[Title 47 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2013 Edition]
[From the U.S. Government Printing Office]



[[Page i]]

          

          Title 47

Telecommunication


________________________

Parts 0 to 19

                         Revised as of October 1, 2013

          Containing a codification of documents of general 
          applicability and future effect

          As of October 1, 2013
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

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                            Table of Contents



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

  Title 47:
          Chapter I--Federal Communications Commission               3
  Finding Aids:
      Table of CFR Titles and Chapters........................     935
      Alphabetical List of Agencies Appearing in the CFR......     955
      List of CFR Sections Affected...........................     965

[[Page iv]]





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

                     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, 2013), 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.

PAST PROVISIONS OF THE CODE

    Provisions of the Code that are no longer in force and effect as of 
the revision date stated on the cover of each volume are not carried. 
Code users may find the text of provisions in effect on any given date 
in the past by using the appropriate List of CFR Sections Affected 
(LSA). For the convenience of the reader, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume. For changes to 
the Code prior to the LSA listings at the end of the volume, consult 
previous annual editions of the LSA. For changes to the Code prior to 
2001, consult the List of CFR Sections Affected compilations, published 
for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.

``[RESERVED]'' TERMINOLOGY

    The term ``[Reserved]'' is used as a place holder within the Code of 
Federal Regulations. An agency may add regulatory information at a 
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used 
editorially to indicate that a portion of the CFR was left vacant and 
not accidentally dropped due to a printing or computer error.

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.
    What if the material incorporated by reference cannot be found? If 
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CFR INDEXES AND TABULAR GUIDES

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separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Authorities 
and Rules. A list of CFR titles, chapters, subchapters, and parts and an 
alphabetical list of agencies publishing in the CFR are also included in 
this volume.

[[Page vii]]

    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.

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 202-741-6000 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, 8601 Adelphi Road, College Park, MD 
20740-6001 or e-mail [email protected]

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CFR Sections Affected), The United States Government Manual, the Federal 
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information. Connect to NARA's web site at www.archives.gov/federal-
register.
    The e-CFR is a regularly updated, unofficial editorial compilation 
of CFR material and Federal Register amendments, produced by the Office 
of the Federal Register and the Government Printing Office. It is 
available at www.ecfr.gov.

    Charles A. Barth,
    Director,
    Office of the Federal Register.
    October 1, 2013.







[[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. All five volumes 
contain 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, chapter III--National 
Telecommunications and Information Administration, Department of 
Commerce, and chapter IV--National Telecommunications and Information 
Administration, Department of Commerce, and National Highway Traffic 
Safety Administration, Department of Transportation. The contents of 
these volumes represent all current regulations codified under this 
title of the CFR as of October 1, 2013.

    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.

    For this volume, Susannah C. Hurley was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of 
Michael L. White, assisted by Ann Worley.

[[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......................          97
2               Frequency allocations and radio treaty 
                    matters; general rules and regulations..         465
3               Authorization and administration of 
                    accounting authorities in maritime and 
                    maritime mobile-satellite radio services         679
4               Disruptions to communications...............         689
5               Experimental radio service..................         696
6               Access to telecommunications service, 
                    telecommunications equipment and 
                    customer premises equipment by persons 
                    with disabilities.......................         718
7               Access to voicemail and interactive menu 
                    services and equipment by people with 
                    disabilities............................         724
8               Preserving the open internet................         731
9               Interconnected voice over internet protocol 
                    services................................         736
10              Wireless emergency alerts...................         739
11              Emergency Alert System (EAS)................         747
12              Redundancy of communications systems........         768
13              Commercial radio operators..................         769
14              Access to advanced communications services 
                    and equipment by people with 
                    disabilities............................         778
15              Radio frequency devices.....................         802
17              Construction, marking, and lighting of 
                    antenna structures......................         910
18              Industrial, scientific, and medical 
                    equipment...............................         920
19              Employee responsibilities and conduct.......         926

Supplementary 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 Strategic Planning and Policy Analysis

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

                              Media Bureau

0.61 Functions of the Bureau.

                      Office of Workplace Diversity

0.81 Functions of the Office.

                       Wireline Competition Bureau

0.91 Functions of the Bureau.

             Office of Communications Business Opportunities

0.101 Functions of the office.

                           Enforcement Bureau

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

                   Wireless Telecommunications Bureau

0.131 Functions of the Bureau.

                Consumer and Governmental Affairs Bureau

0.141 Functions of the Bureau.

                   Office of Administrative Law Judges

0.151 Functions of the Office.

     Homeland Security, Defense and Emergency Preparedness Functions

0.181 The Defense Commissioner.
0.185 Responsibilities of the bureaus and staff offices.
0.186 Emergency Relocation Board.

               Public Safety and Homeland Security Bureau

0.191 Functions of the Bureau.
0.192 Emergency Response Interoperability Center.

                   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 Strategic Planning and Policy Analysis

0.271 Authority delegated.

                           Chief, Media Bureau

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

[[Page 6]]

                   Chief, Wireline Competition Bureau

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

                           Enforcement Bureau

0.311 Authority delegated.
0.314 Additional authority delegated.
0.317 Record of action 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 and Governmental Affairs Bureau

0.361 Authority delegated.

             Office of Communications Business Opportunities

0.371 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.

               Public Safety and Homeland Security Bureau

0.392 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.
0.458 Nonpublic information.
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.

[[Page 7]]

 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.
0.485 Commercial radio operator examinations.
0.489 [Reserved]
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.

                Subpart G_Intergovernmental Communication

0.701 Intergovernmental Advisory Committee.

    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

[[Page 8]]

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.
    (2) Office of Engineering and Technology.
    (3) Office of General Counsel.
    (4) Office of Strategic Planning and Policy Analysis.
    (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) Office of Workplace Diversity
    (11) Wireline Competition Bureau.
    (12) Wireless Telecommunications Bureau.
    (13) International Bureau.
    (14) Media Bureau.
    (15) Enforcement Bureau.
    (16) Consumer and Governmental Affairs Bureau.
    (17) Public Safety and Homeland Security Bureau.
    (b) Staff responsibilities and functions. The organization and 
functions of these major staff units are described in detail in 
Sec.Sec. 0.11 through 0.151. The defense and emergency preparedness 
functions of the Commission are set forth separately, beginning atSec. 
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.
    (e) Compliance with Federal financial management requirements. Any 
Bureau or Office recommending Commission action that may affect agency 
compliance with Federal financial management requirements must confer 
with the Office of Managing Director. Such items will indicate the 
position of the Managing Director when forwarded to the Commission. Any 
Bureau or Office taking action under delegated authority that may affect 
agency compliance with Federal financial management requirements must 
confer with the Office of the Managing Director before taking action.

(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]

    Editorial Note: For Federal Register citations affectingSec. 0.5, 
see the List of CFR Sections Affected, which appears in the

[[Page 9]]

Finding Aids section of the printed volume and at www.fdsys.gov.

                       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 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 Commissions performance review system. 
Assure that objections, priorities, and action plans established by 
Bureau 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; training; budget and financial management; 
accounting for the financial transactions of the Commission and 
preparation of financial statements and reports; 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; 67 FR 13217, Mar. 21, 2002; 69 FR 
30233, May 27, 2004; 70 FR 21651, Apr. 27, 2005; 71 FR 69034, Nov. 29, 
2006]

                       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

[[Page 10]]

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 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 and Governmental Affairs 
Bureau on press and media issues concerning consumer assistance and 
information including informal consumer complaints.
    (f) Manage the FCC's audio/visual support services and maintain 
liaison with outside parties regarding the broadcast of Commission 
proceedings.

[64 FR 60716, Nov. 8, 1999, as amended at 67 FR 13217, Mar. 21, 2002; 67 
FR 46112, July 12, 2002]

                      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 Media Relations in 
preparation of the Commission's Annual Report.

[[Page 11]]

    (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 and Governmental Affairs 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; 67 
FR 13217, Mar. 21, 2002]

            Office of Strategic Planning and Policy Analysis



Sec.  0.21  Functions of the Office.

    The Office of Strategic Planning and Policy Analysis, 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, 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; 68 FR 11747, Mar. 12, 2003]

                  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.

[[Page 12]]

    (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 (in consultation with the Public Safety and Homeland Security 
Bureau where appropriate) 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 Strategic Planning and Policy Analysis, 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.
    (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 andSec. 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 and Governmental Affairs 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; 67 FR 
13217, Mar. 21, 2002; 68 FR 11747, Mar. 12, 2003; 69 FR 70337, Dec. 3, 
2004; 71 FR 69034, Nov. 29, 2006; 73 FR 9463, Feb. 21, 2008]

                        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.

[[Page 13]]

    (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, 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

[[Page 14]]

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 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 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.
    (r) To assist the Consumer and Governmental Affairs Bureau on issues 
involving informal consumer complaints and other general inquiries by 
consumers.
    (s) To coordinate with the Public Safety and Homeland Security 
Bureau on all matters affecting public safety, homeland security, 
national security, emergency management, disaster management, and 
related issues.

[60 FR 5323, Jan. 27, 1995, as amended at 60 FR 35504, July 10, 1995; 64 
FR 60716, Nov. 8, 1999; 67 FR 13217, Mar. 21, 2002; 71 FR 69034, Nov. 
29, 2006]

                              Media Bureau



Sec.  0.61  Functions of the Bureau.

    The Media Bureau develops, recommends and administers the policy and 
licensing programs for the regulation of media, including cable 
television, broadcast television and radio, and satellite services in 
the United States and its territories. The Bureau advises and recommends 
to the Commission, or acts for the Commission under delegated authority, 
in matters pertaining to multichannel video programming distribution, 
broadcast radio and television, direct broadcast satellite service 
policy, and associated

[[Page 15]]

matters. The Bureau will, among other things:
    (a) Process applications for authorization, assignment, transfer and 
renewal of media services, including AM, FM, TV, the cable TV relay 
service, and related services.
    (b) Conduct rulemaking proceedings concerning the legal, 
engineering, and economic aspects of media service.
    (c) Conduct comprehensive studies and analyses concerning the legal, 
engineering, and economic aspects of electronic media services.
    (d) Administer and enforce rules and policies regarding equal 
employment opportunity.
    (e) Administer and enforce rules and policies regarding political 
programming and related matters.
    (f) Administer and enforce rules and policies regarding:
    (1) Radio and television broadcast industry services;
    (2) 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; evaluating basic rate regulation certification requests filed by 
cable system franchising authorities; periodically reviewing and, when 
appropriate, revising standard forms used in administering: the 
certification process for local franchising authorities wishing to 
regulate rates, and the substantive rate regulation standards prescribed 
by the Commission;
    (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;
    (7) Program access and carriage;
    (8) The Satellite Home Viewer Improvement Act; and
    (9) Post-licensing for satellite consumer broadcast services (DBS, 
DTH and DARS).

    Note to paragraph (f): The Media Bureau's enforcement authority does 
not include enforcement in those areas assigned to the Enforcement 
Bureau. See 47 CFR 0.111.

    (g) Conduct rulemaking and policy proceedings regarding pole 
attachments.
    (h) Process and act 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.
    (i) Assist the Consumer and Governmental Affairs Bureau on issues 
involving informal consumer complaints and other general inquiries by 
consumers.
    (j) 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 Media Bureau. Before issuing a 
subpoena, the Media Bureau shall obtain the approval of the Office of 
General Counsel.
    (k) Carry out the functions of the Commission under the 
Communications Act of 1934, as amended, except as reserved to the 
Commission underSec. 0.283.
    (l) To coordinate with the Public Safety and Homeland Security 
Bureau on all matters affecting public safety, homeland security, 
national security, emergency management, disaster management, and 
related issues.

[67 FR 13217, Mar. 21, 2002, as amended at 71 FR 69034, Nov. 29, 2006]

[[Page 16]]

                      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 17]]

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

[61 FR 2727, Jan. 29, 1996]

                       Wireline Competition Bureau



Sec.  0.91  Functions of the Bureau.

    The Wireline Competition Bureau advises and makes recommendations to 
the Commission, or acts for the Commission under delegated authority, in 
all matters pertaining to the regulation and licensing of communications 
common carriers and ancillary operations (other than matters pertaining 
exclusively to the regulation and licensing of wireless 
telecommunications services and facilities). The Bureau will, among 
other things:
    (a) Develop and recommend policy goals, objectives, programs and 
plans for the Commission in rulemaking and adjudicatory matters 
concerning wireline telecommunications, drawing on relevant economic, 
technological, legislative, regulatory and judicial information and 
developments. Overall objectives include meeting the present and future 
wireline telecommunications needs of the Nation; fostering economic 
growth; ensuring choice, opportunity, and fairness in the development of 
wireline telecommunications; promoting economically efficient investment 
in wireline telecommunications infrastructure; promoting the development 
and widespread availability of wireline telecommunications services; and 
developing deregulatory initiatives where appropriate.
    (b) Act on requests for interpretation or waiver of rules.
    (c) Administer the provisions of the Communications Act requiring 
that the charges, practices, classifications, and regulations of 
communications common carriers providing interstate and foreign services 
are just and reasonable.
    (d) Act on applications for service and facility authorizations, 
including applications from Bell operating companies for authority to 
provide in-region interLATA services and applications from wireline 
carriers for transfers of licenses and discontinuance of service.
    (e) Develop and administer rules and policies relating to incumbent 
local exchange carrier accounting.
    (f) Develop and administer recordkeeping and reporting requirements 
for telecommunications carriers, providers of interconnected VoIP 
service (as that term is defined inSec. 9.3 of this chapter), and 
providers of broadband services.
    (g) Provide federal staff support for the Federal-State Joint Board 
on Universal Service and the Federal-State Joint Board on Jurisdictional 
Separations.
    (h) Review the deployment of advanced telecommunications capability 
to ensure that such deployment is reasonable and timely, consistent with 
section 706 of the Act, and, where appropriate, recommend action to 
encourage such deployment.
    (i) Provide economic, financial, and technical analyses of 
telecommunications markets and carrier performance.
    (j) Act on petitions for de novo review of decisions of the 
Administrative Council for Terminal Attachments regarding technical 
criteria pursuant toSec. 68.614.
    (k) Interact with the public, local, state, and other governmental 
agencies and industry groups on wireline telecommunications regulation 
and related matters. Assist the Consumer and Governmental Affairs Bureau 
on issues involving informal consumer complaints and other general 
inquiries by consumers.
    (l) Review and coordinate orders, programs and actions initiated by 
other Bureaus and Offices in matters affecting wireline 
telecommunications to ensure consistency with overall Commission policy.
    (m) Carry out the functions of the Commission under the 
Communications Act of 1934, as amended, except as reserved to the 
Commission underSec. 0.331.
    (n) Address audit findings relating to the schools and libraries 
support mechanism, subject to the overall authority of the Managing 
Director as the Commission's audit follow-up official.
    (o) Coordinate with the Public Safety and Homeland Security Bureau 
on all

[[Page 18]]

matters affecting public safety, homeland security, national security, 
emergency management, disaster management, and related issues.
    (p) In coordination with the Wireless Telecommunications Bureau, 
serves as the Commission's principal policy and administrative staff 
resource with respect to the use of market-based mechanisms, including 
competitive bidding, to distribute universal service support. Develops, 
recommends and administers policies, programs, rules and procedures 
concerning the use of market-based mechanisms, including competitive 
bidding, to distribute universal service support.

[67 FR 13218, Mar. 21, 2002, as amended at 68 FR 13850, Mar. 21, 2003; 
69 FR 55109, Sept. 13, 2004; 71 FR 69034, Nov. 29, 2006; 76 FR 73851, 
Nov. 29, 2011; 78 FR 49148, Aug. 13, 2013]

             Office of Communications Business Opportunities



Sec.  0.101  Functions of the office.

    (a) The Office of Communications Business Opportunities (OCBO), as a 
staff office to the Commission, develops, coordinates, evaluates, and 
recommends to the Commission, policies, programs, and practices that 
promote participation by small entities, women, and minorities in the 
communications industry. 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 ensure that the competitive concerns of small entities, women, and 
minorities, are fully considered by the agency in notice and comment 
rulemakings. In accordance with this function, the Office:
    (1) Conducts independent analyses of the Commission's policies and 
practices to ensure that those policies and practices fully consider the 
interests of small entities, women, and minorities.
    (2) Advises the Commission, Bureaus, and Offices of their 
responsibilities under the Congressional Review Act provisions regarding 
small businesses; the Report to Congress regarding Market Entry Barriers 
for Small Telecommunications Businesses (47 U.S.C. 257); and the 
Telecommunications Development Fund (47 U.S.C. 614).
    (b) The Office has the following duties and responsibilities:
    (1) Through its director, serves as the principal small business 
policy advisor to the Commission;
    (2) Develops, implements, and evaluates programs and policies that 
promote participation by small entities, women and minorities in the 
communications industry;
    (3) Manages the Regulatory Flexibility Analysis process pursuant to 
the Regulatory Flexibility Act and the Small Business Regulatory 
Enforcement Fairness Act to ensure that small business interests are 
fully considered in agency actions;
    (4) Develops and recommends Commission-wide goals and objectives for 
addressing the concerns of small entities, women, and minorities and 
reports of achievement;
    (5) Acts as the principal channel for disseminating information 
regarding the Commission's activities and programs affecting small 
entities, women, and minorities;
    (6) Develops, recommends, coordinates, and administers objectives, 
plans and programs to encourage participation by small entities, women, 
and minorities in the decision-making process;
    (7) Promotes increased awareness within the Commission of the impact 
of policies on small entities, women, and minorities;
    (8) Acts as the Commission's liaison to other federal agencies on 
matters relating to small business.

[69 FR 7376, Feb. 17, 2003]

                           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.

[[Page 19]]

    (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 paragraph (a)(1): The Consumer and Governmental Affairs 
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 International 
Bureau has primary responsibility for complaints regarding international 
settlements rules and policies.

    (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 and Governmental Affairs 
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.

    (3) Resolve formal complaints regarding accessibility to 
communications 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 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 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) Resolves other complaints against Title III licensees and 
permittees, including complaints underSec. 20.12(e) of this chapter.

    Note to paragraph (a)(11): The 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 
Media Bureau has primary responsibility for complaints regarding 
compliance with conditions imposed on transfers of control and 
assignments of licenses of Cable Antenna Relay Service authorizations.

    (12) Resolve complaints regarding pole attachments filed under 
section 224 of the Communications Act.
    (13) Resolve complaints regarding multichannel video and cable 
television service under part 76 of the Commission's rules.

    Note to paragraph (a)(13): The Media Bureau has primary 
responsibility for complaints regarding the following: subpart A 
(general), with the exception ofSec. 76.11 of this chapter; subpart B 
(Registration Statements); subpart C (Federal-State/Local Relationships 
[Reserved]; subpart D (carriage of

[[Page 20]]

television broadcast signals); subpart E (equal employment opportunity 
requirements); subpart F (nonduplication protection and syndicated 
exclusivity); subpart G, Sec.Sec. 76.205, 76.206 and 76.209 of this 
chapter (political broadcasting); subpart I (Forms and Reports); subpart 
J (ownership); subpart L (cable television access); subpart N,Sec. 
76.944 of this chapter (basic cable rate appeals), and Sec.Sec. 
76.970, 76.971 and 76.977 of this chapter (cable leased access rates); 
subpart O (competitive access to cable programming); subpart P 
(competitive availability of navigation devices); subpart Q (regulation 
of carriage agreements); subpart S (Open Video Systems); and subparts T, 
U and V to the extent related to the matters listed in this note.

    (14) Resolve universal service suspension and debarment proceedings 
pursuant toSec. 54.521 of this chapter.
    (15) Upon referral from the General Counsel pursuant toSec. 
0.251(g), impose sanctions for violations of the Commission's ex parte 
rules including, but not limited to, the imposition of monetary 
forfeitures, consistent withSec. 0.311.
    (16) 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.
    (17) Identify and analyze complaint information, conduct 
investigations, conduct external audits and collect information, 
including pursuant to sections 218, 220, 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.
    (18) 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.
    (19) Encourage cooperative compliance efforts.
    (20) Mediate and settle disputes.
    (21) 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 and 
Governmental Affairs Bureau or other Bureaus and Offices.
    (22) Exercise responsibility for rulemaking proceedings regarding 
general enforcement policies and procedures.
    (23) Advise the Commission or responsible Bureau or Office regarding 
the enforcement implications of existing and proposed rules.
    (24) 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.
    (25) Resolve complaints alleging violations of the open Internet 
rules.
    (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) 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.
    (d) In conjunction with the Office of Engineering and Technology, 
work with technical standards bodies.
    (e) Coordinate with and assist the Wireless Telecommunications 
Bureau with respect to the Commission's

[[Page 21]]

privatized ship radio inspection program.
    (f) 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.
    (g) 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 and Governmental Affairs Bureau, 
the Office of General Counsel (impermissible ex parte presentations) or 
another Bureau or Office;
    (h) 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.
    (i) Perform such other functions as may be assigned or referred to 
it by the Commission.

[64 FR 60716, Nov. 8, 1999, as amended at 67 FR 13218, Mar. 21, 2002; 68 
FR 36942, June 20, 2003; 69 FR 30233, May 27, 2004; 71 FR 69034, Nov. 
29, 2006; 76 FR 24381, May 2, 2011; 76 FR 26220, May 6, 2011; 76 FR 
59232, Sept. 23, 2011; 76 FR 60754, Sept. 30, 2011; 78 FR 23151, Apr. 
18, 2013]



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[min]20.1[sec] N. Latitude, 
    85[deg]57[min]20.1[sec] W. Longitude
Belfast, Maine, 44[deg]26[min]42.3[sec] N. Latitude, 
    69[deg]04[min]56.1[sec] W. Longitude
Canandaigua, New York, 42[deg]54[min]48.2[sec] N. Latitude, 
    77[deg]15[min]57.9[sec] W. Longitude
Douglas, Arizona, 31[deg]30[min]02.3[sec] N. Latitude, 
    109[deg]39[min]14.3[sec] W. Longitude
Ferndale, Washington, 48[deg]57[min]20.4[sec] N. Latitude, 
    122[deg]33[min]17.6[sec] W. Longitude
Grand Island, Nebraska, 40[deg]55[min]21.0[sec] N. Latitude, 
    98[deg]25[min]43.2[sec] W. Longitude
Kenai, Alaska, 60[deg]43[min]26.0[sec] N. Latitude, 
    151[deg]20[min]15.0[sec] W. Longitude
Kingsville, Texas, 27[deg]26[min]30.1[sec] N. Latitude, 
    97[deg]53[min]01.0[sec] W. Longitude
Laurel, Maryland, 39[deg]09[min]54.4[sec] N. Latitude, 
    76[deg]49[min]15.9[sec] W. Longitude
Livermore, California, 37[deg]43[min]29.7[sec] N. Latitude, 
    121[deg]45[min]15.8[sec] W. Longitude
Powder Springs, Georgia, 33[deg]51[min]44.4[sec] N. Latitude, 
    84[deg]43[min]25.8[sec] W. Longitude
Santa Isabel, Puerto Rico, 18[deg]00[min]18.9[sec] N. Latitude, 
    66[deg]22[min]30.6[sec] W. Longitude
Vero Beach, Florida, 27[deg]36[min]22.1[sec] N. Latitude, 
    80[deg]38[min]05.2[sec] W. Longitude
Waipahu, Hawaii, 21[deg]22[min]33.6[sec] N. Latitude, 
    157[deg]59[min]44.1[sec] 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; 67 FR 13219, Mar. 
21, 2002; 69 FR 58097, Sept. 29, 2004]

                   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 Wireline Competition Bureau. These 
activities include: policy development and coordination; conducting 
rulemaking and adjudicatory proceedings, including licensing and 
complaint proceedings for matters not

[[Page 22]]

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 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 and Governmental Affairs Bureau with 
informal

[[Page 23]]

consumer complaints and other general inquiries by consumers.
    (j) Administers the Commission's commercial radio operator program 
(part 13 of this chapter); the Commission's program for registration, 
construction, marking and lighting of antenna structures (part 17 of 
this chapter), and the Commission's privatized ship radio inspection 
program (part 80 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 amateur radio programs (part 97 of 
this chapter) and the issuing of 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.
    (q) Coordinates with the Public Safety and Homeland Security Bureau 
on all matters affecting public safety, homeland security, national 
security, emergency management, disaster management, and related issues.
    (r) In coordination with the Wireline Competition Bureau, serves as 
the Commission's principal policy and administrative staff resource with 
respect to the use of market-based mechanisms, including competitive 
bidding, to distribute universal service support. Develops, recommends 
and administers policies, programs, rules and procedures concerning the 
use of market-based mechanisms, including competitive bidding, to 
distribute universal service support.
    (1) Extends the Communications Act Safety Radiotelephony Certificate 
for a period of up to 90 days beyond the specified expiration date.
    (2) Grants 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.
    (s)(1) Extends the Communications Act Safety Radiotelephony 
Certificate for a period of up to 90 days beyond the specified 
expiration date.
    (2) Grants 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.

[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; 67 FR 13219, Mar. 21, 2002; 69 FR 24997, May 5, 2004; 71 FR 69035, 
Nov. 29, 2006; 76 FR 73851, Nov. 29, 2011; 78 FR 23151, Apr. 18, 2013; 
78 FR 32165, May 29, 2013]

                Consumer and Governmental Affairs Bureau



Sec.  0.141  Functions of the Bureau.

    The Consumer and Governmental Affairs Bureau develops and 
administers the Commission's consumer and governmental affairs policies 
and initiatives to enhance the public's understanding of the 
Commission's work and to facilitate the Agency's relationships with 
other governmental agencies and organizations. The Bureau is responsible 
for rulemaking proceedings regarding general consumer education policies 
and procedures and serves as

[[Page 24]]

the primary Commission entity responsible for communicating with the 
general public regarding Commission policies, programs, and activities 
in order to facilitate public participation in the Commission's 
decision-making processes. 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 
consumers and governmental affairs. This includes policy development and 
coordination as well as adjudication and rulemaking.
    (b) Collaborates with, and advises and assists, the public, state 
and local governments, and other governmental agencies and industry 
groups on consumer matters.
    (c) Advises the Commission and other Bureaus and Offices of consumer 
and governmental affairs-related areas of concern or interest; 
initiates, reviews, and coordinates orders, programs and actions, in 
conjunction with other Bureaus and Offices, in matters regarding 
consumer education policies and procedures, and any other related issues 
affecting consumer policy; represents the Commission on consumer and 
governmental-related committees, working groups, task forces and 
conferences within and outside the Commission; and provides expert 
advice and assistance to Bureaus and Offices and consumers regarding 
compliance with applicable disability and accessibility requirements, 
rules, and regulations.
    (d) Collects and analyzes information from industry, other Bureaus 
and Offices, and the media, as well as information received in the 
Bureau from informal consumer inquiries and complaints, rulemakings, and 
consumer forums; identifies trends that affect consumers; in 
consultation with the Office of the Managing Director, provides 
objectives and evaluation methods for the public information portion of 
the Commission's Government Performance and Results Act submissions and 
other Commission-wide strategic planning efforts.
    (e) Researches, develops, and distributes materials to inform 
consumers about the Commission's rules, proposals, and events, and to 
promote consumer participation in Commission rulemakings and activities; 
maintains the Commission's Consumer Information Directory; develops a 
library of commonly requested materials on issues of interest to all 
consumers. Ensures that alternative translations of Commission materials 
are available to Commission employees, Bureaus, Offices, and members of 
the public.
    (f) Advises and makes recommendations to the Commission, or acts for 
the Commission under delegated authority, in matters pertaining to 
persons with disabilities. Provides expert advice and assistance, as 
required, to other Bureaus and Offices, consumers, industry, and others 
on issues relevant to persons with disabilities. Initiates rulemakings, 
where appropriate; reviews relevant agenda items and other documents and 
coordinates with Bureaus and Offices to develop recommendations and 
propose policies to ensure that communications are accessible to persons 
with disabilities, 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.
    (g) Plans, develops, and conducts consumer outreach and education 
initiatives to educate the public about important Commission regulatory 
programs. In coordination with other Bureaus and Offices, establishes 
liaison(s) for information sharing purposes to ensure coordination on 
all consumer outreach projects. Ensures that alternative translations of 
Commission materials are available to Commission employees, Bureaus, 
Offices and members of the public.
    (h) Serves as the official FCC records custodian for designated 
records, including intake processing, organization and file maintenance, 
reference services, and retirement and retrieval of records; manages the 
Electronic Comment Filing System and certifies records for adjudicatory 
and court proceedings. Maintains manual and computerized files that 
provide for the public inspection of public record materials concerning 
Broadcast Ownership, AM/FM/TV, TV translators, FM Translators, Cable TV, 
Wireless, Auction,

[[Page 25]]

Common Carrier Tariff matters, International space station files, earth 
station files, DBS files, and other miscellaneous international files. 
Also maintains for public inspection Time Brokerage and Affiliation 
Agreements, court citation files, and legislative histories concerning 
telecommunications dockets. Provides the public and Commission staff 
prompt access to manual and computerized records and filing systems. 
Periodically reviews the status of open docketed proceedings and, 
following:
    (1) Consultation with and concurrence from the relevant bureau or 
office with responsibility for a particular proceeding,
    (2) The issuance of a public notice listing proceedings under 
consideration for termination, and;
    (3) A reasonable period during which interested parties may comment, 
closes any docket in which no further action is required or contemplated 
(with termination constituting a final determination in any such 
proceeding).
    (i) Provides informal mediation and resolution of individual 
informal consumer inquiries and complaints consistent with Commission 
regulations. Resolves certain classes of informal complaints, as 
specified by the Commission, through findings of fact and issuance of 
orders. Receives, reviews, and analyzes responses to informal 
complaints; maintains manual and computerized files that permit the 
public inspection of informal consumer complaints; mediates and attempts 
to settle unresolved disputes in informal complaints as appropriate; and 
coordinates with other Bureaus and Offices to ensure that consumers are 
provided with accurate, up-to-date information. Develops and fosters 
partnerships with state regulatory entities to promote the sharing of 
information pertaining to informal complaint files maintained by the 
Bureau.
    (j) Provides leadership to other Bureaus and Offices for 
dissemination of consumer information via the Internet.
    (k) In coordination with other Bureaus and Offices, handles 
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 or other Bureaus or Offices. Responds to and/or 
coordinates due diligence and other requests for information pertaining 
to informal inquiries and complaints under the responsibility of the 
Bureau with other Bureaus and Offices.

[67 FR 13219, Mar. 21, 2002, as amended at 76 FR 24388, May 2, 2011]

                   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]

     Homeland Security, Defense and Emergency Preparedness Functions



Sec.  0.181  The Defense Commissioner.

    The Defense Commissioner is designated by the Commission. The 
Defense Commissioner directs the homeland security, national security 
and emergency preparedness, and 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 homeland security, emergency preparedness, defense, and 
any related activities that involve formulation or revision of 
Commission policy in any area of responsibility of the Commission.

[[Page 26]]

    (b) To represent the Commission in public safety, homeland security, 
national security, emergency preparedness, disaster management, defense 
and related matters requiring conferences or communications with other 
governmental officers, departments, or agencies.
    (c) To act as the Homeland Security and 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 Department of Homeland Security.
    (f) To take such measures as will assure continuity of the 
Commission's functions under any foreseeable circumstances with a 
minimum of interruption. In the event of an emergency, the Defense 
Commissioner, in consultation with the Chief, Public Safety and Homeland 
Security Bureau, will decide whether to activate the Commission's 
Continuity of Operations (COOP) plan and/or initiate the Commission's 
emergency response procedures.
    (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 Sec.Sec. 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.
    (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.
    (j) The Commission may designate an Alternate Defense Commissioner 
who is authorized to perform the functions of the Defense Commissioner 
if he or she is not available.

