Sec. 1.337  Return of service.

    (a) If service of the subpena is made by a person other than a 
United States marshal or his deputy such person shall make affidavit 
thereof, stating the date, time, and manner of service.
    (b) In case of failure to make service, the reasons for the failure 
shall be stated on the original subpena by the person who attempted to 
make service.
    (c) The original subpena, bearing or accompanied by the required 
return affidavit or statement, shall be returned forthwith to the 
Secretary of the Commission or, if so directed on the subpena, to the 
official before whom the person named in the subpena is required to 
appear.



Sec. 1.338  Subpena forms.

    (a) Subpena forms, marked ``Original'', ``Duplicate'', and 
``Triplicate'', and bearing the Commission's seal, may be obtained from 
the Commission's Dockets Division. These forms are to be completed and 
submitted with any request for issuance of a subpena.
    (b) If the request for issuance of a subpena is granted, the 
``Original'' and ``Duplicate'' copies of the subpena are returned to the 
person who submitted the request. The ``Triplicate'' copy is retained 
for the Commission's files.
    (c) The ``Original'' copy of the subpena includes a form for proof 
of service. This form is to be executed by the person who effects 
service and returned by him to the Secretary of the Commission or, if so 
directed on the subpena, to the official before whom the person named in 
the subpena is required to appear.
    (d) The ``Duplicate'' copy of the subpena shall be served upon the 
person

[[Page 169]]

named therein and retained by him. This copy should be presented in 
support of any claim for witness fees or mileage allowances for 
testimony on behalf of the Commission.



Sec. 1.339  Witness fees.

    Witnesses who are subpenaed and respond thereto are entitled to the 
same fees, including mileage, as are paid for like service in the courts 
of the United States. Fees shall be paid by the party at whose instance 
the testimony is taken.



Sec. 1.340  Attendance of witness; disobedience.

    The attendance of witnesses and the production of documentary 
evidence may be required from any place in the United States at any 
designated place of hearing. In case of disobedience to a subpena, the 
Commission or any party to a proceeding before the Commission may invoke 
the aid of any court of the United States in requiring the attendance 
and testimony of witnesses and the production of documentary evidence.

                                Evidence



Sec. 1.351  Rules of evidence.

    Except as otherwise provided in this subpart, the rules of evidence 
governing civil proceedings in matters not involving trial by jury in 
the courts of the United States shall govern formal hearings. Such rules 
may be relaxed if the ends of justice will be better served by so doing.



Sec. 1.352  Cumulative evidence.

    The introduction of cumulative evidence shall be avoided, and the 
number of witnesses that may be heard in behalf of a party on any issue 
may be limited.



Sec. 1.353  Further evidence during hearing.

    At any stage of a hearing, the presiding officer may call for 
further evidence upon any issue and may require such evidence to be 
submitted by any party to the proceeding.



Sec. 1.354  Documents containing matter not material.

    If material and relevant matter offered in evidence is embraced in a 
document containing other matter not material or relevant, and not 
intended to be put in evidence, such document will not be received, but 
the party offering the same shall present to other counsel, and to the 
presiding officer, the original document, together with true copies of 
such material and relevant matter taken therefrom, as it is desired to 
introduce. Upon presentation of such matter, material and relevant, in 
proper form, it may be received in evidence, and become a part of the 
record. Other counsel will be afforded an opportunity to introduce in 
evidence, in like manner, other portions of such document if found to be 
material and relevant.



Sec. 1.355  Documents in foreign language.

    Every document, exhibit, or other paper written in a language other 
than English, which shall be filed in any proceeding, or in response to 
any order, shall be filed in the language in which it is written 
together with an English translation thereof duly verified under oath to 
be a true translation. Each copy of every such document, exhibit, or 
other paper filed shall be accompanied by a separate copy of the 
translation.



Sec. 1.356  Copies of exhibits.

    No document or exhibit, or part thereof, shall be received as, or 
admitted in, evidence unless offered in duplicate. In addition, when 
exhibits of a documentary character are to be offered in evidence, 
copies shall be furnished to other counsel unless the presiding officer 
otherwise directs.



Sec. 1.357  Mechanical reproductions as evidence.

    Unless offered for the sole purpose of attempting to prove or 
demonstrate sound effect, mechanical or physical reproductions of sound 
waves shall not be admitted in evidence. Any party desiring to offer any 
matter alleged to be contained therein or thereupon shall have such 
matter typewritten on paper of the size prescribed by Sec. 1.49, and the 
same shall be identified and offered in

[[Page 170]]

duplicate in the same manner as other exhibits.



Sec. 1.358  Tariffs as evidence.

    In case any matter contained in a tariff schedule on file with the 
Commission is offered in evidence, such tariff schedule need not be 
produced or marked for identification, but the matter so offered shall 
be specified with particularity (tariff and page number) in such manner 
as to be readily identified, and may be received in evidence by 
reference subject to check with the original tariff schedules on file.



Sec. 1.359  Proof of official record; authentication of copy.

    An official record or entry therein, when admissible for any 
purpose, may be evidenced by an official publication thereof or by a 
copy attested by the officer having legal custody of the record, or by 
his deputy, and accompanied with a certificate that such officer has the 
custody. If the office in which the record is kept is within the United 
States or within a territory or insular possession subject to the 
dominion of the United States, the certificate may be made by the judge 
of a court of record of the district or political subdivision in which 
the record is kept, authenticated by the seal of the court, or may be 
made by any public officer having a seal of office having official 
duties in the district or political subdivision in which the record is 
kept, authenticated by the seal of his office. If the office in which 
the record is kept is in a foreign state or country, the certificate may 
be made by a secretary of embassy or legation, consul general, consul, 
vice consul, or consular agent, or by any officer in the foreign service 
of the United States stationed in the foreign state or country in which 
the record is kept, and authenticated by the seal of his office.



Sec. 1.360  Proof of lack of record.

    The absence of an official record or entry of a specified tenor in 
an official record may be evidenced by a written statement signed by an 
officer, or by his deputy, who would have custody of the official 
record, if it existed, that after diligent search no record or entry of 
a specified tenor is found to exist in the records of his office, 
accompanied by a certificate as provided in Sec. 1.359. Such statement 
and certificate are admissible as evidence that the records of his 
office contain no such record or entry.



Sec. 1.361  Other proof of official record.

    Sections 1.359 and 1.360 do not prevent the proof of official 
records or of entry or lack of entry therein by any method authorized by 
any applicable statute or by the rules of evidence at common law.



Sec. 1.362  Production of statements.

    After a witness is called and has given direct testimony in a 
hearing, and before he is excused, any party may move for the production 
of any statement of such witness, or part thereof, pertaining to his 
direct testimony, in possession of the party calling the witness, if 
such statement has been reduced to writing and signed or otherwise 
approved or adopted by the witness. Such motion shall be directed to the 
presiding officer. If the party declines to furnish the statement, the 
testimony of the witness pertaining to the requested statement shall be 
stricken.

[33 FR 466, Jan. 12, 1968]



Sec. 1.363  Introduction of statistical data.

    (a) All statistical studies, offered in evidence in common carrier 
hearing proceedings, including but not limited to sample surveys, 
econometric analyses, and experiments, and those parts of other studies 
involving statistical methodology shall be described in a summary 
statement, with supplementary details added in appendices so as to give 
a comprehensive delineation of the assumptions made, the study plan 
utilized and the procedures undertaken. In the case of sample surveys, 
there shall be a clear description of the survey design, including the 
definition of the universe under study, the sampling frame, and the 
sampling units; an explanation of the method of selecting the sample and 
the characteristics measured or counted. In the case of econometric 
investigations, the econometric model shall be completely described and 
the reasons given for each

[[Page 171]]

assumption and statistical specification. The effects on the final 
results of changes in the assumptions should be made clear. When 
alternative models and variables have been employed, a record shall be 
kept of these alternative studies, so as to be available upon request. 
In the case of experimental analyses, a clear and complete description 
of the experimental design shall be set forth, including a specification 
of the controlled conditions and how the controls were realized. In 
addition, the methods of making observations and the adjustments, if 
any, to observed data shall be described. In the case of every kind of 
statistical study, the following items shall be set forth clearly: The 
formulas used for statistical estimates, standard errors and test 
statistics, the description of statistical tests, plus all related 
computations, computer programs and final results. Summary descriptions 
of input data shall be submitted. Upon request, the actual input data 
shall be made available.
    (b) In the case of all studies and analyses offered in evidence in 
common carrier hearing proceedings, other than the kinds described in 
paragraph (a) of this section, there shall be a clear statement of the 
study plan, all relevant assumptions and a description of the techniques 
of data collection, estimation and/or testing. In addition, there shall 
be a clear statement of the facts and judgments upon which conclusions 
are based and a statement of the relative weights given to the various 
factors in arriving at each conclusion, together with an indication of 
the alternative courses of action considered. Lists of input data shall 
be made available upon request.

[35 FR 16254, Oct. 16, 1970]



Sec. 1.364  Testimony by speakerphone.

    (a) If all parties to the proceeding consent and the presiding 
officer approves, the testimony of a witness may be taken by 
speakerphone.
    (b) Documents used by the witness shall be made available to counsel 
by the party calling the witness in advance of the speakerphone 
testimony. The taking of testimony by speakerphone shall be subject to 
such other ground rules as the parties may agree upon.

[43 FR 33251, July 31, 1978]



                    Subpart C--Rulemaking Proceedings

    Authority: 5 U.S.C. 553.

    Source: 28 FR 12432, Nov. 22, 1963, unless otherwise noted.

                                 General



Sec. 1.399  Scope.

    This subpart shall be applicable to notice and comment rulemakings 
proceedings conducted under 5 U.S.C. 553, and shall have no application 
to formal rulemaking (or rate making) proceedings unless the Commission 
directs that it shall govern the conduct of a particular proceeding.

[42 FR 25735, May 19, 1977]



Sec. 1.400  Definitions.

    As used in this subpart, the term party refers to any person who 
participates in a proceeding by the timely filing of a petition for rule 
making, comments on a notice of proposed rule making, a petition for 
reconsideration, or responsive pleadings in the manner prescribed by 
this subpart. The term does not include those who submit letters, 
telegrams or other informal materials.

[41 FR 1287, Jan. 7, 1976]

                     Petitions and Related Pleadings



Sec. 1.401  Petitions for rulemaking.

    (a) Any interested person may petition for the issuance, amendment 
or repeal of a rule or regulation.
    (b) The petition for rulemaking shall conform to the requirements of 
Secs. 1.49, 1.52 and 1.419(b) (or Sec. 1.420(e), if applicable), and 
shall be submitted or addressed to the Secretary, Federal Communications 
Commission, Washington, DC 20554, or (except in broadcast allotment 
proceedings) may be submitted electronically.
    (c) The petition shall set forth the text or substance of the 
proposed rule, amendment, or rule to be repealed, together with all 
facts, views, arguments

[[Page 172]]

and data deemed to support the action requested, and shall indicate how 
the interests of petitioner will be affected.
    (d) Petitions for amendment of the FM Table of Assignments 
(Sec. 73.202 of this chapter) or the Television Table of Assignments 
(Sec. 73.606) shall be served by petitioner on any Commission licensee 
or permittee whose channel assignment would be changed by grant of the 
petition. The petition shall be accompanied by a certificate of service 
on such licensees or permittees. A draft Notice of Proposed Rule Making 
may be submitted with a petition for amendment of the FM or Television 
Table of Assignments.
    (e) Petitions which are moot, premature, repetitive, frivolous, or 
which plainly do not warrant consideration by the Commission may be 
denied or dismissed without prejudice to the petitioner.

[28 FR 12432, Nov. 22, 1963, as amended at 28 FR 14503, Dec. 31, 1963; 
40 FR 53391, Nov. 18, 1975; 45 FR 42621, June 25, 1980; 63 FR 24125, May 
1, 1998]



Sec. 1.403  Notice and availability

    All petitions for rule making (other than petitions to amend the FM, 
Television, and Air-Ground Tables of Assignments) meeting the 
requirements of Sec. 1.401 will be given a file number and, promptly 
thereafter, a ``Public Notice'' will be issued (by means of a Commission 
release entitled ``Petitions for Rule Making Filed'') as to the 
petition, file number, nature of the proposal, and date of filing. 
Petitions for rule making are available at the Commission's Dockets 
Reference Center (1919 M Street NW., Room 239, Washington, DC), and may 
also be available electronically over the Internet at http://
www.fcc.gov/>.

[63 FR 24125, May 1, 1998]



Sec. 1.405  Responses to petitions; replies.

    Except for petitions to amend the FM Television or Air-Ground Tables 
of Assignments:
    (a) Any interested person may file a statement in support of or in 
opposition to a petition for rule making prior to Commission action on 
the petition but not later than 30 days after ``Public Notice'', as 
provided for in Sec. 1.403, is given of the filing of such a petition. 
Such a statement shall be accompanied by proof of service upon the 
petitioner on or prior to the date of filing in conformity with 
Sec. 1.47 and shall conform in other aspects with the requirements of 
Secs. 1.49, 1.52, and 1.419(b).
    (b) Any interested person may file a reply to statements in support 
of or in opposition to a petition for rule making prior to Commission 
action on the petition but not later than 15 days after the filing of 
such a statement. Such a reply shall be accompanied by proof of service 
upon the party or parties filing the statement or statements to which 
the reply is directed on or prior to the date of filing in conformity 
with Sec. 1.47 and shall conform in other aspects with the requirements 
of Secs. 1.49, 1.52, and 1.419(b).
    (c) No additional pleadings may be filed unless specifically 
requested by the Commission or authorized by it.
    (d) The Commission may act on a petition for rule making at any time 
after the deadline for the filing of replies to statements in support of 
or in opposition to the petition. Statements in support of or in 
opposition to a petition for rule making, and replies thereto, shall not 
be filed after Commission action.

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 
154, 303, 307)

[28 FR 12413, Nov. 22, 1963, as amended at 28 FR 14503, Dec. 31, 1963; 
45 FR 42621, June 25, 1980; 46 FR 60404, Dec. 9, 1981]



Sec. 1.407  Action on petitions.

    If the Commission determines that the petition discloses sufficient 
reasons in support of the action requested to justify the institution of 
a rulemaking proceeding, and notice and public procedure thereon are 
required or deemed desirable by the Commission, an appropriate notice of 
proposed rule making will be issued. In those cases where notice and 
public procedure thereon are not required, the Commission may issue a 
final order amending the rules. In all other cases the petition for rule 
making will be denied and the petitioner will be notified of the 
Commission's action with the grounds therefor.

[[Page 173]]

                         Rulemaking Proceedings



Sec. 1.411  Commencement of rulemaking proceedings.

    Rulemaking proceedings are commenced by the Commission, either on it 
own motion or on the basis of a petition for rulemaking. See 
Secs. 1.401-1.407.



Sec. 1.412  Notice of proposed rulemaking.

    (a) Except as provided in paragraphs (b) and (c) of this section, 
prior notice of proposed rulemaking will be given.
    (1) Notice is ordinarily given by publication of a ``Notice of 
Proposed Rule Making'' in the Federal Register. A summary of the full 
decision adopted by the Commission constitutes a ``Notice of Proposed 
Rulemaking'' for purposes of Federal Register publication.
    (2) If all persons subject to the proposed rules are named, the 
proposal may (in lieu of publication) be personally served upon those 
persons.
    (3) If all persons subject to the proposed rules are named and have 
actual notice of the proposal as a matter of law, further prior notice 
of proposed rulemaking is not required.
    (b) Rule changes (including adoption, amendment, or repeal of a rule 
or rules) relating to the following matters will ordinarily be adopted 
without prior notice:
    (1) Any military, naval, or foreign affairs function of the United 
States.
    (2) Any matter relating to Commission management or personnel or to 
public property, loans, grants, benefits, or contracts.
    (3) Interpretative rules.
    (4) General statements of policy.
    (5) Rules of Commission organization, procedure, or practice.
    (c) Rule changes may in addition be adopted without prior notice in 
any situation in which the Commission for good cause finds that notice 
and public procedure are impracticable, unnecessary, or contrary to the 
public interest. The finding of good cause and a statement of the basis 
for that finding are in such situations published with the rule changes.
    (d) In addition to the notice provisions of paragraph (a) of this 
section, the Commission, before prescribing any requirements as to 
accounts, records, or memoranda to be kept by carriers, will notify the 
appropriate State agencies having jurisdiction over any carrier involved 
of the proposed requirements.

[28 FR 12432, Nov. 22, 1963, as amended at 51 FR 7445, Mar. 4, 1986]



Sec. 1.413  Content of notice.

    A notice of the proposed issuance, amendment, or repeal of a rule 
will include the following:
    (a) A statement of the time, nature and place of any public 
rulemaking proceeding to be held.
    (b) Reference to the authority under which the issuance, amendment 
or repeal of a rule is proposed.
    (c) Either the terms or substance of the proposed rule or a 
description of the subjects and issues involved.
    (d) The docket number assigned to the proceeding.
    (e) A statement of the time for filing comments and replies thereto.



Sec. 1.415  Comments and replies.

    (a) After notice of proposed rulemaking is issued, the Commission 
will afford interested persons an opportunity to participate in the 
rulemaking proceeding through submission of written data, views, or 
arguments, with or without opportunity to present the same orally in any 
manner.
    (b) A reasonable time will be provided for submission of comments in 
support of or in opposition to proposed rules, and the time provided 
will be specified in the notice of proposed rulemaking.
    (c) A reasonable time will be provided for filing comments in reply 
to the original comments, and the time provided will be specified in the 
notice of proposed rulemaking.
    (d) No additional comments may be filed unless specifically 
requested or authorized by the Commission.

    Note: In some (but not all) rulemaking proceedings, interested 
persons may also communicate with the Commission and its staff on an ex 
parte basis, provided certain procedures are followed. See Secs. 1.420 
and 1.1200 et seq. See also ____ FCC 2d ____ (1980) (i.e., this order).


[[Page 174]]


    (e) For time limits for filing motions for extension of time for 
filing responses to petitions for rulemaking, replies to such responses, 
comments filed in response to notices of proposed rulemaking, replies to 
such comments, see Sec. 1.46(b).

[28 FR 12432, Nov. 22, 1963, as amended at 42 FR 28888, June 6, 1977; 45 
FR 45591, July 7, 1980; 52 FR 37460, Oct. 7, 1987]



Sec. 1.419  Form of comments and replies; number of copies.

    (a) Comments, replies, and other documents filed in a rulemaking 
proceeding shall conform to the requirements of Sec. 1.49.
    (b) An original and 4 copies of all comments, briefs and other 
documents filed in a rulemaking proceeding shall be furnished the 
Commission. The distribution of such copies shall be as follows:

Secretary (original and 1).......................................      2
Bureau...........................................................      2
Information office...............................................      1
                                                                  ------
      Total......................................................      5
 

    Participants filing the required 5 copies who also wish each 
Commissioner to have a personal copy of the comments may file an 
additional 5 copies. The distribution of such copies shall be as 
follows:

Commissioners....................................................      5
Secretary........................................................      2
Bureau...........................................................      2
Information office...............................................      1
                                                                  ------
      Total......................................................     10
 

    However, members of the general public who wish to express their 
interest by participating informally in a rulemaking proceeding may do 
so by submitting an original and one copy of their comments, without 
regard to form, provided only that the Docket Number is specified in the 
heading. Informal comments filed after close of the reply comment 
period, or, if on reconsideration, the reconsideration reply comment 
period, should be labeled ``ex parte'' pursuant to section 1.1206(a) of 
this chapter. Letters submitted to Commissioners or Commission staff 
will be treated in the same way as informal comments, as set forth 
above. Also such informal participants who wish the responsible members 
of the staff and the Commissioners to have personal copies may file an 
additional 7 copies. The distribution of such copies shall be as 
follows:

Commissioners....................................................      5
Secretary........................................................      2
Bureau...........................................................      2
                                                                  ------
      Total......................................................      9
 

    (c) Any person desiring to file identical documents in more than one 
docketed rulemaking proceeding shall furnish the Commission two 
additional copies of any such document for each additional docket. This 
requirement does not apply if the proceedings have been consolidated.
    (d) Participants that file comments and replies in electronic form 
need only submit one copy of those comments, so long as the submission 
conforms to any procedural or filing requirements established for formal 
electronic comments.
    (e) Comments and replies and other documents filed in electronic 
form by a party represented by an attorney shall include the name and 
mailing address of at least one attorney of record. Parties not 
represented by an attorney that file comments and replies and other 
documents in electronic form shall provide their name and mailing 
address.

[28 FR 12432, Nov. 22, 1963, as amended at 41 FR 50399, Nov. 16, 1976; 
50 FR 26567, June 27, 1985; 54 FR 29037, July 11, 1989; 63 FR 24125, May 
1, 1998; 63 FR 56091, Oct. 21, 1998]



Sec. 1.420  Additional procedures in proceedings for amendment of the FM or TV Tables of Allotments.

    (a) Comments filed in proceedings for amendment of the FM Table of 
Allotments (Sec. 73.202 of this chapter) or the Television Table of 
Allotments (Sec. 73.606 of this chapter) which are initiated on a 
petition for rule making shall be served on petitioner by the person who 
files the comments.
    (b) Reply comments filed in proceedings for amendment of the FM or 
Television Tables of Allotments shall be served on the person(s) who 
filed the comments to which the reply is directed.
    (c) Such comments and reply comments shall be accompanied by a 
certificate of service.

[[Page 175]]

    (d) Counterproposals shall be advanced in initial comments only and 
will not be considered if they are advanced in reply comments.
    (e) An original and 4 copies of all petitions for rulemaking, 
comments, reply comments, and other pleadings shall be filed with the 
Commission.
    (f) Petitions for reconsideration and responsive pleadings shall be 
served on parties to the proceeding and on any licensee or permittee 
whose authorization may be modified to specify operation on a different 
channel, and shall be accompanied by a certificate of service.
    (g) The Commission may modify the license or permit of an FM station 
to another class of channel or of a UHF TV station to a VHF channel in 
the same community in the course of the rule making proceeding to amend 
Sec. 73.202(b), Sec. 73.504(a) or Sec. 73.606(b) if any of the following 
conditions are met:
    (1) There is no other timely filed expression of interest, or
    (2) If another interest in the proposed channel is timely filed an 
additional equivalent class of channel is also allotted, assigned or 
available for application, or
    (3) With respect to FM, the modification of license or permit would 
occur on a mutually exclusive higher class adjacent or co-channel.

    Note 1: In certain situations, a licensee or permittee may seek an 
adjacent, intermediate frequency or co-channel upgrade by application. 
See Sec. 73.203(b) of this chapter.

    (h) Where licensees (or permittees) of television broadcast stations 
jointly petition to amend Sec. 73.606(b) and to exchange channels, and 
where one of the licensees (or permittees) operates on a commercial 
channel while the other operates on a reserved noncommercial educational 
channel within the same band, and the stations serve substantially the 
same market, then the Commission may amend Sec. 73.606(b) and modify the 
licenses (or permits) of the petitioners to specify operation on the 
appropriate channels upon a finding that such action will promote the 
public interest, convenience, and necessity.

    Note 2: Licensees and permittees operating Class A FM stations who 
seek to upgrade their facilities to Class B1, B, C3, C2, C1, or C on 
Channel 221, and whose proposed 1 mV/m signal contours would overlap the 
Grade B contour of a television station operating on Channel 6 must meet 
a particularly heavy burden by demonstrating that grants of their 
upgrade requests are in the public interest. In this regard, the 
Commission will examine the record in rule making proceedings to 
determine the availability of existing and potential non-commercial 
education service.

    (i) In the course of the rule making proceeding to amend 
Sec. 73.202(b) or Sec. 73.606(b), the Commission may modify the license 
or permit of an FM or television broadcast station to specify a new 
community of license where the amended allotment would be mutually 
exclusive with the licensee's or permittee's present assignment.
    (j) Whenever an expression of interest in applying for, 
constructing, and operating a station has been filed in a proceeding to 
amend the FM or TV Table of Allotments, and the filing party seeks to 
dismiss or withdraw the expression of interest, either unilaterally or 
in exchange for financial consideration, that party must file with the 
Commission a request for approval of the dismissal or withdrawal, a copy 
of any written agreement related to the dismissal or withdrawal, and an 
affidavit setting forth:
    (1) A certification that neither the party withdrawing its interest 
nor its principals has received or will receive any money or other 
consideration in excess of legitimate and prudent expenses in exchange 
for the dismissal or withdrawal of the expression of interest;
    (2) The exact nature and amount of any consideration received or 
promised;
    (3) An itemized accounting of the expenses for which it seeks 
reimbursement; and
    (4) The terms of any oral agreement related to the dismissal or 
withdrawal of the expression of interest.
    (5) In addition, within 5 days of a party's request for approval, 
each remaining party to any written or oral agreement must submit an 
affidavit setting forth:
    (i) A certification that neither it nor its principals has paid or 
will pay money or other consideration in excess of the legitimate and 
prudent expenses of the party withdrawing its expression of interest; 
and

[[Page 176]]

    (ii) The terms of any oral agreement relating to the dismissal or 
withdrawal of the expression of interest.

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 
154, 303, 307)

[39 FR 44022, Dec. 20, 1974, as amended at 40 FR 53391, Nov. 18, 1975; 
41 FR 1287, Jan. 7, 1976; 51 FR 15629, Apr. 25, 1986; 51 FR 20291, June 
4, 1986; 52 FR 8260, Mar. 17, 1987; 52 FR 25866, July 9, 1987; 54 FR 
16366, Apr. 24, 1989; 54 FR 26201, June 22, 1989; 55 FR 28914, July 16, 
1990; 58 FR 38535, July 19, 1993; 59 FR 59503, Nov. 17, 1994; 61 FR 
43472, Aug. 23, 1996]



Sec. 1.421  Further notice of rulemaking.

    In any rulemaking proceeding where the Commission deems it 
warranted, a further notice of proposed rulemaking will be issued with 
opportunity for parties of record and other interested persons to submit 
comments in conformity with Secs. 1.415 and 1.419.



Sec. 1.423  Oral argument and other proceedings.

    In any rulemaking where the Commission determines that an oral 
argument, hearing or any other type of proceeding is warranted, notice 
of the time, place and nature of such proceeding will be published in 
the Federal Register.

[58 FR 66300, Dec. 20, 1993]



Sec. 1.425  Commission action.

    The Commission will consider all relevant comments and material of 
record before taking final action in a rulemaking proceeding and will 
issue a decision incorporating its finding and a brief statement of the 
reasons therefor.



Sec. 1.427  Effective date of rules.

    (a) Any rule issued by the Commission will be made effective not 
less than 30 days from the time it is published in the Federal Register 
except as otherwise specified in paragraphs (b) and (c) of this section.
    (b) For good cause found and published with the rule, any rule 
issued by the Commission may be made effective within less than 30 days 
from the time it is published in the Federal Register. Rules involving 
any military, naval or foreign affairs function of the United States; 
matters relating to agency management or personnel, public property, 
loans, grants, benefits or contracts; rules granting or recognizing 
exemption or relieving restriction; rules of organization, procedure or 
practice; or interpretative rules; and statements of policy may be made 
effective without regard to the 30-day requirement.
    (c) In cases of alterations by the Commission in the required manner 
or form of keeping accounts by carriers, notice will be served upon 
affected carriers not less than 6 months prior to the effective date of 
such alterations.



Sec. 1.429  Petition for reconsideration.

    (a) Any interested person may petition for reconsideration of a 
final action in a proceeding conducted under this subpart (see 
Secs. 1.407 and 1.425). Where the action was taken by the Commission, 
the petition will be acted on by the Commission. Where action was taken 
by a staff official under delegated authority, the petition may be acted 
on by the staff official or referred to the Commission for action.

    Note: The staff has been authorized to act on rulemaking proceedings 
described in Sec. 1.420 and is authorized to make editorial changes in 
the rules (see Sec. 0.231(d)).

    (b) A petition for reconsideration which relies on facts which have 
not previously been presented to the Commission will be granted only 
under the following circumstances:
    (1) The facts relied on relate to events which have occurred or 
circumstances which have changed since the last opportunity to present 
them to the Commission;
    (2) The facts relied on were unknown to petitioner until after his 
last opportunity to present them to the Commission, and he could not 
through the exercise of ordinary diligence have learned of the facts in 
question prior to such opportunity; or
    (3) The Commission determines that consideration of the facts relied 
on is required in the public interest.
    (c) The petition for reconsideration shall state with particularity 
the respects in which petitioner believes the action taken should be 
changed.
    (d) The petition for reconsideration and any supplement thereto 
shall be filed within 30 days from the date of public notice of such 
action, as that

[[Page 177]]

date is defined in Sec. 1.4(b). No supplement to a petition for 
reconsideration filed after expiration of the 30 day period will be 
considered, except upon leave granted pursuant to a separate pleading 
stating the grounds for acceptance of the supplement. The petition for 
reconsideration shall not exceed 25 double-spaced typewritten pages. See 
also Sec. 1.49(f).
    (e) Except as provided in Sec. 1.420(f), petitions for 
reconsideration need not be served on parties to the proceeding. 
(However, where the number of parties is relatively small, the 
Commission encourages the service of petitions for reconsideration and 
other pleadings, and agreements among parties to exchange copies of 
pleadings. See also Sec. 1.47(d) regarding electronic service of 
documents.) When a petition for reconsideration is timely filed in 
proper form, public notice of its filing is published in the Federal 
Register. The time for filing oppositions to the petition runs from the 
date of public notice. See Sec. 1.4(b).
    (f) Oppositions to a petition for reconsideration shall be filed 
within 15 days after the date of public notice of the petition's filing 
and need be served only on the person who filed the petition. See also 
Sec. 1.49(d). Oppositions shall not exceed 25 double-spaced typewritten 
pages. See Sec. 1.49(f).
    (g) Replies to an opposition shall be filed within 10 days after the 
time for filing oppositions has expired and need be served only on the 
person who filed the opposition. Replies shall not exceed 10 double-
spaced typewritten pages. See also Secs. 1.49(d) and 1.49(f).
    (h) Petitions for reconsideration, oppositions and replies shall 
conform to the requirements of Secs. 1.49 and 1.52, except that they 
need not be verified. Except as provided in Sec. 1.420(e), an original 
and 11 copies shall be submitted to the Secretary, Federal 
Communications Commission, Washington, D.C. 20554. Parties filing in 
electronic form need only submit one copy.
    (i) The Commission may grant the petition for reconsideration in 
whole or in part or may deny the petition. Its order will contain a 
concise statement of the reasons for the action taken. Any order 
disposing of a petition for reconsideration which modifies rules adopted 
by the original order is, to the extent of such modification, subject to 
reconsideration in the same manner as the original order. Except in such 
circumstance, a second petition for reconsideration may be dismissed by 
the staff as repetitious.
    (j) The filing of a petition for reconsideration is not a condition 
precedent to judicial review of any action taken by the Commission, 
except where the person seeking such review was not a party to the 
proceeding resulting in the action or relies on questions of fact or law 
upon which the Commission has been afforded no opportunity to pass. 
Subject to the provisions of paragraph (b) of this section, such a 
person may qualify to seek judicial review by filing a petition for 
reconsideration.
    (k) Without special order of the Commission, the filing of a 
petition for reconsideration shall not excuse any person from complying 
with any rule or operate in any manner to stay or postpone its 
enforcement. However, upon good cause shown, the Commission will stay 
the effective date of a rule pending a decision on a petition for 
reconsideration. See, however, Sec. 1.420(f).

(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 
154, 303, 307)

[41 FR 1287, Jan. 7, 1976, as amended at 44 FR 5436, Jan. 26, 1979; 46 
FR 18556, Mar. 25, 1981; 52 FR 49161, Dec. 30, 1987; 63 FR 24126, May 1, 
1998]

                                Inquiries



Sec. 1.430  Proceedings on a notice of inquiry.

    The provisions of this subpart also govern proceedings commenced by 
issuing a ``Notice of Inquiry,'' except that such proceedings do not 
result in the adoption of rules, and Notices of Inquiry are not required 
to be published in the Federal Register.

[51 FR 7445, Mar. 4, 1986]



            Subpart D--Broadcast Applications and Proceedings

    Source: 44 FR 38483, July 2, 1979, unless otherwise noted.

[[Page 178]]



Sec. 1.502  Emergency Broadcast Authorizations.

    See Sec. 73.913.

                       General Filing Requirements



Sec. 1.511  Applications required.

    See Sec. 73.3511.



Sec. 1.512  Where to file; number of copies.

    See Sec. 73.3512.



Sec. 1.513  Who may sign applications.

    See Sec. 73.3513.



Sec. 1.514  Content of applications.

    See Sec. 73.3514.



Sec. 1.516  Specification of facilities.

    See Sec. 73.3516.



Sec. 1.517  Contingent applications.

    See Sec. 73.3517.



Sec. 1.518  Inconsistent or conflicting applications.

    See Sec. 73.3518.



Sec. 1.519  Repetitious applications.

    See Sec. 73.3519.



Sec. 1.520  Multiple applications.

    See Sec. 73.3520.



Sec. 1.522  Amendment of applications.

    See Sec. 73.3522.



Sec. 1.525  Agreements between parties for amendment or dismissal of, or failure to prosecute, broadcast applications.

    See Sec. 73.3525.



Sec. 1.526  Records to be maintained locally for public inspection by commercial applicants, permittees and licensees.

    See Sec. 73.3526.



Sec. 1.527  Records to be maintained locally for public inspection by noncommercial educational applicants, permittees and licensees.

    See Sec. 73.3527.



Sec. 1.531  Formal and informal applications.

    See Sec. 73.3511.



Sec. 1.533  Application forms for authority to construct a new station or make changes in an existing station.

    See Sec. 73.3533.



Sec. 1.534  Application for extension of construction permit or for construction permit to replace expired construction permit.

    See Sec. 73.3534.



Sec. 1.536  Application for license to cover construction permit.

    See Sec. 73.3536.



Sec. 1.538  Application for modification of license.

    See Sec. 73.3538.



Sec. 1.539  Application for renewal of license.

    See Sec. 73.3539.



Sec. 1.540  Application for voluntary assignment or transfer of control.

    See Sec. 73.3540.



Sec. 1.541  Application for involuntary assignment of license or transfer of control.

    See Sec. 73.3541.



Sec. 1.542  Application for temporary authorization.

    See Sec. 73.3542.



Sec. 1.543  Application for renewal or modification of special service authorization.

    See Sec. 73.3543.



Sec. 1.544  Application for broadcast station to conduct field strength measurements and for experimental operation.

    See Secs. 73.157 and 73.1510.



Sec. 1.545  Application for permit to deliver programs to foreign countries.

    See Sec. 73.3545.



Sec. 1.546  Application to determine operating power by direct measurement of antenna power.

    See Sec. 73.45.

[[Page 179]]



Sec. 1.549  Requests for extension of authority to operate without required monitors, indicating instruments, and EBS Attention Signal devices.

    See Sec. 73.3549.



Sec. 1.550  Requests for new or modified call sign assignments.

    See Sec. 73.3550.



Sec. 1.561  Staff consideration of applications which receive action by the Commission.

    See Sec. 73.3561.



Sec. 1.562  Staff consideration of applications which do not require action by the Commission.

    See Sec. 73.3562.



Sec. 1.564  Acceptance of applications.

    See Sec. 73.3564.



Sec. 1.566  Defective applications.

    See Sec. 73.3566.



Sec. 1.568  Dismissal of applications.

    See Sec. 73.3568.



Sec. 1.570  AM broadcast station applications involving other North American countries.

    See Sec. 73.3570.



Sec. 1.571  Processing AM broadcast station applications.

    See Sec. 73.3571.



Sec. 1.572  Processing TV broadcast and translator station applications.

    See Sec. 73.3572.



Sec. 1.573  Processing FM broadcast and translator station applications.

    See Sec. 73.3573.



Sec. 1.574  Processing of international broadcast station applications.

    See Sec. 73.3574.



Sec. 1.578  Amendments to applications for renewal, assignment or transfer of control.

    See Sec. 73.3578.



Sec. 1.580  Local public notice of filing of broadcast applications.

    See Sec. 73.3580.



Sec. 1.584  Petitions to deny.

    See Sec. 73.3584.



Sec. 1.587  Procedure for filing informal applications.

    See Sec. 73.3587.



Sec. 1.591  Grants without hearing.

    See Sec. 73.3591.



Sec. 1.592  Conditional grant.

    See Sec. 73.3592.



Sec. 1.593  Designation for hearing.

    See Sec. 73.3593.



Sec. 1.594  Local public notice of designation for hearing.

    See Sec. 73.3594.



Sec. 1.597  Procedures on transfer and assignment applications.

    See Sec. 73.3597.



Sec. 1.598  Period of construction.

    See Sec. 73.3598.



Sec. 1.599  Forfeiture of construction permit.

    See Sec. 73.3599.



Sec. 1.601  Simultaneous modification and renewal of license.

    See Sec. 73.3601.



Sec. 1.603  Special waiver procedure relative to applications.

    See Sec. 73.3603.



Sec. 1.605  Retention of applications in hearing status after designation for hearing.

    See Sec. 73.3605.



Sec. 1.612  Annual employment report.

    See Sec. 73.3612.



Sec. 1.613  Filing of contracts.

    See Sec. 73.3613.



Sec. 1.615  Ownership reports.

    See Sec. 73.3615.

[[Page 180]]



  Subpart E--Complaints, Applications, Tariffs, and Reports Involving 
                             Common Carriers

    Source: 28 FR 12450, Nov. 22, 1963, unless otherwise noted.

                                 General



Sec. 1.701  Show cause orders.

    (a) The Commission may commence any proceeding within its 
jurisdiction against any common carrier by serving upon the carrier an 
order to show cause. The order shall contain a statement of the 
particulars and matters concerning which the Commission is inquiring and 
the reasons for such action, and will call upon the carrier to appear 
before the Commission at a place and time therein stated and give 
evidence upon the matters specified in the order.
    (b) Any carrier upon whom an order has been served under this 
section shall file its answer within the time specified in the order. 
Such answer shall specifically and completely respond to all allegations 
and matters contained in the show cause order.
    (c) All papers filed by a carrier in a proceeding under this section 
shall conform with the specifications of Secs. 1.49 and 1.50 and the 
subscription and verification requirements of Sec. 1.52.

[28 FR 12450, Nov. 22, 1963, as amended at 36 FR 7423, Apr. 20, 1971]



Sec. 1.703  Appearances.

    (a) Hearings. Except as otherwise required by Sec. 1.221 regarding 
application proceedings, by Sec. 1.91 regarding proceedings instituted 
under section 312 of the Communications Act of 1934, as amended, or by 
Commission order in any proceeding, no written statement indicating 
intent to appear need be filed in advance of actual appearance at any 
hearing by any person or his attorney.
    (b) Oral arguments. Within 5 days after release of an order 
designating an initial decision for oral argument or within such other 
time as may be specified in the order, any party who wishes to 
participate in the oral argument shall file a written statement 
indicating that he will appear and participate. Within such time as may 
be specified in an order designating any other matter for oral argument, 
any person wishing to participate in the The Commission will advise him 
whether he may participate. (See Sec. 1.277 for penalties for failure to 
file appearance statements in proceedings involving oral arguments on 
initial decisions.)
    (c) Commission counsel. The requirement of paragraph (b) of this 
section shall not apply to counsel representing the Commission or the 
Chief of the Common Carrier Bureau.

                               Complaints



Sec. 1.711  Formal or informal complaints.

    Complaints filed against carriers under section 208 of the 
Communications Act may be either formal or informal.

                           Informal Complaints



Sec. 1.716  Form.

    An informal complaint shall be in writing and should contain: (a) 
The name, address and telephone number of the complaint, (b) the name of 
the carrier against which the complaint is made, (c) a complete 
statement of the facts tending to show that such carrier did or omitted 
to do anything in contravention of the Communications Act, and (d) the 
specific relief of satisfaction sought.

[51 FR 16039, Apr. 30, 1986]



Sec. 1.717  Procedure.

    The Commission will forward informal complaints to the appropriate 
carrier for investigation. The carrier will, within such time as may be 
prescribed, advise the Commission in writing, with a copy to the 
complainant, of its satisfaction of the complaint or of its refusal or 
inability to do so. Where there are clear indications from the carrier's 
report or from other communications with the parties that the complaint 
has been satisfied, the Commission may, in its discretion, consider a 
complaint proceeding to be closed, without response to the complainant. 
In all other cases, the Commission will contact the complainant 
regarding its review and disposition of the matters raised. If the

[[Page 181]]

complainant is not satisfied by the carrier's response and the 
Commission's disposition, it may file a formal complaint in accordance 
with Sec. 1.721 of this part.

[51 FR 16039, Apr. 30, 1986]



Sec. 1.718  Unsatisfied informal complaints; formal complaints relating back to the filing dates of informal complaints.

    When an informal complaint has not been satisfied pursuant to 
Sec. 1.717, the complainant may file a formal complaint with this 
Commission in the form specified in Sec. 1.721. Such filing will be 
deemed to relate back to the filing date of the informal complaint: 
Provided, That the formal complaint: (a) Is filed within 6 months from 
the date of the carrier's report, (b) makes reference to the date of the 
informal complaint, and (c) is based on the same cause of action as the 
informal complaint. If no formal complaint is filed within the 6-month 
period, the complainant will be deemed to have abandoned the unsatisfied 
informal complaint.

[51 FR 16040, Apr. 30, 1986]



Sec. 1.719  Informal complaints filed pursuant to section 258.

    (a) Notwithstanding the requirements of Secs. 1.716 through 1.718, 
the following procedures shall apply to complaints alleging that a 
carrier has violated section 258 of the Communications Act of 1934, as 
amended by the Telecommunications Act of 1996, by making an unauthorized 
change of a subscriber's preferred carrier, as defined by 
Sec. 64.1100(e) of this chapter.
    (b) Form. The complaint shall be in writing, and should contain: The 
complainant's name, address, telephone number and e-mail address (if the 
complainant has one); the name of both the allegedly unauthorized 
carrier, as defined by Sec. 64.1100(d) of this chapter, and authorized 
carrier, as defined by Sec. 64.1100(c) of this chapter; a complete 
statement of the facts (including any documentation) tending to show 
that such carrier engaged in an unauthorized change of the subscriber's 
preferred carrier; a statement of whether the complainant has paid any 
disputed charges to the allegedly unauthorized carrier; and the specific 
relief sought.
    (c) Procedure. The Commission will resolve slamming complaints under 
the definitions and procedures established in Secs. 64.1100 through 
64.1190 of this chapter. The Commission will issue a written (or 
electronic) order informing the complainant, the unauthorized carrier, 
and the authorized carrier of its finding, and ordering the appropriate 
remedy, if any, as defined by Secs. 64.1160 through 64.1170 of this 
chapter.
    (d) Unsatisfied Informal Complaints Involving Unauthorized Changes 
of a Subscriber's Preferred Carrier; Formal Complaints Relating Back to 
the Filing Dates of Informal Complaints. If the complainant is 
unsatisfied with the resolution of a complaint under this section, the 
complainant may file a formal complaint with the Commission in the form 
specified in Sec. 1.721. Such filing will be deemed to relate back to 
the filing date of the informal complaint filed under this section, so 
long as the informal complaint complied with the requirements of 
paragraph (b) of this section and provided that: The formal complaint is 
filed within 45 days from the date an order resolving the informal 
complaint filed under this section is mailed or delivered electronically 
to the complainant; makes reference to both the informal complaint 
number assigned to and the initial date of filing the informal complaint 
filed under this section; and is based on the same cause of action as 
the informal complaint filed under this section. If no formal complaint 
is filed within the 45-day period, the complainant will be deemed to 
have abandoned its right to bring a formal complaint regarding the cause 
of action at issue.

[65 FR 47690, Aug. 3, 2000]

    Effective Date Note: At 65 FR 47690, Aug. 3, 2000, Sec. 1.719 was 
added. This section contains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.

                            Formal Complaints



Sec. 1.720  General pleading requirements.

    Formal complaint proceedings are generally resolved on a written 
record consisting of a complaint, answer, and

[[Page 182]]

joint statement of stipulated facts, disputed facts and key legal 
issues, along with all associated affidavits, exhibits and other 
attachments. Commission proceedings may also require or permit other 
written submissions such as briefs, written interrogatories, and other 
supplementary documents or pleadings. Those formal complaint proceedings 
handled on the Enforcement Bureau's Accelerated Docket are subject to 
pleading and procedural rules that differ in some respects from the 
general rules for formal complaint proceedings.
    (a) Pleadings must be clear, concise, and explicit. All matters 
concerning a claim, defense or requested remedy, including damages, 
should be pleaded fully and with specificity.
    (b) Pleadings must contain facts which, if true, are sufficient to 
constitute a violation of the Act or Commission order or regulation, or 
a defense to such alleged violation.
    (c) Facts must be supported by relevant documentation or affidavit.
    (d) Legal arguments must be supported by appropriate judicial, 
Commission, or statutory authority.
    (e) Opposing authorities must be distinguished.
    (f) Copies must be provided of all non-Commission authorities relied 
upon which are not routinely available in national reporting systems, 
such as unpublished decisions or slip opinions of courts or 
administrative agencies.
    (g) Parties are responsible for the continuing accuracy and 
completeness of all information and supporting authority furnished in a 
pending complaint proceeding. Information submitted, as well as relevant 
legal authorities, must be current and updated as necessary and in a 
timely manner at any time before a decision is rendered on the merits of 
the complaint.
    (h) Specific reference shall be made to any tariff provision relied 
on in support of a claim or defense. Copies of relevant tariffs or 
relevant portions of tariffs that are referred to or relied upon in a 
complaint, answer, or other pleading shall be appended to such 
complaint, answer, or other pleading.
    (i) All statements purporting to summarize or explain Commission 
orders or policies must cite, in standard legal form, the Commission 
ruling upon which such statements are based.
    (j) Pleadings shall identify the name, address, telephone number, 
and facsimile transmission number for either the filing party's attorney 
or, where a party is not represented by an attorney, the filing party.

[53 FR 11852, Apr. 11, 1988, as amended at 58 FR 25572, Apr. 27, 1993; 
63 FR 1035, Jan. 7, 1998; 63 FR 41446, Aug. 4, 1998; 64 FR 60725, Nov. 
8, 1999]



Sec. 1.721  Format and content of complaints.

    (a) Subject to paragraph (e) of this section governing Accelerated 
Docket proceedings, a formal complaint shall contain:
    (1) The name of each complainant and defendant;
    (2) The occupation, address and telephone number of each complainant 
and, to the extent known, each defendant;
    (3) The name, address, and telephone number of complainant's 
attorney, if represented by counsel;
    (4) Citation to the section of the Communications Act and/or order 
and/or regulation of the Commission alleged to have been violated.
    (5) A complete statement of facts which, if proven true, would 
constitute such a violation. All material facts must be supported, 
pursuant to the requirements of Sec. 1.720(c) and paragraph (a)(11) of 
this section, by relevant affidavits and documentation, including copies 
of relevant written agreements, offers, counter-offers, denials, or 
other related correspondence. The statement of facts shall include a 
detailed explanation of the manner and time period in which a defendant 
has allegedly violated the Act, Commission order, or Commission rule in 
question, including a full identification or description of the 
communications, transmissions, services, or other carrier conduct 
complained of and the nature of any injury allegedly sustained by the 
complainant. Assertions based on information and belief are expressly 
prohibited unless made in good faith and accompanied by an affidavit 
explaining the basis for the plaintiff's belief and why the complainant 
could not reasonably

[[Page 183]]

ascertain the facts from the defendant or any other source;
    (6) Proposed findings of fact, conclusions of law, and legal 
analysis relevant to the claims and arguments set forth in the 
complaint;
    (7) The relief sought, including recovery of damages and the amount 
of damages claimed, if known;
    (8) Certification that the complainant has, in good faith, discussed 
or attempted to discuss, the possibility of settlement with each 
defendant prior to the filing of the formal complaint. Such 
certification shall include a statement that, prior to the filing of the 
complaint, the complainant mailed a certified letter outlining the 
allegations that form the basis of the complaint it anticipated filing 
with the Commission to the defendant carrier that invited a response 
within a reasonable period of time and a brief summary of all additional 
steps taken to resolve the dispute prior to the filing of the formal 
complaint. If no additional steps were taken, such certificate shall 
state the reason(s) why the complainant believed such steps would be 
fruitless;
    (9) Whether a separate action has been filed with the Commission, 
any court, or other government agency that is based on the same claim or 
same set of facts, in whole or in part, or whether the complaint seeks 
prospective relief identical to the relief proposed or at issue in a 
notice-and-comment proceeding that is concurrently before the 
Commission;
    (10) An information designation containing:
    (i) The name, address, and position of each individual believed to 
have firsthand knowledge of the facts alleged with particularity in the 
complaint, along with a description of the facts within any such 
individual's knowledge;
    (ii) A description of all documents, data compilations and tangible 
things in the complainant's possession, custody, or control, that are 
relevant to the facts alleged with particularity in the complaint. Such 
description shall include for each document:
    (A) The date it was prepared, mailed, transmitted, or otherwise 
disseminated;
    (B) The author, preparer, or other source;
    (C) The recipient(s) or intended recipient(s);
    (D) Its physical location; and
    (E) A description of its relevance to the matters contained in the 
complaint; and
    (iii) A complete description of the manner in which the complainant 
identified all persons with information and designated all documents, 
data compilations and tangible things as being relevant to the dispute, 
including, but not limited to, identifying the individual(s) that 
conducted the information search and the criteria used to identify such 
persons, documents, data compilations, tangible things, and information;
    (11) Copies of all affidavits, documents, data compilations and 
tangible things in the complainant's possession, custody, or control, 
upon which the complainant relies or intends to rely to support the 
facts alleged and legal arguments made in the complaint;
    (12) A completed Formal Complaint Intake Form;
    (13) Verification of the filing payment required under 
Sec. 1.1105(1)(c) or (d); and
    (14) A certificate of service.
    (b) The following format may be used in cases to which it is 
applicable, with such modifications as the circumstances may render 
necessary:

   Before the Federal Communications Commission, Washington, DC 20554

    In the matter of

_______________________________________________________________________
Complainant,

    v.

_______________________________________________________________________
Defendant.

File No. (To be inserted by the Enforcement Bureau)

                                Complaint

To: The Commission.
    The complainant (here insert full name of each complainant and, if a 
corporation, the corporate title of such complainant) shows that:
    1. (Here state occupation, post office address, and telephone number 
of each complainant).

[[Page 184]]

    2. (Here insert the name, occupation and, to the extent known, 
address and telephone number of defendants).
    3. (Here insert fully and clearly the specific act or thing 
complained of, together with such facts as are necessary to give a full 
understanding of the matter, including relevant legal and documentary 
support).
    Wherefore, complainant asks (here state specifically the relief 
desired).

_______________________________________________________________________
(Date)

_______________________________________________________________________
(Name of each complainant)

_______________________________________________________________________

(Name, address, and telephone number of attorney, if any)

    (c) Where the complaint is filed pursuant to Sec. 47 U.S.C. 
Sec. 271(d)(6)(B), the complainant shall clearly indicate whether or not 
it is willing to waive the ninety-day resolution deadline contained 
within 47 U.S.C. 271(d)(6)(B), in accordance with the requirements of 
Sec. 1.736.
    (d) The complainant may petition the staff, pursuant to Sec. 1.3, 
for a waiver of any of the requirements of this section. Such waiver may 
be granted for good cause shown.
    (e) Complaints on the Accelerated Docket. For the purpose of this 
paragraph (e), the term document also shall include data compilations 
and tangible things.
    (1) Formal complaints that have been accepted onto the Accelerated 
Docket shall conform to the requirements set out in this section with 
the following listed exceptions:
    (i) The requirement in Sec. 1.720(c) and paragraphs (a)(5) and 
(a)(11) of this section that factual assertions be supported by 
affidavit shall not apply to complaints on the Accelerated Docket. 
Nevertheless, allegations of material fact, whether based on personal 
knowledge or information and belief, that cannot be supported by 
documentation remain subject to the provisions of Sec. 1.52.
    (ii) Complaints on the Accelerated Docket are not required to 
include proposed findings of fact, conclusions of law, and legal 
analysis relevant to the claims and arguments set forth in the 
complaint, as required in paragraph (a)(6) of this section. 
Nevertheless, complaints on the Accelerated Docket shall fully set out 
the facts and legal theories on which the complainant premises its 
claims.
    (iii) In light of the requirement for staff-supervised settlement 
negotiations in Sec. 1.730(b), complaints on the Accelerated Docket are 
not required to include a certification that the complainant has 
discussed or attempted to discuss the possibility of settlement with 
each defendant, as required in paragraph (a)(8) of this section.
    (iv) In light of the automatic document production required in 
Sec. 1.729(i)(1), complaints on the Accelerated Docket are not required 
to include a description of all relevant documents in the complainant's 
possession, custody or control, as required in paragraph (a)(10)(ii) of 
this section.
    (v) Complaints on the Accelerated Docket are not required to provide 
the description, required in paragraph (a)(10)(iii) of this section, of 
the manner in which the complainant identified persons with knowledge 
of, and documents relevant to, the dispute.
    (2) Formal complaints that have been accepted onto the Accelerated 
Docket will comply with the following requirements in addition to those 
requirements generally applicable in formal complaint proceedings:
    (i) As required in Sec. 1.729(i)(1), complaints on the Accelerated 
Docket shall be accompanied, when served on defendants, by copies of 
documents, within the complainant's possession, custody or control, that 
are likely to bear significantly on the issues raised in the complaint. 
Unless otherwise directed, these documents shall not be filed with the 
Commission.
    (ii) Complaints on the Accelerated Docket will bear the following 
notation in bold typeface above the normal caption on the first page: 
``Accelerated Docket Proceeding: Answer Due Within Ten Days of Service 
Date.''

[53 FR 11853, Apr. 11, 1988, as amended at 63 FR 1035, Jan. 7, 1998; 63 
FR 41446, Aug. 4, 1998; 64 FR 60725, Nov. 8, 1999]



Sec. 1.722  Damages.

    (a) In a case where recovery of damages is sought, the complaint 
shall contain a clear and unequivocal request

[[Page 185]]

for damages and appropriate allegations in support of such claim in 
accordance with the requirements of paragraph (c) of this section.
    (b) Damages will not be awarded upon a complaint unless specifically 
requested. Damages may be awarded, however, upon a supplemental 
complaint that complies fully with the requirement of paragraph (c) of 
this section, based upon a finding of liability by the Commission in the 
original proceeding. Provided that:
    (1) If recovery of damages is first sought by supplemental 
complaint, such supplemental compalint must be filed within, and 
recovery is limited to, the statutory limitations contained in section 
415 of the Communications Act;
    (2) If recovery of damages is clearly and unequivocally requested in 
the original complaint, by identification of the claim giving rise to 
the damages and a general statement of the nature of the injury 
suffered, such claim for damages shall relate back to the filing date of 
the original formal complaint if:
    (i) The complainant clearly states in the original complaint that it 
chooses to have liability and prospective relief issues resolved prior 
to the consideration of damages issues; and
    (ii) The complainant files its supplemental complaint for damages 
within sixty days after public notice (as defined in Sec. 1.4(b)) of a 
decision on the merits of the original complaint.
    (3) Where a complainant voluntarily elects to seek the recovery of 
damages upon a supplemental complaint in accordance with the 
requirements of paragraph (b)(2) of this section, the Commission will 
resolve the liability complaint within any applicable complaint 
resolution deadlines contained in the Act and defer adjudication of the 
damages complaint until after the liability complaint has been resolved.
    (c) In all cases in which recovery of damages is sought, it shall be 
the responsibility of the complainant to include, within either the 
complaint or the supplemental complaint for damages filed in accordance 
with paragraph (b) of this section, either:
    (1) A computation of each and every category of damages for which 
recovery is sought, along with an identification of all relevant 
documents and materials or such other evidence to be used by the 
complainant to determine the amount of such damages; or
    (2) An explanation of:
    (i) The information not in the possession of the complaining party 
that is necessary to develop a detailed computation of damages;
    (ii) Why such information is unavailable to the complaining party;
    (iii) The factual basis the complainant has for believing that such 
evidence of damages exists; and
    (iv) A detailed outline of the methodology that would be used to 
create a computation of damages with such evidence.
    (d) Where a complainant voluntarily elects to seek the recovery of 
damages upon a supplemental complaint in accordance with the 
requirements of paragraph (b)(2) of this section, the following 
procedures may apply in the event that the Commission determines that 
the defendant is liable based upon its review of the original complaint:
    (1) Issues concerning the amount, if any, of damages may be either 
designated by the Enforcement Bureau for hearing before, or, if the 
parties agree, submitted for mediation to, a Commission Administrative 
Law Judge. Such Administrative Law Judge shall be chosen in the 
following manner:
    (i) By agreement of the parties and the Chief Administrative Law 
Judge; or
    (ii) In the absence of such agreement, the Chief Administrative Law 
Judge shall designate the Administrative Law Judge.
    (2) The Commission may, in its discretion, order the defendant 
either to post a bond for, or deposit into an interest bearing escrow 
account, a sum equal to the amount of damages which the Commission 
finds, upon preliminary investigation, is likely to be ordered after the 
issue of damages is fully litigated, or some lesser sum which may be 
appropriate, provided the Commission finds that the grant of this relief 
is favored on balance upon consideration of the following factors:
    (i) The complainant's potential irreparable injury in the absence of 
such deposit;

[[Page 186]]

    (ii) The extent to which damages can be accurately calculated;
    (iii) The balance of the hardships between the complainant and the 
defendant; and
    (iv) Whether public interest considerations favor the posting of the 
bond or ordering of the deposit.
    (3) The Commission may, in its discretion, suspend ongoing damages 
proceedings for fourteen days, to provide the parties with a time within 
which to pursue settlement negotiations and/or alternative dispute 
resolution procedures.
    (4) The Commission may, in its discretion, end adjudication of 
damages with a determination of the sufficiency of a damages computation 
method or formula. No such method or formula shall contain a provision 
to offset any claim of the defendant against the complainant. The 
parties shall negotiate in good faith to reach an agreement on the exact 
amount of damages pursuant to the Commission-mandated method or formula. 
Within thirty days of the release date of the damages order, parties 
shall submit jointly to the Commission either:
    (i) A statement detailing the parties' agreement as to the amount of 
damages;
    (ii) A statement that the parties are continuing to negotiate in 
good faith and a request that the parties be given an extension of time 
to continue negotiations; or
    (iii) A statement detailing the bases for the continuing dispute and 
the reasons why no agreement can be reached.

[63 FR 1036, Jan. 7, 1998, as amended at 64 FR 60725, Nov. 8, 1999]



Sec. 1.723  Joinder of complainants and causes of action.

    (a) Two or more complainants may join in one complaint if their 
respective causes of action are against the same defendant and concern 
substantially the same facts and alleged violation of the Communications 
Act.
    (b) Two or more grounds of complaint involving the same principle, 
subject, or statement of facts may be included in one complaint, but 
should be separately stated and numbered.

[53 FR 11853, Apr. 11, 1988]



Sec. 1.724  Answers.

    (a) Subject to paragraph (k) of this section governing Accelerated 
Docket proceedings, any carrier upon which a copy of a formal complaint 
is served shall answer such complaint in the manner prescribed under 
this section within twenty days of service of the formal complaint by 
the complainant, unless otherwise directed by the Commission.
    (b) The answer shall advise the complainant and the Commission fully 
and completely of the nature of any defense, and shall respond 
specifically to all material allegations of the complaint. Every effort 
shall be made to narrow the issues in the answer. The defendant shall 
state concisely its defenses to each claim asserted and shall admit or 
deny the averments on which the complainant relies and state in detail 
the basis for admitting or denying such averment. General denials are 
prohibited. If the defendant is without knowledge or information 
sufficient to form a belief as to the truth of an averment, the 
defendant shall so state and this has the effect of a denial. When a 
defendant intends in good faith to deny only part of an averment, the 
defendant shall specify so much of it as is true and shall deny only the 
remainder. The defendant may deny the allegations of the complaint as 
specific denials of either designated averments or paragraphs.
    (c) The answer shall contain proposed findings of fact, conclusions 
of law, and legal analysis relevant to the claims and arguments set 
forth in the answer.
    (d) Averments in a pleading to which a responsive pleading is 
required, other than those as to the amount of damages, are deemed to be 
admitted when not denied in this responsive pleading.
    (e) Affirmative defenses to allegations contained in the complaint 
shall be specifically captioned as such and presented separately from 
any denials made in accordance with paragraph (c) of this section.
    (f) The answer shall include an information designation containing:
    (1) The name, address, and position of each individual believed to 
have firsthand knowledge of the facts alleged with particularity in the 
answer, along

[[Page 187]]

with a description of the facts within any such individual's knowledge;
    (2) A description of all documents, data compilations and tangible 
things in the defendant's possession, custody, or control, that are 
relevant to the facts alleged with particularity in the answer. Such 
description shall include for each document:
    (i) The date it was prepared, mailed, transmitted, or otherwise 
disseminated;
    (ii) The author, preparer, or other source;
    (iii) The recipient(s) or intended recipient(s);
    (iv) Its physical location; and
    (v) A description of its relevance to the matters in dispute.
    (3) A complete description of the manner in which the defendant 
identified all persons with information and designated all documents, 
data compilations and tangible things as being relevant to the dispute, 
including, but not limited to, identifying the individual(s) that 
conducted the information search and the criteria used to identify such 
persons, documents, data compilations, tangible things, and information;
    (g) The answer shall attach copies of all affidavits, documents, 
data compilations and tangible things in the defendant's possession, 
custody, or control, upon which the defendant relies or intends to rely 
to support the facts alleged and legal arguments made in the answer.
    (h) The answer shall contain certification that the defendant has, 
in good faith, discussed or attempted to discuss, the possibility of 
settlement with the complainant prior to the filing of the formal 
complaint. Such certification shall include a brief summary of all steps 
taken to resolve the dispute prior to the filing of the formal 
complaint. If no such steps were taken, such certificate shall state the 
reason(s) why the defendant believed such steps would be fruitless;
    (i) Where the complaint is filed pursuant to 47 U.S.C. 271(d)(6)(B), 
the defendant shall clearly indicate its willingness to waive the 90-day 
resolution deadline contained within 47 U.S.C. 271(d)(6)(B), in 
accordance with the requirements of Sec. 1.736.
    (j) The defendant may petition the staff, pursuant to Sec. 1.3, for 
a waiver of any of the requirements of this section. Such waiver may be 
granted for good cause shown.
    (k) Accelerated Docket Proceedings. For the purpose of this 
paragraph (k), the term document also shall include data compilations 
and tangible things.
    (1) Any party named as a defendant in an Accelerated Docket formal 
complaint shall answer such complaint in the manner prescribed under 
this section within ten days of service of the complaint by the 
complainant, unless otherwise directed by the Commission. Except as set 
forth in this paragraph (k), answers in Accelerated Docket proceedings 
shall comply with the requirements of this section.
    (2) The requirement in Sec. 1.720(c) and paragraph (g) of this 
section that factual assertions be supported by affidavit shall not 
apply to answers in Accelerated Docket proceedings. Nevertheless, 
allegations of material fact, whether based on personal knowledge or 
information and belief, that cannot be supported by documentation remain 
subject to the provisions of Sec. 1.52.
    (3) Answers on the Accelerated Docket are not required to include 
proposed findings of fact, conclusions of law, and legal analysis 
relevant to the defenses and arguments set forth in the answer, as 
required in paragraph (c) of this section. Nevertheless, answers on the 
Accelerated Docket shall fully set out the facts and legal theories on 
which the defendant premises its defenses.
    (4) In light of the requirement for staff-supervised settlement 
negotiations required in Sec. 1.730(b), answers on the Accelerated 
Docket are not required to include a certification that the defendant 
has discussed, or attempted to discuss, the possibility of settlement 
with the complainant, as required in paragraph (h) of this section.
    (5) As required in Sec. 1.729(i)(1), answers on the Accelerated 
Docket shall be accompanied, when served on complainants, by copies of 
documents, within the defendant's possession, custody or control, that 
are likely to bear significantly on the issues raised in the proceeding. 
Unless otherwise directed, these documents shall not be filed with

[[Page 188]]

the Commission. In light of this automatic document production 
requirement, answers on the Accelerated Docket are not required to 
include a description of all relevant documents in the defendant's 
possession, custody or control, as required in paragraph (f)(2) of this 
section.
    (6) Answers on the Accelerated Docket are not required to provide 
the description, required in paragraph (f)(3) of this section, of the 
manner in which the defendant identified persons with knowledge of, and 
documents relevant to, the dispute.
    (7) In Accelerated Docket proceedings, the defendant, as required in 
Sec. 1.729(i)(1), shall serve, contemporaneously with its answer, the 
complainant(s) with copies of documents, within the defendant's 
possession, custody or control, that are likely to bear significantly on 
the issues raised in the complaint and/or the answer.