[29 FR 14664, Oct. 28, 1964, as amended at 41 FR 31209, July 27, 1976; 
64 FR 60720, Nov. 8, 1999; 69 FR 32033, May 27, 2004; 71 FR 69035, Nov. 
29, 2006; 72 FR 48842, Aug. 24, 2007; 77 FR 62462, Oct. 15, 2012]



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, Public Safety and Homeland Security Bureau in 
the performance of that person's duties with respect to homeland 
security, national security, emergency management and preparedness, 
disaster management, defense, and related activities will have the 
following duties and responsibilities:
    (a) To keep the Chief, Public Safety and Homeland Security Bureau 
informed of the investigation, progress, and completion of programs, 
plans, or activities with respect to homeland security, national 
security and emergency preparedness, and defense in which they are 
engaged or have been requested to engage.
    (b) To render assistance and advice to the Chief, Public Safety and 
Homeland Security 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 
homeland security, national security, emergency management and 
preparedness, disaster management, defense, and related activities as 
may be assigned to them by the Commission.
    (e) To serve as Public Safety/Homeland Security Liaison to the 
Public Safety and Homeland Security Bureau

[[Page 27]]

or designate a Deputy Chief of the Bureau or Office as such liaison.

[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; 69 FR 30234, May 27, 2004; 71 FR 69035, Nov. 29, 2006]



Sec.  0.186  Emergency Relocation Board.

    (a) As specified in the Commission's Continuity of Operations Plan 
and consistent with the exercise of the War Emergency Powers of the 
President as set forth in section 706 of the Communications Act of 1934, 
as amended, if the full Commission or a quorum thereof is unable to act, 
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. Relocation may be 
required to accommodate a variety of emergency scenarios. Examples 
include scenarios in which FCC headquarters is unavailable or 
uninhabitable; or many, if not all, agencies must evacuate the immediate 
Washington, DC, area. The FCC's Continuity of Operations Plan (COOP) 
includes the deliberate and pre-planned movement of selected key 
principals and supporting staff to a relocation facility. As an example, 
a sudden emergency, such as a fire or hazardous materials incident, may 
require the evacuation of FCC headquarters with little or no advance 
notice, but for only a short duration. Alternatively, an emergency so 
severe that FCC headquarters is rendered unusable and likely will be for 
a period long enough to significantly impact normal operations, may 
require COOP implementation. Nothing in this subsection shall be 
construed to diminish the authority of the Commission or its staff to 
perform functions of the Commission at the Commission's headquarters or 
other relocation site using existing authority provided for elsewhere in 
this Chapter.
    (b) The Board shall comprise such Commissioners as may be present 
(including Commissioners available through electronic communications or 
telephone) 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 Operations Plan will head the Board.

[69 FR 30234, May 27, 2004]

               Public Safety and Homeland Security Bureau



Sec.  0.191  Functions of the Bureau.

    The Public Safety and Homeland Security Bureau advises and makes 
recommendations to the Commission, or acts for the Commission under 
delegated authority, in all matters pertaining to public safety, 
homeland security, national security, emergency management and 
preparedness, disaster management, and ancillary operations. The Bureau 
has responsibility for coordinating public safety, homeland security, 
national security, emergency management and preparedness, disaster 
management, and related activities within the Commission. The Bureau 
also performs the following functions.
    (a) Develops, recommends, and administers policy goals, objectives, 
rules, regulations, programs and plans for the Commission to promote 
effective and reliable communications for public safety, homeland 
security, national security, emergency management and preparedness, 
disaster management and related activities, including public safety 
communications (including 911, enhanced 911, and other emergency number 
issues), priority emergency communications, alert and warning systems 
(including the Emergency Alert System), continuity of government 
operations, implementation of Homeland Security Presidential Directives 
and Orders, disaster management coordination and outreach, 
communications infrastructure protection, reliability, operability and 
interoperability of networks and communications systems, the 
Communications Assistance for Law Enforcement Act (CALEA), and network 
security. Recommends policies and procedures for public safety, homeland 
security, national security, emergency management and preparedness, and 
recommends national emergency plans and preparedness programs covering

[[Page 28]]

Commission functions during national emergency conditions. Conducts 
outreach and coordination activities with, among others, state and local 
governmental agencies, hospitals and other emergency health care 
providers, and public safety organizations. Recommends national 
emergency plans, policies, and preparedness programs covering the 
provision of service by communications service providers, including 
telecommunications service providers, information service providers, 
common carriers, and non-common carriers; broadcasting and cable 
facilities; satellite and wireless radio services; radio frequency 
assignment; electro-magnetic radiation; investigation and enforcement.
    (b) Under the general direction of the Defense Commissioner, 
coordinates the public safety, homeland security, national security, 
emergency management and preparedness, disaster management, and related 
activities of the Commission, including national security and emergency 
preparedness and defense mobilization, Continuity of Government (COG) 
planning, alert and warning systems (including the Emergency Alert 
System), 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. Provides support to 
the Defense Commissioner, including with respect to his or her 
participation in the Joint Telecommunications Resources Board, and the 
National Security Telecommunications Advisory Committee and other public 
safety and homeland security organizations and committees. Represents 
the Defense Commissioner with other Government agencies and 
organizations, the communications industry, and Commission licensees on 
public safety, homeland security, national security, emergency 
management and preparedness, disaster management, and related issues. 
Keeps the Defense Commissioner informed as to significant developments 
in the fields of public safety, homeland security, national security, 
emergency management, and disaster management activities, and related 
areas.
    (c) Develops and administers rules, regulations, and policies for 
priority emergency communications, including the Telecommunications 
Service Priority System. Supports the Chiefs of the Wireline 
Competition, International and Wireless Telecommunications Bureaus on 
matters involving assignment of Telecommunications Service Priority 
System priorities and in administration of that system.
    (d) The Chief, Public Safety and Homeland Security Bureau, or that 
person's designee, acts as FCC Alternate Homeland Security and Defense 
Coordinator and principal to the National Communications System, and the 
Chief, Public Safety and Homeland Security Bureau, or that person's 
designee, shall serve as the Commission's representative on National 
Communications Systems Committees.
    (e) Conducts rulemaking proceedings and acts on requests for 
interpretation or waiver of rules.
    (f) 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 public safety, homeland security, 
national security, emergency management and preparedness, and disaster 
management wireless telecommunications, including ancillary operations 
related to the provision or use of such services. These activities 
include: policy development and coordination; conducting rulemaking and 
adjudicatory proceedings, including 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. In addition, advises and 
assists public safety entities on wireless telecommunications issues and 
matters related thereto. Administers all authority previously delegated 
to the Wireless Telecommunications Bureau (including those delegations 
expressly

[[Page 29]]

provided to the Public Safety and Critical Infrastructure Division of 
the Wireless Telecommunications Bureau) in Improving Public Safety 
Communications in the 800 MHz Band, WT Docket 02-55.
    (g) Conducts studies of public safety, homeland security, national 
security, emergency management and preparedness, disaster management, 
and related issues. Develops and administers recordkeeping and reporting 
requirements for communications companies pertaining to these issues. 
Administers any Commission information collection requirements 
pertaining to public safety, homeland security, national security, 
emergency management and preparedness, disaster management, and related 
issues, including the communications disruption reporting requirements 
set forth in part 4 of this chapter and revision of the filing system 
and template used for the submission of those communications disruption 
reports.
    (h) Interacts with the public, local, state, and other governmental 
agencies and industry groups (including advisory committees and public 
safety organizations and associations) on public safety, homeland 
security, national security, emergency management, disaster management 
and related issues. As requested, represents the Commission at meetings 
and conferences. Serves as the point of contact for the U.S. Government 
in matters of international monitoring, fixed and mobile direction-
finding and interference resolution; and oversees coordination of non-
routine communications and materials between the Commission and 
international or regional public organizations or foreign 
administrations.
    (i) Maintains and operates the Commission's public safety, homeland 
security, national security, emergency management and preparedness, and 
disaster management facilities and operations, including the 
Communications Center, the establishment of any Emergency Operations 
Center (EOC), and any liaison activities with other federal, state, or 
local government organizations.
    (j) Reviews and coordinates orders, programs and actions initiated 
by other Bureaus and Offices in matters affecting public safety, 
homeland security, national security, emergency management and 
preparedness, disaster management and related issues to ensure 
consistency with overall Commission policy. Provides advice to the 
Commission and other Bureaus and offices regarding the public safety, 
homeland security, national security, emergency management, and disaster 
management implications of existing and proposed rules.
    (k) Develops and recommends responses to legislative, regulatory or 
judicial inquiries and proposals concerning or affecting public safety, 
homeland security, national security, emergency management, disaster 
management and related issues. Responses to judicial inquiries should be 
developed with and recommended to the Office of General Counsel.
    (l) Develops and maintains the Commission's plans and procedures, 
including the oversight, preparation, and training of Commission 
personnel, for Continuity of Operations (COOP), Continuity of Government 
functions, and Commission activities and responses to national 
emergencies and other similar situations.
    (m) Acts on emergency requests for Special Temporary Authority 
during non-business hours when the other Offices and Bureaus of the 
Commission are closed. Such actions shall be coordinated with, if 
possible, and promptly reported to the responsible Bureau or Office.
    (n) Maintains liaison with other Bureaus and Offices concerning 
matters affecting public safety, homeland security, national security, 
emergency management and preparedness, disaster management and related 
issues.
    (o) [Reserved]
    (p) Performs such other functions and duties as may be assigned or 
referred to it by the Commission or the Defense Commissioner.
    (q) Oversees the Emergency Response Interoperability Center, 
establishes the intergovernmental advisory committees described under 
Sec.  0.192(b), and administers the agency's responsibilities in 
connection with such committees.

[71 FR 69035, Nov. 29, 2006, as amended at 73 FR 9463, Feb. 21, 2008; 75 
FR 28207, May 20, 2010; 75 FR 78169, Dec. 15, 2010]

[[Page 30]]



Sec.  0.192  Emergency Response Interoperability Center.

    (a) The Emergency Response Interoperability Center acts under the 
general direction of the Chief of the Public Safety and Homeland 
Security Bureau to develop, recommend, and administer policy goals, 
objectives, rules, regulations, programs, and plans for the Commission 
in matters pertaining to the implementation of national interoperability 
standards and the development of technical and operational requirements 
and procedures for the 700 MHz public safety broadband wireless network 
and other public safety communications systems. These requirements and 
procedures may involve such issues as interoperability, roaming, 
priority access, gateway functions and interfaces, interconnectivity of 
public safety broadband networks, authentication and encryption, and 
requirements for common public safety broadband applications.
    (b) To the extent permitted by applicable law, the Chief of the 
Public Safety and Homeland Security Bureau shall have delegated 
authority to establish one or more advisory bodies, consistent with the 
Federal Advisory Committee Act or other applicable law, to advise the 
Emergency Response Interoperability Center in the performance of its 
responsibilities. Such advisory bodies may include representatives from 
relevant Federal public safety and homeland security entities, 
representatives from state and local public safety entities, industry 
representatives, and service providers.

[75 FR 28207, May 20, 2010]



                   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 Sec.Sec. 
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 
Sec.Sec. 1.291 through 1.298 of this chapter. Procedures pertaining to 
appeals from rulings of the presiding officer are set forth in 
Sec.Sec. 1.301 and 1.302. Procedures pertaining to reconsideration and 
review of actions taken pursuant to delegated authority are set forth in 
Sec.Sec. 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 Sec.Sec. 1.276 through 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.

[[Page 31]]

    (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; 76 FR 70907, Nov. 16, 2011]



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 inSec. 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.

[[Page 32]]

    (e) Authority to act as ``Head of the Agency'' or ``Agency Head'' 
for administrative determinations required by the Federal Acquisition 
Regulation and Federal Management Circulars.
    (f) Authority to act as ``Head of the Agency'' or ``Agency Head'' 
for all administrative determinations pursuant to the Debt Collection 
Improvement Act of 1996, Public Laws 104-134, 110 Stat. 1321, 1358 
(1996) (DCIA).

[28 FR 12402, Nov. 22, 1963, as amended at 41 FR 49095, Nov. 8, 1976; 51 
FR 23550, June 30, 1986; 69 FR 27847, May 17, 2004; 76 FR 70907, Nov. 
16, 2011]



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 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 
Sec.Sec. 0.181-0.186 and Sec.Sec. 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

[[Page 33]]

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.
    (f) (1) The Managing Director, or his designee, is delegated 
authority to perform all administrative determinations provided for by 
the Debt Collection Improvement Act of 1996, Public Laws 104-134, 110 
Stat. 1321, 1358 (1996) (DCIA), including, but not limited to the 
provisions of Title 31, United States Code section 3711 to:
    (i) Collect claims of the United States Government for money or 
property arising out of the activities of, or referred to, the Federal 
Communications Commission,
    (ii) Compromise a claim of the Government of not more than $100,000 
(excluding interest) or such higher amount as the Attorney General of 
the United States may from time to time prescribe, and
    (iii) Suspend or end collection action on a claim of the Government 
of not more than $100,000 (excluding interest) when it appears that no 
person liable on the claim has the present or prospective ability to pay 
a significant amount of the claim or the cost of collecting the claim is 
likely to be more than the amount recovered.
    (2)(i) This delegation does not include waiver authority provided by 
31 U.S.C. 3720B.
    (ii) The Chief Financial Officer, or the Deputy Chief Financial 
Officer, is delegated authority to perform all administrative 
determinations provided for by 31 U.S.C. 3720B.
    (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. SeeSec. 1.46 of this chapter.
    (j) The Managing Director or his designee is delegated the 
authority, after seeking the opinion of the General Counsel, to 
determine, in accordance with generally accepted accounting principles 
for federal agencies the organizations, programs (including funds), and 
accounts that are required to be included in the financial statements of 
the Commission.
    (k) The Managing Director, or his designee, after seeking the 
opinion of the General Counsel, is delegated the authority to direct all 
organizations, programs (including funds), and accounts that are 
required to be included in the financial statements of the Commission to 
comply with all relevant and applicable federal financial management and 
reporting statutes.
    (l) Subpoena authority. The Managing Director is delegated authority 
to issue subpoenas for the Office of Managing Director's oversight of 
audits of the USF programs and the Office of Managing Director's review 
and evaluation of the interstate telecommunications relay services fund, 
the North American numbering plan, regulatory fee collection, FCC 
operating expenses, and debt collection. Before issuing a subpoena, the 
Office of Managing Director shall obtain the approval of the Office of 
General Counsel.

(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 affectingSec. 
0.231, see the List of CFR Sections Affected, which appears in the

[[Page 34]]

Finding Aids section of the printed volume and at www.fdsys.gov.

                             Chief Engineer



Sec.  0.241  Authority delegated.

    (a) The performance of functions and activities described inSec. 
0.31 is delegated to the Chief of the Office of Engineering and 
Technology: 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, except that the Chief of the Office of Engineering and 
Technology is delegated authority, together with the Chief of the 
Wireless Telecommunications Bureau, to adopt certain technical standards 
applicable to hearing aid compatibility underSec. 20.19 of this 
chapter, as specified inSec. 20.19(k).
    (2) Petitions for review of actions taken to delegated authority. 
SeeSec. 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 
toSec. 1.80(g) of this chapter; and authority to issue notices of 
apparent liability, final forfeiture orders, and orders cancelling or 
reducing forfeitures imposed underSec. 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 of the Office of Engineering and Technology is 
delegated authority to administer the Equipment Authorization program as 
described in part 2 of this chapter.
    (c) The Chief of the Office of Engineering and Technology is 
delegated authority to administer the Experimental Radio licensing 
program pursuant to part 5 of this chapter.
    (d) The Chief of the Office of Engineering and Technology 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, Media Bureau.
    (e) The Chief of the Office of Engineering and Technology 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 toSec. 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

[[Page 35]]

Sec.Sec. 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.
    (h) The Chief of the Office of Engineering and Technology is 
delegated authority to administer the database functions for unlicensed 
devices operating in the television broadcast bands (TV bands) as set 
forth in subpart H of part 15 of this chapter. The Chief is delegated 
authority to develop specific methods that will be used to designate TV 
bands database managers, to designate these database managers; to 
develop procedures that these database managers will use to ensure 
compliance with the requirements for database operations; to make 
determinations regarding the continued acceptability of individual 
database managers; and to perform other functions as needed for the 
administration of the TV bands databases. The Chief is also delegated 
authority jointly with the Chief of the Wireless Telecommunications 
Bureau to administer provisions ofSec. 15.713(h)(8) of this chapter 
pertaining to the registration of event sites where large numbers of 
wireless microphones that operate on frequencies specified inSec. 
74.802 of this chapter are used.
    (i) The Chief of the Office of Engineering and Technology is 
delegated authority to make nonsubstantive, editorial revisions to the 
Commission's rules and regulations contained in parts 2, 4, 5, 15, and 
18 of this chapter.

[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; 67 FR 13220, Mar. 21, 2002; 69 FR 70337, Dec. 3, 
2004; 73 FR 9463, Feb. 21, 2008; 73 FR 25587, May 7, 2008; 75 FR 75835, 
Dec. 6, 2010]



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 Sec.Sec. 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

[[Page 36]]

additional time will be required to resolve the case.
    (e) The official record of all actions taken by the General Counsel 
pursuant toSec. 0.251 (c) and (d) is contained in the original docket 
folder, which is maintained by the Reference Information Center.
    (f) The General Counsel is delegated authority to issue written 
determinations on matters regarding the interception of telephone 
conversations. 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.
    (g) The General Counsel is delegated authority to issue rulings on 
whether violations of the ex parte rules have occurred and to impose 
appropriate sanctions. The General Counsel shall refer to the 
Enforcement Bureau for disposition pursuant toSec. 0.311(b) any matter 
in which a forfeiture or a citation under 47 U.S.C. 503(b)(5) may be 
warranted. If the Enforcement Bureau determines that forfeiture or a 
citation is not warranted, the matter shall be referred back to the 
General Counsel for appropriate action.
    (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. Sec.Sec. 203, 205 and 208).
    (i) The General Counsel is delegated authority to perform all 
administrative determinations provided for by the Debt Collection 
Improvement Act of 1996, Public Law 104-134, 110 Stat. 1321, 1358 (1996) 
(DCIA), including, but not limited to the provisions of Title 31, U.S.C. 
3711 to:
    (1) Collect claims of the United States Government of money or 
property arising out of the activities of, or referred to, the Federal 
Communications Commission,
    (2) Compromise a claim of the Government of not more than $100,000 
(excluding interest) or such higher amount as the Attorney General of 
the United States may from time to time prescribe, and
    (3) Suspend or end collection action on a claim of the Government of 
not more than $100,000 (excluding interest) when it appears that no 
person liable on the claim has the present or prospective ability to pay 
a significant amount of the claim or the cost of collecting the claim is 
likely to be more than the amount recovered.

    Note to paragraph (i): This delegation does not include waiver 
authority provided by 31 U.S.C. 3720B.

(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 affectingSec. 
0.251, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.

                          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 inSec. 
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 
and services pursuant to relevant portions of part 63 of this chapter, 
and coordinate with the Wireline Competition Bureau as appropriate;

[[Page 37]]

    (4) To act upon applications for international and domestic 
satellite systems and earth stations pursuant to part 25 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 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 withSec. 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, or 73 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; 67 FR 13220, Mar. 21, 2002; 75 FR 7972, Feb. 23, 
2010; 76 FR 70907, Nov. 16, 2011]



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

[[Page 38]]

records of actions by the Chief, International Bureau, pursuant to 
authority delegated to him.

            Office of Strategic Planning and Policy Analysis



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 Strategic Planning and Policy Analysis is 
delegated authority to deny requests or to extend the time within which 
comments may be filed in dockets over which the Office of Strategic 
Planning and Policy Analysis has primary authority.
    (b) [Reserved]

[45 FR 10347, Feb. 15, 1980, as amended at 68 FR 11747, Mar. 12, 2003]

                           Chief, Media Bureau



Sec.  0.283  Authority delegated.

    The Chief, Media Bureau, is delegated authority to perform all 
functions of the Bureau, described inSec. 0.61, 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, with the exception of rulemaking proceedings 
involving the allotment of FM and television channels.
    (b) Application for review of actions taken pursuant to delegated 
authority.
    (c) Matters that present novel questions of law, fact or policy that 
cannot be resolved under existing precedents and guidelines.
    (d) The imposition, reduction or cancellation of forfeitures 
pursuant to section 503(b) of the Communications Act of 1934, as 
amended, in amounts of more than $20,000.

[67 FR 13220, Mar. 21, 2002]



Sec.  0.284  Actions taken under delegated authority.

    (a) In discharging the authority conferred bySec. 0.283 of this 
part, the Chief, 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) Requests for waiver of tower painting and lighting 
specifications-Wireless Telecommunications Bureau.
    (3) 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.
    (4) Requests involving coordination with other agencies of 
government--Office of General Counsel, Office of Engineering and 
Technology and appropriate operating bureau.
    (5) Proposals involving possible harmful impact on radio astronomy 
or radio research installations--Office of Engineering and Technology.
    (b) With respect to non-routine applications granted under authority 
delegated inSec. 0.283 of this part, the Chief, 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.

[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; 67 FR 13220, Mar. 21, 2002; 71 FR 69036, Nov. 29, 
2006]



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 Media Bureau. The official records of action are maintained in the 
Reference Information Center in the Consumer and Governmental Affairs 
Bureau.

[67 FR 13220, Mar. 21, 2002]

                   Chief, Wireline Competition Bureau



Sec.  0.291  Authority delegated.

    The Chief, Wireline Competition Bureau, is hereby delegated 
authority to perform all functions of the Bureau, described inSec. 
0.91, subject to the following exceptions and limitations.

[[Page 39]]

    (a) Authority concerning applications. (1) The Chief, Wireline 
Competition Bureau shall not have authority to act on any formal or 
informal common carrier applications or section 214 applications for 
common carrier services which are in hearing status.
    (2) The Chief, Wireline Competition 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, Wireline 
Competition 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 forfeitures. The Chief, Wireline 
Competition 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.
    (d) Authority concerning applications for review. The Chief, 
Wireline Competition Bureau shall not have authority to act upon any 
applications for review of actions taken by the Chief, Wireline 
Competition Bureau, pursuant to any delegated authority.
    (e) Authority concerning rulemaking and investigatory proceedings. 
The Chief, Wireline Competition 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, 
Wireline Competition 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 referenced inSec. 43.61(a)(3) of this chapter.
    (f) Authority concerning the issuance of subpoenas. The Chief of the 
Wireline Competition 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 Wireline Competition Bureau. Before issuing a 
subpoena, the Bureau shall obtain the approval of the Office of General 
Counsel.
    (g) The Chief, Wireline Competition 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 Sec.Sec. 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 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.
    (h) Authority concerning petitions for pricing flexibility. (1) The 
Chief, Wireline Competition 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, Wireline Competition 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.
    (i) Authority concerning schools and libraries support mechanism 
audits. The Chief, Wireline Competition Bureau, shall have authority to 
address audit findings relating to the schools and libraries support 
mechanism. This authority is not subject to the limitation set forth in 
paragraph (a)(2) of this section.

(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 affectingSec. 
0.291, see the List of CFR Sections Affected, which appears in the

[[Page 40]]

Finding Aids section of the printed volume and at www.fdsys.gov.



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, Wireline 
Competition Bureau pursuant to authority delegated to the Chief. The 
official records of action are maintained in the Reference Information 
Center in the Consumer and Governmental Affairs Bureau.

[67 FR 13221, Mar. 21, 2002]



Sec.  0.303  [Reserved]



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

    Authority is delegated to the Chief, Wireline Competition 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, as amended at 67 FR 13221, Mar. 21, 2002]

                           Enforcement Bureau



Sec.  0.311  Authority delegated.

    The Chief, Enforcement Bureau, is delegated authority to perform all 
functions of the Bureau, described inSec. 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.
    (6) Release of information pursuant to section 220(f) of the 
Communications Act, except for release of such information to a state 
public utility commission or in response to a Freedom of Information Act 
Request.
    (b) Action on complaints regarding compliance with section 705(a) of 
the Communications Act shall be coordinated with the Office of General 
Counsel.

[64 FR 60721, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002; 71 
FR 69036, Nov. 29, 2006]



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) 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. To the extent possible, all such actions and 
determinations shall be made in coordination with the Public Safety and 
Homeland Security Bureau.
    (c) Require special equipment and program tests during inspections 
or investigations to determine compliance with technical requirements 
specified by the Commission.

[[Page 41]]

    (d) 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.
    (e) Issue notices and orders to operators of industrial, scientific, 
and medical (ISM) equipment, as provided inSec. 18.115 of this 
chapter.
    (f) Act on requests for permission to resume operation of ISM 
equipment on a temporary basis, as provided bySec. 18.115 of this 
chapter, and requests for extensions of time within which to file final 
reports, as provided bySec. 18.117 of this chapter.
    (g) Issue notices and orders to operators of part 15 devices, as 
provided inSec. 15.5 of this chapter.
    (h) Issue notices and orders to suspend operations to multi-channel 
video programming distributors, as provided inSec. 76.613 of this 
chapter.
    (i) Issue notices and orders to suspend operations to part 74 
licensees, as provided inSec. 74.23 of this chapter.

[64 FR 60721, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002; 71 
FR 69036, Nov. 29, 2006; 78 FR 23151, Apr. 18, 2013]



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 Sec.Sec. 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]

                   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 inSec. 
0.131, subject to the exceptions and limitations in paragraphs (a) 
through (d) of this section, and also the functions described in 
paragraph (e) of this section.
    (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 ofSec. 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

[[Page 42]]

policy are not involved. In addition, revisions to the airport terminal 
use list inSec. 90.35(c)(61) of this chapter and revisions to the 
Government Radiolocation list inSec. 90.371(b) of this chapter need 
not be referred to the Commission. Adoption of certain technical 
standards applicable to hearing aid compatibility underSec. 20.19 of 
this chapter made together with the Chief of the Office of Engineering 
and Technology, as specified inSec. 20.19(k) of this chapter, also 
need not be referred to the Commission. Also, the addition of new Marine 
VHF frequency coordination committee(s) toSec. 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
    (2) Designate regions for shared commercial and non-commercial 
vessel use of VHF marine frequencies.
    (3) Designate by footnote to frequency table inSec. 80.373(f) of 
this chapter marine VHF frequencies are available for intership port 
operations communications in defined port areas.
    (e) The Chief of the Wireless Telecommunications Bureau is delegated 
authority jointly with the Chief of the Office of Engineering and 
Technology to administer provisions ofSec. 15.713(h)(8) of this 
chapter pertaining to the registration of event sites where large 
numbers of wireless microphones that operate on frequencies specified in 
Sec.  74.802 of this chapter are used.

[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; 67 FR 63284, Oct. 
11, 2002; 69 FR 46440, Aug. 3, 2004; 73 FR 25587, May 7, 2008; 75 FR 
75835, Dec. 6, 2010]



Sec.  0.332  Actions taken under delegated authority.

    In discharging the authority conferred bySec. 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 public safety, homeland security, national 
security, emergency management and preparedness, and disaster management 
communications--the Public Safety and Homeland Security 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; 71 FR 69037, Nov. 29, 
2006]



Sec.Sec. 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. SeeSec. 
1.291(a)(1) of this chapter.
    (2) Those which are to be acted upon by the Chief Administrative Law 
Judge underSec. 0.351.
    (b) Any question which would be acted upon by the administrative law

[[Page 43]]

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 appropriate cases. See 47 CFR 1.244 of this 
chapter.
    (f)(1) For program carriage complaints filed pursuant toSec. 
76.1302 of this chapter that the Chief, Media Bureau refers to an 
administrative law judge for an initial decision, the presiding 
administrative law judge shall release an initial decision in compliance 
with one of the following deadlines:
    (i) 240 calendar days after a party informs the Chief Administrative 
Law Judge that it elects not to pursue alternative dispute resolution as 
set forth inSec. 76.7(g)(2) of this chapter; or
    (ii) If the parties have mutually elected to pursue alternative 
dispute resolution pursuant toSec. 76.7(g)(2) of this chapter, within 
240 calendar days after the parties inform the Chief Administrative Law 
Judge that they have failed to resolve their dispute through alternative 
dispute resolution.
    (2) The presiding administrative law judge may toll these deadlines 
under the following circumstances:
    (i) If the complainant and defendant jointly request that the 
presiding administrative law judge toll these deadlines in order to 
pursue settlement discussions or alternative dispute resolution or for 
any other reason that the complainant and defendant mutually agree 
justifies tolling; or
    (ii) If complying with the deadline would violate the due process 
rights of a party or would be inconsistent with fundamental fairness; or
    (iii) In extraordinary situations, due to a lack of adjudicatory 
resources available at the time in the Office of Administrative Law 
Judges.

[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; 76 FR 60671, Sept. 29, 2011]



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 toSec. 0.341, is contained in the original docket folder, 
which is maintained in the Reference Information Center of the Consumer 
and Governmental Affairs Bureau.

[64 FR 60722, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]

                     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 bySec. 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 withSec. 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 withSec. 1.251(b) of this 
chapter.)

[[Page 44]]

    (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. (SeeSec. 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 toSec. 
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 toSec. 0.351 is contained 
in the original docket folder, which is maintained by the Reference 
Information Center of the Consumer and Governmental Affairs Bureau.

[64 FR 60722, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]

                Consumer and Governmental Affairs Bureau



Sec.  0.361  Authority delegated.

    The Chief, Consumer and Governmental Affairs Bureau, is delegated 
authority to perform all functions of the Bureau, described inSec. 
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.
    (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, as amended at 67 FR 13221, Mar. 21, 2002]

             Office of Communications Business Opportunities



Sec.  0.371  Authority delegated.

    The Director, Office of Communications Business Opportunities, or 
his/her designee, is hereby delegated authority to:
    (a) Manage the Commission's compliance with the Regulatory 
Flexibility Act and the Small Business Regulatory Enforcement Fairness 
Act;
    (b) Develop the Commission's goals and objectives regarding 
increased opportunities for small entities, women, and minorities;
    (c) Collect and analyze data on the Commission's efforts toward 
ensuring full consideration of the interests of small entities, women, 
and minorities;
    (d) Prepare and release reports on the opportunities available and 
obstacles faced by small entities, women, and minorities in the 
communications industry;
    (e) Conduct studies and collect data on the issues and problems 
faced by small entities, women, and minorities in the communications 
industry;
    (f) Assume representational role on behalf of the Commission before 
other federal agencies and at conferences, meetings, and hearings 
regarding small entities, women, and minorities in the communications 
industry;

[[Page 45]]

    (g) Develop programs and strategies designed to increase 
competition, employment opportunities and diversity of viewpoint through 
the promotion of ownership by small entities, women, and minorities;
    (h) Manage the Commission's efforts to increase the awareness of 
small entities, women, and minorities and to ensure that all available 
information is accessible to the same.

[69 FR 7377, Feb. 17, 2003]

        National Security and Emergency Preparedness Delegations



Sec.  0.381  Defense Commissioner.

    The authority delegated to the Commission under Executive Orders 
12472 and 12656 is redelegated to the Defense Commissioner.

[69 FR 30234, May 27, 2004]



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 inSec. 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.

    For authority of the Chief of the Public Safety and Homeland 
Security Bureau to declare a temporary communications emergency, see 
Sec.  0.191(o).

[71 FR 69037, Nov. 29, 2006]

                      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]]

               Public Safety and Homeland Security Bureau



Sec.  0.392  Authority delegated.

    The Chief, Public Safety and Homeland Security Bureau, is hereby 
delegated authority to perform all functions of the Bureau, described in 
Sec.Sec. 0.191 and 0.192, subject to the following exceptions and 
limitations in paragraphs (a) through (e) of this section.
    (a) The Chief, Public Safety and Homeland Security Bureau shall not 
have authority to act on any applications or requests that present novel 
questions of fact, law or policy that cannot be resolved under 
outstanding precedents and guidelines.
    (b) The Public Safety and Homeland Security Bureau shall not have 
authority to act upon any applications for review of actions taken by 
the Chief, Public Safety and Homeland Security Bureau, pursuant to any 
delegated authority.
    (c) The Public Safety and Homeland Security Bureau shall not have 
authority to act upon any formal or informal radio application or 
section 214 application for common carrier services which is in hearing 
status.
    (d) The Public Safety and Homeland Security 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 for common carrier providers and $20,000 
for non-common carrier providers.
    (e) The Chief, Public Safety and Homeland Security 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 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.
    (f) The Chief, Public Safety and Homeland Security Bureau or her/his 
designee has the authority to rule on emergency requests for Special 
Temporary Authority during non-business hours. Action on emergency 
requests for Special Temporary Authority during non-business hours shall 
be promptly reported to the responsible Bureau or Office.
    (g) [Reserved]
    (h) The Chief, Public Safety and Homeland Security 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 Public Safety and Homeland 
Security Bureau. Before issuing a subpoena, the Bureau shall obtain the 
approval of the Office of General Counsel.
    (i) The Chief of the Public Safety and Homeland Security Bureau is 
delegated authority to administer the communications disruption 
reporting requirements contained in part 4 of this chapter and to revise 
the filing system and template used for the submission of such 
communications disruption reports.