[53 FR 11853, Apr. 11, 1988, as amended at 58 FR 25572, Apr. 27, 1993; 
63 FR 1037, Jan. 7, 1998; 63 FR 41446, Aug. 4, 1998]



Sec. 1.725  Cross-complaints and counterclaims.

    Cross-complaints seeking any relief within the jurisdiction of the 
Commission against any carrier that is a party (complainant or 
defendant) to that proceeding are expressly prohibited. Any claim that 
might otherwise meet the requirements of a cross-complaint may be filed 
as a separate complaint in accordance with Secs. 1.720 through 1.736. 
For purposes of this subpart, the term ``cross-complaint'' shall include 
counterclaims.

[63 FR 1037, Jan. 7, 1998]



Sec. 1.726  Replies.

    (a) Subject to paragraph (g) of this section governing Accelerated 
Docket proceedings, within three days after service of an answer 
containing affirmative defenses presented in accordance with the 
requirements of Sec. 1.724(e), a complainant may file and serve a reply 
containing statements of relevant, material facts that shall be 
responsive to only those specific factual allegations made by the 
defendant in support of its affirmative defenses. Replies which contain 
other allegations or arguments will not be accepted or considered by the 
Commission.
    (b) Failure to reply to an affirmative defense shall be deemed an 
admission of such affirmative defense and of any facts supporting such 
affirmative defense that are not specifically contradicted in the 
complaint.
    (c) The reply shall contain proposed findings of fact, conclusions 
of law, and legal analysis relevant to the claims and arguments set 
forth in the reply.
    (d) The reply shall include an information designation containing:
    (1) The name, address and position of each individual believed to 
have firsthand knowledge about the facts alleged with particularity in 
the reply, along with a description of the facts within any such 
individual's knowledge.
    (2) A description of all documents, data compilations and tangible 
things in the complainant's possession, custody, or control that are 
relevant to the facts alleged with particularity in the reply. Such 
description shall include for each document:
    (i) The date prepared, mailed, transmitted, or otherwise 
disseminated;
    (ii) The author, preparer, or other source;
    (iii) The recipient(s) or intended recipient(s);
    (iv) Its physical location; and
    (v) A description of its relevance to the matters in dispute.
    (3) A complete description of the manner in which the complainant 
identified all persons with information and designated all documents, 
data compilations and tangible things as being relevant to the dispute, 
including, but not limited to, identifying the individual(s) that 
conducted the information search and the criteria used to identify such 
persons, documents, data compilations, tangible things, and information;
    (e) The reply shall attach copies of all affidavits, documents, data 
compilations and tangible things in the complainant's possession, 
custody, or control upon which the complainant relies or intends to rely 
to support the facts alleged and legal arguments made in the reply.
    (f) The complainant may petition the staff, pursuant to Sec. 1.3, 
for a waiver of any of the requirements of this section.

[[Page 189]]

Such waiver may be granted for good cause shown.
    (g) Accelerated Docket Proceedings. For the purpose of this 
paragraph (g), the term document also shall include data compilations 
and tangible things.
    (1) The filing of a separate pleading to reply to affirmative 
defenses is not permitted in Accelerated Docket proceedings. 
Complainants in such proceedings may include, in the Sec. 1.733(i)(4) 
pre-status-conference filing, those statements that otherwise would have 
been the subject of a reply.
    (2) In Accelerated Docket proceedings, the failure to reply, in the 
pre-status-conference filing, to an affirmative defense shall be deemed 
an admission of such affirmative defense and of any facts supporting 
such affirmative defense that are not specifically contradicted in the 
complaint.
    (3) If a complainant replies to an affirmative defense in its 
Sec. 1.733(i)(4), pre-status-conference filing, it shall include in that 
filing the information, required by paragraph (d)(1) of this section, 
identifying individuals with firsthand knowledge of the facts alleged in 
the reply.
    (4) An Accelerated Docket complainant that replies to an affirmative 
defense in its Sec. 1.733(i)(4), pre-status-conference filing also shall 
serve on the defendant, at the same time as that filing, those documents 
in the complainant's possession, custody or control that were not 
previously produced to the defendant and that are likely to bear 
significantly on the issues raised in the reply. Such a complainant is 
not required to comply with the remainder of the requirements in 
paragraphs (d) and (e) of this section.

[63 FR 1037, Jan. 7, 1998, as amended at 63 FR 41447, Aug. 4, 1998]



Sec. 1.727  Motions.

    (a) A request to the Commission for an order shall be by written 
motion, stating with particularity the grounds and authority therefor, 
and setting forth the relief or order sought.
    (b) All dispositive motions shall contain proposed findings of fact 
and conclusions of law, with supporting legal analysis, relevant to the 
contents of the pleading. Motions to compel discovery must contain a 
certification by the moving party that a good faith attempt to resolve 
the dispute was made prior to filing the motion. All facts relied upon 
in motions must be supported by documentation or affidavits pursuant to 
the requirements of Sec. 1.720(c), except for those facts of which 
official notice may be taken.
    (c) The moving party shall provide a proposed order for adoption, 
which appropriately incorporates the basis therefor, including proposed 
findings of fact and conclusions of law relevant to the pleading. The 
proposed order shall be clearly marked as a ``Proposed Order.'' The 
proposed order shall be submitted both as a hard copy and on computer 
disk in accordance with the requirements of Sec. 1.734(d). Where 
appropriate, the proposed order format should conform to that of a 
reported FCC order.
    (d) Oppositions to any motion shall be accompanied by a proposed 
order for adoption, which appropriately incorporates the basis therefor, 
including proposed findings of fact and conclusions of law relevant to 
the pleading. The proposed order shall be clearly captioned as a 
``Proposed Order.'' The proposed order shall be submitted both as a hard 
copy and on computer disk in accordance with the requirements of 
Sec. 1.734(d). Where appropriate, the proposed order format should 
conform to that of a reported FCC order.
    (e) Oppositions to motions may be filed and served within five 
business days after the motion is filed and served and not after. 
Oppositions shall be limited to the specific issues and allegations 
contained in such motion; when a motion is incorporated in an answer to 
a complaint, the opposition to such motion shall not address any issues 
presented in the answer that are not also specifically raised in the 
motion. Failure to oppose any motion may constitute grounds for granting 
of the motion.
    (f) No reply may be filed to an opposition to a motion.
    (g) Motions seeking an order that the allegations in the complaint 
be made more definite and certain are prohibited.
    (h) Amendments or supplements to complaints to add new claims or 
requests for relief are prohibited. Parties

[[Page 190]]

are responsible, however, for the continuing accuracy and completeness 
of all information and supporting authority furnished in a pending 
complaint proceeding as required under Sec. 1.720(g).

[53 FR 11854, Apr. 11, 1988, as amended at 58 FR 25572, Apr. 27, 1993; 
63 FR 1036, Jan. 7, 1998; 63 FR 41447, Aug. 4, 1998]



Sec. 1.728  Formal complaints not stating a cause of action; defective pleadings.

    (a) Any document purporting to be a formal complaint which does not 
state a cause of action under the Communications Act will be dismissed. 
In such case, any amendment or supplement to such document will be 
considered a new filing which must be made within the statutory periods 
of limitations of actions contained in section 415 of the Communications 
Act.
    (b) Any other pleading filed in a formal complaint proceeding not in 
conformity with the requirements of the applicable rules in this part 
may be deemed defective. In such case the Commission may strike the 
pleading or request that specified defects be corrected and that proper 
pleadings be filed with the Commission and served on all parties within 
a prescribed time as a condition to being made a part of the record in 
the proceeding.

[53 FR 11854, Apr. 11, 1988]



Sec. 1.729  Discovery.

    (a) Subject to paragraph (i) of this section governing Accelerated 
Docket proceedings, a complainant may file with the Commission and serve 
on a defendant, concurrently with its complaint, a request for up to ten 
written interrogatories. A defendant may file with the Commission and 
serve on a complainant, during the period starting with the service of 
the complaint and ending with the service of its answer, a request for 
up to ten written interrogatories. A complainant may file with the 
Commission and serve on a defendant, within three calendar days of 
service of the defendant's answer, a request for up to five written 
interrogatories. Subparts of any interrogatory will be counted as 
separate interrogatories for purposes of compliance with this limit. 
Requests for interrogatories filed and served pursuant to this procedure 
may be used to seek discovery of any non-privileged matter that is 
relevant to the material facts in dispute in the pending proceeding, 
provided, however, that requests for interrogatories filed and served by 
a complainant after service of the defendant's answer shall be limited 
in scope to specific factual allegations made by the defendant in 
support of its affirmative defenses. This procedure may not be employed 
for the purpose of delay, harassment or obtaining information that is 
beyond the scope of permissible inquiry related to the material facts in 
dispute in the pending proceeding.
    (b) Requests for interrogatories filed and served pursuant to 
paragraph (a) of this section shall contain a listing of the 
interrogatories requested and an explanation of why the information 
sought in each interrogatory is both necessary to the resolution of the 
dispute and not available from any other source.
    (c) A responding party shall file with the Commission and serve on 
the propounding party any opposition and objections to the requests for 
interrogatories as follows:
    (1) By the defendant, within ten calendar days of service of the 
requests for interrogatories served simultaneously with the complaint 
and within five calendar days of the requests for interrogatories served 
following service of the answer;
    (2) By the complainant, within five calendar days of service of the 
requests for interrogatories; and
    (3) In no event less than three calendar days prior to the initial 
status conference as provided for in Sec. 1.733(a).
    (d) Commission staff will consider the requests for interrogatories, 
properly filed and served pursuant to paragraph (a) of this section, 
along with any objections or oppositions thereto, properly filed and 
served pursuant to paragraph (b) of this section, at the initial status 
conference, as provided for in Sec. 1.733(a)(5), and at that time 
determine the interrogatories, if any, to which parties shall respond, 
and set the schedule of such response.
    (e) The interrogatories ordered to be answered pursuant to paragraph 
(d) of this section are to be answered separately and fully in writing 
under oath

[[Page 191]]

or affirmation by the party served, or if such party is a public or 
private corporation or partnership or association, by any officer or 
agent who shall furnish such information as is available to the party. 
The answers shall be signed by the person making them. The answers shall 
be filed with the Commission and served on the propounding party.
    (f) A propounding party asserting that a responding party has 
provided an inadequate or insufficient response to Commission-ordered 
discovery request may file a motion to compel within ten days of the 
service of such response, or as otherwise directed by Commission staff, 
pursuant to the requirements of Sec. 1.727.
    (g) The Commission may, in its discretion, require parties to 
provide documents to the Commission in a scanned or other electronic 
format that provides:
    (1) Indexing by useful identifying information about the documents; 
and
    (2) Technology that allows staff to annotate the index so as to make 
the format an efficient means of reviewing the documents.
    (h) The Commission may allow additional discovery, including, but 
not limited to, document production, depositions and/or additional 
interrogatories. In its discretion, the Commission may modify the scope, 
means and scheduling of discovery in light of the needs of a particular 
case and the requirements of applicable statutory deadlines.
    (i) Discovery in Accelerated Docket proceedings. (1) Each party to 
an Accelerated Docket proceeding shall serve, with its initial pleading 
and with any reply statements in the pre-status-conference filing (see 
Sec. 1.726(g)(1)), copies of all documents in the possession, custody or 
control of the party that are likely to bear significantly on any claim 
or defense. For the purpose of this paragraph (i), document also shall 
include data compilations and tangible things. A document is likely to 
bear significantly on a claim or defense if it:
    (i) Appears likely to have an influence on, or affect the outcome 
of, a claim or defense;
    (ii) Reflects the relevant knowledge of persons who, if their 
potential testimony were known, might reasonably be expected to be 
deposed or called as a witness by any of the parties;
    (iii) Is something that competent counsel would consider reasonably 
necessary to prepare, evaluate or try a claim or defense; or
    (iv) Would not support the disclosing party's contentions.
    (2) In their Sec. 1.733(i)(4) pre-status-conference filings, parties 
to Accelerated Docket proceedings may request the production of 
additional documents. In their Sec. 1.733(i)(4) filings, parties may 
also seek leave to conduct a reasonable number of depositions, including 
depositions of expert witnesses, if any. When requesting additional 
discovery, each party shall be prepared at the status conference to 
justify its requests by identifying the specific issue or issues on 
which it expects to obtain evidence from each request.
    (3) Interrogatories shall not be routinely granted in Accelerated 
Docket proceedings. A party to an Accelerated Docket proceeding that 
prefers interrogatories to the other forms of available discovery, for 
reasons of convenience or expense, may seek leave in its 
Sec. 1.733(i)(4) pre-status-conference filing to propound a limited 
number of interrogatories.
    (4) Expert Witnesses.
    (i) Any complainant in an Accelerated Docket proceeding that intends 
to rely on expert testimony for a purpose other than to rebut a 
defendant's expert evidence, shall identify its expert witnesses in the 
information designation required by Sec. 1.721(a)(10)(i). In its 
Sec. 1.721(a)(10)(i) information designation, such a complainant shall 
also provide its expert statement. For purposes of this paragraph 
(i)(4), an expert statement shall include a brief statement of the 
opinions to be expressed by the expert, the basis and reasons therefor 
and any data or other information that the witness considered in forming 
her opinions.
    (ii) Any defendant in an Accelerated Docket proceeding that intends 
to rely on expert testimony shall identify its expert witnesses in the 
information designation required by Sec. 1.724(f)(1). Such a defendant 
shall provide its expert statement with its Sec. 1.733(i)(4), pre-
status-conference filing.

[[Page 192]]

    (iii) Any complainant in an Accelerated Docket proceeding that 
intends to rely on previously undisclosed expert testimony to rebut any 
portion of the defendant's case shall identify the expert and provide 
the appropriate expert statement at the initial status conference.
    (iv) Expert witnesses shall be subject to deposition in Accelerated 
Docket proceedings under the same rules and limitations applicable to 
fact witnesses.

[63 FR 1038, Jan. 7, 1998, as amended at 63 FR 41447, Aug. 4, 1998]



Sec. 1.730  The Enforcement Bureau's Accelerated Docket.

    (a) Parties to formal complaint proceedings against common carriers 
within the responsibility of the Enforcement Bureau (see Secs. 0.111, 
0.311, 0.314 of this chapter) may request inclusion on the Bureau's 
Accelerated Docket. As set out in Secs. 1.720 through 1.736, proceedings 
on the Accelerated Docket are subject to shorter pleading deadlines and 
certain other procedural rules that do not apply to other formal 
complaint proceedings before the Enforcement Bureau.
    (b) Any party that contemplates filing a formal complaint may submit 
a request to the Chief of the Enforcement Bureau's Market Disputes 
Resolution Division, either by phone or in writing, seeking inclusion of 
its complaint, once filed, on the Accelerated Docket. In appropriate 
cases, Commission staff shall schedule and supervise pre-filing 
settlement negotiations between the parties to the dispute. If the 
parties do not resolve their dispute and the matter is accepted for 
handling on the Accelerated Docket, the complainant shall file its 
complaint with a letter stating that it has gained admission to the 
Accelerated Docket. When it files its complaint, such a complainant 
shall also serve a copy of its complaint on the Commission staff that 
supervised the pre-filing settlement discussions.
    (c) Within five days of receiving service of a complaint, any 
defendant in a formal complaint proceeding may submit by facsimile or 
hand delivery, to the Chief of the Enforcement Bureau's Market Disputes 
Resolution Division, a request seeking inclusion of its proceeding on 
the Accelerated Docket. Such a defendant contemporaneously shall 
transmit, in the same manner, a copy of its request to all parties to 
the proceeding. A defendant submitting such a request shall file and 
serve its answer in compliance with the requirements of Sec. 1.724(k), 
except that the defendant shall not be required to serve with its answer 
the automatic document production required by Secs. 1.724(k)(7) and 
1.729(i)(1). In proceedings accepted onto the Accelerated Docket at a 
defendant's request, the Commission staff will conduct supervised 
settlement discussions as appropriate. After accepting such a proceeding 
onto the Accelerated Docket, Commission staff will establish a schedule 
for the remainder of the proceeding, including the parties' 
Sec. 1.729(i)(1) automatic production of documents.
    (d) During the thirty days following the effective date of these 
rules, any party to a pending formal complaint proceeding in which an 
answer has been filed or is past due may seek admission of the 
proceeding to the Accelerated Docket by submitting a request by 
facsimile or hand delivery to the Chief of the Enforcement Bureau's 
Market Disputes Resolution Division, with facsimile copies to all other 
parties to the proceeding by the same mode of transmission. If a pending 
proceeding is accepted onto the Accelerated Docket, Commission staff 
will conduct supervised settlement discussions if appropriate and 
establish a schedule for the remainder of the proceeding, including the 
parties' Sec. 1.729(i)(1) automatic production of documents if 
necessary.
    (e) In determining whether to admit a proceeding onto the 
Accelerated Docket, Commission staff may consider factors from the 
following, non-exclusive list:
    (1) Whether it appears that the parties to the dispute have 
exhausted the reasonable opportunities for settlement during the staff-
supervised settlement discussions.
    (2) Whether the expedited resolution of a particular dispute or 
category of disputes appears likely to advance

[[Page 193]]

competition in the telecommunications market.
    (3) Whether the issues in the proceeding appear suited for decision 
under the constraints of the Accelerated Docket. This factor may entail, 
inter alia, examination of the number of distinct issues raised in a 
proceeding, the likely complexity of the necessary discovery, and 
whether the complainant bifurcates any damages claims for decision in a 
separate proceeding. See Sec. 1.722(b).
    (4) Whether the complainant states a claim for violation of the Act, 
or Commission rule or order that falls within the Commission's 
jurisdiction.
    (5) Whether it appears that inclusion of a proceeding on the 
Accelerated Docket would be unfair to one party because of an 
overwhelming disparity in the parties' resources.
    (6) Such other factors as the Commission staff, within its 
substantial discretion, may deem appropriate and conducive to the prompt 
and fair adjudication of complaint proceedings.
    (f) If it appears at any time that a proceeding on the Accelerated 
Docket is no longer appropriate for such treatment, Commission staff may 
remove the matter from the Accelerated Docket either on its own motion 
or at the request of any party.
    (g) Minitrials.
    (1) In Accelerated Docket proceedings, the Commission may conduct a 
minitrial, or hearing-type proceeding, as an alternative to requiring 
that parties submit briefs in support of their cases. Minitrials 
typically will take place between 40 and 45 days after the filing of the 
complaint. A Commission Administrative Law Judge (``ALJ'') typically 
will preside at the minitrial, administer oaths to witnesses, and time 
the parties' presentation of their cases. In consultation with the 
Commission staff, the ALJ will rule on objections or procedural issues 
that may arise during the course of the minitrial.
    (2) Before a minitrial, each party will receive a specific time 
allotment in which it may present evidence and make argument during the 
minitrial. The ALJ or other Commission staff presiding at the minitrial 
will deduct from each party's time allotment any time that the party 
spends presenting either evidence or argument during the proceeding. The 
presiding official shall have broad discretion in determining any time 
penalty or deduction for a party who appears to be intentionally 
delaying either the proceeding or the presentation of another party's 
case. Within the limits imposed by its time allotment, a party may 
present evidence and argument in whatever manner or format it chooses, 
provided, however, that the submission of written testimony shall not be 
permitted.
    (3) Three days before a minitrial, each party to a proceeding shall 
serve on all other parties a copy of all exhibits that the party intends 
to introduce during the minitrial and a list of all witnesses, including 
expert witnesses, that the party may call during the minitrial. Service 
of this material shall be accomplished either by hand or by facsimile 
transmission. Objections to any exhibits or proposed witness testimony 
will be heard before the beginning of the minitrial.
    (4) No party will be permitted to call as a witness in a minitrial, 
or otherwise offer evidence from, an individual in that party's employ, 
unless the individual appears on the party's information designation 
(see Secs. 1.721(a)(10)(i) or 1.724(f)(1)) with a general description of 
the issues on which she will offer evidence. No party will be permitted 
to present expert evidence unless the party has complied fully with the 
expert-disclosure requirements of Sec. 1.729(i)(4). The Commission may 
permit exceptions to the rules in this paragraph (g)(4) for good cause 
shown.
    (5) Two days before the beginning of the minitrial, parties shall 
file proposed findings of fact and conclusions of law. These submissions 
shall not exceed 40 pages per party. Within three days after the 
conclusion of the minitrial, parties may submit revised proposed 
findings of fact and conclusions of law to meet evidence introduced or 
arguments raised at the minitrial. These submissions shall not exceed 20 
pages per party.
    (6) The parties shall arrange for the stenographic transcription of 
minitrial proceedings so that transcripts are available and filed with 
the Commission no more than three days after the

[[Page 194]]

conclusion of the minitrial. Absent an agreement to the contrary, the 
cost of the transcript shall be shared equally between the parties to 
the proceeding.
    (h) Applications for review of staff decisions issued on delegated 
authority in Accelerated Docket proceedings shall comply with the filing 
and service requirements in Sec. 1.115(e)(4). In those Accelerated 
Docket proceedings which raise issues that may not be decided on 
delegated authority (see 47 U.S.C. 155(c)(1); 47 CFR 0.291(d)), the 
staff decision issued after the minitrial will be a recommended decision 
subject to adoption or modification by the Commission. Any party to the 
proceeding that seeks modification of the recommended decision may do so 
by filing comments challenging the decision within 15 days of its 
release by the Commission's Office of Media Relations. (Compare 
Sec. 1.4(b)(2).) Opposition comments may be filed within 15 days of the 
comments challenging the decision; reply comments may be filed 10 days 
thereafter and shall be limited to issues raised in the opposition 
comments.
    (i) If no party files comments challenging the recommended decision, 
the Commission will issue its decision adopting or modifying the 
recommended decision within 45 days of its release. If parties to the 
proceeding file comments to the recommended decision, the Commission 
will issue its decision adopting or modifying the recommended decision 
within 30 days of the filing of the final comments.

[63 FR 41448, Aug. 4, 1998, as amended at 64 FR 60725, Nov. 8, 1999]



Sec. 1.731  Confidentiality of information produced or exchanged by the parties.

    (a) Any materials generated in the course of a formal complaint 
proceeding may be designated as proprietary by that party if the party 
believes in good faith that the materials fall within an exemption to 
disclosure contained in the Freedom of Information Act (FOIA), 5 U.S.C. 
552(b) (1) through (9). Any party asserting confidentiality for such 
materials shall so indicate by clearly marking each page, or portion 
thereof, for which a proprietary designation is claimed. If a 
proprietary designation is challenged, the party claiming 
confidentiality shall have the burden of demonstrating, by a 
preponderance of the evidence, that the material designated as 
proprietary falls under the standards for nondisclosure enunciated in 
the FOIA.
    (b) Materials marked as proprietary may be disclosed solely to the 
following persons, only for use in prosecuting or defending a party to 
the complaint action, and only to the extent necessary to assist in the 
prosecution or defense of the case:
    (1) Counsel of record representing the parties in the complaint 
action and any support personnel employed by such attorneys;
    (2) Officers or employees of the opposing party who are named by the 
opposing party as being directly involved in the prosecution or defense 
of the case;
    (3) Consultants or expert witnesses retained by the parties;
    (4) The Commission and its staff; and
    (5) Court reporters and stenographers in accordance with the terms 
and conditions of this section.
    (c) These individuals shall not disclose information designated as 
proprietary to any person who is not authorized under this section to 
receive such information, and shall not use the information in any 
activity or function other than the prosecution or defense in the case 
before the Commission. Each individual who is provided access to the 
information shall sign a notarized statement affirmatively stating that 
the individual has personally reviewed the Commission's rules and 
understands the limitations they impose on the signing party.
    (d) No copies of materials marked proprietary may be made except 
copies to be used by persons designated in paragraph (b) of this 
section. Each party shall maintain a log recording the number of copies 
made of all proprietary material and the persons to whom the copies have 
been provided.
    (e) Upon termination of a formal complaint proceeding, including all 
appeals and petitions, all originals and

[[Page 195]]

reproductions of any proprietary materials, along with the log recording 
persons who received copies of such materials, shall be provided to the 
producing party. In addition, upon final termination of the complaint 
proceeding, any notes or other work product derived in whole or in part 
from the proprietary materials of an opposing or third party shall be 
destroyed.

[58 FR 25573, Apr. 27, 1993, as amended at 63 FR 1039, Jan. 7, 1998]



Sec. 1.732  Other required written submissions.

    (a) The Commission may, in its discretion, or upon a party's motion 
showing good cause, require the parties to file briefs summarizing the 
facts and issues presented in the pleadings and other record evidence.
    (b) Unless otherwise directed by the Commission, all briefs shall 
include all legal and factual claims and defenses previously set forth 
in the complaint, answer, or any other pleading submitted in the 
proceeding. Claims and defenses previously made but not reflected in the 
briefs will be deemed abandoned. The Commission may, in its discretion, 
limit the scope of any briefs to certain subjects or issues. A party 
shall attach to its brief copies of all documents, data compilations, 
tangible things, and affidavits upon which such party relies or intends 
to rely to support the facts alleged and legal arguments made in its 
brief and such brief shall contain a full explanation of how each 
attachment is relevant to the issues and matters in dispute. All such 
attachments to a brief shall be documents, data compilations or tangible 
things, or affidavits made by persons, that were identified by any party 
in its information designations filed pursuant to Secs. 1.721(a)(10)(i), 
(a)(10)(ii), 1.724(f)(1), (f)(2), and 1.726(d)(1), (d)(2). Any other 
supporting documentation or affidavits that is attached to a brief must 
be accompanied by a full explanation of the relevance of such materials 
and why such materials were not identified in the information 
designations. These briefs shall contain the proposed findings of fact 
and conclusions of law which the filing party is urging the Commission 
to adopt, with specific citation to the record, and supporting relevant 
authority and analysis.
    (c) In cases in which discovery is not conducted, absent an order by 
the Commission that briefs be filed, parties may not submit briefs. If 
the Commission does authorize the filing of briefs in cases in which 
discovery is not conducted, briefs shall be filed concurrently by both 
the complainant and defendant at such time as designated by the 
Commission staff and in accordance with the provisions of this section.
    (d) In cases in which discovery is conducted, briefs shall be filed 
concurrently by both the complainant and defendant at such time 
designated by the Commission staff.
    (e) Briefs containing information which is claimed by an opposing or 
third party to be proprietary under Sec. 1.731 shall be submitted to the 
Commission in confidence pursuant to the requirements of Sec. 0.459 of 
this chapter and clearly marked ``Not for Public Inspection.'' An edited 
version removing all proprietary data shall also be filed with the 
Commission for inclusion in the public file. Edited versions shall be 
filed within five days from the date the unedited brief is submitted, 
and served on opposing parties.
    (f) Initial briefs shall be no longer than twenty-five pages. Reply 
briefs shall be no longer than ten pages. Either on its own motion or 
upon proper motion by a party, the Commission staff may establish other 
page limits for briefs.
    (g) The Commission may require the parties to submit any additional 
information it deems appropriate for a full, fair, and expeditious 
resolution of the proceeding, including affidavits and exhibits.
    (h) The parties shall submit a joint statement of stipulated facts, 
disputed facts, and key legal issues no later than two business days 
prior to the initial status conference, scheduled in accordance with the 
provisions of Sec. 1.733(a).

[53 FR 11855, Apr. 11, 1988. Redesignated and amended at 58 FR 25573, 
Apr. 27, 1993; 63 FR 1039, Jan. 7, 1998]

[[Page 196]]



Sec. 1.733  Status conference.

    (a) In any complaint proceeding, the Commission may, in its 
discretion, direct the attorneys and/or the parties to appear before it 
for a status conference. Unless otherwise ordered by the Commission, and 
with the exception of Accelerated Docket proceedings, governed by 
paragraph (i) of this section, an initial status conference shall take 
place, at the time and place designated by the Commission staff, ten 
business days after the date the answer is due to be filed. A status 
conference may include discussion of:
    (1) Simplification or narrowing of the issues;
    (2) The necessity for or desirability of additional pleadings or 
evidentiary submissions;
    (3) Obtaining admissions of fact or stipulations between the parties 
as to any or all of the matters in controversy;
    (4) Settlement of all or some of the matters in controversy by 
agreement of the parties;
    (5) Whether discovery is necessary and, if so, the scope, type and 
schedule for such discovery;
    (6) The schedule for the remainder of the case and the dates for any 
further status conferences; and
    (7) Such other matters that may aid in the disposition of the 
complaint.
    (b)(1) Subject to paragraph (i) of this section governing 
Accelerated Docket proceedings, parties shall meet and confer prior to 
the initial status conference to discuss:
    (i) Settlement prospects;
    (ii) Discovery;
    (iii) Issues in dispute;
    (iv) Schedules for pleadings;
    (v) Joint statement of stipulated facts, disputed facts, and key 
legal issues; and
    (vi) In a 47 U.S.C. 271(d)(6)(B) proceeding, whether or not the 
parties agree to waive the 47 U.S.C. 271(d)(6)(B) 90-day resolution 
deadline.
    (2) Subject to paragraph (i) of this section governing Accelerated 
Docket proceedings, parties shall submit a joint statement of all 
proposals agreed to and disputes remaining as a result of such meeting 
to Commission staff at least two business days prior to the scheduled 
initial status conference.
    (c) In addition to the initial status conference referenced in 
paragraph (a) of this section, any party may also request that a 
conference be held at any time after the complaint has been filed.
    (d) During a status conference, the Commission staff may issue oral 
rulings pertaining to a variety of interlocutory matters relevant to the 
conduct of a formal complaint proceeding including, inter alia, 
procedural matters, discovery, and the submission of briefs or other 
evidentiary materials.
    (e) Parties may make, upon written notice to the Commission and all 
attending parties at least three business days prior to the status 
conference, an audio recording of the Commission staff's summary of its 
oral rulings. Alternatively, upon agreement among all attending parties 
and written notice to the Commission at least three business days prior 
to the status conference, the parties may make an audio recording of, or 
use a stenographer to transcribe, the oral presentations and exchanges 
between and among the participating parties, insofar as such 
communications are ``on-the-record'' as determined by the Commission 
staff, as well as the Commission staff's summary of its oral rulings. A 
complete transcript of any audio recording or stenographic transcription 
shall be filed with the Commission as part of the record, pursuant to 
the provisions of paragraph (f)(2) of this section. The parties shall 
make all necessary arrangements for the use of a stenographer and the 
cost of transcription, absent agreement to the contrary, will be shared 
equally by all parties that agree to make the record of the status 
conference.
    (f) The parties in attendance, unless otherwise directed, shall 
either:
    (1) Submit a joint proposed order memorializing the oral rulings 
made during the conference to the Commission by 5:30 pm, Eastern Time, 
on the business day following the date of the status conference, or as 
otherwise directed by Commission staff. In the event the parties in 
attendance cannot reach agreement as to the rulings that were made, the 
joint proposed order shall include the rulings on which the parties

[[Page 197]]

agree, and each party's alternative proposed rulings for those rulings 
on which they cannot agree. Commission staff will review and make 
revisions, if necessary, prior to signing and filing the submission as 
part of the record. The proposed order shall be submitted both as hard 
copy and on computer disk in accordance with the requirements of 
Sec. 1.734(d); or
    (2) Pursuant to the requirements of paragraph (e) of this section, 
submit to the Commission by 5:30 pm., Eastern Time, on the third 
business day following the status conference or as otherwise directed by 
Commission staff either:
    (i) A transcript of the audio recording of the Commission staff's 
summary of its oral rulings;
    (ii) A transcript of the audio recording of the oral presentations 
and exchanges between and among the participating parties, insofar as 
such communications are ``on-the-record'' as determined by the 
Commission staff, and the Commission staff's summary of its oral 
rulings; or
    (iii) A stenographic transcript of the oral presentations and 
exchanges between and among the participating parties, insofar as such 
communications are ``on-the-record'' as determined by the Commission 
staff, and the Commission staff's summary of its oral rulings.
    (g) Status conferences will be scheduled by the Commission staff at 
such time and place as it may designate to be conducted in person or by 
telephone conference call.
    (h) The failure of any attorney or party, following reasonable 
notice, to appear at a scheduled conference will be deemed a waiver by 
that party and will not preclude the Commission staff from conferring 
with those parties and/or counsel present.
    (i) Accelerated Docket Proceedings. (1) In Accelerated Docket 
proceedings, the initial status conference will be held 10 days after 
the answer is due to be filed.
    (2) Prior to the initial status conference, the parties shall 
confer, either in person or by telephone, about:
    (i) Discovery to which they can agree;
    (ii) Facts to which they can stipulate; and
    (iii) Factual and legal issues in dispute.
    (3) Two days before the status conference, parties shall submit to 
Commission staff a joint statement of:
    (i) The agreements that they have reached with respect to discovery;
    (ii) The facts to which they have agreed to stipulate; and
    (iii) The disputed facts or legal issues of which they can agree to 
a joint statement.
    (4) Two days before the status conference, each party also shall 
submit to Commission staff a separate statement which shall include, as 
appropriate, the party's statement of the disputed facts and legal 
issues presented by the complaint proceeding and any additional 
discovery that the party seeks. A complainant that wishes to reply to a 
defendant's affirmative defense shall do so in its pre-status-conference 
filing. To the extent that this filing contains statements replying to 
an affirmative defense, the complainant shall include, and/or serve with 
the statement, the witness information and documents required in 
Sec. 1.726(g)(3)-(4). A defendant that intends to rely on expert 
evidence shall include its expert statement in its pre-status conference 
filing. (See Sec. 1.729(i)(4)(ii).)

[53 FR 11855, Apr. 11, 1988. Redesignated and amended at 58 FR 25573, 
Apr. 27, 1993; 63 FR 1039, Jan. 7, 1998; 63 FR 41449, Aug. 4, 1998]



Sec. 1.734  Specifications as to pleadings, briefs, and other documents; subscription.

    (a) All papers filed in any formal complaint proceeding must be 
drawn in conformity with the requirements of Secs. 1.49 and 1.50.
    (b) All averments of claims or defenses in complaints and answers 
shall be made in numbered paragraphs. The contents of each paragraph 
shall be limited as far as practicable to a statement of a single set of 
circumstances. Each claim founded on a separate transaction or 
occurrence and each affirmative defense shall be separately stated to 
facilitate the clear presentation of the matters set forth.
    (c) The original of all pleadings and other submissions filed by any 
party shall be signed by the party, or by the party's attorney. The 
signing party

[[Page 198]]

shall include in the document his or her address, telephone number, 
facsimile number and the date on which the document was signed. Copies 
should be conformed to the original. Unless specifically required by 
rule or statute, pleadings need not be verified. The signature of an 
attorney or party shall be a certificate that the attorney or party has 
read the pleading, motion, or other paper; that to the best of his or 
her knowledge, information, and belief formed after reasonable inquiry, 
it is well grounded in fact and is warranted by existing law or a good 
faith argument for the extension, modification, or reversal of existing 
law; and that it is not interposed solely for purposes of delay or for 
any other improper purpose.
    (d) All proposed orders shall be submitted both as hard copies and 
on computer disk formatted to be compatible with the Commission's 
computer system and using the Commission's current wordprocessing 
software. Each disk should be submitted in ``read only'' mode. Each disk 
should be clearly labelled with the party's name, proceeding, type of 
pleading, and date of submission. Each disk should be accompanied by a 
cover letter. Parties who have submitted copies of tariffs or reports 
with their hard copies need not include such tariffs or reports on the 
disk. Upon showing of good cause, the Commission may waive the 
requirements of this paragraph.

[53 FR 11855, Apr. 11, 1988. Redesignated at 58 FR 25573, Apr. 27, 1993, 
as amended at 63 FR 1040, Jan. 7, 1998]



Sec. 1.735  Copies; service; separate filings against multiple defendants.

    (a) Complaints may generally be brought against only one named 
carrier; such actions may not be brought against multiple defendants 
unless the defendant carriers are commonly owned or controlled, are 
alleged to have acted in concert, are alleged to be jointly liable to 
complainant, or the complaint concerns common questions of law or fact. 
Complaints may, however, be consolidated by the Commission for 
disposition.
    (b) The complainant shall file an original copy of the complaint, 
accompanied by the correct fee, in accordance with part I, subpart G 
(see Sec. 1.1105(1)(c) and (d)) and, on the same day:
    (1) File three copies of the complaint with the Office of the 
Commission Secretary;
    (2) Serve two copies on the Market Disputes Resolution Division, 
Enforcement Bureau;
    (3) If the complaint is filed against a carrier concerning matters 
within the responsibility of the International Bureau (see Sec. 0.261 of 
this chapter), serve a copy on the Chief, Telecommunications Division, 
International Bureau; and
    (4) If a complaint is addressed against multiple defendants, pay a 
separate fee, in accordance with part I, subpart G (see 
Sec. 1.1105(1)(c) and (d)), and file three copies of the complaint with 
the Office of the Commission Secretary for each additional defendant.
    (c) Generally, a separate file is set up for each defendant. An 
original plus two copies shall be filed of all pleadings and documents, 
other than the complaint, for each file number assigned.
    (d) The complainant shall serve the complaint by hand delivery on 
either the named defendant or one of the named defendant's registered 
agents for service of process on the same date that the complaint is 
filed with the Commission in accordance with the requirements of 
paragraph (b) of this section.
    (e) Upon receipt of the complaint by the Commission, the Commission 
shall promptly send, by facsimile transmission to each defendant named 
in the complaint, notice of the filing of the complaint. The Commission 
shall send, by regular U.S. mail delivery, to each defendant named in 
the complaint, a copy of the complaint. The Commission shall 
additionally send, by regular U.S. mail to all parties, a schedule 
detailing the date the answer will be due and the date, time and 
location of the initial status conference.
    (f) All subsequent pleadings and briefs filed in any formal 
complaint proceeding, as well as all letters, documents or other written 
submissions, shall be served by the filing party on the attorney of 
record for each party to the proceeding, or, where a party is not 
represented by an attorney, each party

[[Page 199]]

to the proceeding either by hand delivery, overnight delivery, or by 
facsimile transmission followed by regular U.S. mail delivery, together 
with a proof of such service in accordance with the requirements of 
Sec. 1.47(g). Service is deemed effective as follows:
    (1) Service by hand delivery that is delivered to the office of the 
recipient by 5:30 pm, local time of the recipient, on a business day 
will be deemed served that day. Service by hand delivery that is 
delivered to the office of the recipient after 5:30 pm, local time of 
the recipient, on a business day will be deemed served on the following 
business day;
    (2) Service by overnight delivery will be deemed served the business 
day following the day it is accepted for overnight delivery by a 
reputable overnight delivery service such as, or comparable to, the US 
Postal Service Express Mail, United Parcel Service or Federal Express; 
or
    (3) Service by facsimile transmission that is fully transmitted to 
the office of the recipient by 5:30 pm, local time of the recipient, on 
a business day will be deemed served that day. Service by facsimile 
transmission that is fully transmitted to the office of the recipient 
after 5:30 pm, local time of the recipient, on a business day will be 
deemed served on the following business day.

[53 FR 11855, Apr. 11, 1988. Redesignated and amended at 58 FR 25573, 
25574, Apr. 27, 1993, as amended at 63 FR 1040, Jan. 7, 1998; 64 FR 
60726, Nov. 8, 1999]



Sec. 1.736  Complaints filed pursuant to 47 U.S.C. 271(d)(6)(B).

    (a) Where a complaint is filed pursuant to 47 U.S.C. 271(d)(6)(B), 
parties shall indicate whether they are willing to waive the ninety-day 
resolution deadline contained in 47 U.S.C. 271(d)(6)(B) in the following 
manner:
    (1) The complainant shall so indicate in both the complaint itself 
and in the Formal Complaint Intake Form, and the defendant shall so 
indicate in its answer; or
    (2) The parties shall indicate their agreement to waive the ninety-
day resolution deadline to the Commission staff at the initial status 
conference, to be held in accordance with Sec. 1.733 of the rules.
    (b) Requests for waiver of the ninety-day resolution deadline for 
complaints filed pursuant to 47 U.S.C. 271(d)(6)(B) will not be 
entertained by the Commission staff subsequent to the initial status 
conference, absent a showing by the complainant and defendant that such 
waiver is in the public interest.

[63 FR 1041, Jan. 7, 1998]

                              Applications



Sec. 1.741  Scope.

    The general rules relating to applications contained in Secs. 1.742 
through 1.748 apply to all applications filed by carriers except those 
filed by public correspondence radio stations pursuant to parts 80, 87, 
and 101 of this chapter, and those filed by common carriers pursuant to 
part 25 of this chapter. Parts 21 and 101 of this chapter contain 
general rules applicable to applications filed pursuant to these parts. 
For general rules applicable to applications filed pursuant to parts 80 
and 87 of this chapter, see such parts and subpart F of this part. For 
rules applicable to applications filed pursuant to part 25, see said 
part.

[61 FR 26670, May 28, 1996]



Sec. 1.742  Place of filing, fees, and number of copies.

    All applications which do not require a fee shall be filed at the 
Commission's main office in Washington, DC., Attention: Office of the 
Secretary. Hand-delivered applications will be dated by the Secretary 
upon receipt (mailed applications will be dated by the Mail Branch) and 
then forwarded to the Common Carrier Bureau. All applications 
accompanied by a fee payment should be filed with the Commission's 
lockbox bank in accordance with Sec. 1.1105, Schedule of Fees. The 
number of copies required for each application and the nonrefundable 
processing fees and any applicable regulatory fees (see subpart G of 
this part) which must accompany each application in order to qualify it 
for acceptance for filing and consideration are set forth in the rules 
in this chapter relating to various types of applications. However, if 
any

[[Page 200]]

application is not of the type covered by this chapter, an original and 
two copies of each such application shall be submitted.

[59 FR 30998, June 16, 1994]



Sec. 1.743  Who may sign applications.

    (a) Except as provided in paragraph (b) of this section, 
applications, amendments thereto, and related statements of fact 
required by the Commission must be signed by the applicant, if the 
applicant is an individual; by one of the partners, if the applicant is 
a partnership; by an officer or duly authorized employee, if the 
applicant is a corporation; or by a member who is an officer, if the 
applicant is an unincorporated association. Applications, amendments, 
and related statements of fact filed on behalf of eligible government 
entities such as states and territories of the United States, their 
political subdivisions, the District of Columbia, and units of local 
government, including incorporated municipalities, must be signed by a 
duly elected or appointed official who is authorized to do so under the 
laws of the applicable jurisdiction.
    (b) Applications, amendments thereto, and related statements of fact 
required by the Commission may be signed by the applicant's attorney in 
case of the applicant's physical disability or of his absence from the 
United States. The attorney shall in that event separately set forth the 
reason why the application is not signed by the applicant. In addition, 
if any matter is stated on the basis of the attorney's belief only 
(rather than his knowledge), he shall separately set forth his reasons 
for believing that such statements are true.
    (c) Only the original of applications, amendments, or related 
statements of fact need be signed; copies may be conformed.
    (d) Applications, amendments, and related statements of fact need 
not be signed under oath. Willful false statements made therein, 
however, are punishable by fine and imprisonment, U.S. Code, Title 18, 
section 1001, and by appropriate administrative sanctions, including 
revocation of station license pursuant to section 312(a)(1) of the 
Communications Act of 1934, as amended.
    (e) ``Signed,'' as used in this section, means an original hand-
written signature, except that by public notice in the Federal Register 
the Common Carrier Bureau may allow signature by any symbol executed or 
adopted by the applicant with the intent that such symbol be a 
signature, including symbols formed by computer-generated electronic 
impulses.

[28 FR 12450, Nov. 22, 1963, as amended at 53 FR 17193, May 16, 1988; 59 
FR 59503, Nov. 17, 1994]



Sec. 1.744  Amendments.

    (a) Any application not designated for hearing may be amended at any 
time by the filing of signed amendments in the same manner, and with the 
same number of copies, as was the initial application. If a petition to 
deny (or to designate for hearing) has been filed, the amendment shall 
be served on the petitioner.
    (b) After any application is designated for hearing, requests to 
amend such application may be granted by the presiding officer upon good 
cause shown by petition, which petition shall be properly served upon 
all other parties to the proceeding.
    (c) The applicant may at any time be ordered to amend his 
application so as to make it more definite and certain. Such order may 
be issued upon motion of the Commission (or the presiding officer, if 
the application has been designated for hearing) or upon petition of any 
interested person, which petition shall be properly served upon the 
applicant and, if the application has been designated for hearing, upon 
all parties to the hearing.

[29 FR 6444, May 16, 1964, and 31 FR 14394, Nov. 9, 1966]



Sec. 1.745  Additional statements.

    The applicant may be required to submit such additional documents 
and written statements of fact, signed and verified (or affirmed), as in 
the judgment of the Commission (or the presiding officer, if the 
application has been designated for hearing) may be necessary. Any 
additional documents and written statements of fact required

[[Page 201]]

in connection with applications under Title II of the Communications Act 
need not be verified (or affirmed).

[29 FR 6444, May 16, 1964]



Sec. 1.746  Defective applications.

    (a) Applications not in accordance with the applicable rules in this 
chapter may be deemed defective and returned by the Commission without 
acceptance of such applications for filing and consideration. Such 
applications will be accepted for filing and consideration if 
accompanied by petition showing good cause for waiver of the rule with 
which the application does not conform.
    (b) The assignment of a file number, if any, to an application is 
for the administrative convenience of the Commission and does not 
indicate the acceptance of the application for filing and consideration.



Sec. 1.747  Inconsistent or conflicting applications.

    When an application is pending or undecided, no inconsistent or 
conflicting application filed by the same applicant, his successor or 
assignee, or on behalf or for the benefit of said applicant, his 
successor, or assignee, will be considered by the Commission.



Sec. 1.748  Dismissal of applications.

    (a) Before designation for hearing. Any application not designated 
for hearing may be dismissed without prejudice at any time upon request 
of the applicant. An applicant's request for the return of an 
application that has been accepted for filing and consideration, but not 
designated for hearing, will be deemed a request for dismissal without 
prejudice. The Commission may dismiss an application without prejudice 
before it has been designated for hearing when the applicant fails to 
comply or justify noncompliance with Commission requests for additional 
information in connection with such application.
    (b) After designation for hearing. A request to dismiss an 
application without prejudice after it has been designated for hearing 
shall be made by petition properly served upon all parties to the 
hearing and will be granted only for good cause shown. An application 
may be dismissed with prejudice after it has been designated for hearing 
when the applicant:
    (1) Fails to comply with the requirements of Sec. 1.221(c);
    (2) Otherwise fails to prosecute his application; or
    (3) Fails to comply or justify noncompliance with Commission 
requests for additional information in connection with such application.

[28 FR 12450, Nov. 22, 1963, as amended at 29 FR 6445, May 16, 1964]



Sec. 1.749  Action on application under delegated authority.

    Certain applications do not require action by the Commission but, 
pursuant to the delegated authority contained in subpart B of part 0 of 
this chapter, may be acted upon by the Telegraph Committee, the 
Telephone Committee, or the Chief of the Common Carrier Bureau, 
respectively, subject to reconsideration by the Commission.

   Specific Types of Applications Under Title II of Communications Act



Sec. 1.761  Cross reference.

    Specific types of applications under Title III of the Communications 
Act involving public correspondence radio stations are specified in 
parts 23, 80, 87, and 101 of this chapter.

[61 FR 26671, May 28, 1996]



Sec. 1.762  Interlocking directorates.

    Applications under section 212 of the Communications Act for 
authority to hold the position of officer or director of more than one 
carrier subject to the act or for a finding that two or more carriers 
are commonly owned shall be made in the form and manner, with the number 
of copies set forth in part 62 of this chapter. The Commission shall be 
informed of any change in status of any person authorized to hold the 
position of officer or director of more than one carrier, as required by 
part 62 of this chapter.

[52 FR 5289, Feb. 20, 1987]



Sec. 1.763  Construction, extension, acquisition or operation of lines.

    (a) Applications under section 214 of the Communications Act for 
authority

[[Page 202]]

to construct a new line, extend any line, acquire or operate any line or 
extension thereof, or to engage in transmission over or by means of such 
additional or extended line, to furnish temporary or emergency service, 
or to supplement existing facilities shall be made in the form and 
manner, with the number of copies and accompanied by the fees specified 
in part 63 of this chapter.
    (b) In cases under this section requiring a certificate, notice is 
given to and a copy of the application is filed with the Secretary of 
Defense, the Secretary of State (with respect to such applications 
involving service to foreign points), and the Governor of each State 
involved. Hearing is held if any of these persons desires to be heard or 
if the Commission determines that a hearing should be held. Copies of 
applications for certificates are filed with the regulatory agencies of 
the States involved.

[28 FR 12450, Nov. 22, 1963, as amended at 64 FR 39939, July 23, 1999]



Sec. 1.764  Discontinuance, reduction, or impairment of service.

    (a) Applications under section 214 of the Communications Act for the 
authority to discontinue, reduce, or impair service to a community or 
part of a community or for the temporary, emergency, or partial 
discontinuance, reduction, or impairment of service shall be made in the 
form and manner, with the number of copies specified in part 63 of this 
chapter (see also subpart G, part 1 of this chapter). Posted and public 
notice shall be given the public as required by part 63 of this chapter.
    (b) In cases under this section requiring a certificate, notice is 
given to and a copy of the application is filed with the Secretary of 
Defense, the Secretary of State (with respect to such applications 
involving service to foreign points), and the Governor of each State 
involved. Hearing is held if any of these persons desires to be heard or 
if the Commission determines that a hearing should be held. Copies of 
all formal applications under this section requesting authorizations 
(including certificates) are filed with the Secretary of Defense, the 
Secretary of State (with respect to such applications involving service 
to foreign points) and the Governor of each State involved. Copies of 
all applications under this section requesting authorizations (including 
certificates) are filed with the regulatory agencies of the States 
involved.

[28 FR 12450, Nov. 22, 1963, as amended at 52 FR 5289, Feb. 20, 1987]



Sec. 1.765  Consolidation or acquisition of telephone companies.

    Applications under section 221(a) of the Communications Act for 
authority to consolidate or acquire telephone companies shall be made in 
the form and manner, with the number of copies and accompanied by the 
fees shown in part 66 of this chapter.



Sec. 1.766  Consolidation of domestic telegraph carriers.

    (a) Applications under section 22 of the Communications Act by two 
or more domestic telegraph carriers for authorization to effect a 
consolidation or merger or by any domestic telegraph carrier to acquire 
all or any part of the domestic telegraph properties, domestic telegraph 
facilities, or domestic telegraph operations of any carrier shall 
contain such information as is necessary for the Commission to act upon 
such application under the provisions of section 222 of the Act.
    (b) These applications are acted upon by the Commission after public 
hearing. Reasonable notice in writing of the public hearing and an 
opportunity to be heard is given by the Commission to the Governor of 
each of the States in which any of the physical property involved in 
such proposed consolidation or merger is situated, to the Secretary of 
State, the Secretary of the Army, the Attorney General of the United 
States, the Secretary of the Navy, representatives of employees where 
represented by bargaining representatives known to the Commission, and 
to such other persons as the Commission may deem advisable.

[28 FR 12450, Nov. 22, 1963, as amended at 52 FR 5289, Feb. 20, 1987]



Sec. 1.767  Cable landing licenses.

    (a) Applications for cable landing licenses under 47 U.S.C. 34-39 
and Executive Order No. 10530, dated May 10, 1954,

[[Page 203]]

should be filed in duplicate and in accordance with the provisions of 
that Executive Order. These applications should contain:
    (1) The name, address and telephone number(s) of the applicant;
    (2) The Government, State, or Territory under the laws of which each 
corporate or partnership applicant is organized;
    (3) The name, title, post office address, and telephone number of 
the officer and any other contact point, such as legal counsel, to whom 
correspondence concerning the application is to be addressed;
    (4) A description of the submarine cable, including the type and 
number of channels and the capacity thereof;
    (5) A specific description of the cable landing stations on the 
shore of the United States and in foreign countries where the cable will 
land. The description shall include a map showing specific coordinates 
or street addresses of each landing station as well as the identity, 
citizenship, and specific ownership share of each owner of each U.S. 
landing station. The applicant initially may file a general geographic 
description of the landing points; however, grant of the application 
will be conditioned on the Commission's final approval of a more 
specific description of the landing points, including all information 
required by this paragraph, to be filed by the applicant no later than 
90 days prior to construction. The Commission will give public notice of 
the filing of this description, and grant of the license will be 
considered final if the Commission does not notify the applicant 
otherwise in writing no later than 60 days after receipt of the specific 
description of the landing points, unless the Commission designates a 
different time period;
    (6) A statement as to whether the cable will be operated on a common 
carrier or non-common carrier basis;
    (7) A list of the proposed owners of the cable system, their voting 
interests, and their ownership interests by segment in the cable;
    (8) For each proposed owner of the cable system, a certification as 
to whether the proposed owner is, or is affiliated with, a foreign 
carrier (as defined in Sec. 63.09 of this chapter). Include the 
information and certifications required in Sec. 63.18(h) through (k) of 
this chapter; and
    (9) Any other information that may be necessary to enable the 
Commission to act on the application.
    (b) These applications are acted upon by the Commission after 
obtaining the approval of the Secretary of State and such assistance 
from any executive department or establishment of the Government as it 
may require.
    (c) Original files relating to submarine cable landing licenses and 
applications for licenses since June 30, 1934, are kept by the 
Commission. Such applications for licenses (including all documents and 
exhibits filed with and made a part thereof, with the exception of any 
maps showing the exact location of the submarine cable or cables to be 
licensed) and the licenses issued pursuant thereto, with the exception 
of such maps, shall, unless otherwise ordered by the Commission, be open 
to public inspection in the offices of the Commission in Washington, 
D.C.
    (d) Original files relating to licenses and applications for 
licenses for the landing operation of cables prior to June 30, 1934, 
were kept by the Department of State, and such files prior to 1930 have 
been transferred to the Executive and Foreign Affairs Branch of the 
General Records Office of the National Archives. Requests for inspection 
of these files should, however, be addressed to the Federal 
Communications Commission, Washington, D.C., 20554; and the Commission 
will obtain such files for a temporary period in order to permit 
inspection at the offices of the Commission.
    (e) A separate application shall be filed with respect to each 
individual cable system for which a license is requested, or for which 
modification or amendment of a previous license is requested. The 
application fee for a non common-carrier cable landing license is 
payment type code BJT. Applicants for common carrier cable landing 
licenses shall pay the fees for both a common carrier cable landing 
license (payment type code CXT) and overseas cable construction (payment 
type code BIT). There is no application fee for modification of a cable 
landing license, except that the fee for assignment or

[[Page 204]]

transfer of control of a cable landing license is payment type code CUT. 
See Sec. 1.1107(2) of this chapter.
    (f) Applicants shall disclose to any interested member of the 
public, upon written request, accurate information concerning the 
location and timing for the construction of a submarine cable system 
authorized under this section. This disclosure shall be made within 30 
days of receipt of the request.

[28 FR 12450, Nov. 22, 1963, as amended at 52 FR 5289, Feb. 20, 1987; 61 
FR 15726, Apr. 9, 1996; 64 FR 19061, Apr. 19, 1999; 65 FR 51769, Aug. 
25, 2000; 65 FR 54799, Sept. 11, 2000]

                                 Tariffs



Sec. 1.771  Filing.

    Schedules of charges, and classifications, practices, and 
regulations affecting such charges, required under section 203 of the 
Communications Act shall be constructed, filed, and posted in accordance 
with and subject to the requirements of part 61 of this chapter.



Sec. 1.772  Application for special tariff permission.

    Applications under section 203 of the Communications Act for special 
tariff permission shall be made in the form and manner, with the number 
of copies set out in part 61 of this chapter.

[52 FR 5289, Feb. 20, 1987]



Sec. 1.773  Petitions for suspension or rejection of new tariff filings.

    (a) Petition--(1) Content. Petitions seeking investigation, 
suspension, or rejection of a new or revised tariff filing or any 
provision thereof shall specify the filing's Federal Communications 
Commission tariff number and carrier transmittal number, the items 
against which protest is made, and the specific reasons why the 
protested tariff filing warrants investigation, suspension, or rejection 
under the Communications Act. No petition shall include a prayer that it 
also be considered a formal complaint. Any formal complaint shall be 
filed as a separate pleading as provided in Sec. 1.721.
    (i) Petitions seeking investigation, suspension, or rejection of a 
new or revised tariff filing or any provision of such a publication, 
must specify the pertinent Federal Communications Commission tariff 
number and carrier transmittal number; the matters protested; and the 
specific reasons why the tariff warrants investigation, suspension, or 
rejection. When a single petition asks for more than one form of relief, 
it must separately and distinctly plead and support each form of relief. 
However, no petiton may ask that it also be considered a formal 
complaint. Formal complaints must be separately lodged, as provided in 
Sec. 1.721.
    (ii) For purposes of this section, tariff filings by nondominant 
carriers will be considered prima facie lawful, and will not be 
suspended by the Commission unless the petition requesting suspension 
shows:
    (A) That there is a high probability the tariff would be found 
unlawful after investigation;
    (B) That the harm alleged to competition would be more substantial 
than the injury to the public arising from the unavailability of the 
service pursuant to the rates and conditions proposed in the tariff 
filing;
    (C) That irreparable injury will result if the tariff filing is not 
suspended; and
    (D) That the suspension would not otherwise be contrary to the 
public interest.
    (iii) For the purpose of this section, any tariff filing by a local 
exchange carrier filed pursuant to the requirements of Sec. 61.39 will 
be considered prima facie lawful and will not be suspended by the 
Commission unless the petition requesting suspension shows that the cost 
and demand studies or average schedule information was not provided upon 
reasonable request. If such a showing is not made, then the filing will 
be considered prima facie lawful and will not be suspended by the 
Commission unless the petition requesting suspension shows each of the 
following:
    (A) That there is a high probability the tariff would be found 
unlawful after investigation;
    (B) That any unreasonable rate would not be corrected in a 
subsequent filing;
    (C) That irreparable injury will result if the tariff filing is not 
suspended; and

[[Page 205]]

    (D) That the suspension would not otherwise be contrary to the 
public interest.
    (iv) For the purposes of this section, tariff filings made pursuant 
to Sec. 61.49(b) by carriers subject to price cap regulation will be 
considered prima facie lawful, and will not be suspended by the 
Commission unless the petition shows that the support information 
required in Sec. 61.49(b) was not provided, or unless the petition 
requesting suspension shows each of the following:
    (A) That there is a high probability the tariff would be found 
unlawful after investigation;
    (B) That the suspension would not substantially harm other 
interested parties;
    (C) That irreparable injury will result if the tariff filing is not 
suspended; and
    (D) That the suspension would not otherwise be contrary to the 
public interest.
    (v) For the purposes of this section, any tariff filing by a price 
cap LEC filed pursuant to the requirements of Sec. 61.42(d)(4)(ii) of 
this chapter will be considered prima facie lawful, and will not be 
suspended by the Commission unless the petition requesting suspension 
shows each of the following:
    (A) That there is a high probability the tariff would be found 
unlawful after investigation;
    (B) That any unreasonable rate would not be corrected in a 
subsequent filing;
    (C) That irreparable injury will result if the tariff filing is not 
suspended; and
    (D) That the suspension would not otherwise be contrary to the 
public interest.
    (2) When filed. All petitions seeking investigation, suspension, or 
rejection of a new or revised tariff filing shall meet the filing 
requirements of this paragraph. In case of emergency and within the time 
limits provided, a telegraphic request for such relief may be sent to 
the Commission setting forth succinctly the substance of the matters 
required by paragraph (a)(1) of this section. A copy of any such 
telegraphic request shall be sent simultaneously to the Chief, Common 
Carrier Bureau, the Chief, Tariff Division, and the publishing carrier. 
Thereafter, the request shall be confirmed by petition filed and served 
in accordance with Sec. 1.773(a)(4).
    (i) Petitions seeking investigation, suspension, or rejection of a 
new or revised tariff filed pursuant to section 204(a)(3) of the 
Communications Act made on 7 days notice shall be filed and served 
within 3 calendar days after the date of the tariff filing.
    (ii) Petitions seeking investigation, suspension, or rejection of a 
new or revised tariff filing made on less than 15 days notice shall be 
filed and served within 6 days after the date of the tariff filing.
    (iii) Petitions seeking investigation, suspension, or rejection of a 
new or revised tariff filing made on at least 15 but less than 30 days 
notice shall be filed and served within 7 days after the date of the 
tariff filing.
    (iv) Petitions seeking investigation, suspension, or rejection of a 
new or revised tariff filing made on at least 30 but less than 90 days 
notice shall be filed and served within 15 days after the date of the 
tariff filing.
    (v) Petitions seeking investigation, suspension, or rejection of a 
new or revised tariff filing mode on 90 or more days notice shall be 
filed and served within 25 days after the date of the tariff filing.
    (3) Computation of time. Intermediate holidays shall be counted in 
determining the above filing dates. If the date for filing the petition 
falls on a holiday, the petition shall be filed on the next succeeding 
business day.
    (4) Copies, service. An original and four copies of each petition 
shall be filed with the Commission as follows: the original and three 
copies of each petition shall be filed with the Secretary, FCC room TW-
A325, 445 12th Street, SW., Washington, DC 20554; one copy must be 
delivered directly to the Commission's copy contractor, International 
Transcription Service, Inc., 2100 M St., NW., Suite 140, Washington, DC. 
Additional, separate copies shall be served simultaneously upon the 
Chief, Common Carrier Bureau; the Chief, Competitive Pricing Division; 
and the Chief, Tariff and Price Analysis Branch of the Competitive 
Pricing Division.