[71 FR 69037, Nov. 29, 2006, as amended at 72 FR 39760, July 20, 2007; 
73 FR 9463, Feb. 21, 2008; 75 FR 28207, May 20, 2010; 75 FR 78169, Dec. 
15, 2010]



                      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 withSec. 0.401(b) of 
the rules irrespective of the addresses that may be set out elsewhere in 
the rules for other submissions.

[[Page 47]]

    (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 at 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 inSec. 0.121.
    (5) The location of the Office of General Counsel is 445 12th 
Street, SW, 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 St. Louis, Missouri 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 U.S. Bank in St. Louis, Missouri. 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 
Commission. After coordination, the applications are filed with the 
Commission as set forth herein. (See Sec.Sec. 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 U.S. Bank, Government Lockbox, 1005 
Convention Plaza, St. Louis, Missouri. All applications and filings 
delivered in this manner must be in an envelope clearly marked for the 
``Federal Communications Commission,'' and identified with the 
appropriate Post Office Box address as set out in the fee schedule 
(Sec.Sec. 1.1102 through 1.1109 of this chapter). 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,

[[Page 48]]

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) or the Cable 
Operations and Licensing System (COALS) as appropriate for use of those 
systems.

[52 FR 10227, Mar. 31, 1987]

    Editorial Note: For Federal Register citations affectingSec. 
0.401, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.



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 Sec.Sec. 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, andSec. 1.8 is followed bySec. 1.10; in this case, parts 3 
and 4 andSec. 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 within that part. Thus, for 
example,Sec. 1.1 is the first section of part 1 andSec. 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 Sec.Sec. 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 toSec. 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;

[[Page 49]]

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 (seeSec. 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 E, of this chapter contains general rules and 
procedures applicable to common carriers. 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. 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 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 Allocations (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 service. Part 5 provides for the 
temporary use of radio frequencies for research in the radio art, for 
communications involving other research projects, for the development of 
equipment, data, or techniques, and for the conduct of equipment product 
development or market trials.
    (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

[[Page 50]]

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; 78 FR 25160, Apr. 29, 2013]



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

    (a) Purpose. This section displays the OMB 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, OMB, for each approved information collection requirement. 
Notwithstanding 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 
currently valid OMB control number. Questions concerning the OMB control 
numbers and expiration dates should be directed to the Associate 
Managing Director--Performance Evaluation and Records Management, 
(``AMD-PERM''), Office of Managing Director, Federal Communications 
Commission, Washington, DC 20554 by sending an email to Judith-
[email protected]
    (b) Display.

----------------------------------------------------------------------------------------------------------------
                                             FCC form number or 47 CFR
                                           section or part, docket number
             OMB Control No.                  or title identifying the              OMB expiration date
                                                     collection
----------------------------------------------------------------------------------------------------------------
3060-0004...............................  Secs. 1.1307 and 1.1311,         05/31/14
                                           Guidelines for Evaluating the
                                           Environmental Effects of
                                           Radiofrequency Radiation, ET
                                           Docket No. 93-62.
3060-0009...............................  FCC 316........................  05/31/13
3060-0010...............................  FCC 323........................  10/31/12
3060-0016...............................  FCC 346........................  03/31/14
3060-0017...............................  FCC 347........................  11/30/14
3060-0027...............................  FCC 301........................  04/30/15
3060-0029...............................  FCC 340........................  07/31/14
3060-0031...............................  FCC 314 and FCC 315............  05/31/13
3060-0053...............................  FCC 702 and FCC 703............  07/31/14
3060-0055...............................  FCC 327........................  02/28/15
3060-0056...............................  Part 68--Connection of Terminal  03/31/14
                                           Equipment to the Telephone
                                           Network.
3060-0057...............................  FCC 731........................  03/31/14
3060-0059...............................  FCC 740........................  03/31/13
3060-0061...............................  FCC 325........................  06/30/14
3060-0065...............................  FCC 442........................  06/30/14
3060-0075...............................  FCC 345........................  04/30/15

[[Page 51]]

 
3060-0076...............................  FCC 395........................  09/30/13
3060-0084...............................  FCC 323-E......................  01/31/14
3060-0093...............................  FCC 405........................  10/31/14
3060-0095...............................  FCC 395-A......................  08/31/14
3060-0106...............................  Sec. 43.61, Part 43, Reporting   10/31/14
                                           Requirements for U.S.
                                           Providers of International
                                           Telecommunications Services
                                           and Affiliates.
3060-0110...............................  FCC 303-S......................  02/28/14
3060-0113...............................  FCC 396........................  04/30/15
3060-0120...............................  FCC 396-A......................  06/30/15
3060-0126...............................  Sec. 73.1820...................  09/30/14
3060-0132...............................  FCC 1068A......................  05/31/15
3060-0139...............................  FCC 854........................  04/30/15
3060-0147...............................  Sec. 64.804....................  09/30/14
3060-0149...............................  Part 63, Section 214, Secs.      12/31/12
                                           63.01, 63.602; 63.50, 63.51,
                                           63.52, 63.53; 63.61, 63.62,
                                           63.63; 63.65, 63.66; 63.71;
                                           63.90; 63.500, 63.501; 63.504,
                                           63.505 and 63.601.
3060-0157...............................  Sec. 73.99.....................  08/31/14
3060-0161...............................  Sec. 73.61.....................  01/31/15
3060-0166...............................  Part 42, Secs. 42.4, 42.5, 42.6  09/30/13
                                           and 42.7.
3060-0168...............................  Sec. 43.43.....................  09/30/12
3060-0169...............................  Sec. 43.51.....................  10/31/14
3060-0170...............................  Sec. 73.1030...................  08/31/13
3060-0171...............................  Sec. 73.1125...................  08/31/13
3060-0174...............................  Secs. 73.1212, 76.1615, and      06/30/15
                                           76.1715.
3060-0175...............................  Sec. 73.1250...................  03/31/14
3060-0176...............................  Sec. 73.1510...................  08/31/14
3060-0178...............................  Sec. 73.1560...................  06/30/14
3060-0179...............................  Sec. 73.1590...................  09/30/13
3060-0180...............................  Sec. 73.1610...................  07/31/13
3060-0182...............................  Sec. 73.1620...................  02/28/13
3060-0185...............................  Sec. 73.3613...................  11/30/13
3060-0188...............................  Call Sign Reservation and        08/31/13
                                           Authorization System.
3060-0190...............................  Sec. 73.3544...................  10/31/12
3060-0192...............................  Sec. 87.103....................  10/31/13
3060-0202...............................  Sec. 87.37.....................  04/30/15
3060-0204...............................  Sec. 90.20(a)(2)(v) and          10/31/14
                                           90.20(a)(2)(xi).
3060-0207...............................  Part 11--Emergency Alert System  02/28/15
                                           (EAS).
3060-0208...............................  Sec. 73.1870...................  02/28/15
3060-0213...............................  Sec. 73.3525...................  02/28/15
3060-0214...............................  Secs. 73.3526 and 73.3527;       06/30/15
                                           Secs. 76.1701 and 73.1943.
3060-0216...............................  Secs. 73.3538 and 73.1690(e)...  11/30/13
3060-0221...............................  Sec. 90.155....................  01/31/14
3060-0222...............................  Sec. 97.213....................  06/30/15
3060-0223...............................  Sec. 90.129....................  09/30/14
3060-0228...............................  Sec. 80.59 and FCC 806, 824,     07/31/13
                                           827 and 829.
3060-0233...............................  Part 36--Separations...........  11/30/12
3060-0236...............................  Sec. 74.703....................  03/31/14
3060-0248...............................  Sec. 74.751....................  11/30/13
3060-0249...............................  Secs. 74.781, 74.1281, and       04/30/15
                                           78.69.
3060-0250...............................  Secs. 73.1207, 74.784 and        08/31/12
                                           74.1284.
3060-0259...............................  Sec. 90.263....................  08/31/12
3060-0261...............................  Sec. 90.215....................  07/31/13
3060-0262...............................  Sec. 90.179....................  04/30/14
3060-0264...............................  Sec. 80.413....................  08/31/12
3060-0265...............................  Sec. 80.868....................  05/31/13
3060-0270...............................  Sec. 90.443....................  01/31/13
3060-0281...............................  Sec. 90.651....................  05/31/13
3060-0286...............................  Sec. 80.302....................  02/28/13
3060-0288...............................  Sec. 78.33.....................  07/31/14
3060-0289...............................  Secs. 76.601, 76.1704, 76.1705,  05/31/14
                                           and 76.1717.
3060-0290...............................  Sec. 90.517....................  03/31/14
3060-0291...............................  Sec. 90.477(a), (b)(2), (d)(2)   07/31/14
                                           and (d)(3).
3060-0292...............................  Part 69 and Sec. 69.605........  02/28/13
3060-0295...............................  Sec. 90.607(b)(1) and (c)(1)...  04/30/13
3060-0297...............................  Sec. 80.503....................  08/31/12
3060-0298...............................  Part 61, Tariffs (Other than     05/31/15
                                           Tariff Review Plan).
3060-0307...............................  Parts 1, 22 and 90 Rules to      01/31/13
                                           Facilitate Development of SMR
                                           Systems in the 800 MHz
                                           Frequency Band.
3060-0308...............................  Sec. 90.505....................  04/30/13
3060-0310...............................  Sec. 76.1801 and FCC 322.......  01/31/15
3060-0311...............................  Sec. 76.54.....................  03/31/14
3060-0316...............................  Secs. 76.1700, 76.1702,          12/31/13
                                           76.1703, 76.1704, 76.1707, and
                                           76.1711.
3060-0320...............................  Sec. 73.1350...................  11/30/12

[[Page 52]]

 
3060-0325...............................  Sec. 80.605....................  08/31/14
3060-0329...............................  Sec. 2.955.....................  01/31/15
3060-0331...............................  FCC 321........................  01/31/15
3060-0332...............................  Secs. 76.614 and 76.1706.......  08/31/13
3060-0340...............................  Sec. 73.51.....................  10/31/12
3060-0341...............................  Sec. 73.1680...................  01/31/15
3060-0346...............................  Sec. 78.27.....................  10/31/12
3060-0347...............................  Sec. 97.311....................  09/30/14
3060-0349...............................  Secs. 73.2080, 76.73, 76.75,     12/31/12
                                           76.79, and 76.1702.
3060-0355...............................  FCC 492 and FCC 492A...........  05/31/13
3060-0357...............................  Sec. 63.701....................  02/28/14
3060-0360...............................  Sec. 80.409....................  01/31/14
3060-0370...............................  Part 32--Uniform System of       01/31/14
                                           Accounts for
                                           Telecommunications Companies.
3060-0384...............................  Secs. 64.901, 64.904 and 64.905  12/31/13
3060-0386...............................  Secs. 1.5, 73.1615, 73.1635,     11/30/14
                                           73.1740, 73.3598, 74.788, and
                                           FCC 337.
3060-0387...............................  Secs. 15.201(d), 15.209,         05/31/15
                                           15.211, 15.213 and 15.221.
3060-0390...............................  FCC 395-B......................  09/30/14
3060-0391...............................  Parts 54 and 36, Program to      03/31/14
                                           Monitor the Impacts of the
                                           Universal Service Support
                                           Mechanisms.
3060-0392...............................  47 CFR Part 1, Subpart J, Pole   12/31/12
                                           Attachment Complaint
                                           Procedures.
3060-0394...............................  Sec. 1.420.....................  04/30/14
3060-0395...............................  FCC Reports 43-02, FCC 43-05     09/30/14
                                           and FCC 43-07.
3060-0398...............................  Secs. 2.948 and 15.117(g)(2)...  09/30/13
3060-0400...............................  Tariff Review Plan (TRP).......  05/31/15
3060-0404...............................  FCC 350........................  11/30/13
3060-0405...............................  FCC 349........................  04/30/13
3060-0410...............................  FCC 495A and FCC 495B..........  09/30/14
3060-0411...............................  FCC 485........................  09/30/14
3060-0414...............................  Terrain Shielding Policy.......  10/31/12
3060-0419...............................  Secs. 76.94, 76.95, 76.105,      06/30/14
                                           76.106, 76.107, and 76.1609.
3060-0422...............................  Sec. 68.5......................  08/31/13
3060-0423...............................  Sec. 73.3588...................  04/30/14
3060-0430...............................  Sec. 1.1206....................  12/31/14
3060-0433...............................  FCC 320........................  05/31/14
3060-0434...............................  Sec. 90.20(e)(6)...............  07/31/14
3060-0439...............................  Sec. 64.201....................  09/30/13
3060-0441...............................  Secs. 90.621 and 90.693........  08/31/12
3060-0454...............................  Secs. 43.51, 64.1001 and         06/30/14
                                           64.1002.
3060-0463...............................  Telecommunications Relay         06/30/14
                                           Services and Speech-to-Speech
                                           Services for Individuals with
                                           Hearing and Speech
                                           Disabilities, Report and Order
                                           and Declaratory Ruling, CG
                                           Doc. No. 03-123, FCC 07-186.
3060-0466...............................  Secs. 73.1201, 74.783 and        10/31/13
                                           74.1283.
3060-0470...............................  Secs. 64.901 and 64.903, and     06/30/14
                                           RAO Letters 19 and 26.
3060-0473...............................  Sec. 74.1251...................  05/31/14
3060-0474...............................  Sec. 74.1263...................  09/30/14
3060-0484...............................  Secs. 4.1 and 4.2 and Part 4 of  02/28/14
                                           the Commission's Rules
                                           Concerning Disruptions to
                                           Communications (NORS).
3060-0489...............................  Sec. 73.37.....................  06/30/15
3060-0496...............................  FCC Report 43-08...............  04/30/13
3060-0500...............................  Sec. 76.1713...................  08/31/13
3060-0501...............................  Secs. 73.1942, 76.206 and        10/31/14
                                           76.1611.
3060-0506...............................  FCC 302-FM.....................  11/30/14
3060-0508...............................  Part 1 and Part 22 Reporting     09/30/14
                                           and Recordkeeping Requirements.
3060-0511...............................  FCC Report 43-04...............  11/30/14
3060-0512...............................  FCC Report 43-01...............  04/30/15
3060-0519...............................  Rules and Regulations            10/31/14
                                           Implementing the Telephone
                                           Consumer Protection Act (TCPA)
                                           of 1991, Order, CG Docket No.
                                           02-278.
3060-0526...............................  Sec. 69.123, Density Pricing     05/31/14
                                           Zone Plans, Expanded
                                           Interconnection with Local
                                           Telephone Company Facilities.
3060-0531...............................  Secs. 101.1011, 101.1325(b),     01/31/13
                                           101.1327(a), 101.527, 101.529,
                                           and 101.103.
3060-0532...............................  Secs. 2.1033 and 15.121........  08/31/14
3060-0537...............................  Sec. 13.217....................  03/31/14
3060-0546...............................  Sec. 76.59.....................  09/30/14
3060-0548...............................  Secs. 76.1708, 76.1709,          06/30/14
                                           76.1620, 76.56 and 76.1614.
3060-0550...............................  FCC 328........................  05/31/14
3060-0560...............................  Sec. 76.911....................  05/31/13
3060-0562...............................  Sec. 76.916....................  12/31/12
3060-0565...............................  Sec. 76.944....................  03/31/15
3060-0568...............................  Secs. 76.970, 76.971 and 76.975  04/30/15
3060-0569...............................  Sec. 76.975....................  01/31/15
3060-0572...............................  Secs. 43.82, International       10/31/14
                                           Circuit Status Reports.
3060-0573...............................  FCC 394........................  02/28/15
3060-0580...............................  Sec. 76.1710...................  11/30/12

[[Page 53]]

 
3060-0584...............................  FCC 44 and FCC 45..............  03/31/15
3060-0589...............................  FCC 159, FCC 159-B, FCC 159-C,   03/31/14
                                           FCC 159-E and 159-W.
3060-0594...............................  FCC 1220.......................  05/31/13
3060-0599...............................  Secs. 90.647 and 90.425........  02/28/13
3060-0600...............................  Application to Participate in a  09/30/12
                                           FCC Auction.
3060-0601...............................  FCC 1200.......................  05/31/13
3060-0607...............................  Sec. 76.922....................  01/31/15
3060-0609...............................  Sec. 76.934(e).................  06/30/13
3060-0625...............................  Sec. 24.103....................  04/30/13
3060-0626...............................  Sec. 90.483....................  01/31/14
3060-0627...............................  FCC 302-AM.....................  11/30/14
3060-0633...............................  Secs. 73.1230, 74.165, 74.432,   08/31/13
                                           74.564, 74.664, 74.765, 74.832
                                           and 74.1265.
3060-0634...............................  Sec. 73.691....................  11/30/12
3060-0636...............................  Secs. 2.906, 2.909, 2.1071,      05/31/15
                                           2.1075, 2.1076, 2.1077 and
                                           15.37.
3060-0645...............................  Secs. 17.4, 17.48 and 17.49....  04/30/15
3060-0647...............................  Cable Price Survey and           08/31/13
                                           Supplemental Questions and FCC
                                           333.
3060-0649...............................  Secs. 76.1601, 76.1617, 76.1697  08/31/13
                                           and 76.1708.
3060-0652...............................  Secs. 76.309, 76.1602, 76.160    07/31/14
                                           and 76.1619.
3060-0653...............................  Sec. 64.703(b) and (c).........  03/31/14
3060-0655...............................  Requests for Waivers of          07/31/13
                                           Regulatory and Application
                                           Fees.
3060-0665...............................  Sec. 64.707....................  10/31/13
3060-0667...............................  Secs. 76.630, 76.1621 and        03/31/14
                                           76.1622.
3060-0668...............................  Sec. 76.936....................  09/30/13
3060-0669...............................  Sec. 76.946....................  11/30/13
3060-0674...............................  Sec. 76.1618...................  06/30/14
3060-0678...............................  Part 25 of the Commission's      09/30/13
                                           Rules Governing the Licensing
                                           of, and Spectrum Usage by,
                                           Satellite Network Stations and
                                           Space Stations.
3060-0685...............................  FCC 1210 and FCC 1240..........  12/31/14
3060-0686...............................  Secs. 63.10, 63.11, 63.13,       02/28/14
                                           63.18, 63.19, 63.21, 63.24,
                                           63.25 and 1.1311,
                                           International Section 214
                                           Process and Tariff
                                           Requirements and FCC 214, FCC
                                           214TC and FCC 214STA.
3060-0687...............................  Access to Telecommunications     05/31/15
                                           Equipment and Services by
                                           Persons with Disabilities, CC
                                           Docket No. 87-124.
3060-0688...............................  FCC 1235.......................  08/31/13
3060-0690...............................  Sec. 101.17....................  04/30/15
3060-0691...............................  Sec. 90.665....................  07/31/13
3060-0692...............................  Secs. 76.613, 76.802 and 76.804  02/28/13
3060-0695...............................  Sec. 87.219....................  10/31/14
3060-0698...............................  Secs. 25.203(i) and              03/31/14
                                           73.1030(a)(2), Radio Astronomy
                                           Coordination Zone in Puerto
                                           Rico.
3060-0700...............................  FCC 1275.......................  07/31/13
3060-0703...............................  FCC 1205.......................  01/31/15
3060-0704...............................  Secs. 42.10, 42.11 and 64.1900   09/30/14
                                           and Section 254(g), Policy and
                                           Rule Concerning the
                                           Interstate, Interexchange
                                           Marketplace.
3060-0706...............................  Secs. 76.952 and 76.990, Cable   06/30/14
                                           Act Reform.
3060-0707...............................  Over-the Air Reception Devices   03/31/14
                                           (OTARD).
3060-0710...............................  Policy and Rules Under Parts 1   07/31/13
                                           and 51 Concerning the
                                           Implementation of the Local
                                           Competition Provisions in the
                                           Telecommunications Act of
                                           1996--CC Docket No. 96-98.
3060-0713...............................  Alternative Broadcast            04/30/14
                                           Inspection Program (ABIP)
                                           Compliance Notification.
3060-0715...............................  Telecommunications Carriers'     07/31/14
                                           Use of Customer Proprietary
                                           Network Information (CPNI) and
                                           Other Customer Information--CC
                                           Docket No. 96-115.
3060-0716...............................  Secs. 73.88, 73.718, 73.685 and  04/30/15
                                           73.1630.
3060-0717...............................  Secs. 64.703(a), 64.709 and      06/30/14
                                           64.710.
3060-0718...............................  Part 101 Rule Sections           04/30/15
                                           Governing the Terrestrial
                                           Microwave Fixed Radio Service.
3060-0719...............................  Quarterly Report of IntraLATA    03/31/13
                                           Carriers Listing Payphone
                                           Automatic Number
                                           Identifications (ANIs).
3060-0723...............................  47 U.S.C. Section 276, Public    10/31/12
                                           Disclosure of Network
                                           Information by Bell Operating
                                           Companies (BOCs).
3060-0725...............................  Quarterly Filing of              05/31/15
                                           Nondiscrimination Reports (on
                                           Quality of Service,
                                           Installation, and Maintenance)
                                           by Bell Operating Companies
                                           (BOC's).
3060-0727...............................  Sec. 73.213....................  10/31/12
3060-0734...............................  Secs. 53.209, 53.211 and 53.213  08/31/14
3060-0737...............................  Disclosure Requirements for      01/31/15
                                           Information Services Provided
                                           Under a Presubscription or
                                           Comparable Arrangement.
3060-0740...............................  Sec. 95.1015...................  10/31/14
3060-0741...............................  Implementation of the Local      01/31/14
                                           Competition Provisions on the
                                           Telecommunications Act of
                                           1996--CC Docket No. 96-98.
3060-0742...............................  Secs. 52.21, 52.22, 52.23,       07/31/13
                                           52.24, 52.25, 52.26, 52.27,
                                           52.28, 52.29, 52.30, 52.31,
                                           52.32, 52.33, 52.34, 52.35 and
                                           52.36; and CC Docket No. 95-
                                           116.

[[Page 54]]

 
3060-0743...............................  Implementation of the Pay        02/28/13
                                           Telephone Reclassification and
                                           Compensation Provisions of the
                                           Telecommunications Act of
                                           1996--CC Docket No. 96-128.
3060-0745...............................  Implementation of the Local      10/31/12
                                           Exchange Carrier Tariff
                                           Streamlining Provisions of the
                                           Telecommunications Act of
                                           1996, CC Docket No. 96-187.
3060-0748...............................  Secs. 64.1504, 64.1509 and       04/30/13
                                           64.1510, Pay-Per-Call and
                                           Other Information Services.
3060-0750...............................  Secs. 73.671 and 73.673........  06/30/14
3060-0751...............................  Sec. 43.51.....................  08/31/14
3060-0754...............................  FCC 398........................  04/30/15
3060-0755...............................  Secs. 59.1, 59.2, 59.3 and 59.4  01/31/15
3060-0758...............................  Secs. 5.55, 5.61, 5.75, 5.85,    04/30/13
                                           and 5.93, Experimental Radio
                                           Service Regulations, ET Docket
                                           No. 96-256.
3060-0760...............................  272 Sunset Order; WC Docket No.  09/30/14
                                           06-120; Access Charge Reform,
                                           CC Docket No. 96-262, First
                                           Report and Order; Second Order
                                           on Reconsideration and
                                           Memorandum Opinion and Order;
                                           and Fifth Report and Order.
3060-0761...............................  Sec. 79.1......................  Pending OMB review and approval.
3060-0763...............................  FCC Report 43-06...............  02/28/15
3060-0767...............................  Secs. 1.2110, 1.2111 and         06/30/14
                                           1.2112, Auction and Licensing
                                           Disclosures--Ownership and
                                           Small Business Status.
3060-0768...............................  28 GHz Band Segmentation Plan    08/31/14
                                           Amending the 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 Rules and Policies.
3060-0770...............................  Secs. 1.774, 61.49, 61.55,       10/31/14
                                           61.58, 69.4, 69.707, 69.713
                                           and 69.729.
3060-0773...............................  Sec. 2.803.....................  12/31/12
3060-0774...............................  Parts 36 and 54, Federal-State   06/30/14
                                           Joint Board on Universal
                                           Service.
3060-0775...............................  Sec. 64.1903...................  04/30/13
3060-0779...............................  Secs. 90.20(a)(1)(iii), 90.769,  11/30/13
                                           90.767, 90.763(b)(l)(i)(a),
                                           90.763(b)(l)(i)(B), 90.771(b)
                                           and 90.743, Rules for Use of
                                           the 220 MHz Band by the
                                           Private Land Mobile Radio
                                           Service (PLMRS).
3060-0782...............................  Petition for Limited             11/30/12
                                           Modification of LATA
                                           Boundaries to Provide Expanded
                                           Local Calling Service (ELCS)
                                           at Various Locations.
3060-0783...............................  Sec. 90.176....................  01/31/15
3060-0787...............................  Implementation of Subscriber     07/31/14
                                           Carrier Selection Changes
                                           Provisions of the
                                           Telecommunications Act of
                                           1996; Policies and Rules
                                           Concerning Unauthorized
                                           Changes of Consumers' Long
                                           Distance Carriers.
3060-0788...............................  DTV Showings/Interference        10/31/13
                                           Agreements.
3060-0790...............................  Sec. 68.110(c).................  09/30/12
3060-0791...............................  Sec. 32.7300...................  09/30/12
3060-0795...............................  FCC 606........................  08/31/14
3060-0798...............................  FCC 601........................  04/30/15
3060-0799...............................  FCC 602........................  09/30/13
3060-0800...............................  FCC 603........................  02/28/14
3060-0804...............................  FCC 465, FCC 466, FCC 466-A and  11/30/14
                                           FCC 467.
3060-0805...............................  Secs. 90.523, 90.527, 90.545     07/31/14
                                           and 90.1211.
3060-0806...............................  FCC 470 and FCC 471............  10/31/13
3060-0807...............................  Sec. 51.803 and Supplemental     07/31/13
                                           Procedures for Petitions to
                                           Section 252(e)(5) of the
                                           Communications Act of 1934, as
                                           amended.
3060-0809...............................  Communications Assistance for    02/28/14
                                           Law Enforcement Act (CALEA).
3060-0812...............................  Exemption from Payment of        12/31/14
                                           Regulatory Fees When Claiming
                                           Non-Profit Status.
3060-0813...............................  Sec. 20.18, Enhanced 911         02/28/15
                                           Emergency Calling Systems.
3060-0814...............................  Sec. 54.301, Local Switching     12/31/13
                                           Support and Local Switching
                                           Support Data Collection Form
                                           and Instructions.
3060-0816...............................  FCC 477........................  04/30/13
3060-0817...............................  Computer III Further Remand      06/30/15
                                           Proceedings: BOC Provision of
                                           Enhanced Services (ONA
                                           Requirements), CC Docket No.
                                           95-20.
3060-0819...............................  Secs. 54.400-54.707 and FCC 497  10/31/12
3060-0823...............................  Part 64, Pay Telephone           03/31/14
                                           Reclassification.
3060-0824...............................  FCC 498........................  11/30/12
3060-0833...............................  Implementation of Section 255    05/31/14
                                           of the Telecommunications Act
                                           of 1996: Complaint Filings.
3060-0835...............................  FCC 806, FCC 824, FCC 827 and    09/30/12
                                           FCC 829.
3060-0837...............................  FCC 302-TV.....................  04/30/13
3060-0844...............................  Carriage of the Transmissions    10/31/13
                                           of Digital Television
                                           Broadcast Stations.
3060-0848...............................  Deployment of Wireline Services  02/28/15
                                           Offering Advanced
                                           Telecommunications Capability--
                                           CC Docket No. 98-147.
3060-0849...............................  Commercial Availability of       07/31/14
                                           Navigation Devices.
3060-0850...............................  FCC 605........................  06/30/14
3060-0853...............................  FCC 479, FCC 486 and FCC 500...  10/31/13
3060-0854...............................  Truth-in-Billing Format, CC      09/30/14
                                           Docket No. 98-170 and CG
                                           Docket No. 04-208.

[[Page 55]]

 
3060-0855...............................  FCC 499-A and FCC 499-Q........  10/31/14
3060-0856...............................  FCC 472, FCC 473 and FCC 474...  06/30/13
3060-0859...............................  Public Notice--Suggested         05/31/15
                                           Guidelines for Petitions for
                                           Ruling under Section 253 of
                                           the Telecommunications Act.
3060-0862...............................  Handling Confidential            07/31/14
                                           Information.
3060-0863...............................  Satellite Delivery of Network    06/30/14
                                           Signals to Unserved Households
                                           for Purposes of the Satellite
                                           Home Viewer Act (SHVA).
3060-0865...............................  Wireless Telecommunications      08/31/13
                                           Bureau Universal Licensing
                                           System Recordkeeping and Third-
                                           Party Disclosure Requirements.
3060-0874...............................  FCC 475B, FCC 501, FCC 2000      Pending OMB review and approval.
                                           Series A-F, FCC 1088A, B, C,
                                           D, E, F, and H.
3060-0876...............................  Sec. 54.703 and Secs. 54.719,    10/31/12
                                           54.720, 54.721, 54.722,
                                           54.723, 54.724 and 54.725.
3060-0881...............................  Sec. 95.861....................  07/31/14
3060-0882...............................  Sec. 95.833....................  10/31/14
3060-0888...............................  Secs. 1.221, 1.229, 1.248,       01/31/15
                                           76.7, 76.9, 76.61, 76.914,
                                           76.1001, 76.1003, 76.1302 and
                                           76.1513.
3060-0895...............................  Sec. 52.15, CC Docket No. 99-    06/30/13
                                           200 and FCC 502.
3060-0896...............................  Broadcast Auction Form Exhibits  10/31/14
3060-0905...............................  Sec. 18.213....................  08/31/14
3060-0906...............................  FCC 317 and Sec. 73.624(g).....  11/30/14
3060-0910...............................  Third Report and Order in CC     09/30/12
                                           Docket No. 94-102 to Ensure
                                           Compatibility with Enhanced
                                           911 Emergency Calling Systems.
3060-0912...............................  Secs. 76.501, 76.503 and         03/31/15
                                           76.504, Cable Attribution
                                           Rules.
3060-0917...............................  FCC 160........................  05/31/13
3060-0918...............................  FCC 161........................  05/31/13
3060-0920...............................  FCC 318........................  05/31/14
3060-0922...............................  FCC 397........................  03/31/15
3060-0927...............................  Auditor's Annual Independence    02/28/15
                                           and Objectivity Certification.
3060-0928...............................  FCC 302-CA.....................  10/31/12
3060-0931...............................  Sec. 80.103, Digital Selective   07/31/12
                                           Calling (DSC) Operating
                                           Procedures; Maritime Mobile
                                           Services Identity (MMSI).
3060-0932...............................  FCC 301-CA and Sec. 74.793(d)..  11/30/13
3060-0936...............................  Secs. 95.1215 and 95.1217......  06/30/15
3060-0937...............................  Establishment of a Class A       07/31/13
                                           Television Service, MM Docket
                                           No. 00-10.
3060-0938...............................  FCC 319........................  02/28/15
3060-0942...............................  Access Charge Reform, Price Cap  06/30/13
                                           Performance Review for Local
                                           Exchange Carriers, Low-Volume
                                           Long Distance Users, Federal-
                                           State Joint Board on Universal
                                           Service.
3060-0944...............................  Secs. 1.767 and 1.768,;          02/28/14
                                           Executive Order (E.O.) 10530,
                                           Cable Landing License Act; FCC
                                           220.
3060-0950...............................  Bidding Credits for Tribal       08/31/13
                                           Lands.
3060-0951...............................  Sec. 1.1204(b) Note, andSec.   03/31/13
                                           1.1206(a) Note 1.
3060-0952...............................  Proposed Demographic             03/31/13
                                           Information and Notifications,
                                           Second FNPRM, CC Docket Nos.
                                           98-147.
3060-0953...............................  Secs. 95.1111 and 95.1113......  05/31/13
3060-0955...............................  Secs. 25.114, 25.115, 25.133,    01/31/13
                                           25.137, 25.143, 25.203, and
                                           25.279; 2 GHz Mobile Satellite
                                           Service Reports.
3060-0957...............................  Sec. 20.18(i) and (g)..........  12/31/13
3060-0960...............................  Secs. 76.122, 76.123, 76.124     03/31/14
                                           and 76.127.
3060-0962...............................  Redesignation of the 18 GHz      08/31/14
                                           Frequency Band, Blanket
                                           Licensing of Satellite Earth
                                           Stations in the Ka-Band, and
                                           the Allocation of Additional
                                           Spectrum for Broadcast
                                           Satellite Service Use.
3060-0967...............................  Sec. 79.2......................  08/31/13
3060-0971...............................  Sec. 52.15.....................  02/28/14
3060-0972...............................  FCC 507, FCC 508 and FCC 509,    02/28/14
                                           Multi-Association Group (MAG)
                                           Plan Order, Parts 54 and 69
                                           Filing Requirements for
                                           Regulation of Interstate
                                           Services of Non-Price Cap
                                           Incumbent LECs and
                                           Interexchange Carriers.
3060-0973...............................  Sec. 64.1120(e)................  09/30/13
3060-0975...............................  Secs. 68.3 and 1.4000..........  11/30/13
3060-0979...............................  License Audit Letter...........  01/31/13
3060-0980...............................  Sec. 76.66, Implementation of    07/31/14
                                           the Satellite Home Viewer
                                           Extension and Reauthorization
                                           Act of 1999; (SHVERA) Rules,
                                           Local Broadcast Signal
                                           Carriage Issues,
                                           Retransmission Consent Issues.
3060-0984...............................  Secs. 90.35(b)(2) and            01/31/14
                                           90.175(b)(1).
3060-0986...............................  FCC 525........................  04/30/15
3060-0987...............................  Sec. 20.18(l)(1)(i-iii) and      09/30/14
                                           20.18(l)(2)(i-iii), 911
                                           Callback Capability; Non-
                                           initialized Handsets.
3060-0989...............................  Secs. 63.01, 63.03 and 63.04...  07/31/14
3060-0991...............................  AM Measurement Data............  01/31/15
3060-0992...............................  Sec. 54.507(d)(1)-(4)..........  09/30/13
3060-0994...............................  Flexibility for Delivery of      02/28/13
                                           Communications by Mobile
                                           Satellite Service Providers in
                                           the 2 GHz Band, the L-Band,
                                           and the 1.6/2.4 GHz Band.