[[Page 206]]

Petitions seeking investigation, suspension, or rejection of a new or 
revised tariff made on 15 days or less notice shall be served either 
personally or via facsimile on the filing carrier. If a petition is 
served via facsimile, a copy of the petition must also be sent to the 
filing carrier via first class mail on the same day of the facsimile 
transmission. Petitions seeking investigation, suspension, or rejection 
of a new or revised tariff filing made on more than 15 days notice may 
be served on the filing carrier by mail.
    (b) Reply--(1) When filed. A publishing carrier's reply to a 
petition for relief from a tariff filing shall be filed in accordance 
with the following periods:
    (i) Replies to petitions seeking investigation, suspension, or 
rejection of a new or revised tariff filed pursuant to section 204(a)(3) 
of the Act made on 7 days notice shall be filed and served within 2 days 
after the date the petition is filed with the Commission.
    (ii) Replies to petitions seeking investigation, suspension, or 
rejection of a new or revised tariff filing made on less than 15 days 
notice shall be filed and served within 3 days after the date the 
petition is due to be filed with the Commission.
    (iii) Replies to petitions seeking investigation, suspension, or 
rejection of a new or revised tariff filing made on at least 15 but less 
than 30 days notice shall be filed and served within 4 days after 
service of the petition.
    (iv) Replies to petitions seeking investigation, suspension, or 
rejection of a new or revised tariff filing made on at least 30 but less 
than 90 days notice shall be filed and served within 5 days after 
service of the petition.
    (v) Replies to petitions seeking investigation, suspension, or 
rejection of a new or revised tariff filing made on 90 or more days 
notice shall be filed and served within 8 days after service of the 
petition.
    (vi) Where all petitions against a tariff filing have not been filed 
on the same day, the publishing carrier may file a consolidated reply to 
all the petitions. The time for filing such a consolidated reply will 
begin to run on the last date for timely filed petitions, as fixed by 
paragraphs (a)(2) (i) through (iv) of this section, and the date on 
which the consolidated reply is due will be governed by paragraphs 
(b)(1) (i) through (iv) of this section.
    (2) Computation of time. Intermediate holidays shall be counted in 
determining the 3-day filing date for replies to petitions seeking 
investigation, suspension, or rejection of a new or revised tariff 
filing made on less than 15 days notice. Intermediate holidays shall not 
be counted in determining filing dates for replies to petitions seeking 
investigation, suspension, or rejection of a new or revised tariff 
filing made on 15 or more days notice. When a petition is permitted to 
be served upon the filing carrier by mail, an additional 3 days 
(counting holidays) may be allowed for filing the reply. If the date for 
filing the reply falls on a holiday, the reply may be filed on the next 
succeeding business day.
    (3) Copies, service. An original and four copies of each reply shall 
be filed with the Commission, as follows: the original and three copies 
must be filed with the Secretary, FCC room 222, 1919 M Street, NW., 
Washington, DC 20554; one copy must be delivered directly to the 
Commission's Copy contractor, International Transcription Service, Inc., 
2100 M St., NW/. Suite 140, Washington, DC. Additional separate copies 
shall be served simultaneously upon the Chief, Common Carrier Bureau; 
the Chief, Competitive Division; and the Chief, Tariff and Price 
Analysis Branch of the Competitive Pricing Division and the petitioner. 
Replies to petitions seeking investigation, suspension, or rejection of 
a new or revised tariff made on 15 days or less notice shall be served 
on petitioners personally or via facsimile. Replies to petitions seeking 
investigation, suspension, or rejection of a new or revised tariff made 
on more than 15 days notice may be served upon petitioner personally, by 
mail or via facsimile.

[45 FR 64190, Sept. 29, 1980, as amended at 49 FR 40876, Oct. 18, 1984; 
49 FR 49466, Dec. 20, 1984; 52 FR 26682, July 16, 1987; 54 FR 19840, May 
8, 1989; 58 FR 17529, Apr. 5, 1993; 58 FR 51247, Oct. 1, 1993; 62 FR 
5777, Feb. 7, 1997; 64 FR 51264, Sept. 22, 1999; 65 FR 58466, Sept. 29, 
2000]

[[Page 207]]



Sec. 1.774  Pricing flexibility.

    (a) Petitions. (1) A petition seeking pricing flexibility for 
specific services pursuant to part 69, subpart H, of this chapter, with 
respect to a metropolitan statistical area (MSA), as defined in 
Sec. 22.909(a) of this chapter, or the non-MSA parts of a study area, 
must show that the price cap LEC has met the relevant thresholds set 
forth in part 69, subpart H, of this chapter.
    (2) The petition must make a separate showing for each MSA for which 
the petitioner seeks pricing flexibility, and for the portion of the 
study area that falls outside any MSA.
    (3) Petitions seeking pricing flexibility for services described in 
Secs. 69.709(a) and 69.711(a) of this chapter must include:
    (i) The total number of wire centers in the relevant MSA or non-MSA 
parts of a study area, as described in Sec. 69.707 of this chapter;
    (ii) The number and location of the wire centers in which 
competitors have collocated in the relevant MSA or non-MSA parts of a 
study area, as described in Sec. 69.707 of this chapter;
    (iii) In each wire center on which the price cap LEC bases its 
petition, the name of at least one collocator that uses transport 
facilities owned by a provider other than the price cap LEC to transport 
traffic from that wire center; and
    (iv)(A) The percentage of the wire centers in the relevant MSA or 
non-MSA area, as described in Sec. 69.707 of this chapter, in which 
competitors have collocated and use transport facilities owned by a 
provider other than the price cap LEC to transport traffic from that 
wire center; or
    (B) The percentage of total base period revenues generated by the 
services at issue in the petition that are attributable to wire centers 
in the relevant MSA or non-MSA area, as described in Sec. 69.707 of this 
chapter, in which competitors have collocated and use transport 
facilities owned by a provider other than the price cap LEC to transport 
traffic from that wire center.
    (4) Petitions seeking pricing flexibility for services described in 
Sec. 69.713(a) of this chapter must make a showing sufficient to meet 
the relevant requirements of Sec. 69.713 of this chapter.
    (b) Confidential treatment. A price cap LEC wishing to request 
confidential treatment of information contained in a pricing flexibility 
petition should demonstrate, by a preponderance of the evidence, that 
the information should be withheld from public inspection in accordance 
with the requirements of Sec. 0.459 of this chapter.
    (c) Oppositions. Any interested party may file comments or 
oppositions to a petition for pricing flexibility. Comments and 
oppositions shall be filed no later than 15 days after the petition is 
filed. Time shall be computed pursuant to Sec. 1.4.
    (d) Replies. The petitioner may file a reply to any oppositions 
filed in response to its petition for pricing flexibility. Replies shall 
be filed no later than 10 days after comments are filed. Time shall be 
computed pursuant to Sec. 1.4.
    (e) Copies, service. (1)(i) Any price cap LEC filing a petition for 
pricing flexibility must submit its petition pursuant to the 
Commission's Electronic Tariff Filing System (ETFS), following the 
procedures set forth in Sec. 61.14(a) of this chapter.
    (ii) The price cap LEC must provide to each party upon which the 
price cap LEC relies to meet its obligations under paragraph (a)(3)(iii) 
of this section, the information it provides about that party in its 
petition, even if the price cap LEC requests that the information be 
kept confidential under paragraph (b) of this section.
    (A) The price cap LEC must certify in its pricing flexibility 
petition that it has made such information available to the party.
    (B) The price cap LEC may provide data to the party in redacted 
form, revealing only that information to the party that relates to the 
party.
    (C) The price cap LEC must provide to the Commission copies of the 
information it provides to such parties.
    (2)(i) Interested parties filing oppositions or comments in response 
to a petition for pricing flexibility may file those comments through 
ETFS.
    (ii) Any interested party electing to file an opposition or comment 
in response to a pricing flexibility petition through a method other 
than ETFS must file an original and four copies of

[[Page 208]]

each opposition or comment with the Commission, as follows: the original 
and three copies of each pleading shall be filed with the Secretary, 
FCC, Room CY-A257, 445 Twelfth St. S.W., Washington, D.C., 20554; one 
copy must be delivered directly to the Commission's copy contractor, 
International Transcription Service, Inc., 1231 Twentieth St. N.W., 
Washington, D.C. 20036. Additional, separate copies shall be served 
simultaneously upon the Chief, Common Carrier Bureau; the Chief, 
Competitive Pricing Division; and the Chief, Tariff and Pricing Analysis 
Branch of the Competitive Pricing Division.
    (iii) In addition, oppositions and comments shall be served either 
personally or via facsimile on the petitioner. If an opposition or 
comment is served via facsimile, a copy of the opposition or comment 
must be sent to the petitioner via first class mail on the same day as 
the facsimile transmission.
    (3) Replies shall be filed with the Commission through ETFS. In 
addition, petitioners choosing to file a reply must serve a copy on each 
party filing an opposition or comment, either personally or via 
facsimile. If a reply is served via facsimile, a copy of the reply must 
be sent to the recipient of that reply via first class mail on the same 
day as the facsimile transmission.
    (f) Disposition. (1) A petition for pricing flexibility pertaining 
to special access and dedicated transport services shall be deemed 
granted unless the Chief, Common Carrier Bureau, denies the petition no 
later than 90 days after the close of the pleading cycle. The period for 
filing applications for review begins the day the Bureau grants or 
denies the petition, or the day that the petition is deemed denied. Time 
shall be computed pursuant to Sec. 1.4.
    (2) A petition for pricing flexibility pertaining to common-line and 
traffic-sensitive services shall be deemed granted unless the Commission 
denies the petition no later than five months after the close of the 
pleading cycle. Time shall be computed pursuant to Sec. 1.4.

[64 FR 51264, Sept. 22, 1999]

    Contracts, Reports, and Requests Required to be Filed by Carriers



Sec. 1.781  Requests for extension of filing time.

    Requests for extension of time within which to file contracts, 
reports, and requests referred to in Secs. 1.783 through 1.814 shall be 
made in writing and may be granted for good cause shown.

                                Contracts



Sec. 1.783  Filing.

    Copies of carrier contracts, agreements, concessions, licenses, 
authorizations or other arrangements, shall be filed as required by part 
43 of this chapter.

              Financial and Accounting Reports and Requests



Sec. 1.785  Annual financial reports.

    (a) An annual financial report shall be filed by telephone carriers 
and affiliates as required by part 43 of this chapter on form M.
    (b) Verified copies of annual reports filed with the Securities and 
Exchange Commission on its Form 10-K, Form 1-MD, or such other form as 
may be prescribed by that Commission for filing of equivalent 
information, shall be filed annually with this Commission by each person 
directly or indirectly controlling any communications common carrier in 
accordance with part 43 of this chapter.
    (c) Carriers having separate departments or divisions for carrier 
and noncarrier operations shall file separate supplemental annual 
reports with respect to such carrier and non-carrier operations in 
accordance with part 43 of this chapter.

[28 FR 12450, Nov. 22, 1963, as amended at 31 FR 747, Jan. 20, 1966; 47 
FR 50697, Nov. 9, 1982; 49 FR 36503, Sept. 18, 1984; 50 FR 41152, Oct. 
9, 1985; 58 FR 36143, July 6, 1993]



Sec. 1.786  [Reserved]



Sec. 1.787  Reports of proposed changes in depreciation rates.

    Carriers shall file reports regarding proposed changes in 
depreciation rates as required by part 43 of this chapter.

[[Page 209]]



Sec. 1.788  Reports regarding pensions and benefits.

    Carriers shall file reports regarding pensions and benefits as 
required by part 43 of this chapter.



Sec. 1.789  Reports regarding division of international telegraph communication charges.

    Carriers engaging in international telegraph communication shall 
file reports in regard to the division of communication charges as 
required by part 43 of this chapter.



Sec. 1.790  Reports relating to traffic by international carriers.

    Carriers shall file periodic reports regarding international point-
to-point traffic as required by part 43 of this chapter.

[57 FR 8579, Mar. 11, 1992]



Sec. 1.791  Reports and requests to be filed under part 32 of this chapter.

    Reports and requests shall be filed either periodically, upon the 
happening of specified events, or for specific approval by class A and 
class B telephone companies in accordance with and subject to the 
provisions of part 32 of this chapter.

[55 FR 30461, July 26, 1990]



Sec. 1.795  Reports regarding interstate rates of return.

    Carriers shall file reports regarding interstate rates of return on 
FCC Form 492 as required by part 65 of this chapter.

[52 FR 274, Jan. 5, 1987]

                     Services and Facilities Reports



Sec. 1.802  Reports relating to continuing authority to supplement facilities or to provide temporary or emergency service.

    Carriers receiving authority under part 63 of this chapter shall 
file quarterly or semiannual reports as required therein.



Sec. 1.803  Reports relating to reduction in temporary experimental service.

    As required in part 63 of this chapter, carriers shall report 
reductions in service which had previously been expanded on an 
experimental basis for a temporary period.



Sec. 1.805  Reports relating to service by carriers engaged in public radio service operations.

    Monthly and quarterly reports must be filed with the Commission in 
connection with certain fixed public radio service operations. No form 
is prescribed. A complete description of the contents of these reports 
is contained in part 23 of this chapter.

                          Miscellaneous Reports



Sec. 1.811  Reports regarding amendments to charters, by-laws and partnership agreements of carriers engaged in domestic public radio services.

    Amendments to such documents shall be reported and filed in 
accordance with part 21 of this chapter.



Sec. 1.813  Reports of negotiations regarding foreign communication matters.

    Pursuant to the requirements of part 43 of this chapter, carriers 
engaging or participating in foreign communications shall file monthly 
reports covering negotiations conducted.



Sec. 1.814  Reports regarding free service rendered the Government for national defense.

    Carriers rendering free service in connection with the national 
defense to any agency of the United States Government shall file reports 
in accordance with part 2 of this chapter.



Sec. 1.815  Reports of annual employment.

    (a) Each common carrier licensee or permittee with 16 or more full 
time employees shall file with the Commission, on or before May 31 of 
each year, on FCC Form 395, an annual employment report.
    (b) A copy of every annual employment report filed by the licensee 
or permittee pursuant to the provisions herein; and copies of all 
exhibits, letters, and other documents filed as part thereof, all 
amendments thereto, all correspondence between the permittee or licensee 
and the Commission pertaining to the reports after they have been filed 
and all documents incorporated herein by reference are open

[[Page 210]]

for public inspection at the offices of the Commission.
    (c) Cross references--(1) Applicability of cable television EEO 
reporting requirements to MDS and MMDS facilities, see Sec. 21.920 of 
this chapter.
    (2) Applicability of cable television EEO reporting requirements for 
FSS facilities, see Sec. 25.601 of this chapter.

[35 FR 12894, Aug. 14, 1970, as amended at 36 FR 3119, Feb. 18, 1971; 58 
FR 42249, Aug. 9, 1993]

                       Grants by Random Selection



Sec. 1.821  Scope.

    The provisions of Secs. 1.822 and 1.824 of this part apply as 
indicated to those applications for permits, licenses or authorizations 
in the Multichannel Multipoint Distribution Service for which action may 
be taken by the Mass Media Bureau pursuant to delegated authority.

[63 FR 68920, Dec. 14, 1998]



Sec. 1.822  General selection procedures.

    (a) Mutually exclusive applications for permits and licenses in the 
services specified in Sec. 1.821 may be designated for random selection 
according to the procedures established for each service. Following the 
random selection, the Commission shall determine whether the applicant 
is qualified to receive the permit or license. If, after reviewing the 
tentative selectee's application and pleadings properly filed against 
it, the Commission determines that a substantial and material question 
of fact exists, it shall designate the qualifying issue(s) for an 
expedited hearing.
    (b) Expedited hearing procedures. (1) Hearings may be conducted by 
the Commission or an Administrative Law Judge. In the case of a question 
which requires oral testimony for its resolution, the hearing will be 
conducted by an Administrative Law Judge.
    (2) Parties have ten (10) days from publication in the Federal 
Register of the hearing designation order to file notices of appearance.
    (3) When the Commission, under Sec. 1.221, issues an order stating 
the time, place, and nature of the hearing, this order shall instruct 
the applicant to submit its direct case in writing within thirty (30) 
days from the order's release date, or as otherwise specified in the 
order. The direct written case must set forth all those facts and 
circumstances related to the issues in the designation order. 
Documentary evidence upon which the applicant relies must be attached. 
Each exhibit must be numbered and must be accompanied by an affidavit 
from someone who has personal knowledge of the facts in the submission 
and who attests to the truth of the submission.
    (4) The order will also specify those petitioners that directly 
raised an issue which was designated and will inform these parties of 
their opportunity to submit a written rebuttal case within twenty (20) 
days after the direct case is due. The procedures in paragraph (b)(3) of 
this section will apply as to documentary evidence, exhibits, and 
affidavits.
    (5) Appeal of initial decisions rendered by an Administrative Law 
Judge shall lie with the Commission.

[48 FR 27201, June 13, 1983. Redesignated and amended at 50 FR 5991, 
Feb. 13, 1985]



Sec. 1.824  Random selection procedures for Multichannel Multipoint Distribution Service and Multipoint Distribution Service H-Channel stations.

    (a) If there are mutually exclusive applications for an initial 
conditional license or license, the Commission may use the random 
selection process to select the conditional licensee or licensee. Each 
such random selection shall be conducted under the direction of the 
Office of the Managing Director in conjunction with the Office of the 
Secretary. Following the random selection, the Commission shall announce 
the tentative selectee and determine whether the applicant is qualified 
to receive the conditional license or license. If the Commission 
determines that the tentative selectee is qualified, it shall grant the 
application. In the event that the tentative selectee's application is 
denied, a second random selection will be conducted. Petitions for 
Reconsideration, Motions to Stay or Applications for Review may be 
submitted at the time the Commission grants or denies the application of 
the tentative selectee. The filing periods

[[Page 211]]

specified in the rules shall apply for such pleadings.
    (b) Competing applications for conditional licenses and licenses 
shall be designated for random selection in accordance with 
Secs. 1.1621, 1.1622 (a), (b), (c), (d), and (e), and 1.1623. No 
preferences pursuant to Sec. 1.1622 (b)(2) or (b)(3) shall be granted to 
any MMDS or MDS H-channel applicant whose owners, when aggregated, have 
an ownership interest of more than 50 percent in the media of mass 
communication whose service areas, as set forth at Sec. 1.1622 (e)(1) 
through (e)(7), wholly encompass or are encompassed by the protected 
service area contour, computed in accordance with Sec. 21.902(d) of this 
chapter, for which the license or conditional license is sought.
    (c) Petitions to Deny may be filed only against the tentative 
selectee. These petitions must be filed within 30 days of the Public 
Notice announcing such tentative selection. A consolidated reply may be 
filed within 15 days of the due date for Petitions to Deny.

[50 FR 5992, Feb. 13, 1985, as amended at 56 FR 57815, Nov. 14, 1991]



    Subpart F--Wireless Telecommunications Services Applications and 
                               Proceedings

    Source: 28 FR 12454, Nov. 22, 1963, unless otherwise noted.

                           Scope and Authority



Sec. 1.901  Basis and purpose.

    These rules are issued pursuant to the Communications Act of 1934, 
as amended, 47 U.S.C 151 et seq. The purpose of these rules is to 
establish the requirements and conditions under which entities may be 
licensed in the Wireless Radio Services as described in this part and in 
parts 13, 20, 22, 24, 26, 27, 80, 87, 90, 95, 97 and 101 of this 
chapter.

[63 FR 68921, Dec. 14, 1998]



Sec. 1.902  Scope.

    In case of any conflict between the rules set forth in this subpart 
and the rules set forth in parts 13, 20, 22, 24, 26, 27, 80, 87, 90, 95, 
97, and 101 of Title 47, Chapter I of the Code of Federal Regulations, 
the rules in art 1 shall govern.

[63 FR 68921, Dec. 14, 1998]



Sec. 1.903  Authorization required.

    (a) General rule. Stations in the Wireless Radio Services must be 
used and operated only in accordance with the rules applicable to their 
particular service as set forth in this title and with a valid 
authorization granted by the Commission under the provisions of this 
part, except as specified in paragraph (b) of this section.
    (b) Restrictions. The holding of an authorization does not create 
any rights beyond the terms, conditions and period specified in the 
authorization. Authorizations may be granted upon proper application, 
provided that the Commission finds that the applicant is qualified in 
regard to citizenship, character, financial, technical and other 
criteria, and that the public interest, convenience and necessity will 
be served. See Secs. 301, 308, and 309, 310 of this chapter.
    (c) Subscribers. Authority for subscribers to operate mobile or 
fixed stations in the Wireless Radio Services, except for certain 
stations in the Rural Radiotelephone Service and the Air-Ground 
Radiotelephone Service, is included in the authorization held by the 
licensee providing service to them. Subscribers are not required to 
apply for, and the Commission does not accept, applications from 
subscribers for individual mobile or fixed station authorizations in the 
Wireless Radio Services, except as follows: individual authorizations 
are required to operate general aviation airborne mobile stations in the 
Air-Ground Radiotelephone Service. See Sec. 22.82 of this chapter. 
Individual authorizations are required to operate rural subscriber 
stations in the Rural Radiotelephone Service, except as provided in 
Sec. 22.703 of this chapter. Individual authorizations are required for 
end users of certain Specialized Mobile Radio Systems as provided in 
Sec. 90.655 of this chapter. In addition, certain ships and aircraft are 
required to be individually licensed under Parts 80 and 87 of this 
chapter. See Secs. 80.13, 87.18 of this chapter.

[63 FR 68921, Dec. 14, 1998]

[[Page 212]]



Sec. 1.907  Definitions.

    Antenna structure. The term antenna structure includes the radiating 
and receiving elements, its supporting structures, towers, and all 
appurtenances mounted thereon.
    Application. A request on a standard form for a station license as 
defined in Sec. 3(b) of the Communications Act, signed in accordance 
with Sec. 1.917 of this part, or a similar request to amend a pending 
application or to modify or renew an authorization. The term also 
encompasses requests to assign rights granted by the authorization or to 
transfer control of entities holding authorizations.
    Auctionable license. A Wireless Radio Service license identified in 
Sec. 1.2102 of this part for which competitive bidding is used to select 
from among mutually exclusive applications.
    Auctionable license application. A Wireless Radio Service license 
application identified in Sec. 1.2102 of this part for which competitive 
bidding is used if the application is subject to mutually exclusive 
applications.
    Authorization. A written instrument or oral statement issued by the 
FCC conveying authority to operate, for a specified term, to a station 
in the Wireless Telecommunications Services.
    Authorized bandwidth. The maximum bandwidth permitted to be used by 
a station as specified in the station license. See Sec. 2.202 of this 
chapter.
    Authorized power. The maximum power a station is permitted to use. 
This power is specified by the Commission in the station's authorization 
or rules.
    Control station. A fixed station, the transmissions of which are 
used to control automatically the emissions or operations of a radio 
station, or a remote base station transmitter.
    Effective radiated power (ERP). The product of the power supplied to 
the antenna multiplied by the gain of the antenna referenced to a half-
wave dipole.
    Equivalent Isotopically Radiated Power (EIRP). The product of the 
power supplied to the antenna multiplied by the antenna gain referenced 
to an isotropic antenna.
    Fixed station. A station operating at a fixed location.
    Harmful interference. Interference that endangers the functioning of 
a radionavigation service or of other safety services or seriously 
degrades, obstructs, or repeatedly interrupts a radio communications 
service operating in accordance with the Radio Regulations.
    Mobile relay station. A fixed transmitter used to facilitate the 
transmission of communications between mobile units.
    Mobile station. A radio communication station capable of being moved 
and which ordinarily does move.
    Non-auctionable license. A Wireless Radio Service license identified 
in Sec. 1.2102 of this part for which competitive bidding is not used to 
select from among mutually exclusive applications.
    Non-auctionable license application. A Wireless Radio Service 
license application for which Sec. 1.2102 of this part precludes the use 
of competitive bidding if the application is subject to mutually 
exclusive applications.
    Private Wireless Services. Wireless Radio Services authorized by 
parts 80, 87, 90, 95, 97, and 101 that are not Wireless 
Telecommunications Services, as defined in this part.
    Radio station. A separate transmitter or a group of transmitters 
under simultaneous common control, including the accessory equipment 
required for carrying on a radio communications service.
    Receipt date. The date an electronic or paper application is 
received at the appropriate location at the Commission or Mellon Bank. 
Amendments to pending applications may result in the assignment of a new 
receipt date in accordance with Sec. 1.927 of this part.
    Universal Licensing System. The Universal Licensing System (ULS) is 
the consolidated database, application filing system, and processing 
system for all Wireless Radio Services. ULS supports electronic filing 
of all applications and related documents by applicants and licensees in 
the Wireless Radio Services, and provides public access to licensing 
information.
    Wireless Radio Services. All radio services authorized in parts 13, 
20, 22, 24, 26, 27, 74, 80, 87, 90, 95, 97 and 101 of this

[[Page 213]]

chapter, whether commercial or private in nature.
    Wireless Telecommunications Services. Wireless Radio Services, 
whether fixed or mobile, that meet the definition of 
``telecommunications service'' as defined by 47 U.S.C. 153, as amended, 
and are therefore subject to regulation on a common carrier basis. 
Wireless Telecommunications Services include all radio services 
authorized by parts 20, 22, 24, 26, and 27 of this chapter. In addition, 
Wireless Telecommunications Services include Public Coast Stations 
authorized by part 80 of this chapter, Commercial Mobile Radio Services 
authorized by part 90 of this chapter, and common carrier fixed 
microwave services, Local Television Transmission Service (LTTS), Local 
Multipoint Distribution Service (LMDS), and Digital Electronic Message 
Service (DEMS), authorized by part 101 of this chapter.

[63 FR 68921, Dec. 14, 1998]

                 Application Requirements and Procedures



Sec. 1.911  Station files.

    Applications, notifications, correspondence, electronic filings and 
other material, and copies of authorizations, comprising technical, 
legal, and administrative data relating to each station in the Wireless 
Radio Services are maintained by the Commission in ULS. These files 
constitute the official records for these stations and supersede any 
other records, database or lists from the Commission or other sources.

[63 FR 68922, Dec. 14, 1998]



Sec. 1.913  Application forms; electronic and manual filing.

    (a) Application forms. Applicants and licensees in the Wireless 
Radio Services shall use the following forms and associated schedules 
for all applications:
    (1) FCC Form 601, Application for Authorization in the Wireless 
Radio Services. FCC Form 601 and associated schedules is used to apply 
for initial authorizations, modifications to existing authorizations, 
amendments to pending applications, renewals of station authorizations, 
developmental authorizations, special temporary authority, 
notifications, requests for extension of time, and administrative 
updates.
    (2) FCC Form 602, Wireless Radio Services Ownership Form. FCC Form 
602 is used by applicants and licensees in auctionable services to 
provide and update ownership information as required by Secs. 1.919, 
1.948, 1.2112(a) of this part, and any other section that requires the 
submission of such information.
    (3) FCC Form 603, Application for Assignment of Authorization or 
Transfer of Control. FCC Form 603 is used to apply for Commission 
consent to assignments of existing authorizations, to apply for 
Commission consent to the transfer of control of entities holding 
authorizations, to notify the Commission of the consummation of 
assignments or transfers, and to request extensions of time for 
consummation of assignments or transfers. It is also used to apply for 
Commission consent to partial assignments of authorizations, including 
partitioning and disaggregation.
    (4) FCC Form 605, Quick-form Application for Authorization for 
Wireless Radio Services. FCC Form 605 is used to apply for Amateur, 
Ship, Aircraft, and General Mobile Radio Service (GMRS) authorizations, 
as well as Commercial Radio Operator Licenses.
    (b) Electronic filing. Except as specified in paragraph (d) of this 
section or elsewhere in this chapter, all applications and other filings 
using FCC Forms 601 through 605 or associated schedules must be filed 
electronically in accordance with the electronic filing instructions 
provided by ULS. For each Wireless Radio Service that is subject to 
mandatory electronic filing, this subparagraph is effective on (1) July 
1, 1999, or (2) six months after the Commission begins use of ULS to 
process applications in the service, whichever is later. The Commission 
will announce by public notice the deployment date of each service in 
ULS.
    (1) Attachments to applications should be uploaded along with the 
electronically filed application whenever possible. The files, other 
than the ASCII table of contents, should be in Adobe Acrobat Portable 
Document Format (PDF) whenever possible.
    (2) Any associated documents (see Sec. 1.211(a) of this part) 
submitted with

[[Page 214]]

an application must be uploaded as attachments to the application 
whenever possible. The attachment should be uploaded via ULS in Adobe 
Acrobat Portable Document Format (PDF) whenever possible.
    (c) Auctioned license applications. Auctioned license applications, 
as defined in Sec. 1.907 of this part, shall also comply with the 
requirements of subpart Q of this part and the applicable Commission 
orders and public notices issued with respect to each auction for a 
particular service and spectrum.
    (d) Manual filing. (1) ULS Forms 601, 603 and 605 may be filed 
manually or electronically by applicants and licensees in the following 
services:
    (i) The part 90 Private Land Mobile Radio services for shared 
spectrum, spectrum in the public safety pool below 746 MHz, and spectrum 
in the public safety allocation above 746 MHz, except those filed by 
Commission-certified frequency coordinators;
    (ii) The part 97 Amateur Radio Service, except those filed by 
Volunteer Examination Coordinators;
    (iii) The part 95 General Mobile Radio Service and Personal Radio 
Service (excluding 218-219 MHz service);
    (iv) The part 80 Maritime Services (excluding the VHF 156-162 MHz 
Public Coast Stations);
    (v) The part 87 Aviation Services;
    (vi) Part 13 Commercial Radio Operators; and
    (vii) Part 101 licensees who are also members of any of the groups 
listed in paragraph (d)(1)(i) through (d)(1)(vi) of this section.
    (2) Manually filed applications must be submitted to the Commission 
at the appropriate address with the appropriate filing fee. The 
addresses for filing and the fee amounts for particular applications are 
listed in Subpart G of this part, and in the appropriate fee filing 
guide for each service available from the Commission's Forms 
Distribution Center by calling 1-800-418-FORM (3676).
    (3) Manually filed applications requiring fees as set forth at 
Subpart G, of this part must be filed in accordance with Sec. 0.401(b).
    (4) Manually filed applications that do not require fees must be 
addressed and sent to Federal Communications Commission, 1270 Fairfield 
Road, Gettysburg, Pennsylvania 17325-7245.
    (5) Standard forms may be reproduced and the copies used in 
accordance with the provisions of Sec. 0.409 of this chapter.
    (6) Attachments to manually filed applications may be filed on a 
standard 3.5 magnetic diskette formatted to be readable by high density 
floppy drives operating under MS-DOS (version 3.X or later compatible 
versions). Each diskette submitted must contain an ASCII text file 
listing each filename and a brief description of the contents of each 
file and format for each document on the diskette. The files on the 
diskette, other than the table of contents, should be in Adobe Acrobat 
Portable Document Format (PDF) whenever possible. All diskettes 
submitted must be legibly labelled referencing the application and its 
filing date.
    (e) Applications requiring prior coordination. Parties filing 
applications that require frequency coordination shall, prior to filing, 
complete all applicable frequency coordination requirements in service-
specific rules contained within this chapter. After appropriate 
frequency coordination, such applications may be electronically filed 
via ULS or, if filed manually, must be forwarded to the appropriate 
address with the appropriate filing fee (if applicable) in accordance 
with subparagraph (d). Applications filed by the frequency coordinator 
on behalf of the applicant must be filed electronically.
    (f) Applications for Amateur licenses. Each candidate for an amateur 
radio operator license which requires the applicant to pass one or more 
examination elements must present the administering Volunteer Examiners 
(VE) with all information required by the rules prior to the 
examination. The VEs may collect the information required by these rules 
in any manner of their choosing, including creating their own forms. 
Upon completion of the examination, the administering VEs will 
immediately grade the test papers and will then issue a certificate for 
successful completion of an amateur radio operator examination (CSCE) if 
the applicant is successful. The VEs will send

[[Page 215]]

all necessary information regarding a candidate to the Volunteer-
Examiner Coordinator (VEC) coordinating the examination session. 
Applications filed with the Commission by VECs must be filed 
electronically via ULS. All other applications for amateur service 
licenses may be submitted manually to FCC, 1270 Fairfield Road, 
Gettysburg, PA 17325-7245, or may be electronically filed via ULS. 
Feeable requests for vanity call signs must be filed in accordance with 
Sec. 0.401 of this chapter or electronically filed via ULS.