[[Page 56]]

 
3060-0995...............................  Sec. 1.2105(c).................  01/31/14
3060-0996...............................  AM Auction Section 307(b)        07/31/14
                                           Submissions.
3060-0997...............................  Sec. 52.15(k)..................  04/30/14
3060-0998...............................  Sec. 87.109....................  07/31/13
3060-0999...............................  Sec. 20.19 and Hearing Aid       12/31/13
                                           Compatibility Status Report.
3060-1000...............................  Sec. 87.147....................  12/31/13
3060-1003...............................  Communications Disaster          06/30/15
                                           Information Reporting System
                                           (DIRS).
3060-1004...............................  Commission Rules to Ensure       08/31/12
                                           Compatibility with Enhanced
                                           911 Emergency Calling Systems.
3060-1005...............................  Numbering Resource               05/31/14
                                           Optimization--Phase 3.
3060-1008...............................  Secs. 27.50 and 27.602.........  09/30/14
3060-1013...............................  Mitigation of Orbital Debris...  02/28/14
3060-1014...............................  Ku-Band NGSO FSS...............  12/31/14
3060-1015...............................  Ultra Wideband Transmission      01/31/15
                                           Systems Operating Under Part
                                           15.
3060-1021...............................  Sec. 25.139....................  03/31/14
3060-1022...............................  Secs. 101.1403, 101.103(f),      08/31/14
                                           101.1413, 101.1440 and
                                           101.1417.
3060-1028...............................  International Signaling Point    02/28/14
                                           Code (ISPC).
3060-1029...............................  Data Network Identification      02/28/14
                                           Code (DNIC).
3060-1030...............................  Service Rules for Advanced       06/30/13
                                           Wireless Services (AWS) in the
                                           1.7 GHz and 2.1 GHz Bands.
3060-1031...............................  Commission's Initiative to       10/31/12
                                           Implement Enhanced 911 (E911)
                                           Emergency Services.
3060-1033...............................  FCC 396-C......................  02/28/13
3060-1034...............................  Digital Audio Broadcasting       06/30/13
                                           Systems and Their Impact on
                                           the Terrestrial Radio
                                           Broadcast Service and FCC 335-
                                           AM, FCC 335-FM.
3060-1035...............................  FCC 309, FCC 310 and FCC 311,    01/31/15
                                           Part 73, Subpart F,
                                           International Broadcast
                                           Stations.
3060-1039...............................  FCC 620 and FCC 621............  09/30/14
3060-1042...............................  Request for Technical Support--  08/31/13
                                           Help Request Form.
3060-1043...............................  Telecommunications Relay         03/31/14
                                           Services and Speech-to-Speech
                                           Services for Individuals with
                                           Hearing and Speech
                                           Disabilities, Report and
                                           Order, CC Docket No. 98-67;
                                           FCC 04-137.
3060-1044...............................  Review of the Section 251        04/30/13
                                           Unbundling Obligations of
                                           Incumbent Local Exchange
                                           Carriers, CC Docket No. 01-
                                           338, and WC Docket No. 04-313,
                                           FCC 04-290, Order on Remand.
3060-1045...............................  FCC 324 and Sec. 76.1610.......  02/28/15
3060-1046...............................  Part 64, Pay Telephone           06/30/14
                                           Reclassification and
                                           Compensation Provisions of the
                                           Telecommunications Act of 1996.
3060-1047...............................  Telecommunications Relay         01/31/15
                                           Services and Speech-to-Speech
                                           Services for Individuals with
                                           Hearing and Speech
                                           Disabilities, Report and
                                           Order, FCC 03-112.
3060-1048...............................  Sec. 1.929(c)(1)...............  02/28/13
3060-1050...............................  Sec. 97.303....................  10/31/13
3060-1053...............................  Sec. 64.604, Telecommunications  04/30/13
                                           Relay Services, and Speech-to-
                                           Speech Services for
                                           Individuals with Hearing and
                                           Speech Disabilities, Two-Line
                                           Captioned Telephone Order.
3060-1054...............................  FCC 422-IB.....................  02/28/13
3060-1056...............................  FCC 421-IB.....................  01/31/13
3060-1057...............................  FCC 420-IB.....................  01/31/13
3060-1058...............................  FCC 608........................  01/31/14
3060-1059...............................  Global Mobile Personal           11/30/13
                                           Communications by Satellite
                                           (GMPCS)/E911 Call Centers.
3060-1060...............................  Wireless E911 Coordination       11/30/13
                                           Initiative Letter to State 911
                                           Coordinators.
3060-1061...............................  Earth Stations on Board Vessels  12/31/12
                                           (ESVs).
3060-1062...............................  Schools and Libraries Universal  06/30/13
                                           Service Support Mechanism--
                                           Notification of Equipment
                                           Transfers.
3060-1063...............................  Global Mobile Personal           02/28/13
                                           Communications by Satellite
                                           (GMPCS) Authorization,
                                           Marketing and Importation
                                           Rules.
3060-1064...............................  Regulatory Fee Assessment True-  06/30/14
                                           Ups.
3060-1066...............................  FCC 312-R and Secs. 25.121(e)    02/28/13
                                           and 25.131(h).
3060-1067...............................  FCC 312-EZ.....................  03/31/13
3060-1069...............................  Rules and Policies Concerning    05/31/13
                                           Attribution of Joint Sales
                                           Agreements in Local Television
                                           Markets, NPRM, MB Docket No.
                                           94-256, FCC 04-173.
3060-1070...............................  Sec. 101.1523 and Allocation     10/31/14
                                           and Service Rules for the 71-
                                           76 GHz, 81-86 GHz and 92-95
                                           GHz Bands.
3060-1078...............................  Rules and Regulations            11/30/13
                                           Implementing the Controlling
                                           the Assault of Non-Solicited
                                           Pornography and Marketing Act
                                           of 2003 (CAN-SPAM Act), CG
                                           Docket No. 04-53.
3060-1079...............................  Sec. 15.240, Radio Frequency     02/28/14
                                           Identification Equipment
                                           (RFID).
3060-1080...............................  Improving Public Safety          09/30/14
                                           Communications in the 800 MHz
                                           Band; TA-13.1 and TA-14.1.
3060-1081...............................  Secs. 54.202, 54.209, 54.307,    07/31/14
                                           54.313, 54.314 and 54.809.

[[Page 57]]

 
3060-1084...............................  Rules and Regulations            06/30/13
                                           Implementing Minimum Customer
                                           Account Record Obligations on
                                           All Local and Interexchange
                                           Carriers (CARE), CG Docket No.
                                           02-386.
3060-1085...............................  Sec. 9.5, Interconnected Voice   06/30/15
                                           Over Internet Protocol (VoIP)
                                           E911 Compliance.
3060-1086...............................  Secs. 74.786, 74.787, 74.790,    08/31/14
                                           74.794 and 74.796.
3060-1087...............................  Sec. 15.615....................  06/30/14
3060-1088...............................  Rules and Regulations            05/31/13
                                           Implementing the Telephone
                                           Consumer Protection Act (TCPA)
                                           of 1991, CG Docket No. 05-338,
                                           FCC 06-42.
3060-1089...............................  Telecommunications Relay         12/31/13
                                           Services and Speech-to-Speech
                                           Services for Individuals with
                                           Hearing and Speech
                                           Disabilities, E911
                                           Requirements for IP-Enabled
                                           Service.
3060-1092...............................  FCC 609-T and FCC 611-T........  01/31/14
3060-1094...............................  Secs. 27.14 and 27.1221........  03/31/14
3060-1095...............................  Surrenders of Authorizations     01/31/15
                                           for International Carrier,
                                           Space Station and Earth
                                           Station Licensees.
3060-1096...............................  Prepaid Calling Card Service     04/30/13
                                           Provider Certification, WC
                                           Docket No. 05-68.
3060-1097...............................  Service Rules and Policies for   11/30/14
                                           the Broadcasting Satellite
                                           Service (BSS).
3060-1100...............................  Sec. 15.117(k).................  06/30/13
3060-1101...............................  Children's Television Requests   04/30/13
                                           for Preemption Flexibility.
3060-1103...............................  Sec. 76.41.....................  06/30/13
3060-1104...............................  Sec. 83.682(d).................  03/31/14
3060-1105...............................  FCC 387........................  03/31/14
3060-1106...............................  Licensing and Service Rules for  12/31/12
                                           Vehicle Mounted Earth Stations
                                           (VMES).
3060-1108...............................  Consummations of Assignments     06/30/13
                                           and Transfers of Control of
                                           Authorization.
3060-1110...............................  Sunset of the Cellular           10/31/13
                                           Radiotelephone Service Analog
                                           Service Requirement and
                                           Related Matters, FCC 07-103.
3060-1111...............................  Secs. 225 and 255,               04/30/14
                                           Interconnected Voice Over
                                           Internet Protocol (VoIP)
                                           Services.
3060-1112...............................  Comprehensive Review of the      11/30/13
                                           Universal Service Fund
                                           Management, Administration,
                                           and Oversight.
3060-1113...............................  Commercial Mobile Alert System   07/31/14
                                           (CMAS).
3060-1115...............................  DTV Consumer Education           09/30/12
                                           Initiative; Sec. 73.674, and
                                           FCC 388.
3060-1116...............................  Submarine Cable Reporting......  12/31/14
3060-1120...............................  Service Quality Measurement      09/30/14
                                           Plan for Interstate Special
                                           Access and Monthly Usage
                                           Reporting Requirements (272
                                           Sunset Rulemaking).
3060-1122...............................  Preparation of Annual Reports    05/31/15
                                           to Congress for the Collection
                                           & Expenditure of Fees or
                                           Charges for Enhanced 911
                                           (E911) Services under the NET
                                           911 Improvement Act of 2008.
3060-1124...............................  Sec. 80.231....................  01/31/15
3060-1126...............................  Sec. 10.350....................  06/30/15
3060-1127...............................  First Responder Emergency        03/31/13
                                           Contact Information in the
                                           Universal Licensing System
                                           (ULS).
3060-1128...............................  National Broadband Plan Survey   03/31/13
                                           of Consumers.
3060-1129...............................  Broadband Speed Test and         02/28/13
                                           Unavailability Registry.
3060-1130...............................  National Broadband Plan Survey   02/28/13
                                           of Businesses.
3060-1131...............................  Implementation of the NET 911    12/31/12
                                           Improvement Act of 2008:
                                           Location Information from
                                           Owners and Controllers of 911
                                           and E911 Capabilities.
3060-1133...............................  FCC 308 and Secs. 73.3545 and    01/31/13
                                           73.3580.
3060-1135...............................  Rules Authorizing the Operation  08/31/13
                                           of Low Power Auxiliary
                                           Stations (including Wireless
                                           Microphones).
3060-1136...............................  Spectrum Dashboard Customer      08/31/13
                                           Feedback.
3060-1138...............................  Secs. 1.49 and 1.54............  04/30/13
3060-1139...............................  Residential Fixed Broadband      02/28/14
                                           Services Testing and
                                           Measurement.
3060-1140...............................  Requests for Waiver of Various   06/30/14
                                           Petitioners to Allow the
                                           Establishment of 700 MHz
                                           Interoperable Public Safety
                                           Wireless Broadband Networks,
                                           Order, PS Docket No. 06-229,
                                           DA 10-2342.
3060-1142...............................  Electronic Tariff Filing System  09/30/13
                                           (ETFS),WC Docket No. 10-141,
                                           FCC 10-127, NPRM.
3060-1143...............................  E-Rate Deployed Ubiquitously     04/30/14
                                           (EDU) 2011 Pilot Program.
3060-1144...............................  Consumer Survey................  02/28/14
3060-1145...............................  Structure and Practices of the   09/30/14
                                           Video Relay Service Program,
                                           CG Docket No. 10-51.
3060-1146...............................  Implementation of the 21st       Pending OMB review and approval.
                                           Century Communications and
                                           Video Accessibility Act of
                                           2010, Section 105, Relay
                                           Services for Deaf-Blind
                                           Individuals, CG Docket No. 10-
                                           210.
3060-1147...............................  Wireless E911 Phase II Location  05/31/15
                                           Accuracy Requirements.
3060-1148...............................  Sec. 79.3......................  Pending OMB review and approval.
3060-1150...............................  Structure and Practices of the   06/30/15
                                           Video Relay Service Program,
                                           Second Report and Order, CG
                                           Docket No. 10-51.
3060-1151...............................  Secs. 1.1420, 1.1422, and        01/31/15
                                           1.1424.

[[Page 58]]

 
3060-1152...............................  Implementing a Nationwide,       06/30/14
                                           Broadband, Interoperable
                                           Public Safety Network in the
                                           700 MHz Band (Third Report and
                                           Order, PS Docket No. 06-229,
                                           FCC 11-6).
3060-1153...............................  Satellite Digital Radio Service  07/31/14
                                           (SDARS).
3060-1154...............................  Commercial Advertisement         06/30/15
                                           Loudness Mitigation (``CALM'')
                                           Act; Financial Hardship and
                                           General Waiver Requests.
3060-1155...............................  Secs. 15.713, 15.714, 15.715     02/28/15
                                           and 15.717.
3060-1157...............................  Formal Complaint Procedures,     09/30/14
                                           Preserving the Open Internet
                                           and Broadband Industry
                                           Practices, Report and Order,
                                           GN Docket No. 09-191 and WC
                                           Docket No. 07-52.
3060-1158...............................  Disclosure of Network            09/30/14
                                           Management Practices,
                                           Preserving the Open Internet
                                           and Broadband Industry
                                           Practices, Report and Order,
                                           GN Docket No. 09-191 and WC
                                           Docket No. 07-52.
3060-1159...............................  Part 25--Satellite               09/30/14
                                           Communications; and Part 27--
                                           Miscellaneous Wireless
                                           Communications Services in the
                                           2.3 GHz Band.
3060-1161...............................  Sec. 27.14(g)-(l)..............  10/31/14
3060-1162...............................  Closed Captioning of Video       Pending OMB review and approval.
                                           Programming Delivered Using
                                           Internet Protocol, and
                                           Apparatus Closed Caption
                                           Requirements.
3060-1165...............................  Sec. 74.605....................  03/31/15
3060-1166...............................  FCC 180........................  04/30/15
3060-1167...............................  Accessible Telecommunications    04/30/15
                                           and Advanced Communications
                                           Services and Equipment.
3060-1168...............................  FCC 680........................  04/30/15
3060-1169...............................  Part 11--Emergency Alert System  11/30/12
                                           (EAS), Fifth Report and Order,
                                           FCC 12-7.
3060-1171...............................  Secs. 73.682(e) and 76.607(a),   06/30/15
                                           Commercial Advertisement
                                           Loudness Mitigation (``CALM'')
                                           Act.
----------------------------------------------------------------------------------------------------------------


[77 FR 48090, Aug. 13, 2012]



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

[[Page 59]]

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 Sec.Sec. 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 Sec.Sec. 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.
    (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 Sec.Sec. 
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]

[[Page 60]]



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).
    (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 inSec. 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 and Governmental Affairs Bureau.

[64 FR 60722, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]

         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. SeeSec. 0.465(a).

[64 FR 60722, Nov. 8, 1999]

[[Page 61]]



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; seeSec. 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

    Source: 74 FR 14078, Mar. 30, 2009, unless otherwise noted.



Sec.  0.441  General.

    (a) Any person desiring to obtain information from the Commission 
may do so by contacting the Consumer and Governmental Affairs Bureau 
(CGB). Requests for information and general inquiries may be submitted 
by:
    (1) Internet at http://www.fcc.gov/cgb/fccinfo or http://
www.fcc.gov/foia.
    (2) Telephone at 1-888-CALL-FCC (1-888-225-5322).
    (3) TDD/TDY at 1-888-TELL-FCC (1-888-835-5322).
    (4) Correspondence to: Consumer and Governmental Affairs Bureau, 445 
12th Street, SW., Washington, DC 20554.
    (5) Visiting the Reference Information Center of the Consumer and 
Governmental Affairs Bureau at Room CY-A257 of the Commission's main 
office at 445 12th Street, SW., Washington, DC 20554.
    (6) Facsimile at 1-866-418-0232.
    (7) Contacting the Commission's Copy Contractor, seeSec. 0.465(a).
    (b) The Commission's FOIA Public Liaison is available to assist any 
person requesting information from the Commission in resolving any 
concerns related to a Freedom of Information Act request. See http://
www.fcc.gov/foia/.



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 the Paperwork Reduction Act, 44 U.S.C. 3510, 
rather than the Freedom of Information Act. The acceptance of materials 
in confidence underSec. 0.457 orSec. 0.459, or any other statute, 
rule or Commission order, does not preclude their disclosure to other 
federal agencies.
    (b) Information submitted to the Commission in confidence pursuant 
toSec. 0.457(c)(2) and (3), (d) and (g) orSec. 0.459, or any other 
statute, rule or order, may be disclosed to other agencies of the 
Federal government upon request or upon the Commission's own motion, 
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 required submissions.
    (d)(1) Except as provided in paragraphs (d)(2) and (d)(3) of this 
section, a party who furnished records to the

[[Page 62]]

Commission with a request for confidential treatment, seeSec. 0.459, 
will be notified at the time that the request for disclosure is 
submitted and will be afforded ten calendar days in which to submit an 
opposition to disclosure. This notification may be made either 
individually or by public notice.
    (2) If the agency requesting the records provides in writing 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, national security or homeland defense 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 
will not be afforded prior notice when the disclosure is made to the 
Comptroller General of the United States, in the Government 
Accountability Office. 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 calendar days from the 
date of the ruling to move for a judicial stay of the Commission's 
action. If the party 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.



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 or delivered by electronic 
means to the parties, and as part of the record, are available for 
inspection in accordance with Sec.Sec. 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 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 Communications Regulation.
    (c) All rulemaking documents or summaries thereof are published in 
the Federal Register and are available on the Commission's Web site. 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, the Reference 
Information Center, via the Electronic Comment Filing System (ECFS), or 
as otherwise specified in the rulemaking document published in the 
Federal Register. The complete texts of rulemaking decisions may also be 
purchased from the Commission's copy contractor.
    (d) Formal policy statements and interpretations designed to have 
general applicability are published in the Federal Register, the FCC 
Record, FCC Reports, or Pike and Fischer Communications Regulation. 
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 Communications Regulation. 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 Communications Regulation, they are 
indexed, and 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

[[Page 63]]

by such persons against the Commission. No person is expected to comply 
with any requirement or policy of the Commission unless he or she 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 a recent 
document that is pending publication.
    (f) 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. All general instructions to the staff and limitations upon its 
authority are set forth in those subparts or in decisions of the 
Commission published in the Federal Register. Instructions to the staff 
in particular matters or cases are privileged and/or protected and are 
not published or made available for public inspection.
    (g) To the extent required to prevent a clearly unwarranted invasion 
of personal privacy, or to prevent disclosure of information required or 
authorized to be withheld by another statute, the Commission may delete 
identifying details or confidential information when it makes available 
or publishes any document described in this section. The justification 
for any such deletion will be fully explained in a preamble to the 
document.

[74 FR 14078, Mar. 30, 2009, as amended at 76 FR 24388, May 2, 2011]



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 inSec. 0.460.
    (b) Records which are not routinely available for public inspection. 
Records which are not listed inSec. 0.453 orSec. 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 inSec. 0.457 and of particular records withheld from public 
inspection underSec. 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 that are not listed in 
Sec.  0.453,Sec. 0.455, orSec. 0.457 and have not been withheld from 
inspection underSec. 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 
individualized determination is required.
    (3) Procedures governing requests for inspection of these records 
are set forth inSec. 0.461.
    (4) Procedures governing demands by competent authority for 
inspection of these records are set forth inSec. 0.463.
    (5) Except as provided inSec. 0.461 andSec. 0.463, or pursuant 
toSec. 19.735-203 of this chapter, no officer or employee of the 
Commission shall permit the inspection of records which are not 
routinely available for public inspection underSec. 0.453 orSec. 
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 
underSec. 0.453 andSec. 0.455 and those which are made available for 
inspection underSec. 0.461. Sections 0.467 and 0.465(c)(3) apply to 
requests for certified copies of Commission records.
    (d) Search and copying fees. Section 0.465(c)(2) prescribes the per 
page fee for copying records made available for inspection underSec. 
0.460 orSec. 0.461. Section 0.466 prescribes fees to cover the expense 
of searching for and reviewing records made available for inspection 
underSec. 0.460 orSec. 0.461. Review of initial fee determinations 
underSec. 0.467

[[Page 64]]

throughSec. 0.470 and initial fee reduction or waiver determinations 
underSec. 0.470(e) may be sought underSec. 0.461(j).

    Note to paragraph (d): The Commission may require advance payment 
pursuant toSec. 0.469 before releasing documents.



Sec.  0.453  Public reference rooms.

    The Commission maintains the FCC Reference Information Center as its 
public reference room at its offices in Washington, DC. Much of the 
information available from the public reference room may also be 
retrieved from the Commission's main Web site at http://www.fcc.gov and 
its electronic reading room at http://www.fcc.gov/foia/e-room.html:
    (a) The Reference Information Center. Maintains 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 
docketed rule making proceeding. Cards summarizing the history of such 
cases for the years before 1984 are available for inspection. 
Information summarizing the history of such cases for the years from 
1984 through present is available online on the Electronic Comment 
Filing System (ECFS).
    (b) Broadcast Services. The following files and documents are 
available, including:
    (1) Applications for radio and television broadcast station 
construction permits, licenses, modifications of facilities, license 
renewal, assignments and transfer of control, including any Commission 
correspondence or rulings pertaining to those applications;
    (2) Petitions to deny, informal objections, and complaints directed 
against the stations and/or station applications;
    (3) Ownership reports filed by licensees pursuant toSec. 73.3615 
of this chapter;
    (4) Television network application contracts, radio and television 
time brokerage agreements, and other documents required to be filed 
underSec. 73.3613 of this chapter;
    (5) Children's television programming reports filed by commercial 
television licensees pursuant toSec. 73.3526 of this chapter;
    (6) Annual DTV ancillary/supplementary services reports filed by 
commercial and non-commercial educational digital television licensees 
pursuant toSec. 73.624 of this chapter;
    (7) Station requests for declaratory rulings, special temporary 
authorizations, and other waivers;
    (8) Annual employment reports filed by licensees and permittees of 
broadcast stations pursuant toSec. 73.3612 of this chapter; and.
    (9) Responses from licensees to random audits of their Equal 
Employment Opportunity programs conducted pursuant toSec. 73.2080 of 
this chapter.
    (c) Common Carrier Services, including:
    (1) Annual reports filed by carriers underSec. 43.21 of this 
chapter;
    (2) Reports of proposed changes in depreciation rates filed by 
carriers underSec. 43.43 of this chapter;
    (3) Rate-of-return reports filed by price-cap and rate-of-return 
incumbent local exchange carriers underSec. 65.600 of this chapter;
    (4) All applications for common carrier authorizations acted upon by 
the Enforcement Bureau, and related files;
    (5) All formal and informal carrier-to-carrier complaints against 
common carriers filed underSec. 1.711 throughSec. 1.735 of this 
chapter, all documents filed in connection therewith, and all 
communications related thereto;
    (6) Annual employment reports filed by common carrier licensees or 
permittees pursuant toSec. 1.815 of this chapter;
    (7) Enforcement proceedings and public inquiries and related 
materials;
    (8) Cost Allocation Manuals and related materials;
    (9) Currently effective tariffs filed by Communications Common 
Carriers pursuant to various FCC Rules and Regulations; and
    (10) Recent revisions to tariff filings and the Reference 
Information Center Log, which is prepared daily and lists the tariff 
filings received the previous day.
    (d) Wireless Telecommunications Services and Auction related data 
including:
    (1) Pending files containing applications for additional facilities 
or modifications of existing facilities;
    (2) Cellular and Paging Granted Station files and related materials;
    (3) Pending cellular and paging applications and related files;

[[Page 65]]

    (4) 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 
Web site, http://wireless.fcc.gov/uls. 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; and
    (5) Petitions and related materials.
    (e) International Services as follows, except to the extent they are 
excluded from routine public inspection under another section of this 
chapter:
    (1) Satellite and earth station applications files and related 
materials under part 25 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;
    (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 sec. 4(j) of the Communications Act, 47 U.S.C. 154(j) 
(seeSec. 0.457(c)(1)(i));
    (5) International broadcast applications, applications for 
permission to deliver programming to foreign stations, and related files 
under part 73 of this chapter; and
    (6) Contracts and other arrangements filed underSec. 43.51 of this 
chapter, except for those that are filed with a request for confidential 
treatment (seeSec. 0.459) or are deemed confidential pursuant to sec. 
412 of the Communications Act (see alsoSec. 0.457(c)(3)).
    (f) Cable and other Multichannel Video Program Distribution 
Services. The following files and records are available, including:
    (1) Complaints regarding multichannel video programming, 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) Special relief petitions and files pertaining to cable 
television operations;
    (3) Special relief petitions and files pertaining to DBS television 
operations;
    (4) Petitions and related documents concerning the enforcement of 
regulations governing the installation of over-the-air reception devices 
(OTARD) pursuant toSec. 1.4000 of this chapter;
    (5) Filings by cable television operators, including Cable Signal 
Leakage Reports (Form 320 andSec. 76.1804 of this chapter), Cable 
System Registration Statements (Sec.  76.1801 of this chapter), Cable 
System Operator Changes (Sec.  76.1610 of this chapter), Cable 
Aeronautical Frequency Notifications (Sec.  76.1804 of this chapter), 
Cable Annual Report (Form 325 andSec. 76.403 of this chapter), and 
filings related to CARS licenses (Part 78 of this chapter).

    Note to paragraph (f)(5): This data also is available at http://
www.fcc.gov/coals. Electronic submissions for cable filings (excluding 
CARS) are mandatory. Original forms are not available for information 
filed electronically, but the Reference Information Center or the 
Commission's Copy Contractor may assist in producing paper copies of 
information found in the COALS database;

    (6) Annual employment reports filed by multichannel video 
programming distributors pursuant toSec. 76.1802 of this chapter; and
    (7) Responses from multichannel video programming distributors to 
random audits of their Equal Employment Opportunity programs conducted 
pursuant toSec. 76.77 of this chapter.

[74 FR 14078, Mar. 30, 2009, as amended at 76 FR 24389, May 2, 2011]



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

    Except as provided inSec. 0.453,Sec. 0.457, andSec. 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 
(seeSec. 0.5), or will be made available for inspection at

[[Page 66]]

those offices upon request. 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. 
Examples of the records available from Bureaus and Offices are set forth 
in paragraphs (a) through (c).
    (a) Media Bureau. (1) Rulings under secs. 312(a)(7), 315, and 317 of 
the Communications Act of 1934, as amended;
    (2) All materials associated with a rate proceeding for basic cable 
service and associated equipment over which the Commission has assumed 
jurisdiction pursuant toSec. 76.913 of this chapter;
    (3) All materials associated with Commission review of franchise 
authority decisions concerning the rate charged for the basic cable 
service tier and associated equipment pursuant toSec. 76.944 of this 
chapter;
    (4) All materials associated with local government requests for 
authorization to regulate basic cable rates pursuant toSec. 76.910 of 
this chapter (Form 328);
    (5) All materials associated with the certification of Open Video 
System (OVS) operators pursuant toSec. 76.1502 of this chapter;
    (6) A list of all registered cable communities is maintained 
electronically at http://www.fcc.gov/mb; and
    (7) Public notices issued related to CARS licenses, Cable Special 
Relief Petitions, and other filings are available electronically at 
http://www.fcc.gov/Document--Indexes/Media/.
    (b) 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 inSec. 0.457(b)(1) and 
(c)(1)(i). These records and files are available for inspection in the 
Office of the Secretary.
    (2) Files containing information concerning the history of the 
Commission's rules. These files are available for inspection in the 
Office of the Secretary.
    (3) Reports filed by employees pursuant to 5 CFR Parts 2634 and 3902 
and applications for inspection of such reports. SeeSec. 0.460(k).
    (c) International Bureau. (1) The treaties and other international 
and bilateral agreements listed inSec. 73.1650 of this chapter are 
available for inspection in the office of the Chief, Strategic Analysis 
and Negotiations Division, International Bureau.
    (2) Contracts and other arrangement filed underSec. 43.51 of this 
chapter and reports of negotiations regarding foreign communication 
matters filed underSec. 43.52 of this chapter, except those kept 
confidential pursuant to sec. 412 of the Communications Act. SeeSec. 
0.457(c)(3).
    (3) Files relating to international settlements under part 64 of 
this chapter.



Sec.  0.457  Records not routinely available for public inspection.

    The records listed in this section are not routinely available for 
public inspection pursuant to 5 U.S.C. 552(b). The records are listed in 
this section by category, according to the statutory basis for 
withholding those records from inspection; 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 
underSec. 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, 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 such requests. Requests to 
inspect or copy the transcripts, recordings or minutes of closed agency 
meetings will be considered underSec. 0.607 rather than under the 
provisions of this section.
    (a) Materials that are specifically authorized under criteria 
established by Executive Order (E.O.) to be kept secret in the interest 
of national defense or foreign policy and are in fact properly 
classified

[[Page 67]]

pursuant to such Executive Order, 5 U.S.C. 552(b)(1). (1) Classified 
materials and information will not be made available for public 
inspection, including materials classified under E.O. 10450, ``Security 
Requirements for Government Employees''; E.O. 10501, as amended, 
``Safeguarding Official Information in the Interests of the Defense of 
the United States''; and E.O. 12958, ``Classified National Security 
Information,'' or any other executive order concerning the 
classification of records. See also 47 U.S.C. 154(j).
    (2) Materials referred to another Federal agency for classification 
will not be disclosed while such a determination is pending.
    (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 (see paragraph (f) of this section).
    (2) Materials relating to the negotiation of contracts.
    (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 either requires that the materials be 
withheld from the public in such a manner as to leave no discretion on 
the issue, or 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 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 ofSec. 
0.461. Normally, however, such data and information is available for 
inspection.
    (3) Under sec. 412 of the Communications Act, 47 U.S.C. 412, the 
Commission may withhold from public inspection certain contracts, 
agreements and arrangements between common carriers relating to foreign 
wire or radio communication. 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 ofSec. 0.461.
    (4) Section 605 of the Communications Act, 47 U.S.C. 605(a), 
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. 
Except as required for the enforcement of the communications laws, 
treaties and the provisions of this chapter, or as authorized in sec. 
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.

[[Page 68]]

    (5) Section 1905 of the federal criminal code, the Trade Secrets 
Act, 18 U.S.C. 1905, prohibits the unauthorized disclosure of certain 
confidential information. See paragraph (d) of this section andSec. 
19.735-203 of this chapter.
    (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 paragraph 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 toSec. 0.459. A persuasive showing as to the 
reasons for inspection will be required in requests submitted under 
Sec.  0.461 for inspection of such materials.
    (i) Financial reports submitted by radio or television licensees.
    (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 (seeSec. 0.460). Portions of applications for equipment 
certification of scanning receivers and related materials will not be 
made available for inspection.
    (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) 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, except as otherwise specified by the Commission by order or by 
the International Bureau under delegated authority. See, e.g., 
International Settlements Policy Reform, IB Docket Nos. 11-80, 05-254, 
09-10, RM-11322, Report and Order, FCC 12-145 (rel. Nov. 29, 2012).
    (vi) Outage reports filed under Part 4 of this chapter.
    (vii) The following records, relating to coordination of satellite 
systems pursuant to procedures codified in the International 
Telecommunication Union (ITU) Radio Regulations:
    (A) Records of communications between the Commission and the ITU 
related to the international coordination process, and
    (B) Documents prepared in connection with coordination, 
notification, and recording of frequency assignments and Plan 
modifications, including but not limited to minutes of meetings, 
supporting exhibits, supporting correspondence, and documents and 
correspondence prepared in connection with operator-to-operator 
arrangements.
    (viii) Emergency contact information reported on FCC Form 477.

    Note to paragraph (d): The content of the communications described 
in paragraph (d)(1)(vii)(A) of this section is in some circumstances 
separately available through the ITU's publication process, or through 
records available in connection with the Commission's licensing 
procedures.

    (2) Unless the materials to be submitted are listed in paragraph 
(d)(1) of this section and the protection thereby afforded is adequate, 
any person who submits materials which he or she wishes withheld from 
public inspection under 5 U.S.C. 552(b)(4) must submit a request for 
non-disclosure pursuant toSec. 0.459. If it is shown in the request 
that the materials contain trade secrets or privileged or confidential 
commercial, financial or technical data, 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 underSec. 0.461. In the absence of a request for non-
disclosure,

[[Page 69]]

the Commission may, in the unusual instance, determine on its own motion 
that the materials should not be routinely available for public 
inspection.
    (e) Interagency and intra-agency memoranda or letters, 5 U.S.C. 
552(b)(5). Interagency and intra-agency memoranda 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 inSec. 0.461. 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). Under E.O. 10561, 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 293.311), 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 and Commission 
contractors will be withheld from public inspection.
    (g) Under 5 U.S.C. 552(b)(7), records compiled for law enforcement 
purposes, to the extent that production of such records:
    (1) Could reasonably be expected to interfere with enforcement 
proceedings;
    (2) Would deprive a person of a right to fair trial or an impartial 
adjudication;
    (3) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy;
    (4) Could reasonably be expected to disclose the identity of a 
confidential source;
    (5) Would disclose investigative techniques or procedures or would 
disclose investigative guidelines if such disclosure could reasonably be 
expected to risk circumvention of the law; or
    (6) Could reasonably be expected to endanger the life or physical 
safety of any individual.

[74 FR 14078, Mar. 30, 2009, as amended at 78 FR 11111, Feb. 15, 2013; 
78 FR 49148, Aug. 13, 2013]



Sec.  0.458  Nonpublic information.

    Any person regulated by or practicing before the Commission coming 
into possession of written nonpublic information (including written 
material transmitted in electronic form) as described inSec. 19.735-
203(a) of this chapter under circumstances where it appears that its 
release was inadvertent or otherwise unauthorized shall be obligated to 
and shall promptly return the information to the Commission's Office of 
Inspector General without further distribution or use. See 47 CFR 
19.735-203.



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

    (a)(1) Procedures applicable to filings in non-electronic 
proceedings. 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 inSec. 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. In the latter circumstance, where 
confidential treatment is sought only for a portion of a document, the 
person submitting the document shall submit a redacted version for the 
public file.
    (2) Procedures applicable to filings in electronic proceedings. In 
proceedings to which the electronic filing requirements set forth in 
Sec.  1.49(f) of this chapter apply, a party seeking confidential 
treatment of a portion of a filing must

[[Page 70]]

submit in electronic format either a redacted version of the document or 
an affidavit that it is impossible to submit a redacted document 
consistent with the filing requirements of this section. Where a party 
demonstrates that even the fact of a filing must remain confidential, 
and that this is consistent with the requirements of this section, this 
affidavit may be filed in paper format under seal.
    (3) Comments and other materials may not be submitted by means of 
the Commission's Electronic Comment Filing System (ECFS) with a request 
for confidential treatment under this section.
    (4) The Commission may use abbreviated means for indicating that the 
submitter of a record seeks confidential treatment, such as a checkbox 
enabling the submitter to indicate that the record is confidential. 
However, upon receipt of a request for inspection of such records 
pursuant toSec. 0.461, the submitter will be notified of such request 
pursuant toSec. 0.461(d)(3) and will be requested to justify the 
confidential treatment of the record, as set forth in paragraph (b) of 
this section.
    (b) Except as provided inSec. 0.459(a)(3), each such request shall 
contain a statement of the reasons for withholding the materials from 
inspection (seeSec. 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 (including simply stamping pages 
``confidential'') which do not comply with the requirements of 
paragraphs (a) and (b) of this section will not be considered.
    (d)(1) If a response in opposition to a confidentiality request is 
filed, the party requesting confidentiality may file a reply within ten 
business days. All responses or replies filed under this paragraph must 
be served on all parties.
    (2) Requests which comply with the requirements of paragraphs (a) 
and (b) of this section will be acted upon by the appropriate custodian 
of records (seeSec. 0.461(d)(1)), who is directed to grant the request 
if it demonstrates by a preponderance of the evidence that non-
disclosure is consistent with the provisions of the Freedom of 
Information Act, 5 U.S.C. 552. If the request for confidentiality is 
granted, the ruling will be placed in the public file in lieu of the 
materials withheld from public inspection.
    (3) 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 orSec. 0.461. The information will be accorded 
confidential treatment, as provided for inSec. 0.459(g) andSec. 
0.461, until the Commission acts on the confidentiality request and all 
subsequent appeal and stay proceedings have been exhausted.
    (e) If the materials are submitted voluntarily (i.e., absent any 
requirement by statute, regulation, or 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

[[Page 71]]

(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 has been 
filed underSec. 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 once the period 
for review of the denial has passed.
    (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. SeeSec. 0.457(d).
    (g) If a request for confidentiality is denied, the person who 
submitted the request may, within ten business 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 ten business 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 paragraph is the day after the date of oral notice. 
Materials will be accorded confidential treatment, as provided inSec. 
0.459(g) andSec. 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 for confidentiality is granted, the status of the 
materials is the same as that of materials listed inSec. 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.

[74 FR 14078, Mar. 30, 2009, as amended at 76 FR 24389, May 2, 2011]



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, 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 Web site, located at http://
www.fcc.gov and the Commission's electronic reading room, located on its 
Web site at http://www.fcc.gov/foia/e-room.html. Commission documents 
listed inSec. 0.416 andSec. 0.445 are published in the FCC Record, 
and many such documents or summaries thereof are also published in the 
Federal Register.
    (b) A person who wishes to inspect 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 inSec. 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 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

[[Page 72]]

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 requester may be directed to 
submit or confirm the request in writing in appropriate circumstances.
    (e)(1) Written requests for records routinely available for public 
inspection under Sec.Sec. 0.453 and 0.455 shall be directed to the 
Commission's copy contractor pursuant to the procedures set forth in 
Sec.  0.465. Requests shall be captioned ``Request For Inspection Of 
Records,'' shall be dated, shall list the mailing address, telephone 
number (if any) of the person making the request, and the e-mail address 
(if any) 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 (seeSec. 0.467).
    (2) Written requests shall be delivered or mailed directly to the 
Commission's copy contractor (seeSec. 0.465(a)).
    (f) When a written request is received by the copy contractor, it 
will be date-stamped.
    (g) All requests limited to records listed inSec. 0.453 andSec. 
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.
    (h) The records will be produced for inspection at the earliest 
possible time.
    (i) 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.
    (j) In addition to the other requirements of this section, the 
following provisions apply to the reports filed with the Commission 
pursuant to 5 CFR parts 2634 and 3902.
    (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))

[74 FR 14078, Mar. 30, 2009, as amended at 76 FR 24389, May 2, 2011]



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

    Any person desiring to inspect Commission records that are not 
listed inSec. 0.453 orSec. 0.455 shall file a request for inspection 
meeting the requirements of this section. The FOIA Public Liaison is 
available to assist persons seeking records under this section. See 
Sec.  0.441(a).
    (a)(1) Records include:
    (i) Any information that would be an agency record subject to the 
requirements of the Freedom of Information Act when maintained by the 
Commission in any format, including an electronic format; and
    (ii) Any information maintained for the Commission by an entity 
under

[[Page 73]]

Government contract, for purposes of records management.
    (2) The records in question must be reasonably described by the 
person requesting them, so as to permit their location by staff 
personnel with a reasonable amount of effort. Whenever possible, a 
request should include specific information about each record sought, 
such as the title or name, author, recipient, and subject matter of the 
record. Requests should also specify the date or time period for the 
records sought. The custodian of records sought may contact the 
requester to obtain further information about the records sought to 
assist in locating them.
    (3) The person requesting records under this section may specify the 
form or format of the records to be produced provided that the records 
may be made readily reproducible in the requested form or format.
    (b)(1) Requests shall be captioned ``Freedom of Information Act 
Request,'' shall be dated, shall list the telephone number (if any), 
street address, and e-mail address (if any) of the person making the 
request, and should reasonably describe, for each document requested 
(seeSec. 0.461(a)(1)), all information known to the person making the 
request that 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 or a request for waiver 
or reduction of fees if the requester is eligible (seeSec. 0.470(e)). 
By filing a FOIA request, the requester agrees to pay all applicable 
fees charged underSec. 0.467, unless the person making the request 
seeks a waiver of fees (seeSec. 0.470(e)), in which case the 
Commission will rule on the waiver request before proceeding with the 
search.
    (c) If the records are of the kinds listed inSec. 0.457 or if they 
have been withheld from inspection underSec. 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 or she determines 
that the materials in question may lawfully be withheld from inspection.
    (d)(1) Requests shall be
    (i) Delivered or mailed to the Managing Director, FCC, 445--12th 
Street, SW., Room 1-A836, Washington, DC 20554;
    (ii) Sent by e-mail to [email protected];
    (iii) Filed electronically though the Internet at http://
www.fcc.gov/foia/#reqform; or
    (iv) Sent by facsimile to (202) 418-2826 or (202) 418-0521. If the 
request is filed by mail or facsimile, an original and two copies of the 
request shall be submitted. If the request is enclosed in an envelope, 
the envelope shall be marked, ``Freedom of Information Act Request.''
    (2) For purposes of this section, the custodian of the records is 
the Chief of the Bureau or Office where the records are located. The 
Chief of the Bureau or Office may designate an appropriate person to act 
on a FOIA request.
    (3) If the request is for materials submitted to the Commission by 
third parties and not open to routine public inspection underSec. 
0.457(d),Sec. 0.459, or another Commission rule or order, or if a 
request for confidentiality is pending pursuant toSec. 0.459, or if 
the custodian of records has reason to believe that the information may 
contain confidential commercial information, one copy of the request 
will be provided by the custodian of the records (seeSec. 0.461(e)) to 
the person who originally submitted the materials to the Commission. If 
there are many persons who originally submitted the records and are 
entitled to notice under this paragraph, the custodian of records may 
use a public notice to notify the submitters of the request for 
inspection. The submitter or submitters will be given ten calendar days 
to respond to the FOIA request. SeeSec. 0.459(d)(1). If a submitter 
has any objection to disclosure, he or she is required to submit a 
detailed written statement specifying all grounds for withholding any 
portion of the information (seeSec. 0.459). This response shall be 
served on the party seeking to inspect the records. The requester may 
submit a reply within ten calendar days unless a different period is 
specified by the custodian of records. The reply shall be served on all 
parties

[[Page 74]]

that filed a response. In the event that a submitter fails to respond 
within the time specified, the submitter will be considered to have no 
objection to disclosure of the information.

    Note to paragraph (d)(3): Under the ex parte rules,Sec. 
1.1206(a)(7) of this chapter, a proceeding involving a FOIA request is a 
permit-but-disclose proceeding, but is subject to the special service 
rules in this paragraph. We also note that while the FOIA request itself 
is a permit-but-disclose proceeding, a pleading in a FOIA proceeding may 
also constitute a presentation in another proceeding if it addresses the 
merits of that proceeding.

    (e)(1) 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 appropriate 
custodian of the records. A FOIA request is then considered properly 
received. This will occur no later than ten calendar days after the 
request is first received by the agency.
    (2)(i) Except for the purpose of making a determination regarding 
expedited processing under paragraph (h) of this section, the time for 
processing a request for inspection of records will be tolled
    (A) While the custodian of records seeks reasonable clarification of 
the request;
    (B) Until clarification with the requester of issues regarding fee 
assessment occurs, including:
    (1) While there is an unresolved fee waiver issue pending under 
Sec.  0.470(e), unless the requester has provided a written statement 
agreeing to pay some or all of the fees pending the outcome of the 
waiver question;
    (2) Following the denial of a fee waiver, unless the requester had 
provided a written statement agreeing to pay the fees if the fee waiver 
was denied;
    (3) Where advance payment is required pursuant toSec. 0.469 and 
has not been made.
    (ii) Only one Commission request for information shall be deemed to 
toll the time for processing a request for inspection of records under 
Sec.  0.461(e)(2)(i)(A). Such request must be made no later than ten 
calendar days after a request is properly received by the custodian of 
records underSec. 0.461(e)(1).
    (3) The FOIA Control Office will send an acknowledgement to the 
requester notifying the requester of the control number assigned to the 
request, the due date of the response, and the telephone contact number 
(202-418-0440) to be used by the requester to obtain the status of the 
request. Requesters may also obtain the status of an FOIA request via e-
mail at [email protected]
    (4) Multiple FOIA requests by the same or different FOIA requesters 
may be consolidated for disposition. See alsoSec. 0.470(b)(2).
    (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)(i) If records in the possession of the Commission 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 for referral.
    (ii) If it is determined that the FOIA request seeks only records of 
another agency or department, the FOIA requester will be so informed by 
the FOIA Control Officer and will be directed to the correct agency or 
department.
    (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 
from inspection, that part will be deleted and the remainder will be 
made available for inspection. Records disclosed in part shall be marked 
or annotated to show the amount of information deleted unless doing so 
would harm an interest protected by an applicable exemption. The 
location of the information deleted and the exemption under

[[Page 75]]

which the deletion is made also shall be indicated on the record, if 
technically feasible.
    (6) In locating and recovering records responsive to an 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)(1) The custodian of the records will make every effort to act on 
the request within twenty business days after it is received and date-
stamped by the FOIA Control Office. However, if a request for 
clarification has been made underSec. 0.461(e)(2)(i)(A) or an issue is 
outstanding regarding the payment of fees for processing the FOIA 
request is pending underSec. 0.461(e)(2)(i)(B), the counting of time 
will start upon resolution of these requests. If it is not possible to 
locate the records and to determine whether they should be made 
available for inspection within twenty business days, the custodian may, 
in any of the following circumstances, extend the time for action by up 
to ten business days:
    (i) 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.
    (ii) 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
    (iii) 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.
    (2) The custodian of the records will notify the requester in 
writing of any extension of time exercised pursuant to paragraph (g) of 
this section. The custodian of the records may also call the requester 
to extend the time provided a subsequent written confirmation is 
provided. 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 or e-
mail 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. Records will be made available with the written notice of 
action or as soon thereafter as is feasible.
    (3) If the custodian of the records grants a request for inspection 
of records submitted to the Commission in confidence underSec. 
0.457(d),Sec. 0.459, or some other Commission rule or order, the 
custodian of the records will give the submitter written notice of the 
decision and of the submitter's right to seek review pursuant toSec. 
0.461(i).
    (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 inSec. 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 e-mail or by the Internet. 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

[[Page 76]]

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 whether to grant expedited 
processing shall be provided to the requester by the custodian of 
records within ten 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 business 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, seeSec. 1.115 of this 
chapter.) The Commission shall act expeditiously on the application for 
review, and shall notify the custodian of records and the requester of 
the disposition of such an application for review.
    (i)(1) If a request for inspection of records submitted to the 
Commission in confidence underSec. 0.457(d),Sec. 0.459, or another 
Commission rule or order is granted in whole or in part, an application 
for review may be filed by the person who submitted the records to the 
Commission, by a third party owner of the records or by a person with a 
personal privacy interest in the records, or by the person who filed the 
request for inspection of records within the ten business 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 filed within 
ten business 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 and any other 
parties to the proceeding. The person who filed the request for 
inspection of records may respond to the application for review within 
ten business days after it is filed.
    (2) 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.
    (3) If an application for review is denied, the person filing the 
application for review will be notified in writing and advised of his or 
her rights.
    (4) If an application for review filed by the person who submitted, 
owns, or has a personal privacy interest in the records to the 
Commission is denied, or if the records are made available on review 
which were not initially made available, the person will be afforded ten 
business 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 records 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 
of records, a fee determination (seeSec. 0.467 throughSec. 0.470), 
or a fee reduction or waiver decision (seeSec. 0.470(e)) may be filed 
only by the person who made the request. The application shall be filed 
within 30 calendar days after the date of the written ruling by the 
custodian of records. The application for review and the envelope (if 
any) shall be captioned, ``Review of Freedom of Information Action.'' 
The application shall be delivered or mailed to the General Counsel. If 
the proceeding involves records subject to confidential treatment under 
Sec.  0.457 or

[[Page 77]]

Sec.  0.459, or involves a person with an interest as described inSec. 
0.461(i), the application for review shall be served on such persons. 
That person may file a response within ten business days after the 
application for review is filed. If the records are made available for 
review, the person who submitted them to the Commission will be afforded 
ten business 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.

    Note to paragraphs (i) and (j): The General Counsel may review 
applications for review with the custodian of records and attempt to 
informally resolve outstanding issues with the consent of the requester. 
For general procedures relating to applications for review, seeSec. 
1.115 of this chapter.

    (k)(1)(i) The Commission will make every effort to act on an 
application for review of an action on a request for inspection of 
records within twenty business days after it is filed. In the following 
circumstances and to the extent time has not been extended under 
paragraphs (g)(1)(i), (ii), or (iii) ofSec. 0.461(g) of this section, 
the Commission may extend the time for acting on the application for 
review up to ten business 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 ten 
business days.):
    (A) 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;
    (B) 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
    (C) 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.
    (ii) If these circumstances are not present, the person who made the 
request may be 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 records 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.
    (2) The Commission may at its discretion or upon request consolidate 
for consideration related applications for review filed underSec. 
0.461(i) orSec. 0.461(j).
    (l)(1) Subject to the application for review and judicial stay 
provisions of paragraphs (i) and (j) of this section, if the request is 
granted, the records will be produced for inspection at the earliest 
possible time.
    (2) If a request for inspection of records becomes the subject of an 
action for judicial review before the custodian of records has acted on 
the request, or before the Commission has acted on an application for 
review, the Commission may continue to consider the request for 
production of records.
    (m) Staff orders and letters ruling on requests for inspection are 
signed by the official (or officials) who give final approval of their 
contents. Decisions of the Commission ruling on applications for review 
will set forth the names of the Commissioners participating in the 
decision.
    (n) Records shall be inspected within seven 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.

[74 FR 14078, Mar. 30, 2009, as amended at 76 FR 24389, May 2, 2011]

[[Page 78]]



Sec.  0.463  Disclosure of Commission records and information in legal
proceedings in which the Commission is a non-party.

    (a) This section sets forth procedures to be followed with respect 
to the production or disclosure of any material within the custody and 
control of the Commission, any information relating to such material, or 
any information acquired by any person while employed by the Commission 
as part of the person's official duties or because of the person's 
official status.
    (b) In the event that a demand is made by a court or other competent 
authority outside the Commission for the production of records or 
testimony (e.g., a subpoena, order, or other demand), the General 
Counsel shall promptly be advised of such demand, the nature of the 
records or testimony sought, and all other relevant facts and 
circumstances. The General Counsel, in consultation with the Managing 
Director, will thereupon issue such instructions as he or she may deem 
advisable consistent with this subpart.
    (c) A party in a court or administrative legal proceeding in which 
the Commission is a non-party who wishes to obtain records or testimony 
from the Commission shall submit a written request to the General 
Counsel. Such request must be accompanied by a statement setting forth 
the nature of the proceeding (including any relevant supporting 
documentation, e.g., a copy of the Complaint), the relevance of the 
records or testimony to the proceeding (including a proffer concerning 
the anticipated scope and duration of the testimony), a showing that 
other evidence reasonably suited to the requester's needs is not 
available from any other source (including a request submitted pursuant 
toSec. 0.460 orSec. 0.461 of the Commission's rules), and any other 
information that may be relevant to the Commission's consideration of 
the request for records or testimony. The purpose of the foregoing 
requirements is to assist the General Counsel in making an informed 
decision regarding whether the production of records or the testimony 
should be authorized.
    (d) In deciding whether to authorize the release of records or to 
permit the testimony of present or former Commission personnel, the 
General Counsel, in consultation with the Managing Director, shall 
consider the following factors:
    (1) Whether the request or demand would involve the Commission in 
issues or controversies unrelated to the Commission's mission;
    (2) Whether the request or demand is unduly burdensome;
    (3) Whether the time and money of the Commission and/or the United 
States would be used for private purposes;
    (4) The extent to which the time of employees for conducting 
official business would be compromised;
    (5) Whether the public might misconstrue variances between personal 
opinions of employees and Commission policy;
    (6) Whether the request or demand demonstrates that the records or 
testimony sought are relevant and material to the underlying proceeding, 
unavailable from other sources, and whether the request is reasonable in 
its scope;
    (7) Whether, if the request or demand were granted, the number of 
similar requests would have a cumulative effect on the expenditure of 
Commission resources;
    (8) Whether the requestor has agreed to pay search and review fees 
as set forth inSec. 0.467 of this subpart;
    (9) Whether disclosure of the records or the testimony sought would 
otherwise be inappropriate under the circumstances; and
    (10) Any other factor that is appropriate.
    (e) Among those demands and requests in response to which compliance 
will not ordinarily be authorized are those with respect to which any of 
the following factors exist:
    (1) Disclosure of the records or the testimony would violate a 
statute, Executive Order, rule, or regulation;
    (2) The integrity of the administrative and deliberative processes 
of the Commission would be compromised;
    (3) Disclosure of the records or the testimony would not be 
appropriate under the rules of procedure governing the case or matter in 
which the demand arose;
    (4) Disclosure of the records, including release in camera, or the 
testimony,

[[Page 79]]

is not appropriate or required under the relevant substantive law 
concerning privilege;
    (5) Disclosure of the records, except when in camera and necessary 
to assert a claim of privilege, or of the testimony, would reveal 
information properly classified or other matters exempt from 
unrestricted disclosure; or
    (6) Disclosure of the records or the testimony could interfere with 
ongoing Commission enforcement proceedings or other legal or 
administrative proceedings, compromise constitutional rights, reveal the 
identity of an intelligence source or confidential informant, or 
disclose trade secrets or similarly confidential commercial or financial 
information.
    (f) The General Counsel, following consultation with the Managing 
Director and any relevant Commission Bureau or Office, is authorized to 
approve non-privileged testimony by a present or former employee of the 
Commission or the production of non-privileged records in response to a 
valid demand issued by competent legal authority, or a request for 
records or testimony received under this section, and to assert 
governmental privileges on behalf of the Commission in litigation that 
may be associated with any such demand or request.
    (g) Any employee or former employee of the Commission who receives a 
demand for records of the Commission or testimony regarding the records 
or activities of the Commission shall promptly notify the General 
Counsel so that the General Counsel may take appropriate steps to 
protect the Commission's rights.

(Secs. 4(i), 303(r), Communications Act of 1934, as amended, 47 U.S.C. 
154(i) and 303(r); 5 U.S.C. 301; 47 CFR 0.231(d))



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

    Note to paragraph (a): The name, address, telephone number, and 
schedule of fees for the current copy contractor are published at the 
time of contract award of renewal in a public notice and periodically 
thereafter. Current information is available at http://www.fcc.gov/foia 
and http://www.fcc.gov/cgb. Questions regarding this information should 
be directed to the Reference Information Center of the Consumer and 
Governmental Affairs Bureau at 202-418-0270.

    (b)(1) Records routinely available for public inspection under 
Sec.Sec. 0.453 and 0.455 are available to the public through the 
Commission's current copy contractor. Section 0.461 does not apply to 
such records.
    (2) Audio or video recordings or transcripts of Commission 
proceedings are available to the public through the Commission's current 
copy contractor. In some cases, only some of these formats may be 
available.
    (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 retrieve 
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 ten cents 
($0.10) per page or $5 per computer disk in addition to charges for 
staff time as provided inSec. 0.467. For copies prepared with other 
media, such as computer tapes, microfiche, 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 the greater of $25 
or the amount which the requester has indicated that he/she is prepared 
to

[[Page 80]]

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 to paragraph (c)(2): 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). A 
request for a waiver or reduction of fees will be decided by the General 
Counsel as set forth inSec. 0.470(e).

    (3) Certified Documents. Copies of documents which are available or 
made available, for inspection under Sec.Sec. 0.451 through 0.465, 
will be prepared and certified, under seal, by the Secretary or his or 
her designee. 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 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 databases produced by the Commission and 
available to the public may be obtained from the FCC's Web site at 
http://www.fcc.gov or if unavailable on the Commission's Web site, from 
the copy contractor.

    Note to paragraph (d)(1): The Commission awards a contract to 
provide the public with access to FCC databases from the copy 
contractor. See note to paragraph (a) of this section.

    (2) Copies of computer generated data stored as paper printouts or 
electronic media and available to the public may also be obtained from 
the Commission's copy contractor (see paragraph (a) of this section).
    (3) Copies of computer source programs and associated documentation 
produced by the Commission and available to the public may be obtained 
from the Office of the Managing Director.
    (e) This section does not apply to records available on the 
Commission's Web site, http://www.fcc.gov, or printed publications which 
may be purchased from the Superintendent of Documents or private firms 
(see Sec.Sec. 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 Sec.Sec. 
0.421 and 0.423) or on the Commission's Web site, http://www.fcc.gov/
formpage.html.
    (f) Anyone requesting copies of documents pursuant to this section 
may either come in person to the Commission (seeSec. 0.460(a)) or 
request that the copy contractor 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.

[74 FR 14078, Mar. 30, 2009, as amended at 76 FR 24389, May 2, 2011]



Sec.  0.466  Definitions.

    (a) For the purpose of Sec.Sec. 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 twenty 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

[[Page 81]]

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.
    (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. The 
dissemination of records by a representative of the news media (see 
Sec.  0.466(a)(7)) shall not be considered to be for a commercial use.
    (5) The term educational institution refers to a preschool, a public 
or private elementary or secondary school, an institution of 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 
or entity that gathers information of potential interest to a segment of 
the public, uses its editorial skills to turn the raw materials into a 
distinct work, and distributes that work to an audience. In this clause, 
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 are television or radio stations broadcasting to the public at 
large and publishers of periodicals (but only if such entities qualify 
as disseminators of news) who make their products available for purchase 
or subscription by, or free distribution to, the general public. These 
examples are not all-inclusive. Moreover, as methods of news delivery 
evolve (for example, the adoption of electronic dissemination of 
newspapers through telecommunications services), such alternative media 
shall be considered to be news-media entities. A freelance journalist 
shall be regarded as working for a news-media entity if the journalist 
can demonstrate a solid basis for expecting publication through that 
entity, whether or not the journalist is actually employed by the 
entity. A publication contract would present a solid basis for such an 
expectation; the Commission may also consider the past publication 
record of the requester in making such a determination. See 5 U.S.C. 
552(a)(4)(A)(ii).
    (8) The term all other requester refers to any person not within the 
definitions in paragraphs (a)(4) through (a)(7) of this paragraph.
    (b) [Reserved]

[74 FR 14078, Mar. 30, 2009, as amended at 76 FR 24389, May 2, 2011]



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 underSec. 0.460 orSec. 
0.461, unless such fees are reduced or waived pursuant toSec. 0.470. 
The fee is based on the pay grade level of the FCC's employee(s) who 
conduct(s) the search or review, or the actual hourly rate of FCC 
contractors or other non-FCC personnel who conduct a search.

    Note to paragraph (a)(1): The fees for FCC employees will be 
modified periodically to correspond with modifications in the rate of 
pay approved by Congress and any such modifications will be announced by 
public notice and will be posted on the Commission's Web site, http://
www.fcc.gov/foia/#feeschedule.

    (2) The fees specified in paragraph (a)(1) of this section are 
computed at Step 5 of each grade level based on the General Schedule or 
the hourly rate of

[[Page 82]]

non-FCC personnel, including in addition twenty percent for personnel 
benefits. Search and review fees will be assessed in \1/4\ hour 
increments.
    (b) Search fees may be assessed for time spent searching, even if 
the Commission fails to locate responsive records or if any records 
located 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 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)(1) If the Commission estimates that search charges are likely to 
exceed the greater of $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. SeeSec. 0.465(c)(2) andSec. 
470(d).
    (2) The time for processing a request for inspection shall be tolled 
while conferring with the requester about his or her willingness to pay 
the fees required to process the request. SeeSec. 0.461(e).
    (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 seven days after notice is 
given that they have been located and are available for inspection. See 
Sec.  0.461(n). After that period, they will be returned to storage, and 
additional charges may be imposed for again producing them.

[74 FR 14078, Mar. 30, 2009, as amended at 76 FR 24390, May 2, 2011]



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.



Sec.  0.469  Advance payments.

    (a) The Commission may not require advance payment of estimated FOIA 
fees except as provided in paragraph (b) 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. Notification that fees may 
exceed $250.00 is not, however, a prerequisite for collecting fees above 
that amount.
    (b) 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 inSec. 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.
    (c) When the Commission acts under paragraph (a) of this section, 
the administrative time limits prescribed in Sec.Sec. 0.461(g) and (k) 
(i.e., twenty business days from receipt of initial requests and twenty 
business days from receipt of appeals from initial denials, plus 
permissible extensions of these time limits (seeSec. 0.461(g)(1)(i) 
through (iii) andSec. 0.461(k)(1)(i) through (iii)) will

[[Page 83]]

begin only after the agency has received the fee payments described in 
this section. SeeSec. 0.461(e)(2)(ii) andSec. 0.467(e)(2).



Sec.  0.470  Assessment of fees.