[63 FR 68922, Dec. 14, 1998]



Sec. 1.915  General application requirements.

    (a) General requirement. Except as provided in paragraph (b) of this 
section, for all Wireless Radio Services, station licenses, as defined 
in section 308(a) of the Communications Act, as amended, operator 
licenses, modifications or renewals of licenses, assignments or 
transfers of control of station licenses or any rights thereunder, and 
waiver requests associated with any of the foregoing shall be granted 
only upon an application filed pursuant to Secs. 1.913 through 1.917 of 
this part.
    (b)(1) Exception for emergency filings. The Commission may grant 
station licenses, or modifications or renewals thereof, without the 
filing of a formal application in the following cases:
    (i) an emergency found by the Commission to involve danger to life 
or property or to be due to damage to equipment;
    (ii) a national emergency proclaimed by the President or declared by 
the Congress and during the continuance of any war in which the United 
States is engaged, when such action is necessary for the national 
defense or security or otherwise in furtherance of the war effort; or
    (iii) an emergency where the Commission finds that it would not be 
feasible to secure renewal applications from existing licensees or 
otherwise to follow normal licensing procedures.
    (2) No such authorization shall be granted for or continue in effect 
beyond the period of the emergency or war requiring it. The procedures 
to be followed for emergency requests submitted under this subparagraph 
are the same as for seeking special temporary authority under Sec. 1.931 
of this part. After the end of the period of emergency, the party must 
submit its request by filing the appropriate FCC form in accordance with 
paragraph (a) of this section.

[63 FR 68923, Dec. 14, 1998]



Sec. 1.917  Who may sign applications.

    (a) Except as provided in paragraph (b) of this section, 
applications, amendments, and related statements of fact required by the 
Commission must be signed as follows (either electronically or manually, 
see paragraph (d) of this section): (1) By the applicant, if the 
applicant is an individual; (2) by one of the partners if the applicant 
is a partnership; (3) by an officer, director, or duly authorized 
employee, if the applicant is a corporation; (4) by a member who is an 
officer, if the applicant is an unincorporated association; or (5) by 
the trustee if the applicant is an amateur radio service club. 
Applications, amendments, and related statements of fact filed on behalf 
of eligible government entities such as states and territories of the 
United States, their political subdivisions, the District of Columbia, 
and units of local government, including unincorporated municipalities, 
must be signed by a duly elected or appointed official who is authorized 
to do so under the laws of the applicable jurisdiction.
    (b) Applications, amendments, and related statements of fact 
required by the Commission may be signed by the applicant's attorney in 
case of the applicant's physical disability or absence from the United 
States, or by applicant's designated vessel master when a temporary 
permit is requested for a vessel. The attorney shall, when applicable, 
separately set forth the reason why the application is not signed by the 
applicant. In addition, if any matter is stated on the basis of the 
attorney's or master's belief only (rather than knowledge), the attorney 
or master shall separately set forth the reasons for believing that such 
statements are true. Only the original of applications, amendments, and 
related statements of fact need be signed.
    (c) Applications, amendments, and related statements of fact need 
not be

[[Page 216]]

signed under oath. Willful false statements made therein, however, are 
punishable by fine and imprisonment, 18 U.S.C. 1001, and by appropriate 
administrative sanctions, including revocation of station license 
pursuant to 312(a)(1) of the Communications Act of 1934, as amended.
    (d) ``Signed,'' as used in this section, means, for manually filed 
applications only, an original hand-written signature or, for 
electronically filed applications only, an electronic signature. An 
electronic signature shall consist of the name of the applicant 
transmitted electronically via ULS and entered on the application as a 
signature.

[63 FR 68923, Dec. 14, 1998]



Sec. 1.919  Ownership information.

    (a) Applicants or licensees in Wireless Radio Services that are 
subject to the ownership reporting requirements of Sec. 1.2112(a) of 
this part shall use FCC Form 602 to provide all ownership information 
required by this chapter.
    (b) Any applicant or licensee that is subject to the ownership 
reporting requirements of Sec. 1.2112(a) of this part shall file an FCC 
Form 602, or file an updated form if the ownership information on a 
previously filed FCC Form 602 is not current, at the time it submits:
    (1) An initial application for authorization (FCC Form 601);
    (2) An application for license renewal (FCC Form 601);
    (3) An application for assignment of authorization or transfer of 
control (FCC Form 603); or
    (4) A notification of consummation of a pro forma assignment of 
authorization or transfer of control (FCC Form 603) under the 
Commission's forbearance procedures (see Sec. 1.948(c ) of this part).
    (c) A single FCC Form 602 may be associated with multiple 
applications filed by the same applicant or licensee. If an applicant or 
licensee already has a current FCC Form 602 on file when it files an 
initial application, renewal application, application for assignment or 
transfer of control, or notification of a pro forma assignment or 
transfer, it may certify that it has a current FCC Form 602 on file.
    (d) No filing fee is required to submit or update FCC Form 602.
    (e) Applicants or licensees in Wireless Radio Services that are not 
subject to the ownership reporting requirements of Sec. 1.2112(a) of 
this part are not required to file FCC Form 602. However, such 
applicants and licensees may be required by the rules applicable to such 
services to disclose the real party (or parties) in interest to the 
application, including (as required) a complete disclosure of the 
identity and relationship of those persons or entities directly or 
indirectly owning or controlling (or both) the applicant or licensee.

[63 FR 68923, Dec. 14, 1998]



Sec. 1.923  Content of applications.

    (a) General. Applications must contain all information requested on 
the applicable form and any additional information required by the rules 
in this chapter and any rules pertaining to the specific service for 
which the application is filed.
    (b) Reference to material on file. Questions on application forms 
that call for specific technical data, or that can be answered yes or no 
or with another short answer, must be answered on the form. Otherwise, 
if documents, exhibits, or other lengthy showings already on file with 
the FCC contain information required in an application, the application 
may incorporate such information by reference, provided that:
    (1) The referenced information has been filed in ULS or, if manually 
filed outside of ULS, the information comprises more than one ``8\1/2\ 
x  11'' page.
    (2) The referenced information is current and accurate in all 
material respects; and
    (3) The application states specifically where the referenced 
information can actually be found, including:
    (i) The station call sign or application file number and its 
location if the reference is to station files or previously filed 
applications;
    (ii) The title of the proceeding, the docket number, and any legal 
citations, if the reference is to a docketed proceeding.
    (c) Antenna locations. Applications for stations at fixed locations 
must describe each transmitting antenna site by its geographical 
coordinates and

[[Page 217]]

also by its street address, or by reference to a nearby landmark. 
Geographical coordinates, referenced to NAD83, must be specified in 
degrees, minutes, and seconds to the nearest second of latitude and 
longitude.
    (d) Antenna structure registration. Owners of certain antenna 
structures must notify the Federal Aviation Administration and register 
with the Commission as required by Part 17 of this chapter. Applications 
proposing the use of one or more new or existing antenna structures must 
contain the FCC Antenna Registration Number(s) of each structure for 
which registration is required. If registration is not required, the 
applicant must provide information in its application sufficient for the 
Commission to verify this fact.
    (e) Environmental concerns. Each applicant is required to indicate 
at the time its application is filed whether or not a Commission grant 
of the application may have a significant environmental effect, as 
defined by Sec. 1.1307 of this chapter. If answered affirmatively, an 
Environmental Assessment, required by Sec. 1.1311 of this chapter, must 
be filed with the application and environmental review by the Commission 
must be completed prior to construction.
    (f) International coordination. Channel assignments and/or usage 
under this part are subject to the applicable provisions and 
requirements of treaties and other international agreements between the 
United States government and the governments of Canada and Mexico.
    (g) Quiet zones. Each applicant is required to comply with the 
``Quiet Zone'' rule (see Sec. 1.924).
    (h) Taxpayer Identification Number (TINs). Wireless applicants and 
licensees, including all attributable owners of auctionable licenses as 
defined by Sec. 1.2112 of this part, are required to provide their 
Taxpayer Identification Numbers (TINS) (as defined in 26 U.S.C. 6109) to 
the Commission, pursuant to the Debt Collection Improvement Act of 1996 
(DCIA). Under the DCIA, the FCC may use an applicant or licensee's TIN 
for purposes of collecting and reporting to the Department of the 
Treasury any delinquent amounts arising out of such person's 
relationship with the Government. The Commission will not publicly 
disclose applicant or licensee TINs unless authorized by law, but will 
assign a ``public identification number'' to each applicant or licensee 
registering a TIN. This public identification number will be used for 
agency purposes other than debt collection.
    (i) Unless an exception is set forth elsewhere in this chapter, each 
applicant must specify an address where the applicant can receive mail 
delivery by the United States Postal Service. This address will be used 
by the Commission to serve documents or direct correspondence to the 
applicant.

[63 FR 68924, Dec. 14, 1998, as amended at 64 FR 53238, Oct. 1, 1999]



Sec. 1.924  Quiet zones.

    Quiet zones are those areas where it is necessary to restrict 
radiation so as to minimize possible impact on the operations of radio 
astronomy or other facilities that are highly sensitive to interference. 
The areas involved and procedures required are as follows:
    (a) NRAO, NRRO. The requirements of this paragraph are intended to 
minimize possible interference at the National Radio Astronomy 
Observatory site located at Green Bank, Pocahontas County, West 
Virginia, and at the Naval Radio Research Observatory site at Sugar 
Grove, Pendleton County, West Virginia.
    (1) Applicants and licensees planning to construct and operate a new 
or modified station at a permanent fixed location within the area 
bounded by N 39 deg. 15" 0.4" on the north, W 78 deg. 29" 59.0" on the 
east, N 37 deg. 30" 0.4" on the south, and W 80 deg. 29" 59.2" on the 
west must notify the Director, National Radio Astronomy Observatory, 
Post Office Box No. 2, Green Bank, West Virginia 24944, in writing, of 
the technical details of the proposed operation. The notification must 
include the geographical coordinates of the antenna location, the 
antenna height, antenna directivity (if any), the channel, the emission 
type and power.
    (2) When an application for authority to operate a station is filed 
with the FCC, the notification required in paragraph (a)(1) of this 
section should be sent at the same time. The application

[[Page 218]]

must state the date that notification in accordance with paragraph 
(a)(1) of this section was made. After receipt of such applications, the 
FCC will allow a period of 20 days for comments or objections in 
response to the notifications indicated.
    (3) If an objection is received during the 20-day period from the 
National Radio Astronomy Observatory for itself or on behalf of the 
Naval Radio Research Observatory, the FCC will, after consideration of 
the record, take whatever action is deemed appropriate.
    (b) Table Mountain. The requirements of this paragraph are intended 
to minimize possible interference at the Table Mountain Radio Receiving 
Zone of the Research Laboratories of the Department of Commerce located 
in Boulder County, Colorado.
    (1) Licensees and applicants planning to construct and operate a new 
or modified station at a permanent fixed location in the vicinity of 
Boulder County, Colorado are advised to give consideration, prior to 
filing applications, to the need to protect the Table Mountain Radio 
Receiving Zone from interference. To prevent degradation of the present 
ambient radio signal level at the site, the Department of Commerce seeks 
to ensure that the field strengths of any radiated signals (excluding 
reflected signals) received on this 1800 acre site (in the vicinity of 
coordinates 40 deg.07'49.9" North Latitude, 105 deg.14'42.0" West 
Longitude) resulting from new assignments (other than mobile stations) 
or from the modification or relocation of existing facilities do not 
exceed the values given in the following table:

               Field Strength Limits for Table Mountain\1\
------------------------------------------------------------------------
                                                                 Power
                                                      Field       flux
                  Frequency range                    strength   density
                                                      (mV/m)    (dBW/m2)
------------------------------------------------------------------------
Below 540 kHz.....................................         10      -65.8
540 to 1600 kHz...................................         20      -59.8
1.6 to 470 MHz....................................         10       65.8
470 to 890 MHz....................................         30       56.2
890 and above.....................................          1       85.8
------------------------------------------------------------------------
\1\ Note: Equivalent values of power flux density are calculated
  assuming free space characteristic impedance of 376.7 omega (120 ).

    (2) Advance consultation is recommended, particularly for applicants 
that have no reliable data to indicate whether the field strength or 
power flux density figures in the above table would be exceeded by their 
proposed radio facilities. In general, coordination is recommended for:
    (i) Stations located within 2.4 kilometers (1.5 miles) of the Table 
Mountain Radio Receiving Zone;
    (ii) Stations located within 4.8 kilometers (3 miles) transmitting 
with 50 watts or more effective radiated power (ERP) in the primary 
plane of polarization in the azimuthal direction of the Table Mountain 
Radio Receiving Zone;
    (iii) Stations located with 16 kilometers (10 miles) transmitting 
with 1 kW or more ERP in the primary plane of polarization in the 
azimuthal direction of Table Mountain Radio Receiving Zone;
    (iv) Stations located within 80 kilometers (50 miles) transmitting 
with 25 kW or more ERP in the primary plane of polarization in the 
azimuthal direction of Table Mountain Receiving Zone.
    (3) Applicants concerned are urged to communicate with the Radio 
Frequency Management Coordinator, Department of Commerce, Research 
Support Services NOAAR/E5X2, Boulder Laboratories, Boulder, CO 80303; 
telephone (303) 497-6548, in advance of filing their applications with 
the FCC.
    (4) The FCC will not screen applications to determine whether 
advance consultation has taken place. However, such consultation may 
avoid the filing of objections from the Department of Commerce or 
institution of proceedings to modify the authorizations of stations that 
radiate signals with a field strength or power flux density at the site 
in excess of those specified herein.
    (c) Federal Communications Commission protected field offices. The 
requirements of this paragraph are intended to minimize possible 
interference to FCC monitoring activities.
    (1) Licensees and applicants planning to construct and operate a new 
or modified station at a permanent fixed location in the vicinity of an 
FCC protected field office are advised to give consideration, prior to 
filing applications, to the need to avoid interfering with the 
monitoring activities of that

[[Page 219]]

office. FCC protected field offices are listed in Sec. 0.121 of this 
chapter.
    (2) Applications for stations (except mobile stations) that could 
produce on any channel a direct wave fundamental field strength of 
greater than 10 mV/m (-65.8 dBW/m\2\ power flux density assuming a free 
space characteristic impedance of 120 ) in the 
authorized bandwidth at the protected field office may be examined to 
determine the potential for interference with monitoring activities. 
After consideration of the effects of the predicted field strength of 
the proposed station, including the cumulative effects of the signal 
from the proposed station with other ambient radio field strength levels 
at the protected field office, the FCC may add a condition restricting 
radiation toward the protected field office to the station 
authorization.
    (3) In the event that the calculated field strength exceeds 10 mV/m 
at the protected field office site, or if there is any question whether 
field strength levels might exceed that level, advance consultation with 
the FCC to discuss possible measures to avoid interference to monitoring 
activities should be considered. Prospective applicants may communicate 
with: Chief, Compliance and Information Bureau, Federal Communications 
Commission, Washington, DC 20554.
    (4) Advance consultation is recommended for applicants that have no 
reliable data to indicate whether the field strength or power flux 
density figure indicated would be exceeded by their proposed radio 
facilities. In general, coordination is recommended for:
    (i) Stations located within 2.4 kilometers (1.5 miles) of the 
protected field office;
    (ii) Stations located within 4.8 kilometers (3 miles) with 50 watts 
or more average effective radiated power (ERP) in the primary plane of 
polarization in the azimuthal direction of the protected field offices.
    (iii) Stations located within 16 kilometers (10 miles) with 1 kw or 
more average ERP in the primary plane of polarization in the azimuthal 
direction of the protected field office;
    (iv) Stations located within 80 kilometers (50 miles) with 25 kw or 
more average ERP in the primary plane of polarization in the azimuthal 
direction of the protected field office;
    (v) Advance coordination for stations transmitting on channels above 
1000 MHz is recommended only if the proposed station is in the vicinity 
of a protected field office designated as a satellite monitoring 
facility in Sec. 0.121 of this chapter.
    (vi) The FCC will not screen applications to determine whether 
advance consultation has taken place. However, such consultation may 
serve to avoid the need for later modification of the authorizations of 
stations that interfere with monitoring activities at protected field 
offices.
    (d) Notification to the Arecibo Observatory. The requirements in 
this section are intended to minimize possible interference at the 
Arecibo Observatory in Puerto Rico. Licensees must make reasonable 
efforts to protect the Observatory from interference. Licensees planning 
to construct and operate a new station at a permanent fixed location on 
the islands of Puerto Rico, Desecheo, Mona, Vieques or Culebra in 
services in which individual station licenses are issued by the FCC; 
planning to construct and operate a new station at a permanent fixed 
location on these islands that may cause interference to the operations 
of the Arecibo Observatory in services in which individual station 
licenses are not issued by the FCC; or planning a modification of any 
existing station at a permanent fixed location on these islands that 
would increase the likelihood of causing interference to the operations 
of the Arecibo Observatory must notify the Interference Office, Arecibo 
Observatory, Post Office Box 995, Arecibo, Puerto Rico 00613, in writing 
or electronically (e-mail address: prcz@naic.edu), of the technical 
parameters of the planned operation. Carriers may wish to use the 
interference guidelines provided by Cornell University as guidance in 
designing facilities to avoid interference to the Observatory. The 
notification must include identification of the geographical coordinates 
of the antenna location (NAD-83 datum), the antenna height, antenna 
directivity (if any), proposed channel and FCC Rule Part, type of 
emission, and effective isotropic radiated power.

[[Page 220]]

    (1) In the Amateur radio service:
    (i) The provisions of paragraph (d) of this section do not apply to 
repeaters that transmit on the 1.2 cm or shorter wavelength bands; and
    (ii) The coordination provision of paragraph (d) of this section 
does not apply to repeaters that are located 16 km or more from the 
Arecibo observatory.
    (2) In services in which individual station licenses are issued by 
the FCC, the notification required in paragraph (d) of this section 
should be sent the same time the application is filed with the FCC, and 
at least 20 days in advance of the applicant's planned operation. The 
application must state the date that notification in accordance with 
paragraph (d) of this section was made. In services in which individual 
station licenses are not issued by the FCC, the notification required in 
paragraph (d) of this section should be sent at least 45 days in advance 
of the applicant's planned operation. In the latter services, the 
Interference Office must inform the FCC of a notification by an 
applicant within 20 days if the Office plans to file comments or 
objections to the notification. After the FCC receives an application 
from a service applicant or is informed by the Interference Office of a 
notification from a service applicant, the FCC will allow the 
Interference Office a period of 20 days for comments or objections in 
response to the application or notification.
    (3) If an objection to any planned service operation is received 
during the 20-day period from the Interference Office, the FCC will take 
whatever action is deemed appropriate.
    (e) Government satellite earth stations. (1) To minimize or avoid 
harmful interference to Government Satellite Earth Stations located in 
the Denver, Colorado and Washington, DC areas, any application for a new 
station license to operate in the 17.8-19.7 GHz band (except for low 
power operations governed by Sec. 101.147(r)(10) of this chapter), or 
for modification of an existing station license in this band which would 
change the frequency, power, emission, modulation, polarization, antenna 
height or directivity, or location of such a station, must be 
coordinated with the Federal Government by the Commission before an 
authorization will be issued, if the station or proposed station is 
located in whole or in part within any of the areas defined by the 
following rectangles or circles:

                             Denver, CO Area

Rectangle 1:
    1 deg.30"00" N. Lat. on the north
    103 deg.10"00" W. Long. on the east
    38 deg.30"00" N. Lat. on the south
    106 deg.30"00" W. Long. on the west
Rectangle 2:
    38 deg.30"00" N. Lat. on the north
    105 deg.00"00" W. Long. on the east
    37 deg.30"00" N. Lat. on the south
    105 deg.50"00" W. Long. on the west
Rectangle 3:
    40 deg.08"00" N. Lat. on the north
    107 deg.00"00" W. Long. on the east
    39 deg.56"00" N. Lat. on the south
    107 deg.15"00" W. Long. on the west

                           Washington, DC Area

Rectangle
    38 deg.40"00" N. Lat. on the north
    78 deg.50"00" W. Long. on the east
    38 deg.10"00" N. Lat. on the south
    79 deg.20"00" W. Long. on the west; or

    (2) Within a radius of 178 km of 38 deg.48"00" N. Lat./78 deg.52"00" 
W. Long.
    (3) In addition, no application seeking authority to operate in the 
17.8-19.7 GHz band will be accepted for filing if the proposed station 
is located within 20 km (or within 55 km if the application is for an 
outdoor low power operation pursuant to Sec. 101.147(r)(10) of this 
chapter) of the following coordinated:

Denver, CO area: 39 deg.43"00" N. Lat./104 deg.46"00" W. Long.
Washington, DC area: 38 deg.48"00" N. Lat./76 deg.52"00" W. Long.

    (f) 420-450 MHz band. (1) In the band 420-450 MHz, applicants should 
not expect to be accommodated if their area of service is within 160 
kilometers (100 miles) of the following locations:
    (i) 45 deg.45"00.2" N., 70 deg.31"58.3" W.,
    (ii) 64 deg.17"00.0 N., 149 deg.10"00.0 W.,
    (iii) 48 deg.43"00.0" N., 97 deg.54"01.4" W.;

    Note: Paragraph(f)(ii) is referenced to NAD27.

    (2) within 200 kilometers (124 miles) of the following locations:
    (i) 32 deg.38"00.5" N., 83 deg.34" 59.7" W.,

[[Page 221]]

    (ii) 31 deg.25" 00.6" N., 100 deg.24"01.3" W.;

    (3) within 240 kilometers (150 miles) of the following location:
    (i) 39 deg.07"59.6" N., 121 deg.26"03.9" W.;
    (4) within 320 kilometers (200 miles) of the following locations:
    (i) 28 deg.21"01.0" N., 80 deg.42"59.2" W.,
    (ii) 30 deg.30"00.7" N., 86 deg.29"59.8" W.,
    (iii) 43 deg.08"59.6" N., 119 deg.11"03.8" W.;
    (5) or in the following locations:
    (i) The state of Arizona,
    (ii) The state of Florida,
    (iii) Portions of California and Nevada south of 37 deg.10" N.,
    (iv) And portions of Texas and New Mexico bounded by 31 deg.45" N., 
34 deg. 30" N., 104 deg.00" W., and 107 deg. 30" W.

    Note to Sec. 1.924: Unless otherwise noted, all coordinates cited in 
this section are specified in terms of the North American Datum of 1983 
(NAD 83).

[63 FR 68924, Dec. 14, 1998]



Sec. 1.925  Waivers.

    (a) Waiver requests generally. The Commission may waive specific 
requirements of the rules on its own motion or upon request. The fees 
for such waiver requests are set forth in Sec. 1.1102 of this part.
    (b) Procedure and format for filing waiver requests. (1) Requests 
for waiver of rules associated with licenses or applications in the 
Wireless Radio Services must be filed on FCC Form 601, 603, or 605.
    (2) Requests for waiver must contain a complete explanation as to 
why the waiver is desired. If the information necessary to support a 
waiver request is already on file, the applicant may cross-reference the 
specific filing where the information may be found.
    (3) The Commission may grant a request for waiver if it is shown 
that:
    (i) The underlying purpose of the rule(s) would not be served or 
would be frustrated by application to the instant case, and that a grant 
of the requested waiver would be in the public interest; or
    (ii) In view of unique or unusual factual circumstances of the 
instant case, application of the rule(s) would be inequitable, unduly 
burdensome or contrary to the public interest, or the applicant has no 
reasonable alternative.
    (4) Applicants requiring expedited processing of their request for 
waiver shall clearly caption their request for waiver with the words 
``WAIVER--EXPEDITED ACTION REQUESTED.''
    (c) Action on Waiver Requests.
    (i) The Commission, in its discretion, may give public notice of the 
filing of a waiver request and seek comment from the public or affected 
parties.
    (ii) Denial of a rule waiver request associated with an application 
renders that application defective unless it contains an alternative 
proposal that fully complies with the rules, in which event, the 
application will be processed using the alternative proposal as if the 
waiver had not been requested. Applications rendered defective may be 
dismissed without prejudice.

[63 FR 68926, Dec. 14, 1998]



Sec. 1.926  Application processing; initial procedures.

    Applications are assigned file numbers and service codes in order to 
facilitate processing. Assignment of a file number to an application is 
for administrative convenience and does not constitute a determination 
that the application is acceptable for filing. Purpose and service codes 
appear on the Commission forms.

[63 FR 68927, Dec. 14, 1998]



Sec. 1.927  Amendment of applications.

    (a) Pending applications may be amended as a matter of right if they 
have not been designated for hearing or listed in a public notice as 
accepted for filing for competitive bidding, except as provided in 
paragraphs (b) through (e) of this section.
    (b) Applicants for an initial license in auctionable services may 
amend such applications only in accordance with Subpart Q of this part.
    (c) Amendments to non-auction applications that are applied for 
under Part 101 or that resolve mutual exclusivity may be filed at any 
time, subject to the requirements of Sec. 1.945 of this part.
    (d) Any amendment to an application for modification must be 
consistent with, and must not conflict with, any other application for 
modification regarding that same station.
    (e) Amendments to applications designated for hearing may be allowed 
by

[[Page 222]]

the presiding officer or, when a proceeding is stayed or otherwise 
pending before the full Commission, may be allowed by the Commission for 
good cause shown. In such instances, a written petition demonstrating 
good cause must be submitted and served upon the parties of record.
    (f) Amendments to applications are also subject to the service-
specific rules in applicable parts of this chapter.
    (g) Where an amendment to an application specifies a substantial 
change in beneficial ownership or control (de jure or de facto) of an 
applicant, the applicant must provide an exhibit with the amendment 
application containing an affirmative, factual showing as set forth in 
Sec. 1.948(h)(2).
    (h) Where an amendment to an application constitutes a major change, 
as defined in Sec. 1.929, the amendment shall be treated as a new 
application for determination of filing date, public notice, and 
petition to deny purposes.
    (i) If a petition to deny or other informal objection has been 
filed, a copy of any amendment (or other filing) must be served on the 
petitioner. If the FCC has issued a public notice stating that the 
application appears to be mutually exclusive with another application 
(or applications), a copy of any amendment (or other filing) must be 
served on any such mutually exclusive applicant (or applicants).

[63 FR 68927, Dec. 14, 1998, as amended at 64 FR 53238, Oct. 1, 1999]



Sec. 1.928  Frequency coordination, Canada.

    (a) As a result of mutual agreements, the Commission has, since May 
1950 had an arrangement with the Canadian Department of Communications 
for the exchange of frequency assignment information and engineering 
comments on proposed assignments along the Canada-United States borders 
in certain bands above 30 MHz. Except as provided in paragraph (b) of 
this section, this arrangement involves assignments in the following 
frequency bands.

                                   MHz

30.56-32.00
33.00-34.00
35.00-36.00
37.00-38.00
39.00-40.00
42.00-46.00
47.00-49.60
72.00-73.00
75.40-76.00
150.80-174.00
450-470
806.00-960.00
1850.0-2200.0
2450.0-2690.0
3700.0-4200.0
5925.0-7125.0

                                   GHz

10.55-10.68
10.70-13.25

    (b) The following frequencies are not involved in this arrangement 
because of the nature of the services:

                                   MHz

156.3
156.35
156.4
156.45
156.5
156.55
156.6
156.65
156.7
156.8
156.9
156.95
157.0 and 161.6
157.05
157.1
157.15
157.20
157.25
157.30
157.35
157.40.