    (a)(1) Commercial use requesters. (i) 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 toSec. 0.466 andSec. 0.467, above.
    (ii) Commercial use requesters shall not be assessed search fees if 
the Commission fails to comply with the time limits underSec. 
0.461(g)(1), if no unusual or exceptional circumstances (Sec.  
0.461(g)(1)(i) through (iii)) apply to the processing of the request.
    (2) Educational and non-commercial scientific institution requesters 
and requesters who are representatives of the news media. (i) The 
Commission shall provide documents to requesters in these categories for 
the cost of reproduction only, pursuant toSec. 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 distributing information.
    (ii) Educational requesters or requesters who are representatives of 
the news media shall not be assessed fees for the cost of reproduction 
if the Commission fails to comply with the time limits underSec. 
0.461(g)(1), if no unusual or exceptional circumstances (Sec.  
0.461(g)(1)(i) through (iii)) apply to the processing of the request.
    (3) All other requesters. (i) 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 toSec. 0.465 andSec. 
0.467, except that the first 100 pages of reproduction and the first two 
hours of search time shall be furnished without charge.
    (ii) All other requesters shall not be assessed search fees if the 
Commission fails to comply with the time limits underSec. 0.461(g)(1), 
if no unusual or exceptional circumstances (Sec.  0.461(g)(1)(i) through 
(iii)) apply to the processing of the request.
    (b)(1) The 100 page restriction on assessment of reproduction fees 
in paragraphs (a)(2) and (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.''
    (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 or she is entitled to a reduced 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 or her original FOIA request, a statement explaining 
with specificity, the reasons demonstrating that he or she qualifies for 
a reduced 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 to paragraph (c): Anyone requesting a reduced fee or a fee 
waiver 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 
ten business days to provide further information to justify receiving a 
reduced fee. SeeSec. 0.467(e)(2). During this time period, the 
materials will be available for inspection to the extent that the time 
period exceeds the time period for responding to FOIA requests, as 
appropriate.
    (e)(1) 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.''

[[Page 84]]

5 U.S.C. 552(a)(4)(A)(iii). Simply repeating the fee waiver language of 
section 552(a)(4)(A)(iii) is not a sufficient basis to obtain a fee 
waiver.
    (2) The criteria used to determine whether disclosure is in the 
public interest because it is likely to contribute significantly to 
public understanding of the operations or activities of the government 
include:
    (i) Whether the subject of the requested records concerns the 
operations or activities of the government;
    (ii) Whether the disclosure is likely to contribute to an 
understanding of government operations or activities; and
    (iii) Whether disclosure of the requested information will 
contribute to public understanding as opposed to the individual 
understanding of the requester or a narrow segment of interested 
persons.
    (3) The criteria used to determine whether disclosure is primarily 
in the commercial interest of the requester include:
    (i) Whether the requester has a commercial interest that would be 
furthered by the requested disclosure; and, if so
    (ii) Whether the magnitude of the identified commercial interest of 
the requester is sufficiently large, in comparison with the public 
interest in disclosure, that disclosure is primarily in the commercial 
interest of the requester.
    (4) This request for fee reduction or waiver must accompany the 
initial request for records and will be decided under the same 
procedures used for record requests.
    (5) If no fees or de minimis fees would result from processing a 
FOIA request and a fee waiver or reduction has been sought, the General 
Counsel will not reach a determination on the waiver or reduction 
request.
    (f) Whenever the total fee calculated under this section is $15 or 
less, no fee will be charged.
    (g) Review of initial fee determinations underSec. 0.467 through 
Sec.  0.470 and initial fee reduction or waiver determinations under 
Sec.  0.470(e) may be sought underSec. 0.461(j).

[74 FR 14078, Mar. 30, 2009, as amended at 76 FR 24390, May 2, 2011]

 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]



Sec.  0.481  Place of filing applications for radio authorizations.

    For locations for filing applications, and appropriate fees, see 
Sec.Sec. 1.1102 through 1.1107 of this chapter.

[69 FR 41130, July 7, 2004]



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

    All requests for waiver of the rules (seeSec. 1.925 of this 
chapter) governing the Wireless Radio Services (seeSec. 1.907 of this 
chapter) that require a fee (seeSec. 1.1102 of this chapter) shall be 
submitted via the Universal Licensing System or to the U.S. Bank, St. 
Louis, Missouri at the address set forth inSec. 1.1102. Waiver 
requests that do not require a fee should be submitted via the Universal 
Licensing System or to: Federal Communications Commission, 1270

[[Page 85]]

Fairfield Road, Gettysburg, Pennsylvania 17325-7245. Waiver requests 
attached to applications must be submitted in accordance withSec. 
0.401(b) orSec. 0.401(c) of the rules.

[63 FR 68919, Dec. 14, 1998, as amended at 73 FR 9018, Feb. 19, 2008]



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.

[47 FR 53378, Nov. 26, 1982, as amended at 78 FR 23151, Apr. 18, 2013]



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. 
(SeeSec. 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. (SeeSec. 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  {Reserved]



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

    Applications for exemption filed under the provisions of sections 
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 inSec. 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.

[71 FR 15618, Mar. 29, 2006]



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]



  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.

[[Page 86]]

    (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 (SeeSec. 0.465).
    (b) An hourly fee is charged for recovery of the direct costs of 
searching for requested documents (SeeSec. 0.466).



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, (SeeSec. 
0.461), of the Privacy Act of 1974, (SeeSec. 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

[[Page 87]]

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 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 ofSec. 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 inSec. 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.

[[Page 88]]

    (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 inSec. 0.552.
    (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;

[[Page 89]]

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 inSec. 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 inSec. 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 asSec. 
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 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 (seeSec. 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]

[[Page 90]]



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 bySec. 
0.554(b)(2) and the information needed to locate the record as required 
bySec. 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;
    (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 inSec. 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 toSec. 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

[[Page 91]]

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 inSec. 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 withSec. 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 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 inSec. 
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]

[[Page 92]]



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 toSec. 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 ofSec. 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 Sec.Sec. 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.
    (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 (seeSec. 0.212),
    (3) The Telecommunications Committee (seeSec. 0.215), and

[[Page 93]]

    (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 inSec. 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 underSec. 0.605 may be withheld, 
if the agency determines 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 (seeSec. 
0.457(a));
    (b) Relate solely to the internal personnel rules and practices of 
an agency (seeSec. 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 (seeSec. 0.457(c));
    (d) Disclose trade secrets and commercial or financial information 
obtained from a person and privileged or confidential (seeSec. 
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 (seeSec. 
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

[[Page 94]]

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 (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 (SeeSec. 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) ofSec. 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

[[Page 95]]

would be likely to have any of the consequences listed inSec. 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 underSec. 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 ofSec. 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 
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 inSec. 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 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 toSec. 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.

[42 FR 12867, Mar. 7, 1977, as amended at 71 FR 15618, Mar. 29, 2006]



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

    (a) The agency will maintain a complete transcript or electronic 
recording

[[Page 96]]

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) 
ofSec. 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 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 underSec. 0.460. Other transcripts, and separable 
portions thereof which do not contain information properly withheld 
underSec. 0.603, may be made available for inspection underSec. 
0.461. When a transcript, or portion thereof, is made available for 
inspection underSec. 0.461, it will be placed in the public file. 
Copies of transcripts may be obtained from the duplicating contractor 
pursuant toSec. 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.
    (d) The Commissioner presiding at the meeting will prepare a 
statement setting out the time and place of the meeting, the names of 
persons other than Commission personnel who were present at the meeting, 
and the names of Commission personnel who participated in the 
discussion. These statements will be retained in a public file in the 
Minute and Rules Branch, Office of the Secretary.

[42 FR 12867, Mar. 7, 1977, as amended at 71 FR 15618, Mar. 29, 2006]



                Subpart G_Intergovernmental Communication

    Source: 66 FR 8091, Jan. 29, 2001, unless otherwise noted.



Sec.  0.701  Intergovernmental Advisory Committee.

    (a) Purpose and term of operations. The Intergovernmental Advisory 
Committee (IAC) is established to facilitate intergovernmental 
communication between municipal, county, state and tribal governments 
and the Federal Communications Commission. The IAC will commence 
operations with its first meeting convened under this section and is 
authorized to undertake its mission for a period of two years from that 
date. At his discretion, the Chairman of the Federal Communications 
Commission may extend the IAC's term of operations for an additional two 
years, for which new members will be appointed as set forth in paragraph 
(b) of this section. Pursuant to Section 204(b) of the Unfunded Mandates 
Reform Act of 1995, 2 U.S.C. 1534(b), the IAC is not subject to, and is 
not required to follow, the procedures set forth in the Federal Advisory 
Committee Act. 5 U.S.C., App. 2 (1988).
    (b) Membership. The IAC will be composed of the following 15 members 
(or their designated employees): Four elected municipal officials (city 
mayors and city council members); two elected county officials (county 
commissioners or council members); one elected or appointed local 
government attorney; one elected state executive (governor or lieutenant 
governor); three elected state legislators; one elected or appointed 
public utilities or

[[Page 97]]

public service commissioner; and three elected or appointed Native 
American tribal representatives. The Chairman of the Commission will 
appoint members through an application process initiated by a Public 
Notice, and will select a Chairman and a Vice Chairman to lead the IAC. 
The Chairman of the Commission will also appoint members to fill any 
vacancies and may replace an IAC member, at his discretion, using the 
appointment process. Members of the IAC are responsible for travel and 
other incidental expenses incurred while on IAC business and will not be 
reimbursed by the Commission for such expenses.
    (c) Location and frequency of meetings. The IAC will meet in 
Washington, DC four times a year. Members must attend a minimum of fifty 
percent of the IAC's yearly meetings and may be removed by the Chairman 
of the IAC for failure to comply with this requirement.
    (d) Participation in IAC meetings. Participation at IAC meetings 
will be limited to IAC members or employees designated by IAC members to 
act on their behalf. Members unable to attend an IAC meeting should 
notify the IAC Chairman a reasonable time in advance of the meeting and 
provide the name of the employee designated on their behalf. With the 
exception of Commission staff and individuals or groups having business 
before the IAC, no other persons may attend or participate in an IAC 
meeting.
    (e) Commission support and oversight. The Chairman of the 
Commission, or Commissioner designated by the Chairman for such purpose, 
will serve as a liaison between the IAC and the Commission and provide 
general oversight for its activities. The IAC will also communicate 
directly with the Chief, Consumer & Governmental Affairs Bureau, 
concerning logistical assistance and staff support, and such other 
matters as are warranted.

[68 FR 52519, Sept. 4, 2003]



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.
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 and accurate statements to the Commission.
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.

                         Forbearance Proceedings

1.52 Subscription and verification.

[[Page 98]]

1.53 Separate pleadings for petitions for forbearance.
1.54 Petitions for forbearance must be complete as filed.
1.55 Public notice of petitions for forbearance.
1.56 Motions for summary denial of petitions for forbearance.
1.57 Circulation and voting of petitions for forbearance.
1.58 Forbearance petition quiet period prohibition.
1.59 Withdrawal or narrowing of 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 in non-rulemaking proceedings.
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.

                      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.

                          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.

[[Page 99]]

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, or for amendment of certain FM 
          assignments.
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 of final orders in rulemaking 
          proceedings.

                                Inquiries

1.430 Proceedings on a notice of inquiry.

Subpart D [Reserved]

   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.

[[Page 100]]

1.726 Replies.
1.727 Motions.
1.728 Formal complaints not stating a cause of action; defective 
          pleadings.
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.
1.763 Construction, extension, acquisition or operation of lines.
1.764 Discontinuance, reduction, or impairment of service.
1.767 Cable landing licenses.
1.768 Notification by and prior approval for submarine cable landing 
          licensees that are or propose to become affiliated with a 
          foreign carrier.

                                 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.
1.789 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.

                          Miscellaneous Reports

1.814 Reports regarding free service rendered the Government for 
          national defense.
1.815 Reports of annual employment.

                       Grants by Random Selection

     Subpart F_Wireless Radio 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 and notification 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.
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.

[[Page 101]]

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.
1.958 Distance computation.
1.959 Computation of average terrain elevation.

                 Reports To Be Filed With the Commission

1.981 Reports, annual and semiannual.

    Foreign Ownership of Common Carrier, Aeronautical en Route, and 
               Aeronautical Fixed Radio Station Licensees

1.990 Citizenship and filing requirements under the Communications Act 
          of 1934.
1.991 Contents of petitions for declaratory ruling under the 
          Communications Act of 1934.
1.992 How to calculate indirect equity and voting interests.
1.993 Insulation criteria for interests in limited partnerships, limited 
          liability partnerships, and limited liability companies.
1.994 Routine terms and conditions.

   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 (or service).
1.1104 Schedule of charges for applications and other filings for media 
          services.
1.1105 Schedule of charges for applications and other filings for the 
          wireline competition services.
1.1106 Schedule of charges for applications and other filings for the 
          enforcement services.
1.1107 Schedule of charges for applications and other filings for the 
          international services.
1.1108 Schedule of charges for applications and other filings for the 
          international telecommunication services.
1.1109 Schedule of charges for applications and other filings for the 
          Homeland services.
1.1110 Attachment of charges.
1.1111 Payment of charges.
1.1112 Form of payment.
1.1113 Filing locations.
1.1114 Conditionality of Commission or staff authorizations.
1.1115 Return or refund of charges.
1.1116 General exemptions to charges.
1.1117 Adjustments to charges.
1.1118 Penalty for late or insufficient payments.
1.1119 Petitions and applications for review.
1.1120 Error claims.
1.1121 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.

[[Page 102]]

              Prohibition on Solicitation of Presentations

1.1210 Prohibition on solicitation of presentations.

      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 Use of presumptions in calculating the space factor.
1.1420 Timeline for access to utility poles.
1.1422 Contractors for survey and make-ready.
1.1424 Complaints by incumbent local exchange carriers.

 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.

[[Page 103]]

1.1622 Preferences.
1.1623 Probability calculation.

         Subpart M_Cable Operations and Licensing System (COALS)

1.1701 Purpose.
1.1702 Scope.
1.1703 Definitions.
1.1704 Station files.
1.1705 Forms; electronic and manual filing.
1.1706 Content of filings.
1.1707 Acceptance of filings.

Subpart N_Enforcement of Nondiscrimination on the Basis of Disability In 
     Programs or Activities Conducted by the Federal Communications 
                               Commission

1.1801 Purpose.
1.1802 Applications.
1.1803 Definitions.
1.1805 Federal Communications Commission Section 504 Programs and 
          Activities Accessibility Handbook.
1.1810 Review of compliance.
1.1811 Notice.
1.1830 General prohibitions against discrimination.
1.1840 Employment.
1.1849 Program accessibility: Discrimination prohibited.
1.1850 Program accessibility: Existing facilities.
1.1851 Building accessibility: New construction and alterations.
1.1870 Compliance procedures.

          Subpart O_Collection of Claims Owed the United States

                           General Provisions

1.1901 Definitions and construction.
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 or collateral.
1.1908 Omissions not a defense.
1.1909 [Reserved]
1.1910 Effect of insufficient fee payments, delinquent debts, or 
          debarment.

  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 and transfers of 
          delinquent debt to the Secretary of Treasury.
1.1918 Use of consumer reporting agencies.
1.1919 Contracting for collection services.
1.1920-1.1924 [Reserved]

                      Salary Offset-Individual Debt

1.1925 Purpose.
1.1926 Scope.
1.1927 Notification.
1.1928 Hearing.
1.1929 Deduction from employee's 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 the Commission is not creditor agency.
1.1935 Obtaining the services of a hearing official.
1.1936 Administrative Wage Garnishment.
1.1937-1.1939 [Reserved]

      Interest, Penalties, Administrative Costs and Other Sanctions

1.1940 Assessment.
1.1941 Exemptions.
1.1942 Other sanctions.
1.1943-1.1949 [Reserved]

              Cooperation With the Internal Revenue Service

1.1950 Reporting discharged debts to the Internal Revenue Service.
1.1951 Offset against tax refunds.
1.1952 Use and disclosure of mailing addresses.

           General Provisions Concerning Interagency Requests

1.1953 Interagency requests.

       Subpart P_Implementation of the Anti-Drug Abuse Act of 1988

1.2001 Purpose.
1.2002 Applicants required to submit information.

                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 
          certain communications.

[[Page 104]]

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 applications.
1.2113 Construction prior to grant of application.
1.2114 Reporting of eligibility event.

 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.
1.3004 Public disclosure and reporting requirements.

  Subpart S_Preemption of Restrictions That ``Impair'' the Ability To 
    Receive Television Broadcast Signals, Direct Broadcast Satellite 
   Services, or Multichannel Multipoint Distribution Services or the 
  Ability To Receive or Transmit Fixed Wireless Communications Signals

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

Subparts T-U [Reserved]

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.

                    Subpart W_FCC Registration Number

1.8001 FCC Registration Number (FRN).
1.8002 Obtaining an FRN.
1.8003 Providing the FRN in commission filings.
1.8004 Penalty for failure to provide the FRN.

                       Subpart X_Spectrum Leasing

                           Scope and Authority

1.9001 Purpose and scope.
1.9003 Definitions.
1.9005 Included services.

                     General Policies and Procedures

1.9010 De facto control standard for spectrum leasing arrangements.
1.9020 Spectrum manager leasing arrangements.
1.9030 Long-term de facto transfer leasing arrangements.
1.9035 Short-term de facto transfer leasing arrangements.
1.9040 Contractual requirements applicable to spectrum leasing 
          arrangements.
1.9045 Requirements for spectrum leasing arrangements entered into by 
          licensees participating in the installment payment program.
1.9047 Special provisions relating to leases of educational broadband 
          service spectrum.
1.9048 Special provisions relating to spectrum leasing arrangements 
          involving licensees in the Public Safety Radio Services.
1.9049 Special provisions relating to spectrum leasing arrangements 
          involving the ancillary terrestrial component of Mobile 
          Satellite Services.
1.9050 Who may sign spectrum leasing notifications and applications.
1.9055 Assignment of file numbers to spectrum leasing notifications and 
          applications.
1.9060 Amendments, waivers, and dismissals affecting spectrum leasing 
          notifications and applications.
1.9080 Private commons.

              Subpart Y_International Bureau Filing System

1.10000 What is the purpose of these rules?
1.10001 Definitions.
1.10002 What happens if the rules conflict?
1.10003 When can I start operating?
1.10004 What am I allowed to do if I am approved?
1.10005 What is IBFS?
1.10006 Is electronic filing mandatory?
1.10007 What applications can I file electronically?
1.10008 What are IBFS file numbers?
1.10009 What are the steps for electronic filing?
1.10010 Do I need to send paper copies with my electronic applications?
1.10011 Who may sign applications?
1.10012 When can I file on IBFS?
1.10013 How do I check the status of my application after I file it?
1.10014 What happens after officially filing my application?

[[Page 105]]

1.10015 Are there exceptions for emergency filings?
1.10016 How do I apply for special temporary authority?
1.10017 How can I submit additional information?
1.10018 May I amend my application?

       Subpart Z_Communications Assistance for Law Enforcement Act

1.20000 Purpose.
1.20001 Scope.
1.20002 Definitions.
1.20003 Policies and procedures for employee supervision and control.
1.20004 Maintaining secure and accurate records.
1.20005 Submission of policies and procedures and Commission review.
1.20006 Assistance capability requirements.
1.20007 Additional assistance capability requirements for wireline, 
          cellular, and PCS telecommunications carriers.
1.20008 Penalties.

      Subpart AA_Competitive Bidding for Universal Service Support

1.21000 Purpose.
1.21001 Participation in competitive bidding for support.
1.21002 Prohibition of certain communications during the competitive 
          bidding process.
1.21003 Competitive bidding process.
1.21004 Winning bidder's obligation to apply for support.

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
Appendix B to Part 1--Nationwide Programmatic Agreement for the 
          Collocation of Wireless Antennas
Appendix C to Part 1--Nationwide Programmatic Agreement Regarding the 
          Section 106 National Historic Preservation Act Review Process

    Authority: 15 U.S.C. 79 et seq.; 47 U.S.C. 151, 154(i), 154(j), 155, 
157, 225, 227, 303(r), 309, 1403, 1404, and 1451.

    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.

    (a) 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.
    (b) The bureau or office to which a petition for declaratory ruling 
has been submitted or assigned by the Commission should docket such a 
petition within an existing or current proceeding, depending on whether 
the issues raised within the petition substantially relate to an 
existing proceeding. The bureau or office then should seek comment on 
the petition via public notice. Unless otherwise specified by the bureau 
or office, the filing deadline for responsive pleadings to a docketed 
petition for declaratory ruling will be 30 days from the release date of 
the public notice, and the default filing deadline for any replies will 
be 15 days thereafter.

[76 FR 24390, May 2, 2011]



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

[[Page 106]]

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.

    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. In addition, this rule section 
prescribes the method for computing the amount of time within which the 
Commission must act in response to deadlines established by statute, a 
Commission rule, or Commission order.
    (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. SeeSec. 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. 
SeeSec. 1.4(b)(4) of this section for a description of the ``Public 
Notice'' document. Unless otherwise provided inSec. 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: SeeSec. 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

[[Page 107]]

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.

    (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 RuleSec. 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 toSec. 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 inSec. 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 
Headquarters are closed and not reopened prior to 5:30 p.m., or on which 
a Commission office aside from Headquarters is closed (but, in that 
situation, the holiday will apply only to filings with that particular 
office). For example, a

[[Page 108]]

regularly scheduled Commission business day may become a holiday with 
respect to the entire Commission if Headquarters is closed prior to 5:30 
p.m. due to adverse weather, emergency or other closing. Additionally, a 
regularly scheduled Commission business day may become a holiday with 
respect to a particular Commission office aside from Headquarters if 
that office is closed prior to 5:30 p.m. due to similar circumstances.

    Note to paragraph (e)(1): 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 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 RuleSec. 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 inSec. 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 p.m., at 445 12th Street, SW., Washington, DC 
20554. 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 toSec. 
1.939(b) must be received before midnight on the filing date. Media 
Bureau applications and reports filed electronically pursuant toSec. 
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., Sec.Sec. 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 (seeSec. 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 toSec. 1.89,Sec. 
1.315(b) orSec. 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

[[Page 109]]

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 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. If a 
rule or order of the Commission specifies that the Commission must act 
by a certain date and that date falls on a holiday, the Commission 
action must be taken by the next business day.

    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.,Sec.Sec. 1.45(d), 1.773(a)(3) and 1.773(b)(2). Additionally, 
whereSec. 76.1502(e) of this chapter conflicts with this section, 
those specific provisions ofSec. 76.1502 are controlling. See e.g. 47 
CFR 76.1502(e).
    (l) When Commission action is required by statute to be taken by a 
date that falls on a holiday, such action may be taken by the next 
business day (unless the statute provides otherwise).

[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; 67 FR 13223, Mar. 21, 2002; 71 FR 15618, Mar. 29, 2006; 74 FR 
68544, Dec. 28, 2009; 76 FR 24390, May 2, 2011; 76 FR 70908, Nov. 16, 
2011]



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

[[Page 110]]

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 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.

[[Page 111]]

    (2) Computation of time of the ten-day period for filing copies of 
petitions for review of a Commission order shall be governed by Rule 26 
of the Federal Rules of Appellate Procedure. 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 inSec. 1.4(b) of the 
Commission's Rules, 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; 
71 FR 6381, Feb. 8, 2006]



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]



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 and accurate statements to the Commission.

    (a) In any investigatory or adjudicatory matter within the 
Commission's jurisdiction (including, but not limited to, any informal 
adjudication or informal investigation but excluding any declaratory 
ruling proceeding) and in any proceeding to amend the FM or Television 
Table of Allotments (with respect to expressions of interest) or any 
tariff proceeding, no person subject to this rule shall;
    (1) In any written or oral statement of fact, intentionally provide 
material factual information that is incorrect or intentionally omit 
material information that is necessary to prevent any material factual 
statement that is made from being incorrect or misleading; and
    (2) In any written statement of fact, provide material factual 
information that is incorrect or omit material information that is 
necessary to prevent any material factual statement that is made from 
being incorrect or misleading without a reasonable basis for believing 
that any such material factual statement is correct and not misleading.
    (b) For purpose of paragraph (a) of this section, ``persons subject 
to this rule'' shall mean the following:
    (1) Any applicant for any Commission authorization;

[[Page 112]]

    (2) Any holder of any Commission authorization, whether by 
application or by blanket authorization or other rule;
    (3) Any person performing without Commission authorization an 
activity that requires Commission authorization;
    (4) Any person that has received a citation or a letter of inquiry 
from the Commission or its staff, or is otherwise the subject of a 
Commission or staff investigation, including an informal investigation;
    (5) In a proceeding to amend the FM or Television Table of 
Allotments, any person filing an expression of interest; and
    (6) To the extent not already covered in this paragraph (b), any 
cable operator or common carrier.

[68 FR 15098, Mar. 28, 2003]



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]

                  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

[[Page 113]]

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 bySec. 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 toSec. 1.24(a)(2), 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 Sec.Sec. 1.87, 
1.91, 1.221, and 1.703.

[[Page 114]]



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 inSec. 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]



Sec.Sec. 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 
inSec. 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.
    (b) Special rules governing complaints against common carriers 
arising under the Communications Act are set forth in subpart E of this 
part.
    (c) Rules governing the FCC Registration Number (FRN) are contained 
in subpart W of this part.

[28 FR 12415, Nov. 22, 1963, as amended at 66 FR 47895, Sept. 14, 2001]



Sec.  1.43  Requests for stay; cross-reference.

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


[[Page 115]]


    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 inSec. 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 toSec. 
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 ofSec. 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, Sec.Sec. 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 
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. 
Documents that are required to be served by the Commission in agency 
proceedings (i.e., not in the context of judicial proceedings, 
Congressional investigations, or other proceedings outside the 
Commission) may be served in electronic form. In proceedings involving a 
large number

[[Page 116]]

of parties, and unless otherwise provided by statute, the Commission may 
satisfy its service obligation by issuing a public notice that 
identifies the documents required to be served and that explains how 
parties can obtain copies of the documents.

    Note to paragraph (a): Section 1.47(a) grants staff the authority to 
decide upon the appropriate format for electronic notification in a 
particular proceeding, consistent with any applicable statutory 
requirements. The Commission expects that service by public notice will 
be used only in proceedings with 20 or more parties.

    (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 Sec.Sec. 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. SeeSec. 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 and interconnected VoIP provider, as 
defined inSec. 54.5 of this chapter, and non-interconnected VoIP 
provider, as defined inSec. 64.601(a)(15) of this chapter and with 
interstate end-user revenues that are subject to contribution to the 
Telecommunications Relay Service Fund, that is 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 such 
carrier, interconnected VoIP provider, or non-interconnected VoIP 
provider in any proceeding before the Commission. Such designation shall 
include, for the carrier, interconnected VoIP provider, or non-
interconnected VoIP provider and its designated agents, a name, business 
address, telephone or voicemail number, facsimile number, and, if 
available, Internet e-mail address. Such carrier, interconnected VoIP 
provider, or non-interconnected VoIP provider shall additionally list 
any other names by which it is known or under which it does business, 
and, if the carrier, interconnected VoIP provider, or non-interconnected 
VoIP provider is an affiliated company, the parent, holding, or 
management company. Within thirty (30) days of the commencement of 
provision of service, such carrier, interconnected VoIP provider, or 
non-interconnected VoIP provider shall file such information with the 
Chief of the Enforcement Bureau's Market Disputes Resolution Division. 
Such carriers, interconnected VoIP providers, and non-interconnected 
VoIP providers may file a hard copy of the relevant portion of the 
Telecommunications Reporting Worksheet,

[[Page 117]]

as delineated by the Commission in the Federal Register, to satisfy this 
requirement. Each Telecommunications Reporting Worksheet filed annually 
by a common carrier, interconnected VoIP provider, or non-interconnected 
VoIP provider 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, 
interconnected VoIP providers, and non-interconnected VoIP providers 
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, 
interconnected VoIP provider, or non-interconnected VoIP provider by 
leaving a copy thereof with such designated agent at his office or usual 
place of residence. If such carrier, interconnected VoIP provider, or 
non-interconnected VoIP provider 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; 71 FR 
38796, July 10, 2006; 76 FR 24390, May 2, 2011; 76 FR 65969, Oct. 25, 
2011]



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

[[Page 118]]

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 
(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. SeeSec. 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, must be filed in electronic format:
    (i) Formal complaint proceedings under Section 208 of the Act and 
rules in Sec.Sec. 1.720 through 1.736, and pole attachment complaint 
proceedings under Section 224 of the Act and rules in Sec.Sec. 1.1401 
through 1.1418;
    (ii) Proceedings, other than rulemaking proceedings, relating to 
customer proprietary network information (CPNI);
    (iii) Proceedings relating to cable special relief petitions;
    (iv) Proceedings involving Over-the-Air Reception Devices; and
    (v) Common carrier certifications under rule inSec. 54.314 of this 
chapter.
    (2) Unless required under paragraph (f)(1) of this section, 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;
    (iii) Petition for rulemaking proceedings (except broadcast 
allotment proceedings); and
    (iv) Petition for forbearance proceedings.
    (3) 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 toSec. 1.49: 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; 74 FR 39227, Aug. 6, 2009; 76 FR 24390, May 2, 2011]

[[Page 119]]



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 inSec. 1.49.

[63 FR 68920, Dec. 14, 1998]



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

    (a) In hearing proceedings, unless otherwise specified by Commission 
rules, an original and one copy shall be filed, along with-an additional 
copy for each additional presiding officer at the hearing, if more than 
one.
    (b) In rulemaking proceedings which have not been designated for 
hearing, seeSec. 1.419.
    (c) In matters other than rulemaking and hearing cases, unless 
otherwise specified by Commission rules, an original and one copy shall 
be filed. If the matter relates to part 22 of the rules, seeSec. 22.6 
of this chapter.
    (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. (SeeSec. 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.

[76 FR 24391, May 2, 2011]



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 toSec. 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 
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 toSec. 1.24, for

[[Page 120]]

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]

                         Forbearance Proceedings



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]



Sec.  1.54  Petitions for forbearance must be complete as filed.

    (a) Description of relief sought. Petitions for forbearance must 
identify the requested relief, including:
    (1) Each statutory provision, rule, or requirement from which 
forbearance is sought.
    (2) Each carrier, or group of carriers, for which forbearance is 
sought.
    (3) Each service for which forbearance is sought.
    (4) Each geographic location, zone, or area for which forbearance is 
sought.
    (5) Any other factor, condition, or limitation relevant to 
determining the scope of the requested relief.
    (b) Prima facie case. Petitions for forbearance must contain facts 
and arguments which, if true and persuasive, are sufficient to meet each 
of the statutory criteria for forbearance.
    (1) A petition for forbearance must specify how each of the 
statutory criteria is met with regard to each statutory provision or 
rule, or requirement from which forbearance is sought.
    (2) If the petitioner intends to rely on data or information in the 
possession of third parties, the petition must identify:
    (i) The nature of the data or information.
    (ii) The parties believed to have or control the data or 
information.
    (iii) The relationship of the data or information to facts and 
arguments presented in the petition.
    (3) The petitioner shall, at the time of filing, provide a copy of 
the petition to each third party identified as possessing data or 
information on which the petitioner intends to rely.
    (c) Identification of related matters. A petition for forbearance 
must identify any proceeding pending before the Commission in which the 
petitioner has requested, or otherwise taken a position regarding, 
relief that is identical to, or comparable to, the relief sought in the 
forbearance petition. Alternatively, the petition must declare that the 
petitioner has not, in a pending proceeding, requested or otherwise 
taken a position on the relief sought.
    (d) Filing requirements. Petitions for forbearance shall comply with 
the filing requirements inSec. 1.49.
    (1) Petitions for forbearance shall be e-mailed to 
[email protected] at the time for filing.
    (2) All filings related to a forbearance petition, including all 
data, shall be provided in a searchable format. To be searchable, a 
spreadsheet containing a significant amount of data must be capable of 
being manipulated to allow meaningful analysis.
    (e) Contents. Petitions for forbearance shall include:
    (1) A plain, concise, written summary statement of the relief 
sought.
    (2) A full statement of the petitioner's prima facie case for 
relief.
    (3) Appendices that list:
    (i) The scope of relief sought as required inSec. 1.54(a);
    (ii) All supporting data upon which the petition intends to rely, 
including a market analysis; and
    (iii) Any supporting statements or affidavits.
    (f) Supplemental information. The Commission will consider further 
facts and arguments entered into the record by a petitioner only:
    (1) In response to facts and arguments introduced by commenters or 
opponents.

[[Page 121]]

    (2) By permission of the Commission.

[74 FR 39227, Aug. 6, 2009]



Sec.  1.55  Public notice of petitions for forbearance.

    (a) Filing a petition for forbearance initiates the statutory time 
limit for consideration of the petition.
    (b) The Commission will issue a public notice when it receives a 
properly filed petition for forbearance. The notice will include:
    (1) A statement of the nature of the petition for forbearance.
    (2) The scope of the forbearance sought and a description of the 
subjects and issues involved.
    (3) The docket number assigned to the proceeding.
    (4) A statement of the time for filing oppositions or comments and 
replies thereto.

[74 FR 39227, Aug. 6, 2009]



Sec.  1.56  Motions for summary denial of petitions for forbearance.

    (a) Opponents of a petition for forbearance may submit a motion for 
summary denial if it can be shown that the petition for forbearance, 
viewed in the light most favorable to the petitioner, cannot meet the 
statutory criteria for forbearance.
    (b) A motion for summary denial may not be filed later than the due 
date for comments and oppositions announced in the public notice.
    (c) Oppositions to motions for summary denial may not be filed later 
than the due date for reply comments announced in the public notice.
    (d) No reply may be filed to an opposition to a motion for summary 
denial.

[74 FR 39227, Aug. 6, 2009]



Sec.  1.57  Circulation and voting of petitions for forbearance.

    (a) If a petition for forbearance includes novel questions of fact, 
law or policy which cannot be resolved under outstanding precedents and 
decisions, the Chairman will circulate a draft order no later than 28 
days prior to the statutory deadline, unless all Commissioners agree to 
a shorter period.
    (b) The Commission will vote on any circulated order resolving a 
forbearance petition not later than seven days before the last day that 
action must be taken to prevent the petition from being deemed granted 
by operation of law.

[74 FR 39227, Aug. 6, 2009]



Sec.  1.58  Forbearance petition quiet period prohibition.

    The prohibition inSec. 1.1203(a) on contacts with decisionmakers 
concerning matters listed in the Sunshine Agenda shall also apply to a 
petition for forbearance for a period of 14 days prior to the statutory 
deadline under 47 U.S.C. 160(c) or as announced by the Commission.

[74 FR 39227, Aug. 6, 2009]



Sec.  1.59  Withdrawal or narrowing of petitions for forbearance.

    (a) A petitioner may withdraw or narrow a petition for forbearance 
without approval of the Commission by filing a notice of full or partial 
withdrawal at any time prior to the end of the tenth business day after 
the due date for reply comments announced in the public notice.
    (b) Except as provided in paragraph (a) of this section, a petition 
for forbearance may be withdrawn, or narrowed so significantly as to 
amount to a withdrawal of a large portion of the forbearance relief 
originally requested by the petitioner, only with approval of the 
Commission.

[74 FR 39227, Aug. 6, 2009]

                     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) In accordance withSec. 1.1307 andSec. 17.4(c) of this 
chapter, the Bureau will address any environmental concerns prior to 
processing the registration.

[[Page 122]]

    (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 bySec. 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 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 (seeSec. 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; 77 FR 
3952, Jan. 26, 2012]

[[Page 123]]



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 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. Except as 
otherwise required by rules applicable to particular types of 
applications, 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 the application so as to furnish such additional or 
corrected information as may be appropriate. Except as otherwise 
required by rules applicable to particular types of applications, 
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 withSec. 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 broadcast services subject to competitive 
bidding will be

[[Page 124]]

subject to the provisions of Sec.Sec. 1.2105(b), 73.5002 and 73.3522 
of this chapter 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; 69 FR 72026, Dec. 10, 2004; 75 FR 
4702, Jan. 29, 2010]



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)



Sec.  1.77  Detailed application procedures; cross references.

    The application procedures set forth in Sec.Sec. 1.61 through 1.68 
are general in nature. Applicants should also refer to the Commission 
rules regarding the payment of statutory charges (subpart G of this 
part) and the use of the FCC Registration Number (FRN) (see subpart W of 
this part). 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 Service 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

[[Page 125]]

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; 66 FR 47895, Sept. 14, 2001; 78 FR 
25160, Apr. 29, 2013]

                        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;
    (4) Violated any provision of section 227(e) of the Communications 
Act or of the rules issued by the Commission under section 227(e) of 
that Act; or
    (5) Violated any provision of section 1304, 1343, or 1464 of Title 
18, United States Code.
    (6) Violated any provision of section 6507 of the Middle Class Tax 
Relief and Job Creation Act of 2012 or any rule, regulation, or order 
issued by the Commission under that statute.

    Note to paragraph (a): 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) through (4) of this section shall not apply to conduct which is 
subject to a forfeiture penalty or fine under sections 202(c), 203(e), 
205(b), 214(d), 219(b), 220(d), 223(b), 364(a), 364(b), 386(a), 386(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 $37,500 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 
$400,000 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. Notwithstanding the foregoing in this section, if 
the violator is a broadcast station licensee or permittee or an 
applicant for any broadcast license, permit, certificate, or other 
instrument of authorization issued by the Commission, and if the 
violator is determined by the Commission to have broadcast obscene, 
indecent, or profane material, the forfeiture penalty under this section 
shall not exceed $350,000 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 $3,300,000 for any single act or failure to 
act described in paragraph (a) of this section.
    (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 authorization issued by the 
Commission, the amount of any forfeiture penalty determined under this 
section shall not exceed $160,000 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 $1,575,000 for any single act or 
failure to act described in paragraph (a) of this section.
    (3) If the violator is a manufacturer or service provider subject to 
the requirements of section 255, 716, or 718 of

[[Page 126]]

the Communications Act, and is determined by the Commission to have 
violated any such requirement, the manufacturer or service provider 
shall be liable to the United States for a forfeiture penalty of not 
more than $105,000 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 $1,050,000 for any single act or failure to 
act.
    (4) Any person determined to have violated section 227(e) of the 
Communications Act or the rules issued by the Commission under section 
227(e) of the Communications Act shall be liable to the United States 
for a forfeiture penalty of not more than $10,000 for each violation or 
three times that amount for each day of a continuing violation, except 
that the amount assessed for any continuing violation shall not exceed a 
total of $1,025,000 for any single act or failure to act. Such penalty 
shall be in addition to any other forfeiture penalty provided for by the 
Communications Act.
    (5) If a violator who is granted access to the Do-Not-Call registry 
of public safety answering points discloses or disseminates any 
registered telephone number without authorization, in violation of 
section 6507(b)(4) of the Middle Class Tax Relief and Job Creation Act 
of 2012 or the Commission's implementing rules, the monetary penalty for 
such unauthorized disclosure or dissemination of a telephone number from 
the registry shall be not less than $100,000 per incident nor more than 
$1,000,000 per incident depending upon whether the conduct leading to 
the violation was negligent, grossly negligent, reckless, or willful, 
and depending on whether the violation was a first or subsequent 
offense.
    (6) If a violator uses automatic dialing equipment to contact a 
telephone number on the Do-Not-Call registry of public safety answering 
points, in violation of section 6507(b)(5) of the Middle Class Tax 
Relief and Job Creation Act of 2012 or the Commission's implementing 
rules, the monetary penalty for contacting such a telephone number shall 
be not less than $10,000 per call nor more than $100,000 per call 
depending on whether the violation was negligent, grossly negligent, 
reckless, or willful, and depending on whether the violation was a first 
or subsequent offense.
    (7) In any case not covered in paragraphs (b)(1) through (b)(6) of 
this section, the amount of any forfeiture penalty determined under this 
section shall not exceed $16,000 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 $122,500 for any single act or 
failure to act described in paragraph (a) of this section.
    (8) 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)(8): 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 ceilings per violation or per day for a 
continuing violation stated in section 503 of the Communications Act and 
the Commission's rules are described inSec. 1.80(b)(9). These 
statutory maxima became effective September 13, 2013. 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                 10,000
 marking................................................
Violation of public file rules..........................          10,000
Violation of political rules: reasonable access, lowest            9,000
 unit charge, equal opportunity, and discrimination.....

[[Page 127]]

 
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
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                      3,000
 requirements...........................................
Failure to file required forms or information...........           3,000
Failure to make required measurements or conduct                   2,000
 required 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    Common Carrier............         $40,000
 long distance telephone
 service.
Violation of operator         Common Carrier............           7,000
 services requirements.
Violation of pay-per-call     Common Carrier............           7,000
 requirements.
Failure to implement rate     Cable.....................           7,500
 reduction or refund order.
Violation of cable program    Cable.....................           7,500
 access rules.
Violation of cable leased     Cable.....................           7,500
 access rules.
Violation of cable cross-     Cable.....................           7,500
 ownership rules.
Violation of cable broadcast  Cable.....................           7,500
 carriage rules.
Violation of pole attachment  Cable.....................           7,500
 rules.
Failure to maintain           Broadcast.................           7,000
 directional pattern within
 prescribed parameters.
Violation of main studio      Broadcast.................           7,000
 rule.
Violation of broadcast hoax   Broadcast.................           7,000
 rule.
AM tower fencing............  Broadcast.................           7,000
Broadcasting telephone        Broadcast.................           4,000
 conversations without
 authorization.
Violation of enhanced         Broadcast.................           2,000
 underwriting 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 two exceptions, state 
prescribed

[[Page 128]]

amounts of forfeitures for violations of the relevant section. These 
amounts are then subject to mitigation or remission under section 504 of 
the Act. One exception is section 223 of the Act, which provides a 
maximum forfeiture per day. For convenience, the Commission will treat 
this amount as if it were a prescribed base amount, subject to downward 
adjustments. The other exception is section 227(e) of the Act, which 
provides maximum forfeitures per violation, and for continuing 
violations. The Commission will apply the factors set forth in section 
503(b)(2)(E) of the Act and section III of this note to determine the 
amount of the penalty to assess in any particular situation. The 
following amounts are adjusted for inflation pursuant to the Debt 
Collection Improvement Act of 1996 (DCIA), 28 U.S.C. 2461. 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.

------------------------------------------------------------------------
               Violation                      Statutory amount  ($)
------------------------------------------------------------------------
Sec. 202(c) Common Carrier               $9,600, 530/day.
 Discrimination.
Sec. 203(e) Common Carrier Tariffs.....  9,600, 530/day.
Sec. 205(b) Common Carrier               23,200.
 Prescriptions.
Sec. 214(d) Common Carrier Line          1,320/day.
 Extensions.
Sec. 219(b) Common Carrier Reports.....  1,320.
Sec. 220(d) Common Carrier Records &     9,600/day.
 Accounts.
Sec. 223(b) Dial-a-Porn................  80,000/day.
Sec. 227(e)............................  10,000/violation. 30,000/day
                                          for each day of continuing
                                          violation, up to 1,025,000 for
                                          any single act or failure to
                                          act.
Sec. 364(a) Forfeitures (Ships)........  7,500 (owner).
Sec. 364(b) Forfeitures (Ships)........  1,100 (vessel master).
Sec. 386(a) Forfeitures (Ships)........  7,500/day (owner).
Sec. 386(b) Forfeitures (Ships)........  1,100 (vessel master).
Sec. 634 Cable EEO.....................  650/day.
------------------------------------------------------------------------

    (9) 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 101-410 (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 method specified in the statute. 
This is to be done by determining the `cost-of-living adjustment', which 
is the percentage (if any) by which the CPI for June of the preceding 
year exceeds the CPI for June of the year the forfeiture amount was last 
set or adjusted. The inflation adjustment is determined by multiplying 
the cost-of-living adjustment by the statutory maximum amount. Round off 
this result using the rules in paragraph (b)(9)(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 application of the inflation adjustments required by the 
DCIA, 28 U.S.C. 2461, results in the following adjusted statutory 
maximum forfeitures authorized by the Communications Act:

------------------------------------------------------------------------
                                                         Maximum penalty
                   U.S. Code citation                       after DCIA
                                                         adjustment  ($)
------------------------------------------------------------------------
47 U.S.C. 202(c).......................................            9,600
                                                                     530

[[Page 129]]

 
47 U.S.C. 203(e).......................................            9,600
                                                                     530
47 U.S.C. 205(b).......................................           23,200
47 U.S.C. 214(d).......................................            1,320
47 U.S.C. 219(b).......................................            1,320
47 U.S.C. 220(d).......................................            9,600
47 U.S.C. 223(b).......................................           80,000
47 U.S.C. 227(e).......................................           10,000
                                                                  30,000
                                                               1,025,000
47 U.S.C. 362(a).......................................            7,500
47 U.S.C. 362(b).......................................            1,100
47 U.S.C. 386(a).......................................            7,500
47 U.S.C. 386(b).......................................            1,100
47 U.S.C. 503(b)(2)(A).................................           37,500
                                                                 400,000
47 U.S.C. 503(b)(2)(B).................................          160,000
                                                               1,575,000
47 U.S.C. 503(b)(2)(C).................................          350,000
                                                               3,300,000
47 U.S.C. 503(b)(2)(D).................................           16,000
                                                                 122,500
47 U.S.C. 503(b)(2)(F).................................          105,000
                                                               1,050,000
47 U.S.C. 507(a).......................................              750
47 U.S.C. 507(b).......................................              110
47 U.S.C. 554..........................................              650
------------------------------------------------------------------------

    Note to paragraph (b)(9): 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 the case of a forfeiture imposed under section 227(e), no 
forfeiture will be imposed if the violation occurred more than 2 years 
prior to the date on which the appropriate notice is issued.
    (4) 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. Except for a 
forfeiture imposed under subsection 227(e)(5) of the Act, no forfeiture 
penalty shall be imposed upon any person under this section of the Act 
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 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).

[[Page 130]]

    (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 (seeSec. 
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 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 bySec. 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

[[Page 131]]

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 979088, St. Louis, MO 63197-9000.
    (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 toSec. 
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; 65 FR 60868, Oct. 13, 2000; 69 FR 47789, Aug. 6, 2004; 72 
FR 33914, June 20, 2007; 73 FR 9018, Feb. 19, 2008; 73 FR 44664, July 
31, 2008; 76 FR 43203, July 20, 2011; 76 FR 82388, Dec. 30, 2011; 77 FR 
71137, Nov. 29, 2012; 78 FR 10100, Feb. 13, 2013; 78 FR 49371, Aug. 14, 
2013]



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 inSec. 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 operator shall send his operator license to the Mobility 
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.

[78 FR 23151, Apr. 18, 2013]



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.

[[Page 132]]

    (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 (Sec.Sec. 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 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 inSec. 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]

[[Page 133]]



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 ofSec. 
1.80 apply and not those ofSec. 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 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.

[[Page 134]]

    (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 Sec.Sec. 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 toSec. 
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 inSec. 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 inSec. 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 inSec. 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 inSec. 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 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

[[Page 135]]

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. SeeSec. 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;
    (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.

[[Page 136]]

    (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 underSec. 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 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 1.117 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 Sec.Sec. 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.

[76 FR 70908, Nov. 16, 2011]

[[Page 137]]



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. 
Sec.Sec. 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 inSec. 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 inSec. 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 Sec.Sec. 0.351, 1.106(a) and 1.115(e).
    (b) Any person desiring Commission consideration of a final action 
taken 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 inSec. 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.


[[Page 138]]


    (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 inSec. 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 in non-rulemaking proceedings.

    (a)(1) Except as provided in paragraphs (b)(3) and (p) of this 
section, petitions requesting reconsideration of a final Commission 
action in non-rulemaking proceedings 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 rulemaking proceedings, seeSec. 1.429. 
ThisSec. 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, Sec.Sec. 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 are present:
    (i) The petition relies on facts or arguments which relate to events 
which have occurred or circumstances which have changed since the last 
opportunity to present such matters to the Commission; or
    (ii) The petition relies on facts or arguments 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 or arguments in question 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) In the case of any order other than an order denying an 
application

[[Page 139]]

for review, a petition for reconsideration which relies on facts or 
arguments not previously presented to the Commission or to the 
designated authority may be granted only under the following 
circumstances:
    (1) The facts or arguments fall within one or more of the categories 
set forth inSec. 1.106(b)(2); or
    (2) The Commission or the designated authority determines that 
consideration of the facts or arguments relied on is required in the 
public interest.
    (d)(1) A petition for reconsideration 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 of relief sought and, subject to this 
requirement, may contain alternative requests.
    (2) A petition for reconsideration of a decision that sets forth 
formal findings of fact and conclusions of law shall also cite the 
findings and/or conclusions which petitioner believes to be erroneous, 
and shall state with particularity the respects in which he believes 
such findings and/or conclusions should be changed. The petition may 
request that additional findings of fact and/or 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 inSec. 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 Sec.Sec. 1.49, 1.51, and 1.52 and shall 
be submitted to the Secretary, Federal Communications Commission, 
Washington, DC 20554, by mail, by commercial courier, by hand, or by 
electronic submission through the Commission's Electronic Comment Filing 
System or other electronic filing system (such as ULS). Petitions 
submitted only by electronic mail and petitions submitted directly to 
staff without submission to the Secretary shall not be considered to 
have been properly filed. Parties filing in electronic form need only 
submit one copy.
    (j) The Commission or designated authority may grant the petition 
for reconsideration in whole or in part or may deny or dismiss 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 140]]

    (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. (SeeSec. 
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, seeSec. 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.
    (p) Petitions for reconsideration of a Commission action that 
plainly do not warrant consideration by the Commission may be dismissed 
or denied by the relevant bureau(s) or office(s). Examples include, but 
are not limited to, petitions that:
    (1) Fail to identify any material error, omission, or reason 
warranting reconsideration;
    (2) Rely on facts or arguments which have not previously been 
presented to the Commission and which do not meet the requirements of 
paragraphs (b)(2), (b)(3), or (c) of this section;
    (3) Rely on arguments that have been fully considered and rejected 
by the Commission within the same proceeding;
    (4) Fail to state with particularity the respects in which 
petitioner believes the action taken should be changed as required by 
paragraph (d) of this section;
    (5) Relate to matters outside the scope of the order for which 
reconsideration is sought;

[[Page 141]]

    (6) Omit information required by these rules to be included with a 
petition for reconsideration, such as the affidavit required by 
paragraph (e) of this section (relating to electrical interference);
    (7) Fail to comply with the procedural requirements set forth in 
paragraphs (f) and (i) of this section;
    (8) relate to an order for which reconsideration has been previously 
denied on similar grounds, except for petitions which could be granted 
under paragraph (c) of this section; or
    (9) Are untimely.

(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; 76 FR 
24391, May 2, 2011]



Sec.  1.108  Reconsideration on Commission's own motion.

    The Commission may, on its own motion, reconsider any action made or 
taken by it within 30 days from the date of public notice of such 
action, as that date is defined inSec. 1.4(b). When acting on its own 
motion under this section, the Commission may take any action it could 
take in acting on a petition for reconsideration, as set forth inSec. 
1.106(k).

[76 FR 24392, May 2, 2011]



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 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) 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.

[[Page 142]]

    (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 ofSec. 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.
    (e)(1) Applications for review of interlocutory rulings made by the 
Chief Administrative Law Judge (seeSec. 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 
application 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

[[Page 143]]

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 Enforcement 
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 
inSec. 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 Sec.Sec. 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 
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. (SeeSec. 
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

[[Page 144]]

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; 67 FR 13223, Mar. 21, 2002; 76 FR 
70908, Nov. 16, 2011]



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 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.



                      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 seeSec. 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

[[Page 145]]

paper filed with the Commission in a hearing proceeding. It does not 
include exhibits or documents offered in evidence. SeeSec. 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 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 Sec.Sec. 1.291 through 1.298.
    (b) Rules governing appeal from rulings made by the presiding 
officer are set forth as Sec.Sec. 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 Sec.Sec. 1.101 through 
1.117.

[28 FR 12425, Nov. 22, 1963, as amended at 29 FR 6443, May 16, 1964; 36 
FR 19439, Oct. 6, 1971; 76 FR 70908, Nov. 16, 2011]



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, seeSec. 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 Information Center of the Consumer and 
Governmental Affairs 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 Center of the Consumer and Governmental Affairs 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

[[Page 146]]

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 
time specified, shall, unless good cause for such failure is shown, 
forfeit his hearing rights.
    (f)(1) 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 perSec. 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.

    (2) When a fee is required to accompany a written appearance as 
described in paragraph (f)(1) of this section, the written appearance 
must also contain FCC Registration Number (FRN) in conformance with 
subpart W of this part. The presiding judge will notify the party filing 
the appearance of the omitted FRN and dismiss the applicant with 
prejudice for failure to prosecute if the written appearance is not 
resubmitted with the FRN within ten (10) business days of the date of 
notification.
    (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), orSec. 73.3573(g) of this chapter, 
a hearing fee payment should not be made with the filing of the Notice 
of Appearance.
    (h)(1) For program carriage complaints filed pursuant toSec. 
76.1302 of this chapter that the Chief, Media Bureau refers to an 
administrative law judge for an initial decision, each party, in person 
or by attorney, shall file a written appearance within five calendar 
days after the party informs the Chief Administrative Law Judge that it 
elects not to pursue alternative dispute resolution pursuant toSec. 
76.7(g)(2) of this chapter or, if the parties have mutually elected to 
pursue alternative dispute resolution pursuant toSec. 76.7(g)(2) of 
this chapter, within five calendar days after the parties inform the 
Chief Administrative Law Judge that they have failed to resolve their 
dispute through alternative dispute resolution. The written appearance 
shall state that the party will appear on the date fixed for hearing and 
present evidence on the issues specified in the hearing designation 
order.
    (2) If the complainant fails to file a written appearance by this 
deadline, or fails to file prior to the deadline either a petition to 
dismiss the proceeding without prejudice or a petition to accept, for 
good cause shown, a written appearance beyond such deadline, the Chief 
Administrative Law Judge shall dismiss the complaint with prejudice for 
failure to prosecute.
    (3) If the defendant fails to file a written appearance by this 
deadline, or fails to file prior to this deadline a petition to accept, 
for good cause shown, a written appearance beyond such deadline, its 
opportunity to present evidence at hearing will be deemed to have been 
waived. If the hearing is so waived, the Chief Administrative Law Judge 
shall expeditiously terminate

[[Page 147]]

the proceeding and certify to the Commission the complaint for 
resolution based on the existing record.

(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; 66 FR 47895, Sept. 14, 2001; 67 FR 
13223, Mar. 21, 2002; 76 FR 60672, Sept. 29, 2011]



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 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

[[Page 148]]

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 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

[[Page 149]]

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 inSec. 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 RuleSec. 21.31 
of this chapter for the requirements as to mutually exclusive 
applications. See also RuleSec. 21.23 of this chapter 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 and not subject to 
competitive bidding procedures pursuant toSec. 1.2102 of this chapter 
are filed in the Private Radio Services, or when there are more such 
applications for initial licenses than can be accommodated on available 
frequencies. Except for applications filed under part 101, subparts H 
and O, Private Operational Fixed Microwave Service, and applications for 
high seas public coast stations (see Sec. .Sec.  80.122(b)(1) (first 
sentence), 80.357, 80.361, 80.363(a)(2), 80.371(a), (b), and (d), and 
Sec.  80.374 of this chapter) mutual exclusivity will occur if the later 
application or applications are received by the Commission's offices in 
Gettysburg, PA (or St. Louis, Missouri 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

[[Page 150]]

Fixed Microwave Service, mutual exclusivity will occur if two or more 
acceptable applications that are in conflict are filed on the same day. 
Applications for high seas public coast stations will be processed on a 
first come, first served basis, with the first acceptable application 
cutting off the filing rights of subsequent, conflicting applications. 
Applications for high seas public coast stations received on the same 
day will be treated as simultaneously filed and, if granting more than 
one would result in harmful interference, must be resolved through 
settlement or technical amendment.
    (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.

[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; 67 FR 34851, May 16, 2002; 67 FR 48563, July 25, 2002; 73 FR 9018, 
Feb. 19, 2008; 76 FR 70908, Nov. 16, 2011]



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. 
(SeeSec. 1.223 of this part).
    (2) For program carriage complaints filed pursuant toSec. 76.1302 
of this chapter that the Chief, Media Bureau refers to an administrative 
law judge for an initial decision, such motions shall be filed within 15 
calendar days after the deadline for submitting written appearances 
pursuant toSec. 1.221(h), 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).
    (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 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

[[Page 151]]

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; 76 FR 60672, Sept. 29, 2011; 76 FR 
70908, Nov. 16, 2011; 78 FR 5745, Jan. 28, 2013]

                            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;
    (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 inSec. 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

[[Page 152]]

    (l) Act on motions to proceed in forma pauperis pursuant toSec. 
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 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; 76 FR 
70908, Nov. 16, 2011]



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 
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

[[Page 153]]

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 Sec.Sec. 1.223 and 1.227) or changing 
the issues (seeSec. 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 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, except 
that for program carriage complaints filed pursuant toSec. 76.1302 of 
this chapter that the Chief, Media Bureau refers to an administrative 
law judge for an initial decision, the initial prehearing conference 
shall be held no later than 10 calendar days after the deadline for 
submitting written appearances pursuant toSec. 1.221(h) or within such 
shorter or longer period as the Commission may allow on motion or notice 
consistent with the public interest.
    (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

[[Page 154]]

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, except that for program carriage complaints 
filed pursuant toSec. 76.1302 of this chapter that the Chief, Media 
Bureau refers to an administrative law judge for an initial decision, 
the initial prehearing conference shall be held no later than 10 
calendar days after the deadline for submitting written appearances 
pursuant toSec. 1.221(h) or within such shorter or longer period as 
the presiding officer may allow on motion or notice consistent with the 
public interest.
    (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 
(seeSec. 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 significantly to the disposition of the proceeding for the 
parties to submit all

[[Page 155]]

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; 76 FR 60672, 
Sept. 29, 2011]



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 Sec.Sec. 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 156]]

    (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 Sec.Sec. 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 bySec. 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 underSec. 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 157]]

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. 
Notice of such certification shall be served on all parties to the 
proceedings.

[71 FR 15618, Mar. 29, 2006]



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.

[[Page 158]]

    (b) All pleadings and other papers filed pursuant to this section 
shall be 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 Sec.Sec. 1.94, 1.251 
and 1.274, or where the proceeding is terminated on motion (seeSec. 
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 Sec.Sec. 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 Sec.Sec. 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]

[[Page 159]]



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 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 withSec. 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 withSec. 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

[[Page 160]]

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 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 ofSec. 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 (seeSec. 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 inSec. 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 
(seeSec. 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

[[Page 161]]

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 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, 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; 71 FR 15618, Mar. 29, 2006]



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 toSec. 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 order 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; 76 
FR 70908, Nov. 16, 2011]

              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

[[Page 162]]

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 inSec. 0.351 of this chapter.
    (3) All other interlocutory matters in hearing proceedings are acted 
on by the presiding officer. See Sec.Sec. 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 Sec.Sec. 1.4, 1.44, 1.47, 1.48, 1.49, and 1.52.
    (c)(1) Procedural rules governing interlocutory pleadings are set 
forth in Sec.Sec. 1.294-1.298.
    (2) Rules governing appeal from, and reconsideration of, 
interlocutory rulings made by the presiding officer are set forth in 
Sec.Sec. 1.301 and 1.303.
    (3) Rules governing the review of interlocutory rulings made by the 
Chief Administrative Law Judge are set forth in Sec.Sec. 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 underSec. 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 toSec. 1.51 orSec. 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

[[Page 163]]

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 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 underSec. 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

[[Page 164]]

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 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 inSec. 
1.52.
    (4) The appeal shall be served on parties to the proceeding (see 
Sec.Sec. 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 inSec. 
1.52.
    (d) The appeal shall be served on parties to the proceeding (see 
Sec.Sec. 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]

[[Page 165]]

               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.
    (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 (seeSec. 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 underSec. 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 underSec. 
1.325. The inspection of Commission records is governed by the Freedom 
of Information Act, as amended, and by Sec.Sec. 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 Sec.Sec. 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 inSec. 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

[[Page 166]]

agrument and render a ruling on disputes that arise under these rules.
    (d) Who shall act. Actions provided for in Sec.Sec. 1.311 through 
1.325 will, in most cases, be taken by the officer designated to preside 
at the hearing (seeSec. 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 Sec.Sec. 1.311 through 1.325 shall be 
understood to refer to the appropriate officer or body. See Sec.Sec. 
0.341, 0.351, 0.365, and 1.271 of this chapter.
    (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 Sec.Sec. 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, embarrassment 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. SeeSec. 
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. SeeSec. 1.319(a).

[[Page 167]]

    (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 inSec. 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. SeeSec. 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.
    (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. SeeSec. 
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

[[Page 168]]

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. SeeSec. 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.
    (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 ofSec. 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 inSec. 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 Sec.Sec. 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

[[Page 169]]

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 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 Sec.Sec. 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

[[Page 170]]

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 underSec. 
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]



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 inSec. 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 toSec. 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

[[Page 171]]

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 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 (seeSec. 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

[[Page 172]]

examination permitted bySec. 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 bySec. 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 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 underSec. 0.460 orSec. 0.461 of this chapter. See Sec.Sec. 
0.451 through 0.467.

[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; 76 FR 70908, Nov. 16, 
2011]

                                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 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

[[Page 173]]

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 bySec. 1.311(b) 
but in that event the subpena request will be subject to the provisions 
ofSec. 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 underSec. 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 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.

[[Page 174]]



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 bySec. 1.49, and 
the same shall be identified and offered in 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

[[Page 175]]

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 inSec. 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 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

[[Page 176]]

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 rule making shall conform to the requirements 
of Sec.Sec. 1.49, 1.52, and 1.419(b) (orSec. 1.420(e), if 
applicable), and shall be submitted or addressed to the Secretary, 
Federal Communications Commission, Washington, DC 20554, or 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 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

[[Page 177]]

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. Petitions to 
amend the FM Table of Allotments must be accompanied by the appropriate 
construction permit application and payment of the appropriate 
application filing fee.
    (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; 71 FR 76215, Dec. 20, 2006]



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 ofSec. 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 Reference 
Information Center, 445 12th Street, SW, Washington, DC and may also be 
available electronically over the Internet at http://www.fcc.gov/.

[67 FR 13223, Mar. 21, 2002]



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 inSec. 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 withSec. 
1.47 and shall conform in other aspects with the requirements of 
Sec.Sec. 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 
withSec. 1.47 and shall conform in other aspects with the requirements 
of Sec.Sec. 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.

                         Rulemaking Proceedings



Sec.  1.411  Commencement of rulemaking proceedings.

    Rulemaking proceedings are commenced by the Commission, either on

[[Page 178]]

it own motion or on the basis of a petition for rulemaking. See 
Sec.Sec. 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 Sec.Sec. 
1.420 and 1.1200 et seq. See also ---- FCC 2d ---- (1980) (i.e., this 
order).

    (e) For time limits for filing motions for extension of time for 
filing responses to petitions for rulemaking, replies to such responses, 
comments filed

[[Page 179]]

in response to notices of proposed rulemaking, replies to such comments, 
seeSec. 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 ofSec. 1.49.
    (b) Unless otherwise specified by Commission rules, an original and 
one copy of all comments, briefs and other documents filed in a 
rulemaking proceeding shall be furnished to the Commission. The 
distribution of such copies shall be as follows:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Secretary (original).............................................      1
Reference Information Center.....................................      1
                                                                  ------
    Total........................................................      2
------------------------------------------------------------------------

    Participants filing the required 2 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 (original).............................................      1
Reference Information Center.....................................      1
                                                                  ------
    Total........................................................      7
------------------------------------------------------------------------

    Similarly, 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 toSec. 1.1206(a). 
Letters submitted to Commissioners or Commission staff will be treated 
in the same way as informal comments, as set forth above. Also, to the 
extent that an informal participant wishes to submit to each 
Commissioner a personal copy of a comment and has not submitted or 
cannot submit the comment by electronic mail, the participant may file 
an additional 5 copies. The distribution of such copies shall be as 
follows:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Commissioners....................................................      5
Secretary (original).............................................      1
Reference Information Center.....................................      1
                                                                  ------
    Total........................................................      7
------------------------------------------------------------------------

    (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; 67 FR 13223, Mar. 21, 2002; 76 FR 
24392, May 2, 2011]



Sec.  1.420  Additional procedures in proceedings for amendment of the
FM or TV Tables of Allotments, or for amendment of certain FM
assignments.