    (c) Assignments proposed in accordance with the railroad industry 
radio frequency allotment plan along the United States-Canada borders 
utilized by the Federal Communications Commission and the Department of 
Transport, respectively, may be excepted from this arrangement at the 
discretion of the referring agency.
    (d) Assignments proposed in any radio service in frequency bands 
below 470 MHz appropriate to this arrangement, other than those for 
stations in the Domestic Public (land mobile or

[[Page 223]]

fixed) category, may be excepted from this arrangement at the discretion 
of the referring agency if a base station assignment has been made 
previously under the terms of this arrangement or prior to its adoption 
in the same radio service and on the same frequency and in the local 
area, and provided the basic characteristics of the additional station 
are sufficiently similar technically to the original assignment to 
preclude harmful interference to existing stations across the border.
    (e) For bands below 470 MHz, the areas which are involved lie 
between Lines A and B and between Lines C and D, which are described as 
follows:

    Line A--Begins at Aberdeen, Wash., running by great circle arc to 
the intersection of 48 deg. N., 120 deg. W., thence along parallel 48 
deg. N., to the intersection of 95 deg. W., thence by great circle arc 
through the southernmost point of Duluth, Minn., thence by great circle 
arc to 45 deg. N., 85 deg. W., thence southward along meridian 85 deg. 
W., to its intersection with parallel 41 deg. N., thence along parallel 
41 deg. N., to its intersection with meridian 82 deg. W., thence by 
great circle arc through the southernmost point of Bangor, Maine, thence 
by great circle arc through the southern-most point of Searsport, Maine, 
at which point it terminates; and
    Line B--Begins at Tofino, B.C., running by great circle arc to the 
intersection of 50 deg. N., 125 deg. W., thence along parallel 50 deg. 
N., to the intersection of 90 deg. W., thence by great circle arc to the 
intersection of 45 deg. N., 79 deg. 30' W., thence by great circle arc 
through the northernmost point of Drummondville, Quebec (lat: 45 deg. 
52' N., long: 72 deg. 30' W.), thence by great circle arc to 48 deg. 30' 
N., 70 deg. W., thence by great circle arc through the northernmost 
point of Campbellton, N.B., thence by great circle arc through the 
northernmost point of Liverpool, N.S., at which point it terminates.
    Line C-- Begins at the intersection of 70 deg. N., 144 deg. W., 
thence by great circle arc to the intersection of 60 deg. N., 143 deg. 
W., thence by great circle arc so as to include all of the Alaskan 
Panhandle; and
    Line D-- Begins at the intersection of 70 deg. N., 138 deg. W., 
thence by great circle arc to the intersection of 61 deg. 20' N., 139 
deg. W., (Burwash Landing), thence by great circle arc to the 
intersection of 60 deg. 45' N., 135 deg. W., thence by great circle arc 
to the intersection of 56 deg. N., 128 deg. W., thence south along 128 
deg. meridian to Lat. 55 deg. N., thence by great circle arc to the 
intersection of 54 deg. N., 130 deg. W., thence by great circle arc to 
Port Clements, thence to the Pacific Ocean where it ends.

    (f) For all stations using bands between 470 MHz and 1000 MHz; and 
for any station of a terrestrial service using a band above 1000 MHz, 
the areas which are involved are as follows:
    (1) For a station the antenna of which looks within the 200 deg. 
sector toward the Canada-United States borders, that area in each 
country within 35 miles of the borders;
    (2) For a station the antenna of which looks within the 160 deg. 
sector away from the Canada-United States borders, that area in each 
country within 5 miles of the borders; and
    (3) The area in either country within coordination distance as 
described in Recommendation 1A of the Final Acts of the EARC, Geneva, 
1963 of a receiving earth station in the other country which uses the 
same band.
    (g) Proposed assignments in the space radiocommunication services 
and proposed assignments to stations in frequency bands allocated 
coequally to space and terrestrial services above 1 GHz are not treated 
by these arrangements. Such proposed assignments are subject to the 
regulatory provisions of the International Radio Regulations.
    (h) Assignments proposed in the frequency band 806-890 MHz shall be 
in accordance with the Canada-United States agreement, dated April 7, 
1982.

[64 FR 53238, Oct. 1, 1999]



Sec. 1.929  Classification of filings as major or minor.

    Applications and amendments to applications for stations in the 
wireless radio services are classified as major or minor ( see 
Sec. 1.947). Categories of major and minor filings are listed in 
Sec. 309 of the Communications Act of 1934.
    (a) For all stations in all Wireless Radio Services, whether 
licensed geographically or on a site-specific basis, the following 
actions are classified as major:
    (1) Application for initial authorization;
    (2) Any substantial change in ownership or control, including 
requests for partitioning and disaggregation;
    (3) Application for renewal of authorization;

[[Page 224]]

    (4) Application or amendment requesting authorization for a facility 
that would have a significant environmental effect, as defined by 
Secs. 1.1301 through 1.1319 of the rules;
    (5) Application or amendment requiring frequency coordination 
pursuant to the Commission's rules or international treaty or agreement;
    (6) Application or amendment requesting to add a frequency or 
frequency block for which the applicant is not currently authorized, 
excluding removing a frequency.
    (b) In the Cellular Radiotelephone Service:
    (1) Request an authorization or an amendment to a pending 
application that would expand the cellular geographic service area 
(COSA) of an existing cellular system or, in the case of an amendment, 
as previously proposed in an application, except during the applicable 
five-year build-out period, if any;
    (2) Request that a CGSA boundary or portion of a CGSA boundary be 
determined using an alternative method; or,
    (3) Request an authorization for facilities that would produce a de 
minimis service area boundary extension into unserved area in an 
adjacent market.
    (c) In addition to those changes listed in subparagraph (a) above, 
the following are major changes applicable to stations licensed to 
provide base-to-mobile, mobile-to-base, mobile-to-mobile on a site-
specific basis:
    (1) In the Paging and Radiotelephone Service, Rural Radiotelephone 
Service and 800 MHz Specialized Mobile Radio Service (SMR), any change 
that would increase or expand the applicant's existing composite 
interference contour.
    (2) In the 900 MHz SMR and 220 MHz Service, any change that would 
increase or expand the applicant's service area as defined in the rule 
parts governing the particular radio service.
    (3) In the Paging and Radiotelephone Service, Rural Radiotelephone 
Service, Offshore Radiotelephone Service, and Specialized Mobile Radio 
Service:
    (i) Request an authorization or an amendment to a pending 
application that would establish for the filer a new fixed transmission 
path;
    (ii) Request an authorization or an amendment to a pending 
application for a fixed station (i.e., control, repeater, central 
office, rural subscriber, or inter-office station) that would increase 
the effective radiated power, antenna height above average terrain in 
any azimuth, or relocate an existing transmitter;
    (4) In the Private Land Mobile Radio Services (PLMRS) and in GMRS 
systems licensed to non-individuals:
    (i) Change in frequency or modification of channel pairs;
    (ii) Change in the type of emission;
    (iii) Change in effective radiated power from that authorized or, 
for GMRS systems licensed to non-individuals, an increase in the 
transmitter power of a station;
    (iv) Change in antenna height from that authorized;
    (v) Change in the authorized location or number of base stations, 
fixed, control, or, for systems operating on non-exclusive assignments 
in GMRS or the 470-512 MHz, 800 MHz or 900 MHz bands, a change in the 
number of mobile transmitters, or a change in the area of mobile 
transmitters, or a change in the area of mobile operations from that 
authorized;
    (vi) Change in the class of a land station, including changing from 
multiple licensed to cooperative use, and from shared to unshared use.
    (d) In the microwave services:
    (1) Except as specified in paragraph (d)(2) and (d)(3) of this 
section, the following, in addition to those filings listed in paragraph 
(a) of this section, are major actions that apply to stations licensed 
to provide fixed point-to-point, point-to-multipoint, or multipoint-to-
point, communications on a site-specific basis, or fixed or mobile 
communications on an area-specific basis under part 101 of this chapter:
    (i) Any change in transmit antenna location by more than 5 seconds 
in latitude or longitude for fixed point-to-point facilities (e.g., a 5 
second change in latitude, longitude, or both would be minor); any 
change in coordinates of the center of operation or increase in radius 
of a circular area of operation, or any expansion in any direction in 
the latitude or longitude limits of a rectangular area of operation, or 
any change in any other kind of area operation;

[[Page 225]]

    (ii) Any increase in frequency tolerance;
    (iii) Any increase in bandwidth;
    (iv) Any change in emission type;
    (v) Any increase in EIRP greater than 3 dB;
    (vi) Any increase in transmit antenna height (above mean sea level) 
more than 3 meters, except as specified in paragraph (d)(3) of this 
section;
    (vii) Any increase in transmit antenna beamwidth, except as 
specified in paragraph (d)(3) of this section;
    (viii) Any change in transmit antenna polarization;
    (ix) Any change in transmit antenna azimuth greater than 1 degree, 
except as specified in paragraph (d)(3) of this section ; or,
    (x) Any change which together with all minor modifications or 
amendments since the last major modification or amendment produces a 
cumulative effect exceeding any of the above major criteria.
    (2) Changes to transmit antenna location of Multiple Address System 
(MAS) Remote Units and Digital Electronic Message Service (DEMS) User 
Units are not major.
    (3) Changes in accordance with paragraphs (d)(1)(vi), (d)(1)(vii) 
and (d)(1)(ix) of this section are not major for the following:
    (i) Fixed Two-Way MAS on the remote to master path,
    (ii) Fixed One-Way Inbound MAS on the remote to master path,
    (iii) Multiple Two-Way MAS on the remote to master and master to 
remote paths,
    (iv) Multiple One-Way Outbound MAS on the master to remote path,
    (v) Mobile MAS Master,
    (vi) Fixed Two-Way DEMS on the user to nodal path, and
    (vii) Multiple Two-Way DEMS on the nodal to user and user to nodal 
paths.

    Note to paragraph (d)(3) of Sec. 1.929: For the systems and path 
types described in paragraph (d)(3) of this section, the data provided 
by applicants is either a typical value for a certain parameter or a 
fixed value given in the Form instructions.

    (e) In addition to those filings listed in paragraph (a) of this 
section, the following are major actions that apply to stations licensed 
to provide service in the Air-ground Radiotelephone Service:
    (1) Request an authorization to relocate an existing General 
Aviation ground station; or,
    (2) Request the first authorization for a new Commercial Aviation 
ground station at a location other than those listed in Sec. 22.859 of 
this chapter.
    (f) In addition to those changes listed in paragraph (a), the 
following are major changes that apply to stations licensed in the 
industrial radiopositioning stations for which frequencies are assigned 
on an exclusive basis, Maritime and Aviation services, except Maritime 
Public Coast VHF (CMRS), Ship and Aircraft stations:
    (1) Any change in antenna azimuth;
    (2) Any change in beamwidth;
    (3) Any change in antenna location;
    (4) Any change in emission type;
    (5) Any increase in antenna height;
    (6) Any increase in authorized power;
    (7) Any increase in emission bandwidth.
    (g) In addition to those changes listed in paragraph (a), any change 
requiring international coordination in the Maritime Public Coast VHF 
(CMRS) Service is major.
    (h) In addition to those changes listed in paragraph (a) of this 
section, the following are major changes that apply to ship stations:
    (1) Any request for additional equipment;
    (2) A change in ship category;
    (3) A request for assignment of a Maritime Mobile Service Identity 
(MMSI) number; or
    (4) A request to increase the number of ships on an existing fleet 
license.
    (i) In addition to those changes listed in paragraph (a) of this 
section, the following are major changes that apply to aircraft 
stations:
    (1) A request to increase the number of aircraft on an existing 
fleet license; or
    (2) A request to change the type of aircraft (private or air 
carrier).
    (j) In addition to those changes listed in paragraph (a) of this 
section, the following are major changes that apply to amateur licenses:
    (1) An upgrade of an existing license; or
    (2) A change of call sign.

[[Page 226]]

    (k) Any change not specifically listed above as major is considered 
minor (see Sec. 1.947(b). This includes but is not limited to:
    (1) Any pro forma assignment or transfer of control;
    (2) Any name change not involving change in ownership or control of 
the license;
    (3) Any address and/or telephone number changes;
    (4) Any changes in contact person;
    (5) Any change to vessel name on a ship station license;
    (6) Any change to a site-specific license, except a PLMRS license 
under part 90, or a license under part 101, where the licensee's 
interference contours are not extended and co-channel separation 
criteria are met, except those modifications defined in paragraph (c)(2) 
of this section; or
    (7) Any conversion of multiple site-specific licenses into a single 
wide-area license, except a PLMRS license under part 90 or a license 
under part 101 of this chapter, where there is no change in the 
licensee's composite interference contour or service area as defined in 
paragraph (c)(2) of this section.

[63 FR 68927, Dec. 14, 1998, as amended at 64 FR 53239, Oct. 1, 1999]



Sec. 1.931  Application for special temporary authority.

    (a) Wireless Telecommunications Services. (1) In circumstances 
requiring immediate or temporary use of station in the Wireless 
Telecommunications Services, carriers may request special temporary 
authority (STA) to operate new or modified equipment. Such requests must 
be filed electronically using FCC Form 601 and must contain complete 
details about the proposed operation and the circumstances that fully 
justify and necessitate the grant of STA. Such requests should be filed 
in time to be received by the Commission at least 10 days prior to the 
date of proposed operation or, where an extension is sought, 10 days 
prior to the expiration date of the existing STA. Requests received less 
than 10 days prior to the desired date of operation may be given 
expedited consideration only if compelling reasons are given for the 
delay in submitting the request. Otherwise, such late-filed requests are 
considered in turn, but action might not be taken prior to the desired 
date of operation. Requests for STA must be accompanied by the proper 
filing fee.
    (2) Grant without Public Notice. STA may be granted without being 
listed in a Public Notice, or prior to 30 days after such listing, if:
    (i) The STA is to be valid for 30 days or less and the applicant 
does not plan to file an application for regular authorization of the 
subject operation;
    (ii) The STA is to be valid for 60 days or less, pending the filing 
of an application for regular authorization of the subject operation;
    (iii) The STA is to allow interim operation to facilitate completion 
of authorized construction or to provide substantially the same service 
as previously authorized; or
    (iv) The STA is made upon a finding that there are extraordinary 
circumstances requiring operation in the public interest and that delay 
in the institution of such service would seriously prejudice the public 
interest.
    (3) Limit on STA term. The Commission may grant STA for a period not 
to exceed 180 days under the provisions of section 309(f) of the 
Communications Act of 1934, as amended, (47 U.S.C. 309(f)) if 
extraordinary circumstances so require, and pending the filing of an 
application for regular operation. The Commission may grant extensions 
of STA for a period of 180 days, but the applicant must show that 
extraordinary circumstances warrant such an extension.
    (b) Private Wireless Services. (1) A licensee of, or an applicant 
for, a station in the Private Wireless Services may request STA not to 
exceed 180 days for (A) operation of a new station or (B) operation of a 
licensed station in a manner which is beyond the scope of that 
authorized by the existing license. See Secs. 1.962(b)(5) and (f). Where 
the applicant, seeking a waiver of the 180 day limit, requests STA to 
operate as a private mobile radio service provider for a period 
exceeding 180 days, evidence of frequency coordination is required. 
Requests for shorter periods do not require coordination and, if 
granted, will be authorized on a secondary, non-interference basis.

[[Page 227]]

    (2) STA may be granted in the following circumstances:
    (i) In emergency situations;
    (ii) To permit restoration or relocation of existing facilities to 
continue communication service;
    (iii) To conduct tests to determine necessary data for the 
preparation of an application for regular authorization;
    (iv) For a temporary, non-recurring service where a regular 
authorization is not appropriate;
    (v) In other situations involving circumstances which are of such 
extraordinary nature that delay in the institution of temporary 
operation would seriously prejudice the public interest.
    (3) The nature of the circumstance which, in the opinion of the 
applicant justifies issuance of STA, must be fully described in the 
request. Applications for STA must be filed at least 10 days prior to 
the proposed operation. Applications filed less than 10 days prior to 
the proposed operation date will be accepted only upon a showing of good 
cause.
    (4) The Commission may grant extensions of STA for a period of 180 
days, but the applicant must show that extraordinary circumstances 
warrant such an extension.
    (5) In special situations defined in Sec. 1.915(b)(1), a request for 
STA may be made by telephone or telegraph provided a properly signed 
application is filed within 10 days of such request.
    (6) An applicant for an Aircraft Radio Station License may operate 
the radio station pending issuance of an Aircraft Radio Station License 
by the Commission for a period of 90 days under temporary operating 
authority, evidenced by a properly executed certification made on FCC 
Form 605.
    (7) Unless the Commission otherwise prescribes, a person who has 
been granted an operator license of Novice, Technician, Technician Plus, 
General, or Advanced class and who has properly submitted to the 
administering VEs an application document for an operator license of a 
higher class, and who holds a CSCE indicating that he/she has completed 
the necessary examinations within the previous 365 days, is authorized 
to exercise the rights and privileges of the higher operator class until 
final disposition of the application or until 365 days following the 
passing of the examination, whichever comes first.
    (8) An applicant for a Ship Radio station license may operate the 
radio station pending issuance of the ship station authorization by the 
Commission for a period of 90 days, under a temporary operating 
authority, evidenced by a properly executed certification made on FCC 
Form 605.
    (9) An applicant for a station license in the Industrial/Business 
pool (other than an applicant who seeks to provide commercial mobile 
radio service as defined in Part 20 of this chapter) utilizing an 
already authorized facility may operate the station for a period of 180 
days, under a temporary permit, evidenced by a properly executed 
certification made on FCC Form 601, after filing an application for a 
station license together with evidence of frequency coordination, if 
required, with the Commission. The temporary operation of stations, 
other than mobile stations, within the Canadian coordination zone will 
be limited to stations with a maximum of 5 watts effective radiated 
power and a maximum antenna height of 20 feet (6.1 meters) above average 
terrain.
    (10) An applicant for a radio station license under Part 90, Subpart 
S, of this chapter (other than an applicant who seeks to provide 
commercial mobile radio service as defined in part 20 of this chapter) 
to utilize an already existing Specialized Mobile Radio System (SMR) 
facility or to utilize an already licensed transmitter may operate the 
radio station for a period of up to 180 days, under a temporary permit. 
Such request must be evidenced by a properly executed certification of 
FCC Form 601 after the filing of an application for station license, 
provided that the antenna employed by the control station is a maximum 
of 20 feet (6.1 meters) above a man-made structure (other than an 
antenna tower) to which it is affixed.
    (11) An applicant for an itinerant station license, an applicant for 
a new private land mobile radio station license in the frequency bands 
below 470 MHz and in the one-way paging 929-930 MHz band (other than a 
commercial mobile

[[Page 228]]

radio service applicant or licensee on these bands) or an applicant 
seeking to modify or acquire through assignment or transfer an existing 
station below 470 MHz or in the one-way paging 929-930 MHz band may 
operate the proposed station during the pendency of its application for 
a period of up to 180 days under a conditional permit. Conditional 
operations may commence upon the filing of a properly completed 
application that complies with Sec. 90.127 if the application, when 
frequency coordination is required, is accompanied by evidence of 
frequency coordination in accordance with Sec. 90.175 of this chapter. 
Operation under such a permit is evidenced by the properly executed Form 
601 with certifications that satisfy the requirements of Sec. 90.159(b).
    (12) An applicant for a General Mobile Radio Service system license, 
sharing a multiple-licensed or cooperative shared base station used as a 
mobile relay station, may operate the system for a period of 180 days, 
under a Temporary Permit, evidenced by a properly executed certification 
made on FCC Form 605.

[63 FR 68928, Dec. 14, 1998]



Sec. 1.933  Public notices.

    (a) Generally. Periodically, the Commission issues Public Notices in 
the Wireless Radio Services listing information of public significance. 
Categories of Public Notice listings are as follows:
    (1) Accepted for filing. Acceptance for filing of applications and 
major amendments thereto.
    (2) Actions. Commission actions on pending applications previously 
listed as accepted for filing.
    (3) Environmental considerations. Special environmental 
considerations as required by Part 1 of this chapter.
    (4) Informative listings. Information that the Commission, in its 
discretion, believes to be of public significance. Such listings do not 
create any rights to file petitions to deny or other pleadings.
    (b) Accepted for filing public notices. The Commission will issue at 
regular intervals public notices listing applications that have been 
received by the Commission in a condition acceptable for filing, or 
which have been returned to an applicant for correction. Any application 
that has been listed in a public notice as acceptable for filing and is 
(1) subject to a major amendment, or (2) has been returned as defective 
or incomplete and resubmitted to the Commission, shall be listed in a 
subsequent public notice. Acceptance for filing shall not preclude the 
subsequent dismissal of an application as defective.
    (c) Public notice prior to grant. Applications for authorizations, 
major modifications, major amendments to applications, and substantial 
assignment or transfer applications for the following categories of 
stations and services shall be placed on Public Notice as accepted for 
filing prior to grant:
    (1) Wireless Telecommunications Services.
    (2) Industrial radiopositioning stations for which frequencies are 
assigned on an exclusive basis.
    (3) Aeronautical enroute stations.
    (4) Aeronautical advisory stations.
    (5) Airport control tower stations.
    (6) Aeronautical fixed stations.
    (7) Alaska public fixed stations.
    (d) No public notice prior to grant. The following types of 
applications, notices, and other filings need not be placed on Public 
Notice as accepted for filing prior to grant:
    (1) Applications or notifications concerning minor modifications to 
authorizations or minor amendments to applications.
    (2) Applications or notifications concerning non-substantial (pro 
forma) assignments and transfers.
    (3) Consent to an involuntary assignment or transfer under section 
310(b) of the Communications Act.
    (4) Applications for licenses under section 319(c) of the 
Communications Act.
    (5) Requests for extensions of time to complete construction of 
authorized facilities.
    (6) Requests for special temporary authorization not to exceed 30 
days where the applicant does not contemplate the filing of an 
application for regular operation, or not to exceed 60 days pending or 
after the filing of an application for regular operation.
    (7) Requests for emergency authorizations under section 308(a) of 
the Communications Act.

[[Page 229]]

    (8) Any application for temporary authorization under section 
101.31(a) of this chapter.
    (9) Any application for authorization in the Private Wireless 
Services.

[63 FR 68929, Dec. 14, 1998]



Sec. 1.934  Defective applications and dismissal.

    (a) Dismissal of applications. The Commission may dismiss any 
application in the Wireless Radio Services at the request of the 
applicant; if the application is mutually exclusive with another 
application that is selected or granted in accordance with the rules in 
this part; for failure to prosecute or if the application is found to be 
defective; if the requested spectrum is not available; or if the 
application is untimely filed. Such dismissal may be ``without 
prejudice,'' meaning that the Commission may accept from the applicant 
another application for the same purpose at a later time, provided that 
the application is otherwise timely. Dismissal ``with prejudice'' means 
that the Commission will not accept another application from the 
applicant for the same purpose for a period of one year. Unless 
otherwise provided in this part, a dismissed application will not be 
returned to the applicant.
    (1) Dismissal at request of applicant. Any applicant may request 
that its application be withdrawn or dismissed. A request for the 
withdrawal of an application after it has been listed on Public Notice 
as tentatively accepted for filing is considered to be a request for 
dismissal of that application without prejudice.
    (i) If the applicant requests dismissal of its application with 
prejudice, the Commission will dismiss that application with prejudice.
    (ii) If the applicant requests dismissal of its application without 
prejudice, the Commission will dismiss that application without 
prejudice, unless:
    (A) It has been designated for comparative hearing; or
    (B) It is an application for which the applicant submitted the 
winning bid in a competitive bidding process.
    (2) If an applicant who is a winning bidder for a license in a 
competitive bidding process requests dismissal of its short-form or 
long-form application, the Commission will dismiss that application with 
prejudice. The applicant will also be subject to default payments under 
Subpart Q of this part.
    (3) An applicant who requests dismissal of its application after 
that application has been designated for comparative hearing may submit 
a written petition requesting that the dismissal be without prejudice. 
Such petition must demonstrate good cause and be served upon all parties 
of record. The Commission may grant such petition and dismiss the 
application without prejudice or deny the petition and dismiss the 
application with prejudice.
    (b) Dismissal of mutually exclusive applications not granted. The 
Commission may dismiss mutually exclusive applications:
    (1) For which the applicant did not submit the winning bid in a 
competitive bidding process; or
    (2) That receive comparative consideration in a hearing but are not 
granted by order of the presiding officer.
    (c) Dismissal for failure to prosecute. The Commission may dismiss 
applications for failure of the applicant to prosecute or for failure of 
the applicant to respond substantially within a specified time period to 
official correspondence or requests for additional information. Such 
dismissal will generally be without prejudice if the failure to 
prosecute or respond occurred prior to designation of the application 
for comparative hearing, but may be with prejudice in cases of non-
compliance with Sec. 1.945 of this part. Dismissal will generally be 
with prejudice if the failure to prosecute or respond occurred after 
designation of the application for comparative hearing. The Commission 
may dismiss applications with prejudice for failure of the applicant to 
comply with requirements related to a competitive bidding process.
    (d) Dismissal as defective. The Commission may dismiss without 
prejudice an application that it finds to be defective. An application 
is defective if:
    (1) It is unsigned or incomplete with respect to required answers to 
questions, informational showings, or other matters of a formal 
character;
    (2) It requests an authorization that would not comply with one or 
more of the Commission's rules and does not

[[Page 230]]

contain a request for waiver of these rule(s), or in the event the 
Commission denies such a waiver request, does not contain an alternative 
proposal that fully complies with the rules; or
    (3) The appropriate filing fee has not been paid.
    (e) Dismissal because spectrum not available. The Commission may 
dismiss applications that request spectrum which is unavailable because:
    (1) It is not allocated for assignment in the specific service 
requested;
    (2) It was previously assigned to another licensee on an exclusive 
basis or cannot be assigned to the applicant without causing harmful 
interference; or
    (3) Reasonable efforts have been made to coordinate the proposed 
facility with foreign administrations under applicable international 
agreements, and an unfavorable response (harmful interference 
anticipated) has been received.
    (f) Dismissal as untimely. The Commission may dismiss without 
prejudice applications that are premature or late filed, including 
applications filed prior to the opening date or after the closing date 
of a filing window, or after the cut-off date for a mutually exclusive 
application filing group.

[63 FR 68930, Dec. 14, 1998]



Sec. 1.935  Agreements to dismiss applications, amendments or pleadings.

    Parties that have filed applications that are mutually exclusive 
with one or more other applications, and then enter into an agreement to 
resolve the mutual exclusivity by withdrawing or requesting dismissal of 
the application(s), specific frequencies on the application or an 
amendment thereto, must obtain the approval of the Commission. Parties 
that have filed or threatened to file a petition to deny, informal 
objection or other pleading against an application and then seek to 
withdraw or request dismissal of, or refrain from filing, the petition, 
either unilaterally or in exchange for a financial consideration, must 
obtain the approval of the Commission.
    (a) The party withdrawing or requesting dismissal of its application 
(or specific frequencies on the application), petition to deny, informal 
objection or other pleading or refraining from filing a pleading must 
submit to the Commission a request for approval of the withdrawal or 
dismissal, a copy of any written agreement related to the withdrawal or 
dismissal, and an affidavit setting forth:
    (1) A certification that neither the party nor its principals has 
received or will receive any money or other consideration in excess of 
the legitimate and prudent expenses incurred in preparing and 
prosecuting the application, petition to deny, informal objection or 
other pleading in exchange for the withdrawal or dismissal of the 
application, petition to deny, informal objection or other pleading, or 
threat to file a pleading, except that this provision does not apply to 
dismissal or withdrawal of applications pursuant to bona fide merger 
agreements;
    (2) The exact nature and amount of any consideration received or 
promised;
    (3) An itemized accounting of the expenses for which it seeks 
reimbursement; and
    (4) The terms of any oral agreement related to the withdrawal or 
dismissal of the application, petition to deny, informal objection or 
other pleading, or threat to file a pleading.
    (b) In addition, within 5 days of the filing date of the applicant's 
or petitioner's request for approval, each remaining party to any 
written or oral agreement must submit an affidavit setting forth:
    (1) A certification that neither the applicant nor its principals 
has paid or will pay money or other consideration in excess of the 
legitimate and prudent expenses of the petitioner in exchange for 
withdrawing or dismissing the application, petition to deny, informal 
objection or other pleading; and
    (2) The terms of any oral agreement relating to the withdrawal or 
dismissal of the application, petition to deny, informal objection or 
other pleading.
    (c) No person shall make or receive any payments in exchange for 
withdrawing a threat to file or refraining from filing a petition to 
deny, informal objection, or any other pleading against an application. 
For the purposes of this section, reimbursement by

[[Page 231]]

an applicant of the legitimate and prudent expenses of a potential 
petitioner or objector, incurred reasonably and directly in preparing to 
file a petition to deny, will not be considered to be payment for 
refraining from filing a petition to deny or an informal objection. 
Payments made directly to a potential petitioner or objector, or a 
person related to a potential petitioner or objector, to implement non-
financial promises are prohibited unless specifically approved by the 
Commission.
    (d) For the purposes of this section:
    (1) Affidavits filed pursuant to this section must be executed by 
the filing party, if an individual; a partner having personal knowledge 
of the facts, if a partnership; or an officer having personal knowledge 
of the facts, if a corporation or association.
    (2) Each application, petition to deny, informal objection or other 
pleading is deemed to be pending before the Commission from the time the 
petition to deny is filed with the Commission until such time as an 
order or correspondence of the Commission granting, denying or 
dismissing it is no longer subject to reconsideration by the Commission 
or to review by any court.
    (3) ``Legitimate and prudent expenses'' are those expenses 
reasonably incurred by a party in preparing to file, filing, prosecuting 
and/or settling its application, petition to deny, informal objection or 
other pleading for which reimbursement is sought.
    (4) ``Other consideration'' consists of financial concessions, 
including, but not limited to, the transfer of assets or the provision 
of tangible pecuniary benefit, as well as non-financial concessions that 
confer any type of benefit on the recipient.
    (e) Notwithstanding the provisions of this section, any payments 
made or received in exchange for withdrawing a short-form application 
for a Commission authorization awarded through competitive bidding shall 
be subject to the restrictions set forth in Sec. 1.2105(c) of this 
chapter.

[63 FR 68931, Dec. 14, 1998]



Sec. 1.937  Repetitious or conflicting applications.

    (a) Where the Commission has, for any reason, dismissed an 
application for a new station or for any modification of services or 
facilities with prejudice, or revoked the license for a radio station in 
the Wireless Radio Services, the Commission will not consider a like or 
new application involving service of the same kind to substantially the 
same area by substantially the same applicant, its successor or 
assignee, or on behalf of or for the benefit of the original parties in 
interest, until after the lapse of 12 months from the effective date of 
final Commission action.
    (b) If an applicant has been afforded an opportunity for a hearing 
with respect to an application for a new station or an enlargement of 
service area, and the Commission has, after hearing or default, denied 
the application or dismissed it with prejudice, the Commission will not 
consider a like application for service of the same type to the same 
area by that applicant, or by its successor or assignee, or on behalf of 
or for the benefit of the parties in interest to the original 
application, until after the lapse of 12 months from the effective date 
of final Commission action on the original application.
    (c) If an appeal has been taken from the action of the Commission 
denying a particular application, a like application for service of the 
same type to the same area, in whole or in part, filed by that applicant 
or by its successor or assignee, or on behalf or for the benefit of the 
parties in interest to the original application, will not be considered 
until the final disposition of such appeal.
    (d) While an application is pending, any subsequent inconsistent or 
conflicting application submitted by, on behalf of, or for the benefit 
of the same applicant, its successor or assignee will not be accepted 
for filing.

[63 FR 68931, Dec. 14, 1998]



Sec. 1.939  Petitions to deny.

    (a) Who may file. Any party in interest may file with the Commission 
a petition to deny any application listed in a Public Notice as accepted 
for filing,

[[Page 232]]

whether as filed originally or upon major amendment as defined in 
Sec. 1.929 of this part.
    (1) For auctionable license applications, petitions to deny and 
related pleadings are governed by the procedures set forth in 
Sec. 1.2108 of this part.
    (2) Petitions to deny for non-auctionable applications that are 
subject to petitions under Sec. 309(d) of the Communications Act must 
comply with the provisions of this section and must be filed no later 
than 30 days after the date of the Public Notice listing the application 
or major amendment to the application as accepted for filing.
    (b) Filing of petitions. Petitions to deny and related pleadings may 
be filed electronically via ULS. Manually filed petitions to deny must 
be filed with the Office of the Secretary, 445 Twelfth Street, S.W., 
Room TW-B204, Washington, DC 20554. Manually filed petitions to deny 
must be filed with the Office of the Secretary, 1919 M Street, NW., 
Washington, DC 20554. Attachments to manually filed applications may be 
filed on a standard 31/4'' magnetic diskette formatted to be readable by 
high density floppy drives operating under MS-DOS (version 3.X or later 
compatible versions). Each diskette submitted must contain an ASCII text 
file listing each filename and a brief description of the contents of 
each file on the diskette. The files on the diskette, other than the 
table of contents, should be in Adobe Acrobat Portable Document Format 
(PDF) whenever possible. Petitions to deny and related pleadings must 
reference the file number of the pending application that is the subject 
of the petition.
    (c) Service. A petitioner shall serve a copy of its petition to deny 
on the applicant and on all other interested parties pursuant to 
Sec. 1.47. Oppositions and replies shall be served on the petitioner and 
all other interested parties.
    (d) Content. A petition to deny must contain specific allegations of 
fact sufficient to make a prima facie showing that the petitioner is a 
party in interest and that a grant of the application would be 
inconsistent with the public interest, convenience and necessity. Such 
allegations of fact, except for those of which official notice may be 
taken, shall be supported by affidavit of a person or persons with 
personal knowledge thereof.
    (e) Petitions to deny amended applications. Petitions to deny a 
major amendment to an application may raise only matters directly 
related to the major amendment that could not have been raised in 
connection with the application as originally filed. This paragraph does 
not apply to petitioners who gain standing because of the major 
amendment.
    (f) Oppositions and replies. The applicant and any other interested 
party may file an opposition to any petition to deny and the petitioner 
may file a reply thereto in which allegations of fact or denials 
thereof, except for those of which official notice may be taken, shall 
be supported by affidavit of a person or persons with personal knowledge 
thereof. Time for filing of oppositions and replies is governed by 
Sec. 1.45 of this part for non-auctionable services and Sec. 1.2108 of 
this part for auctionable services.
    (g) Dismissal of petition. The Commission may dismiss any petition 
to deny that does not comply with the requirements of this section if 
the issues raised become moot, or if the petitioner or his/her attorney 
fails to appear at a settlement conference pursuant to Sec. 1.956 of 
this part. The reasons for the dismissal will be stated in the dismissal 
letter or order. When a petition to deny is dismissed, any related 
responsive pleadings are also dismissed
    (h) Grant of petitioned application. If a petition to deny has been 
filed and the Commission grants the application, the Commission will 
dismiss or deny the petition by issuing a concise statement of the 
reason(s) for dismissing or denying the petition, disposing of all 
substantive issues raised in the petition.

[63 FR 68931, Dec. 14, 1998, as amended at 64 FR 53240, Oct. 1, 1999]



Sec. 1.945  License grants.

    (a) License grants--auctionable license applications. Procedures for 
grant of licenses that are subject to competitive bidding under section 
309(j) of the Communications Act are set forth in Secs. 1.2108 and 
1.2109 of this part.
    (b) License grants--non-auctionable license applications. No 
application that

[[Page 233]]

is not subject to competitive bidding under Sec. 309(j) of the 
Communications Act will be granted by the Commission prior to the 31st 
day following the issuance of a Public Notice of the acceptance for 
filing of such application or of any substantial amendment thereof, 
unless the application is not subject to Sec. 309(b) of the 
Communications Act.
    (c) Grant without hearing. In the case of both auctionable license 
applications and non-mutually exclusive non-auctionable license 
applications, the Commission will grant the application without a 
hearing if it is proper upon its face and if the Commission finds from 
an examination of such application and supporting data, any pleading 
filed, or other matters which it may officially notice, that:
    (1) There are no substantial and material questions of fact;
    (2) The applicant is legally, technically, financially, and 
otherwise qualified;
    (3) A grant of the application would not involve modification, 
revocation, or non-renewal of any other existing license;
    (4) A grant of the application would not preclude the grant of any 
mutually exclusive application; and
    (5) A grant of the application would serve the public interest, 
convenience, and necessity.
    (d) Grant of petitioned applications. The FCC may grant, without a 
formal hearing, an application against which petition(s) to deny have 
been filed. If any petition(s) to deny are pending (i.e. have not been 
dismissed or withdrawn by the petitioner) when an application is 
granted, the FCC will deny the petition(s) and issue a concise statement 
of the reason(s) for the denial, disposing of all substantive issues 
raised in the petitions.
    (e) Partial and conditional grants. The FCC may grant applications 
in part, and/or subject to conditions other than those normally applied 
to authorizations of the same type. When the FCC does this, it will 
inform the applicant of the reasons therefor. Such partial or 
conditional grants are final unless the FCC revises its action in 
response to a petition for reconsideration. Such petitions for 
reconsideration must be filed by the applicant within thirty days after 
the date of the letter or order stating the reasons for the partial or 
conditional grant, and must reject the partial or conditional grant and 
return the instrument of authorization.
    (f) Designation for hearing. If the Commission is unable to make the 
findings prescribed in subparagraph (c), it will formally designate the 
application for hearing on the grounds or reasons then obtaining and 
will notify the applicant and all other known parties in interest of 
such action.
    (1) Orders designating applications for hearing will specify with 
particularity the matters in issue.
    (2) Parties in interest, if any, who are not notified by the 
Commission of its action in designating a particular application for 
hearing may acquire the status of a party to the proceeding by filing a 
petition for intervention showing the basis of their interest not more 
than 30 days after publication in the Federal Register of the hearing 
issues or any substantial amendment thereto.
    (3) The applicant and all other parties in interest shall be 
permitted to participate in any hearing subsequently held upon such 
applications. Hearings may be conducted by the Commission or by the 
Chief of the Wireless Telecommunications Bureau, or, in the case of a 
question which requires oral testimony for its resolution, an 
Administrative Law Judge. The burden of proceeding with the introduction 
of evidence and burden of proof shall be upon the applicant, except that 
with respect to any issue presented by a petition to deny or a petition 
to enlarge the issues, such burdens shall be as determined by the 
Commission or the Chief of the Wireless Telecommunications Bureau.

[63 FR 68932, Dec. 14, 1998]



Sec. 1.946  Construction and coverage requirements.

    (a) Construction and commencement of service requirements. For each 
of the Wireless Radio Services, requirements for construction and 
commencement of service or commencement of operations are set forth in 
the rule part

[[Page 234]]

governing the specific service. For purposes of this section, the period 
between the date of grant of an authorization and the date of required 
commencement of service or operations is referred to as the construction 
period.
    (b) Coverage and substantial service requirements. In certain 
Wireless Radio Services, licensees must comply with geographic coverage 
requirements or substantial service requirements within a specified time 
period. These requirements are set forth in the rule part governing each 
specific service. For purposes of this section, the period between the 
date of grant of an authorization and the date that a particular degree 
of coverage or substantial service is required is referred to as the 
coverage period.
    (c) Termination of authorizations. If a licensee fails to commence 
service or operations by the expiration of its construction period or to 
meet its coverage or substantial service obligations by the expiration 
of its coverage period, its authorization terminates automatically, 
without specific Commission action, on the date the construction or 
coverage period expires.
    (d) Licensee notification of compliance. A licensee who commences 
service or operations within the construction period or meets its 
coverage or substantial service obligations within the coverage period 
must notify the Commission by filing FCC Form 601. The notification must 
be filed with the Commission within 15 days of the expiration of the 
applicable construction or coverage period. Where the authorization is 
site-specific, if service or operations have begun using some, but not 
all, of the authorized transmitters, the notification must show to which 
specific transmitters it applies.
    (e) Requests for extension of time. Licensees may request to extend 
a construction period or coverage period by filing FCC Form 601. The 
request must be filed before the expiration of the construction or 
coverage period.
    (1) An extension request may be granted if the licensee shows that 
failure to meet the construction or coverage deadline is due to 
involuntary loss of site or other causes beyond its control.
    (2) Extension requests will not be granted for failure to meet a 
construction or coverage deadline due to delays caused by a failure to 
obtain financing, to obtain an antenna site, or to order equipment in a 
timely manner. If the licensee orders equipment within 90 days of its 
initial license grant, a presumption of diligence is established.
    (3) Extension requests will not be granted for failure to meet a 
construction or coverage deadline because the licensee undergoes a 
transfer of control or because the licensee intends to assign the 
authorization. The Commission will not grant extension requests solely 
to allow a transferee or assignee to complete facilities that the 
transferor or assignor failed to construct.
    (4) The filing of an extension request does not automatically extend 
the construction or coverage period unless the request is based on 
involuntary loss of site or other circumstances beyond the licensee's 
control, in which case the construction period is automatically extended 
pending disposition of the extension request.
    (5) A request for extension of time to construct a particular 
transmitter or other facility does not extend the construction period 
for other transmitters and facilities under the same authorization.

[63 FR 68933, Dec. 14, 1998]



Sec. 1.947  Modification of licenses.

    (a) All major modifications, as defined in Sec. 1.929 of this part, 
require prior Commission approval. Applications for major modifications 
also shall be treated as new applications for determination of filing 
date, Public Notice, and petition to deny purposes.
    (b) Licensees may make minor modifications to station 
authorizations, as defined in Sec. 1.929 of this part (other than pro 
forma transfers and assignments), as a matter of right without prior 
Commission approval. Where other rule parts permit licensees to make 
permissive changes to technical parameters without notifying the 
Commission (e.g., adding, modifying, or deleting internal sites), no 
notification is required. For all other types of minor modifications 
(e.g., name, address, point of contact changes), licensees must notify 
the Commission by filing

[[Page 235]]

FCC Form 601 within thirty (30) days of implementing any such changes.
    (c) Multiple pending modification applications requesting changes to 
the same or related technical parameters on an authorization are not 
permitted. If a modification application is pending, any additional 
changes to the same or related technical parameters may be requested 
only in an amendment to the pending modification application.
    (d) Any proposed modification that requires a fee as set forth at 
part 1, subpart G, of this chapter must be filed in accordance with 
Sec. 1.913.

[63 FR 68933, Dec. 14, 1998, as amended at 64 FR 53240, Oct. 1, 1999]



Sec. 1.948  Assignment of authorization or transfer of control, notification of consummation.

    (a) General. Except as provided in this section, authorizations in 
the Wireless Radio Services may be assigned by the licensee to another 
party, voluntarily or involuntarily, directly or indirectly, or the 
control of a licensee holding such authorizations may be transferred, 
only upon application to and approval by the Commission.
    (b) Limitations on transfers and assignments. (1) A change from less 
than 50% ownership to 50% or more ownership shall always be considered a 
transfer of control.
    (2) In other situations a controlling interest shall be determined 
on a case-by-case basis considering the distribution of ownership, and 
the relationships of the owners, including family relationships.
    (3) Designated Entities, as defined in Sec. 1.2110(a) of this part, 
must comply with Secs. 1.2110 and 1.2111 of this part when seeking to 
assign or transfer control of an authorization.
    (4) Stations must meet all applicable requirements regarding 
transfers and assignments contained in the rules pertaining to the 
specific service in which the station is licensed.
    (5) Licenses, permits, and authorizations for stations in the 
Amateur, Ship, Aircraft, Commercial Operator and Personal Radio Services 
(except 218-219 MHz Service) may not be assigned or transferred, unless 
otherwise stated.
    (c) Application required. In the case of an assignment of 
authorization or transfer of control, the assignor must file an 
application for approval of the assignment on FCC Form 603. If the 
assignee or transferee is subject to the ownership reporting 
requirements of Sec. 1.2112(a), the assignee or transferee must also 
file an updated FCC Form 602 or certify that a current FCC Form 602 is 
on file.
    (1) In the case of a non-substantial (pro forma) transfer or 
assignment involving a telecommunications carrier, as defined in 
Sec. 153(44) of the Communications Act, filing of the Form 603 and 
Commission approval in advance of the proposed transaction is not 
required, provided that:
    (i) the affected license is not subject to unjust enrichment 
provisions under subpart Q of this part;
    (ii) the transfer or assignment does not involve a proxy contest; 
and
    (iii) the transferee or assignee provides notice of the transaction 
by filing FCC Form 603 within 30 days of its completion, and provides 
any necessary updates of ownership information on FCC Form 602.
    (2) In the case of an involuntary assignment or transfer, FCC Form 
603 must be filed no later than 30 days after the event causing the 
involuntary assignment or transfer.
    (d) Notification of consummation. In all Wireless Radio Services, 
licensees are required to notify the Commission of consummation of an 
approved transfer or assignment using FCC Form 603. The assignee or 
transferee is responsible for providing this notification, including the 
date the transaction was consummated. For transfers and assignments that 
require prior Commission approval, the transaction must be consummated 
and notification provided to the Commission within 180 days of public 
notice of approval, and notification of consummation must occur no later 
than 30 days after actual consummation, unless a request for an 
extension of time to consummate is filed on FCC Form 603 prior to the 
expiration of this 180-day period. For transfers and assignments that do 
not require prior Commission approval, notification of consummation must 
be provided on FCC Form 603 no later than 30 days

[[Page 236]]

after consummation, along with any necessary updates of ownership 
information on FCC Form 602.
    (e) Partial assignment of authorization. If the authorization for 
some, but not all, of the facilities of a radio station in the Wireless 
Radio Services is assigned to another party, voluntarily or 
involuntarily, such action is a partial assignment of authorization. To 
request Commission approval of a partial assignment of authorization, 
the assignor must notify the Commission on FCC Form 603 of the 
facilities that will be deleted from its authorization upon consummation 
of the assignment.
    (f) Partitioning and disaggregation. Where a licensee proposes to 
partition or disaggregate a portion of its authorization to another 
party, the application will be treated as a request for partial 
assignment of authorization. The assignor must notify the Commission on 
FCC Form 603 of the geographic area or spectrum that will be deleted 
from its authorization upon consummation of the assignment.
    (g) Involuntary transfer and assignment. In the event of the death 
or legal disability of a permittee or licensee, a member of a 
partnership, or a person directly or indirectly in control of a 
corporation which is a permittee or licensee, the Commission shall be 
notified promptly of the occurrence of such death or legal disability. 
Within 30 days after the occurrence of such death or legal disability 
(except in the case of a ship or amateur station), an application shall 
be filed for consent to involuntary assignment of such permit or 
license, or for involuntary transfer of control of such corporation, to 
a person or entity legally qualified to succeed to the foregoing 
interests under the laws of the place having jurisdiction over the 
estate involved. The procedures and forms to be used are the same 
procedures and forms as those specified in paragraph (b) of this 
section. In the case of Ship, aircraft, Commercial Operator, Amateur, 
and Personal Radio Services (except for 218-219 MHz Service) involuntary 
assignment of licenses will not be granted; such licenses shall be 
surrendered for cancellation upon the death or legal disability of the 
licensee. Amateur station call signs assigned to the station of a 
deceased licensee shall be available for reassignment pursuant to 
Sec. 97.19 of this chapter.
    (h) Disclosure requirements. Applicants for transfer or assignment 
of licenses in auctionable services must comply with the disclosure 
requirements of Secs. 1.2111 and 1.2112 of this part.
    (i) Trafficking. Applications for approval of assignment or transfer 
may be reviewed by the Commission to determine if the transaction is for 
purposes of trafficking in service authorizations.
    (1) Trafficking consists of obtaining or attempting to obtain an 
authorization for the principal purpose of speculation or profitable 
resale of the authorization rather than for the provision of 
telecommunication services to the public or for the licensee's own 
private use.
    (2) The Commission may require submission of an affirmative, factual 
showing, supported by affidavit of persons with personal knowledge 
thereof, to demonstrate that the assignor did not acquire the 
authorization for the principal purpose of speculation or profitable 
resale of the authorization. This showing may include, for example, a 
demonstration that the proposed assignment is due to changed 
circumstances (described in detail) affecting the licensee after the 
grant of the authorization, or that the proposed assignment is 
incidental to a sale of other facilities or a merger of interests.

[63 FR 68933, Dec. 14, 1998, as amended at 64 FR 62120, Nov. 16, 1999]



Sec. 1.949  Application for renewal of license.

    (a) Applications for renewal of authorizations in the Wireless Radio 
Services must be filed no later than the expiration date of the 
authorization for which renewal is sought, and no sooner than 90 days 
prior to expiration. Renewal applications must be filed on the same form 
as applications for initial authorization in the same service, i.e., FCC 
Form 601 or 605. Additional renewal requirements applicable to specific 
services are set forth in the subparts governing those services.
    (b) Licensees with multiple authorizations in the same service may 
request a common day and month on

[[Page 237]]

which such authorizations expire for renewal purposes. License terms may 
be shortened by up to one year but will not be extended to accommodate 
the applicant's selection.

[63 FR 68934, Dec. 14, 1998]



Sec. 1.951  Duty to respond to official communications.

    Licensees or applicants in the Wireless Radio Services receiving 
official notice of an apparent or actual violation of a federal statute, 
international agreement, Executive Order, or regulation pertaining to 
communications shall respond in writing within 10 days to the office of 
the FCC originating the notice, unless otherwise specified. Responses to 
official communications must be complete and self-contained without 
reference to other communications unless copies of such other 
communications are attached to the response. Licensees or applicants may 
respond via ULS.

[63 FR 68934, Dec. 14, 1998]



Sec. 1.955  Termination of authorizations.

    (a) Authorizations in general remain valid until terminated in 
accordance with this section, except that the Commission may revoke an 
authorization pursuant to section 312 of the Communications Act of 1934, 
as amended. See 47 U.S.C. 312.
    (1) Expiration. Authorizations automatically terminate, without 
specific Commission action, on the expiration date specified therein, 
unless a timely application for renewal is filed. See Sec. 1.949 of this 
part. No authorization granted under the provisions of this part shall 
be for a term longer than ten years.
    (2) Failure to meet construction or coverage requirements. 
Authorizations automatically terminate, without specific Commission 
action, if the licensee fails to meet applicable construction or 
coverage requirements. See Sec. 1.948(c) of this part.
    (3) Service discontinued. Authorizations automatically terminate, 
without specific Commission action, if service is permanently 
discontinued. The Commission authorization or the individual service 
rules govern the definition of permanent discontinuance for purposes of 
this section. A licensee who discontinues operations shall notify the 
Commission of the discontinuance of operations by submitting FCC Form 
601 or 605 requesting license cancellation.
    (b) Special temporary authority (STA) automatically terminates 
without specific Commission action upon failure to comply with the terms 
and conditions therein, or at the end of the period specified therein, 
unless a timely request for an extension of the STA term is filed in 
accordance with Sec. 1.931 of this part. If a timely filed request for 
extension of the STA term is dismissed or denied, the STA automatically 
terminates, without specific Commission action, on the day after the 
applicant or the applicant's attorney is notified of the Commission's 
action dismissing or denying the request for extension.
    (c) Authorizations submitted by licensees for cancellation terminate 
when the Commission gives Public Notice of such action.

[63 FR 68934, Dec. 14, 1998, as amended at 64 FR 53240, Oct. 1, 1999]

    Editorial Note: At 64 FR 53240, Oct. 1, 1999, Sec. 1.955 was amended 
by revising the last sentence of paragraph (b)(2) to read ``See 
Sec. 1.946(c) of this part.'', effective Nov. 30, 1999. However, 
paragraph (b)(2) does not exist in the 1998 volume.



Sec. 1.956  Settlement conferences.

    Parties are encouraged to use alternative dispute resolution 
procedures to settle disputes. See subpart E of this part. In any 
contested proceeding, the Commission, in its discretion, may direct the 
parties or their attorneys to appear before it for a conference.
    (a) The purposes of such conferences are:
    (1) To obtain admissions of fact or stipulations between the parties 
as to any or all of the matters in controversy;
    (2) To consider the necessity for or desirability of amendments to 
the pleadings, or of additional pleadings or evidentiary submissions;
    (3) To consider simplification or narrowing of the issues;
    (4) To encourage settlement of the matters in controversy by 
agreement between the parties; and

[[Page 238]]

    (5) To consider other matters that may aid in the resolution of the 
contested proceeding.
    (b) Conferences are scheduled by the Commission at a time and place 
it may designate, to be conducted in person or by telephone conference 
call.
    (c) The failure of any party or attorney, following reasonable 
notice, to appear at a scheduled conference will be deemed a failure to 
prosecute, subjecting that party's application or petition to dismissal 
by the Commission.

[63 FR 68935, Dec. 14, 1998]



Sec. 1.957  Procedure with respect to amateur radio operator license.

    Each candidate for an amateur radio license which requires the 
applicant to pass one or more examination elements must present the 
Volunteer Examiners (VEs) with a properly completed FCC Form 605 prior 
to the examination. Upon completion of the examination, the VEs will 
grade the test papers. If the applicant is successful, the VEs will 
forward the candidate's application to a Volunteer-Examiner Coordinator 
(VEC). The VEs will then issue a certificate for sucessful completion of 
an amateur radio operator examination. The VEC will forward the 
application to the Commission's Gettysburg, Pennsylvania, facility.

[63 FR 68935, Dec. 14, 1998]

                 Reports To Be Filed With the Commission



Sec. 1.981  Reports, annual and semiannual.

    (a) Licensees of stations authorized for developmental operation 
shall submit a report on the results of the developmental program. The 
report shall be filed with and made a part of each application for 
renewal of authorization. The report shall be filed at the Commission's 
offices in Washington, DC or alternatively may be sent to the commission 
electronically via the ULS.
    (b) The report shall include comprehensive and detailed information 
on the following:
    (1) The final objective.
    (2) Results of operation to date.
    (3) Analysis of the results obtained.
    (4) Copies of any published reports.
    (5) Need for continuation of the program.
    (6) Number of hours of operation on each frequency.
    (c) Where required by the particular service rules, licensees who 
have entered into agreements with other persons for the cooperative use 
of radio station facilities must submit annually an audited financial 
statement reflecting the nonprofit cost-sharing nature of the 
arrangement to the Commission's offices in Washington, DC or 
alternatively may be sent to the Commission electronically via the ULS, 
no later than three months after the close of the licensee's fiscal 
year.

[63 FR 68935, Dec. 14, 1998]



   Subpart G--Schedule of Statutory Charges and Procedures for Payment

    Source: 52 FR 5289, Feb. 20, 1987, unless otherwise noted.



Sec. 1.1101  Authority.

    Authority to impose and collect these charges is contained in title 
III, section 3001 of the Omnibus Budget Reconciliation Act of 1989 (Pub. 
L. 101-239), revising 47 U.S.C. 158, which directs the Commission to 
prescribe charges for certain of the regulatory services it provides to 
many of the communications entities within its jurisdiction. This law 
revises section 8 of the Communications Act of 1934, as amended, which 
contains a Schedule of Charges as well as procedures for modifying and 
collecting these charges.

[55 FR 19155, May 8, 1990]

[[Page 239]]

Sec. 1.1102    Schedule of charges for applications and other filings in 
        the wireless telecommunications services.

[Those services designated with an asterisk in the payment type code column have associated regulatory fees that
   must be paid at the same time the application fee is paid. Please refer to Sec. 1.1152 for the appropriate
                               regulatory fee that must be paid for this service.]
----------------------------------------------------------------------------------------------------------------
                                                                 Fee       Payment
                Action                      FCC Form No.        amount    type code            Address
----------------------------------------------------------------------------------------------------------------
1. Marine Coast:......................
    a. New; Renewal...................  503 & 159...........     $95.00       PBMR*  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    b. Modification; Public Coast       503 & 159...........      95.00        PBMM  Federal Communications
     CMRS; Non-Profit.                                                                Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    c. Assignment of Authorization....  503, 1046 & 159.....      95.00        PBMM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    d. Transfer of Control............  703 & 159...........      50.00        PATM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    e. Duplicate License..............  Corres & 159........      50.00        PADM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    f. Special Temporary Authority....  Corres & 159........     135.00        PCMM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    g. Renewal........................  452R & 159..........      95.00       PBMR*  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358270, Pittsburgh, PA
                                                                                      15251-5270.
    h. Renewal (Electronic Filing)....  900 & 159...........      95.00       PBMR*  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau ELT, P.O. Box
                                                                                      358994, Pittsburgh, PA
                                                                                      15251-5994.
    i. Renewal (Non-Profit; CMRS).....  452R & 159..........      95.00        PBMM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358270, Pittsburgh, PA
                                                                                      15251-5130.
    j. Renewal (Electronic Filing)      900 & 159...........      95.00        PBMM  Federal Communications
     (Non-Profit; CMRS).                                                              Commission, Wireless
                                                                                      Bureau ELT, P.O. Box
                                                                                      358994, Pittsburgh, PA
                                                                                      15251-5994.
    k. Rule Waiver....................  Corres & 159........     145.00        PDWM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
2. Aviation Ground:
    a. New; Renewal...................  406 & 159...........      95.00       PBVR*  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    b. Modification; Nonprofit........  406 & 159...........      95.00        PBVM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    c. Assignment of Authorization....  406, 1046 & 159.....      95.00        PBVM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    d. Transfer of Control............  703 & 159...........      50.00        PATM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    e. Duplicate License..............  Corres & 159........     $50.00        PADM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    f. Special Temporary Authority....  Corres & 159........     135.00        PCVM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    g. Renewal........................  452R & 159..........      95.00       PBVR*  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358270, Pittsburgh, PA
                                                                                      15251-5270.
    h. Renewal (Electronic Filing)....  900 & 159...........      95.00       PBVR*  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau ELT, P.O. Box
                                                                                      358994, Pittsburgh, PA
                                                                                      15251-5994.
    i. Renewal (Non-Profit)...........  452R & 159..........      95.00        PBVM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358270, Pittsburgh, PA
                                                                                      15251-5130.
    j. Renewal (Electronic Filing)      900 & 159...........      95.00        PBVM  Federal Communications
     (Non-Profit).                                                                    Commission, Wireless
                                                                                      Bureau ELT, P.O. Box
                                                                                      358994, Pittsburgh, PA
                                                                                      15251-5994.

[[Page 240]]

 
    k. Rule Waiver....................  Corres & 159........     145.00        PDWM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
3. Ship:
    a. New; Renewal...................  506 & 159...........      50.00       PASR*  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    b. Modification; Non-Profit.......  506 & 159...........      50.00        PASM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    c. Duplicate License..............  Corres & 159........      50.00        PADM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    d. Exemption from Ship Station      820 & 159...........     145.00        PDWM  Federal Communications
     Requirements.                                                                    Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    e. Rule Waiver....................  Corres & 159........     145.00        PDWM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
4. Aircraft:
    a. New; Renew/Mod.................  605 & 159...........      50.00       PAAR*  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    b. New; Renew/Mod (Electronic       605 & 159...........      50.00       PAAR*  Federal Communications
     Filing).                                                                         Commission, Wireless
                                                                                      Bureau ELT, P.O. Box
                                                                                      358994, Pittsburgh, PA
                                                                                      15251-5994.
    c. Modification; Non-Profit.......  605 & 159...........      50.00        PAAM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    d. Modification; Non-Profit         605 & 159...........      50.00        PAAM  Federal Communications
     (Electronic Filing).                                                             Commission, Wireless
                                                                                      Bureau ELT, P.O. Box
                                                                                      358994, Pittsburgh, PA
                                                                                      15251-5994.
    e. Renewal........................  605 & 159...........      50.00       PAAR*  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358245, Pittsburgh, PA
                                                                                      15251-5245.
    f. Renewal (Electronic Filing)....  605 & 159...........      50.00       PAAR*  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau ELT, P.O. Box
                                                                                      358994, Pittsburgh, PA
                                                                                      15251-5994.
    g. Renewal (Non-Profit)...........  605 & 159...........      50.00        PAAM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358245, Pittsburgh, PA
                                                                                      15251-5245.
    h. Renewal (Non-Profit)             605 & 159...........      50.00        PAAM  Federal Communications
     (Electronic Filing).                                                             Commission, Wireless
                                                                                      Bureau ELT, P.O. Box
                                                                                      358994, Pittsburgh, PA
                                                                                      15251-5994.
    i. Duplicate License..............  605 & 159...........      50.00        PADM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    j. Duplicate License (Electronic    605 & 159...........      50.00        PADM  Federal Communications
     Filing).                                                                         Commission, Wireless
                                                                                      Bureau ELT, P.O. Box
                                                                                      358994, Pittsburgh, PA
                                                                                      15251-5994.
    k. Rule Waiver....................  605 & 159...........     145.00        PDWM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
     l. Rule Waiver (Electronic         605 & 159...........     145.00        PDWM  Federal Communications
     Filing).                                                                         Commission, Wireless
                                                                                      Bureau ELT, P.O. Box
                                                                                      358994, Pittsburgh, PA
                                                                                      15251-5994.
 5. Private Operational Fixed
 Microwave:
    a. New; Renew/Mod.................  601 & 159...........     210.00       PEOR*  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    b. New; Renew/Mod (Electronic       601 &159............     210.00       PEOR*  Federal Communications
     Filing).                                                                         Commission, Wireless
                                                                                      Bureau ELT, P.O. Box
                                                                                      358994, Pittsburgh, PA
                                                                                      15251-5994.
    c. Modification; Consolidate Call   601 & 159...........     210.00        PEOM  Federal Communications
     Signs; Non-Profit.                                                               Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    d. Modification; Consolidate Call   601 & 159...........     210.00        PEOM  Federal Communications
     Signs; Non-Profit Electronic                                                     Commission, Wireless
     Filing.                                                                          Bureau ELT, P.O. Box
                                                                                      358994, Pittsburgh, PA
                                                                                      15251-5994.

[[Page 241]]

 
    e. Renewal........................  601 & 159...........     210.00       PEOR*  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358245, Pittsburgh, PA
                                                                                      15251-5245.
    f. Renewal (Electronic Filing)....  601 & 159...........     210.00       PEOR*  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau ELT, P.O. Box
                                                                                      358994, Pittsburgh, PA
                                                                                      15251-5994.
    g. Renewal (Non-Profit)...........  601 & 159...........     210.00        PEOM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358245, Pittsburgh, PA
                                                                                      15251-5245.
    h. Renewal (Non-Profit)             601 & 159...........     210.00        PEOM  Federal Communications
     (Electronic Filing).                                                             Commission, Wireless
                                                                                      Bureau ELT, P.O. Box
                                                                                      358994, Pittsburgh, PA
                                                                                      15251-5994.
    i. Assignment.....................  603 & 159...........     210.00        PEOM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau Applications, P.O.
                                                                                      Box 358130, Pittsburgh, PA
                                                                                      15251-5130.
    j. Assignment (Electronic Filing).  603 & 159...........     210.00        PEOM  Federal Communications
                                                                                      Commission, Wireless
                                                                                      Bureau ELT, P.O. Box
                                                                                      358994, Pittsburgh, PA
                                                                                      15251-5994.
    k. Transfer of Control............  603 & 159...........      50.00        PATM  Federal Communications
                                                                                      Commission, Wireless