    (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

[[Page 180]]

comments to which the reply is directed.
    (c) Such comments and reply comments shall be accompanied by a 
certificate of service.
    (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 a UHF TV 
station to a VHF channel in the same community in the course of the rule 
making proceeding to amendSec. 73.606(b), or it may modify the license 
or permit of an FM station to another class of channel through notice 
and comment procedures, 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.

    Note to paragraph (g): In certain situations, a licensee or 
permittee may seek an adjacent, intermediate frequency or co-channel 
upgrade by application. SeeSec. 73.203(b) of this chapter.

    (h) Where licensees (or permittees) of television broadcast stations 
jointly petition to amendSec. 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 amendSec. 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 1 to paragraph (h): 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 amendSec. 
73.202(b) orSec. 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:

[[Page 181]]

    (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
    (ii) The terms of any oral agreement relating to the dismissal or 
withdrawal of the expression of interest.

    Note toSec. 1.420: The reclassification of a Class C station in 
accordance with the procedure set forth in Note 4 toSec. 73.3573 may 
be initiated through the filing of an original petition for amendment of 
the FM Table of Allotments. The Commission will notify the affected 
Class C station licensee of the proposed reclassification by issuing a 
notice of proposed rule making, except that where a triggering petition 
proposes an amendment or amendments to the FM Table of Allotments in 
addition to the proposed reclassification, the Commission will issue an 
order to show cause as set forth in Note 4 toSec. 73.3573, and a 
notice of proposed rule making will be issued only after the 
reclassification issue is resolved. Triggering petitions will be 
dismissed upon the filing, rather than the grant, of an acceptable 
construction permit application to increase antenna height to at least 
451 meters HAAT by a subject Class C station.

(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; 65 FR 79776, Dec. 20, 2000; 71 FR 76215, Dec. 20, 
2006]



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 Sec.Sec. 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. 
If the report and order adopting the rule does not specify the date on 
which the rule becomes effective, the effective date shall be 30 days 
after the date on which the rule is published in the Federal Register, 
unless a later date is required by statute or is otherwise specified by 
the Commission.
    (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.

[28 FR 12432, Nov. 22, 1963, as amended at 76 FR 24392, May 2, 2011]

[[Page 182]]



Sec.  1.429  Petition for reconsideration of final orders in
rulemaking proceedings.

    (a) Any interested person may petition for reconsideration of a 
final action in a proceeding conducted under this subpart (see 
Sec.Sec. 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 inSec. 1.420 and is authorized to make editorial changes in 
the rules (seeSec. 0.231(d)).

    (b) A petition for reconsideration which relies on facts or 
arguments which have not previously been presented to the Commission 
will be granted only under the following circumstances:
    (1) The facts or arguments relied on relate to events which have 
occurred or circumstances which have changed since the last opportunity 
to present such matters to the Commission;
    (2) The facts or arguments 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 or arguments in question prior to such opportunity; or
    (3) The Commission determines that consideration of the facts or 
arguments 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 date is defined inSec. 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 alsoSec. 1.49(f).
    (e) Except as provided inSec. 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 alsoSec. 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. SeeSec. 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. SeeSec. 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 Sec.Sec. 1.49(d) and 1.49(f).
    (h) Petitions for reconsideration, oppositions and replies shall 
conform to the requirements of Sec.Sec. 1.49 and 1.52, except that 
they need not be verified. Except as provided inSec. 1.420(e), an 
original and 11 copies shall be submitted to the Secretary, Federal 
Communications Commission, Washington, DC 20554, by mail, by commercial 
courier, by hand, or by electronic submission through the Commission's 
Electronic Comment Filing System. Petitions submitted only by electronic 
mail and petitions submitted directly to staff without submission to the 
Secretary shall not be considered to have been properly filed. 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 or dismiss the petition. Its order will 
contain a concise statement of the reasons for the action taken. Any 
order addressing a petition for reconsideration which modifies

[[Page 183]]

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. In no 
event shall a ruling which denies a petition for reconsideration be 
considered a modification of the original order.
    (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).
    (l) Petitions for reconsideration of a Commission action that 
plainly do not warrant consideration by the Commission may be dismissed 
or denied by the relevant bureau(s) or office(s). Examples include, but 
are not limited to, petitions that:
    (1) Fail to identify any material error, omission, or reason 
warranting reconsideration;
    (2) Rely on facts or arguments which have not previously been 
presented to the Commission and which do not meet the requirements of 
paragraphs (b)(1) through (3) of this section;
    (3) Rely on arguments that have been fully considered and rejected 
by the Commission within the same proceeding;
    (4) Fail to state with particularity the respects in which 
petitioner believes the action taken should be changed as required by 
paragraph (c) of this section;
    (5) Relate to matters outside the scope of the order for which 
reconsideration is sought;
    (6) Omit information required by these rules to be included with a 
petition for reconsideration;
    (7) Fail to comply with the procedural requirements set forth in 
paragraphs (d), (e), and (h) of this section;
    (8) Relate to an order for which reconsideration has been previously 
denied on similar grounds, except for petitions which could be granted 
under paragraph (b) of this section; or
    (9) Are untimely.

(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; 76 FR 24392, May 2, 2011]

                                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 [Reserved]



   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

[[Page 184]]

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 Sec.Sec. 1.49 and 1.50 and 
the subscription and verification requirements ofSec. 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 bySec. 1.221 regarding 
application proceedings, bySec. 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 oral argument shall file a 
written statement to that effect setting forth the reasons for his 
interest in the matter. The Commission will advise him whether he may 
participate. (SeeSec. 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 Enforcement Bureau.

[28 FR 12450, Nov. 22, 1963, as amended at 67 FR 13223, Mar. 21, 2002]

                               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 
complainant is not satisfied by the carrier's response and the 
Commission's disposition, it may file a formal complaint in accordance 
withSec. 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 toSec. 
1.717, the complainant may file a formal complaint with this Commission 
in the

[[Page 185]]

form specified inSec. 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 Sec.Sec. 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 bySec. 
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 bySec. 64.1100(d) of this chapter, and authorized 
carrier, as defined bySec. 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 Sec.Sec. 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 Sec.Sec. 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 inSec. 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]

                            Formal Complaints



Sec.  1.720  General pleading requirements.

    Formal complaint proceedings are generally resolved on a written 
record consisting of a complaint, answer, and 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.

[[Page 186]]

    (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 supplemental 
complaints filed pursuant toSec. 1.722, and paragraph (f) 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 ofSec. 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 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

[[Page 187]]

a certified letter outlining the allegations that form the basis of the 
complaint it anticipated filing with the Commission to the defendant 
carrier or one of the defendant's registered agents for service of 
process 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) A declaration, under penalty of perjury, by the complainant or 
complainant's counsel describing the amount, method, and date of the 
complainant's payment of the filing fee required underSec. 1.1106 and 
the complainant's 10-digit FCC Registration Number, if any;
    (14) A certificate of service; and
    (15) A FCC Registration Number is required under Part 1, Subpart W. 
Submission of a complaint without the FCC Registration Number as 
required by Part 1, subpart W will result in dismissal of the complaint.
    (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).
    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

[[Page 188]]

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 toSec. 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 ofSec. 
1.736.
    (d) The complainant may petition the staff, pursuant toSec. 1.3, 
for a waiver of any of the requirements of this section. Such waiver may 
be granted for good cause shown.
    (e) Supplemental complaints. (1) Supplemental complaints filed 
pursuant toSec. 1.722 shall conform to the requirements set out in 
this section andSec. 1.720, except that the requirements in Sec.Sec. 
1.720(b), 1.721(a)(4), (a) (5), (a)(8), (9), (a)(12), and (a)(13) shall 
not apply to such supplemental complaints;
    (2) In addition, supplemental complaints filed pursuant toSec. 
1.722 shall contain a complete statement of facts which, if proven true, 
would support complainant's calculation of damages for each category of 
damages for which recovery is sought. All material facts must be 
supported, pursuant to the requirements ofSec. 1.720(c) and paragraph 
(a)(11) of this section, by relevant affidavits and other documentation. 
The statement of facts shall include a detailed explanation of the 
matters relied upon, including a full identification or description of 
the communications, transmissions, services, or other matters relevant 
to the calculation of damages 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 complainant's belief and why the 
complainant could not reasonably ascertain the facts from the defendant 
or any other source;
    (3) Supplemental complaints filed pursuant toSec. 1.722 shall 
contain a certification that the complainant has, in good faith, 
discussed or attempted to discuss the possibility of settlement with 
respect to damages for which recovery is sought with each defendant 
prior to the filing of the supplemental complaint. Such certification 
shall include a statement that, no later than 30 days after the release 
of the liability order, the complainant mailed a certified letter to the 
primary individual who represented the defendant carrier during the 
initial complaint proceeding outlining the allegations that form the 
basis of the supplemental complaint it anticipates filing with the 
Commission and inviting a response from the carrier within a reasonable 
period of time. The certification shall also contain a brief summary of 
all additional steps taken to resolve the dispute prior to the filing of 
the supplemental complaint. If no additional steps were taken, such 
certification shall state the reason(s) why the complainant believed 
such steps would be fruitless.
    (f) 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 inSec. 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 ofSec. 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

[[Page 189]]

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 inSec. 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 inSec. 
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 inSec. 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; 66 FR 16616, Mar. 27, 
2001; 66 FR 47895, Sept. 14, 2001; 69 FR 41130, July 7, 2004]



Sec.  1.722  Damages.

    (a) If a complainant wishes to recover damages, the complaint must 
contain a clear and unequivocal request for damages.
    (b) If a complainant wishes a determination of damages to be made in 
the same proceeding as the determinations of liability and prospective 
relief, the complaint must contain the allegations and information 
required by paragraph (h) of this section.
    (c) Notwithstanding paragraph (b) of this section, in any proceeding 
to which no statutory deadline applies, if the Commission decides that a 
determination of damages would best be made in a proceeding that is 
separate from and subsequent to the proceeding in which the 
determinations of liability and prospective relief are made, the 
Commission may at any time order that the initial proceeding will 
determine only liability and prospective relief, and that a separate, 
subsequent proceeding initiated in accordance with paragraph (e) of this 
section will determine damages.
    (d) If a complainant wishes a determination of damages to be made in 
a proceeding that is separate from and subsequent to the proceeding in 
which the determinations of liability and prospective relief are made, 
the complainant must:
    (1) Comply with paragraph (a) of this section, and
    (2) State clearly and unequivocally that the complainant wishes a 
determination of damages to be made in a proceeding that is separate 
from and subsequent to the proceeding in which the determinations of 
liability and prospective relief will be made.
    (e) If a complainant proceeds pursuant to paragraph (d) of this 
section, or if the Commission invokes its authority under paragraph (c) 
of this section, the complainant may initiate a separate proceeding to 
obtain a determination of damages by filing a supplemental complaint 
that complies withSec. 1.721(e) and paragraph (h) of this section 
within sixty days after public notice (as defined inSec. 1.4(b) of 
this chapter) of a decision that contains a finding of liability on the 
merits of the original complaint.
    (f) If a complainant files a supplemental complaint for damages in 
accordance with paragraph (e) of this section, the supplemental 
complaint shall

[[Page 190]]

be deemed, for statutory limitations purposes, to relate back to the 
date of the original complaint.
    (g) Where a complainant chooses to seek the recovery of damages upon 
a supplemental complaint in accordance with the requirements of 
paragraph (e) of this section, the Commission will resolve the separate, 
preceding liability complaint within any applicable complaint resolution 
deadlines contained in the Act.
    (h) 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 supplemental complaint for damages filed in accordance with 
paragraph (e) 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;
    (iv) A detailed outline of the methodology that would be used to 
create a computation of damages with such evidence.
    (i) Where a complainant files a supplemental complaint for damages 
in accordance with paragraph (e) of this section, the following 
procedures may apply:
    (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;
    (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.

[[Page 191]]

    (j) Except where otherwise indicated, the rules governing initial 
formal complaint proceedings govern supplemental formal complaint 
proceedings, as well.

[66 FR 16616, Mar. 27, 2001]



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 defense to each claim asserted, 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. 
Denials based on information and belief are expressly prohibited unless 
made in good faith and accompanied by an affidavit explaining the basis 
for the defendant's belief and why the defendant could not reasonably 
ascertain the facts from the complainant or any other source. 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 complaint or supplemental complaint filed 
pursuant toSec. 1.722 are deemed to be admitted when not denied in the 
answer.
    (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 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;

[[Page 192]]

    (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 ofSec. 1.736.
    (j) The defendant may petition the staff, pursuant toSec. 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 inSec. 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 ofSec. 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 inSec. 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 inSec. 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 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; 66 FR 16617, Mar. 
27, 2001]

[[Page 193]]



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 Sec.Sec. 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 ofSec. 1.724(e), a complainant may file and serve a reply 
containing statements of relevant, material facts and legal arguments 
that shall be responsive to only those specific factual allegations and 
legal arguments 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 toSec. 1.3, 
for a waiver of any of the requirements of this section. 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 theSec. 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 itsSec. 
1.733(i)(4), pre-

[[Page 194]]

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 itsSec. 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; 66 
FR 16617, Mar. 27, 2001]



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 ofSec. 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 ofSec. 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 ofSec. 
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 are responsible, however, 
for the continuing accuracy and completeness of all information and 
supporting authority furnished in a pending complaint proceeding as 
required underSec. 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.

[[Page 195]]

    (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 inSec. 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 inSec. 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 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 ofSec. 1.727.
    (g) The Commission may, in its discretion, require parties to 
provide documents to the Commission in a

[[Page 196]]

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 theirSec. 1.733(i)(4) pre-status-conference filings, 
parties to Accelerated Docket proceedings may request the production of 
additional documents. In theirSec. 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 itsSec. 
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 bySec. 1.721(a)(10)(i). In itsSec. 
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 bySec. 1.724(f)(1). Such a defendant 
shall provide its expert statement with itsSec. 1.733(i)(4), pre-
status-conference filing.
    (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

[[Page 197]]

within the responsibility of the Enforcement Bureau (see Sec.Sec. 
0.111, 0.311, 0.314 of this chapter) may request inclusion on the 
Bureau's Accelerated Docket. As set out in Sec.Sec. 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 ofSec. 1.724(k), 
except that the defendant shall not be required to serve with its answer 
the automatic document production required by Sec.Sec. 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 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. SeeSec. 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

[[Page 198]]

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 Sec.Sec. 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 ofSec. 
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 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 inSec. 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

[[Page 199]]

filing comments challenging the decision within 15 days of its release 
by the Commission's Office of Media Relations. (CompareSec. 
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 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.

[[Page 200]]

    (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 Sec.Sec. 
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 underSec. 1.731 shall be submitted to 
the Commission in confidence pursuant to the requirements ofSec. 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 ofSec. 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]



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

[[Page 201]]

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 
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 ofSec. 
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;

[[Page 202]]

    (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 inSec. 
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. 
(SeeSec. 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 Sec.Sec. 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 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.

[[Page 203]]

    (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 1, subpart G 
(seeSec. 1.1106) 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 (seeSec. 0.261 
of this chapter), serve a copy on the Chief, Policy Division, 
International Bureau; and
    (4) If a complaint is addressed against multiple defendants, pay a 
separate fee, in accordance with part 1, subpart G (seeSec. 1.1106), 
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 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 ofSec. 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;

[[Page 204]]

    (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.
    (g) Supplemental complaint proceedings. Supplemental complaints 
filed pursuant to section 1.722 shall conform to the requirements set 
out in this section, except that the complainant need not submit a 
filing fee, and the complainant may effect service pursuant to paragraph 
(f) of this section rather than paragraph (d) of this section numerals.

[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; 66 FR 16617, Mar. 27, 2001; 67 FR 13223, Mar. 21, 
2002; 69 FR 41130, July 7, 2004]



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 withSec. 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 Sec.Sec. 
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 Wireline Competition Bureau. All applications 
accompanied by a fee payment should be filed with the Commission's 
lockbox bank in accordance withSec. 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 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, as amended at 67 FR 13223, Mar. 21, 2002]

[[Page 205]]



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 Wireline Competition 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; 67 FR 13223, Mar. 21, 2002]



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 in 
connection with applications under Title II of the Communications Act 
need not be verified (or affirmed).

[29 FR 6444, May 16, 1964]

[[Page 206]]



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 ofSec. 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 Chief of the Wireline Competition 
Bureau subject to reconsideration by the Commission.

[67 FR 13223, Mar. 21, 2002]

   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.  1.763  Construction, extension, acquisition or operation of lines.

    (a) Applications under section 214 of the Communications Act for 
authority 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

[[Page 207]]

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.  1.767  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, should be filed 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 geographic 
coordinates, and may also include street addresses, of each landing 
station. The map must also specify the coordinates of any beach joint 
where those coordinates differ from the coordinates of the cable 
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 
ninety (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 sixty (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, including 
each U.S. cable landing station, their respective voting and ownership 
interests in each U.S. cable landing station, their respective voting 
interests in the wet link portion of the cable system, and their 
respective ownership interests by segment in the cable;
    (8) For each applicant of the cable system, a certification as to 
whether the applicant is, or is affiliated with, a foreign carrier, 
including an entity that owns or controls a foreign cable landing 
station in any of the cable's

[[Page 208]]

destination markets. Include the citizenship of each applicant and 
information and certifications required in Sec.Sec. 63.18(h) through 
(k), and inSec. 63.18(o), of this chapter;
    (9) A certification that the applicant accepts and will abide by the 
routine conditions specified in paragraph (g) of this section; and
    (10) Any other information that may be necessary to enable the 
Commission to act on the application.

    Note to paragraph (a)(10): Applicants for cable landing licenses may 
be subject to the consistency certification requirements of the Coastal 
Zone Management Act (CZMA), 16 U.S.C. 1456, if they propose to conduct 
activities, in or outside of a coastal zone of a state with a federally-
approved management plan, affecting any land or water use or natural 
resource of that state's coastal zone. Before filing their applications 
for a license to construct and operate a submarine cable system or to 
modify the construction of a previously approved submarine cable system, 
applicants must determine whether they are required to certify that 
their proposed activities will comply with the enforceable policies of a 
coastal state's approved management program. In order to make this 
determination, applicants should consult National Oceanic Atmospheric 
Administration (NOAA) regulations, 15 CFR part 930, Subpart D, and 
review the approved management programs of coastal states in the 
vicinity of the proposed landing station to verify that this type of 
application is not a listed federal license activity requiring review. 
After the application is filed, applicants should follow the procedures 
specified in 15 CFR 930.54 to determine whether any potentially affected 
state has sought or received NOAA approval to review the application as 
an unlisted activity. If it is determined that any certification is 
required, applicants shall consult the affected coastal state(s) (or 
designated state agency(ies)) in determining the contents of any 
required consistency certification(s). Applicants may also consult the 
Office of Ocean and Coastal Management (OCRM) within NOAA for guidance. 
The cable landing license application filed with the Commission shall 
include any consistency certification required by section 1456(c)(3)(A) 
for any affected coastal state(s) that lists this type of application in 
its NOAA-approved coastal management program and shall be updated 
pursuant toSec. 1.65 of the Commission's rules, 47 CFR 1.65, to 
include any subsequently required consistency certification with respect 
to any state that has received NOAA approval to review the application 
as an unlisted federal license activity. Upon documentation from the 
applicant--or notification from each coastal state entitled to review 
the license application for consistency with a federally approved 
coastal management program--that the state has either concurred, or by 
its inaction, is conclusively presumed to have concurred with the 
applicant's consistency certification, the Commission may take action on 
the application.

    (11)(i) If applying for authority to assign or transfer control of 
an interest in a cable system, the applicant shall complete paragraphs 
(a)(1) through (a)(3) of this section for both the transferor/assignor 
and the transferee/assignee. Only the transferee/assignee needs to 
complete paragraphs (a)(8) through (a)(9) of this section. At the 
beginning of the application, the applicant should also include a 
narrative of the means by which the transfer or assignment will take 
place. The application shall also specify, on a segment specific basis, 
the percentage of voting and ownership interests being transferred or 
assigned in the cable system, including in a U.S. cable landing station. 
The Commission reserves the right to request additional information as 
to the particulars of the transaction to aid it in making its public 
interest determination.
    (ii) In the event the transaction requiring an assignment or 
transfer of control application also requires the filing of a foreign 
carrier affiliation notification pursuant toSec. 1.768, the applicant 
shall reference in the application the foreign carrier affiliation 
notification and the date of its filing. SeeSec. 1.768. See also 
paragraph (g)(7) of this section (providing for post-transaction 
notification of pro forma assignments and transfers of control).
    (iii) An assignee or transferee must notify the Commission no later 
than thirty (30) days after either consummation of the assignment or 
transfer or a decision not to consummate the assignment or transfer. The 
notification shall identify the file numbers under which the initial 
license and the authorization of the assignment or transfer were 
granted.
    (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.

[[Page 209]]

    (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 transfer of 
control of a cable landing license is payment type code CUT. SeeSec. 
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.
    (g) Routine conditions. Except as otherwise ordered by the 
Commission, the following rules apply to each licensee of a cable 
landing license granted on or after March 15, 2002:
    (1) Grant of the cable landing license is subject to:
    (i) All rules and regulations of the Federal Communications 
Commission;
    (ii) Any treaties or conventions relating to communications to which 
the United States is or may hereafter become a party; and
    (iii) Any action by the Commission or the Congress of the United 
States rescinding, changing, modifying or amending any rights accruing 
to any person by grant of the license;
    (2) The location of the cable system within the territorial waters 
of the United States of America, its territories and possessions, and 
upon its shores shall be in conformity with plans approved by the 
Secretary of the Army. The cable shall be moved or shifted by the 
licensee at its expense upon request of the Secretary of the Army, 
whenever he or she considers such course necessary in the public 
interest, for reasons of national defense, or for the maintenance and 
improvement of harbors for navigational purposes;
    (3) The licensee shall at all times comply with any requirements of 
United States government authorities regarding the location and 
concealment of the cable facilities, buildings, and apparatus for the 
purpose of protecting and safeguarding the cables from injury or 
destruction by enemies of the United States of America;
    (4) The licensee, or any person or company controlling it, 
controlled by it, or under direct or indirect common control with it, 
does not enjoy and shall not acquire any right to handle traffic to or 
from the United States, its territories or its possessions unless such 
service is authorized by the Commission pursuant to section 214 of the 
Communications Act, as amended;
    (5)(i) The licensee shall be prohibited from agreeing to accept 
special concessions directly or indirectly from any foreign carrier, 
including any entity that owns or controls a foreign cable landing 
station, where the foreign carrier possesses sufficient market power

[[Page 210]]

on the foreign end of the route to affect competition adversely in the 
U.S. market, and from agreeing to accept special concessions in the 
future.
    (ii) For purposes of this section, a special concession is defined 
as an exclusive arrangement involving services, facilities, or functions 
on the foreign end of a U.S. international route that are necessary to 
land, connect, or operate submarine cables, where the arrangement is not 
offered to similarly situated U.S. submarine cable owners, indefeasible-
right-of-user holders, or lessors, and includes arrangements for the 
terms for acquisition, resale, lease, transfer and use of capacity on 
the cable; access to collocation space; the opportunity to provide or 
obtain backhaul capacity; access to technical network information; and 
interconnection to the public switched telecommunications network.

    Note to paragraph (g)(5): Licensees may rely on the Commission's 
list of foreign carriers that do not qualify for the presumption that 
they lack market power in particular foreign points for purposes of 
determining which foreign carriers are the subject of the requirements 
of this section. The Commission's list of foreign carriers that do not 
qualify for the presumption that they lack market power is available 
from the International Bureau's World Wide Web site at http://
www.fcc.gov/ib.

    (6) Except as provided in paragraph (g)(7) of this section, the 
cable landing license and rights granted in the license shall not be 
transferred, assigned, or disposed of, or disposed of indirectly by 
transfer of control of the licensee, unless the Federal Communications 
Commission gives prior consent in writing;
    (7) A pro forma assignee or person or company that is the subject of 
a pro forma transfer of control of a cable landing license is not 
required to seek prior approval for the pro forma transaction. A pro 
forma assignee or person or company that is the subject of a pro forma 
transfer of control must notify the Commission no later than thirty (30) 
days after the assignment or transfer of control is consummated. The 
notification must certify that the assignment or transfer of control was 
pro forma, as defined inSec. 63.24 of this chapter, and, together with 
all previous pro forma transactions, does not result in a change of the 
licensee's ultimate control. The licensee may file a single notification 
for an assignment or transfer of control of multiple licenses issued in 
the name of the licensee if each license is identified by the file 
number under which it was granted;
    (8) Unless the licensee has notified the Commission in the 
application of the precise locations at which the cable will land, as 
required by paragraph (a)(5) of this section, the licensee shall notify 
the Commission no later than ninety (90) days prior to commencing 
construction at that landing location. The Commission will give public 
notice of the filing of each description, and grant of the cable landing 
license will be considered final with respect to that landing location 
unless the Commission issues a notice to the contrary no later than 
sixty (60) days after receipt of the specific description. See paragraph 
(a)(5) of this section;
    (9) The Commission reserves the right to require the licensee to 
file an environmental assessment should it determine that the landing of 
the cable at the specific locations and construction of necessary cable 
landing stations may significantly affect the environment within the 
meaning ofSec. 1.1307 implementing the National Environmental Policy 
Act of 1969. SeeSec. 1.1307(a) and (b). The cable landing license is 
subject to modification by the Commission under its review of any 
environmental assessment or environmental impact statement that it may 
require pursuant to its rules. See alsoSec. 1.1306 note 1 andSec. 
1.1307(c) and (d);
    (10) The Commission reserves the right, pursuant to section 2 of the 
Cable Landing License Act, 47 U.S.C. 35, Executive Order No. 10530 as 
amended, and section 214 of the Communications Act of 1934, as amended, 
47 U.S.C. 214, to impose common carrier regulation or other regulation 
consistent with the Cable Landing License Act on the operations of the 
cable system if it finds that the public interest so requires;
    (11) The licensee, or in the case of multiple licensees, the 
licensees collectively, shall maintain de jure and de facto control of 
the U.S. portion of the

[[Page 211]]

cable system, including the cable landing stations in the United States, 
sufficient to comply with the requirements of the Commission's rules and 
any specific conditions of the license;
    (12) The licensee shall comply with the requirements ofSec. 1.768;
    (13) The cable landing license is revocable by the Commission after 
due notice and opportunity for hearing pursuant to section 2 of the 
Cable Landing License Act, 47 U.S.C. 35, or for failure to comply with 
the terms of the license or with the Commission's rules; and
    (14) The licensee must notify the Commission within thirty (30) days 
of the date the cable is placed into service. The cable landing license 
shall expire twenty-five (25) years from the in-service date, unless 
renewed or extended upon proper application. Upon expiration, all rights 
granted under the license shall be terminated.
    (h) Applicants/Licensees. Except as otherwise required by the 
Commission, the following entities, at a minimum, shall be applicants 
for, and licensees on, a cable landing license:
    (1) Any entity that owns or controls a cable landing station in the 
United States; and
    (2) All other entities owning or controlling a five percent (5%) or 
greater interest in the cable system and using the U.S. points of the 
cable system.
    (i) Processing of cable landing license applications. The Commission 
will take action upon an application eligible for streamlined 
processing, as specified in paragraph (k) of this section, within forty-
five (45) days after release of the public notice announcing the 
application as acceptable for filing and eligible for streamlined 
processing. If the Commission deems an application seeking streamlined 
processing acceptable for filing but ineligible for streamlined 
processing, or if an applicant does not seek streamlined processing, the 
Commission will issue public notice indicating that the application is 
ineligible for streamlined processing. Within ninety (90) days of the 
public notice, the Commission will take action upon the application or 
provide public notice that, because the application raises questions of 
extraordinary complexity, an additional 90-day period for review is 
needed. Each successive 90-day period may be so extended.
    (j) Applications for streamlining. Each applicant seeking to use the 
streamlined grant procedure specified in paragraph (i) of this section 
shall request streamlined processing in its application. Applications 
for streamlined processing shall include the information and 
certifications required by paragraph (k) of this section. On the date of 
filing with the Commission, the applicant shall also send a complete 
copy of the application, or any major amendments or other material 
filings regarding the application, to: U.S. Coordinator, EB/CIP, U.S. 
Department of State, 2201 C Street, NW., Washington, DC 20520-5818; 
Office of Chief Counsel/NTIA, U.S. Department of Commerce, 14th St. and 
Constitution Ave., NW., Washington, DC 20230; and Defense Information 
Systems Agency, ATTN: GC/DO1, 6910 Cooper Avenue, Fort Meade, MD 20755-
7088, and shall certify such service on a service list attached to the 
application or other filing.
    (k) Eligibility for streamlining. Each applicant must demonstrate 
eligibility for streamlining by:
    (1) Certifying that it is not a foreign carrier and it is not 
affiliated with a foreign carrier in any of the cable's destination 
markets;
    (2) Demonstrating pursuant toSec. 63.12(c)(l)(i) through (iii) of 
this chapter that any such foreign carrier or affiliated foreign carrier 
lacks market power; or
    (3) Certifying that the destination market where the applicant is, 
or has an affiliation with, a foreign carrier is a World Trade 
Organization (WTO) Member and the applicant agrees to accept and abide 
by the reporting requirements set out in paragraph (l) of this section. 
An application that includes an applicant that is, or is affiliated 
with, a carrier with market power in a cable's non-WTO Member 
destination country is not eligible for streamlining.
    (4) Certifying that for applications for a license to construct and 
operate a submarine cable system or to modify

[[Page 212]]

the construction of a previously approved submarine cable system the 
applicant is not required to submit a consistency certification to any 
state pursuant to section 1456(c)(3)(A) of the Coastal Zone Management 
Act (CZMA), 16 U.S.C. 1456.

    Note to paragraph (k)(4): Streamlining of cable landing license 
applications will be limited to those applications where all potentially 
affected states, having constructive notice that the application was 
filed with the Commission, have waived, or are deemed to have waived, 
any section 1456(c)(3)(A) right to review the application within the 
thirty-day period prescribed by 15 CFR 930.54.

    (l) Reporting Requirements Applicable to Licensees Affiliated with a 
Carrier with Market Power in a Cable's WTO Destination Market. Any 
licensee that is, or is affiliated with, a carrier with market power in 
any of the cable's WTO Member destination countries, and that requests 
streamlined processing of an application under paragraphs (j) and (k) of 
this section, must comply with the following requirements:
    (1) File quarterly reports summarizing the provisioning and 
maintenance of all network facilities and services procured from the 
licensee's affiliate in that destination market, within ninety (90) days 
from the end of each calendar quarter. These reports shall contain the 
following:
    (i) The types of facilities and services provided (for example, a 
lease of wet link capacity in the cable, collocation of licensee's 
equipment in the cable station with the ability to provide backhaul, or 
cable station and backhaul services provided to the licensee);
    (ii) For provisioned facilities and services, the volume or quantity 
provisioned, and the time interval between order and delivery; and
    (iii) The number of outages and intervals between fault report and 
facility or service restoration; and
    (2) File quarterly, within 90 days from the end of each calendar 
quarter, a report of its active and idle 64 kbps or equivalent circuits 
by facility (terrestrial, satellite and submarine cable).
    (m) (1) Except as specified in paragraph (m)(2) of this section, 
amendments to pending applications, and applications to modify a 
license, including amendments or applications to add a new applicant or 
licensee, shall be signed by each initial applicant or licensee, 
respectively. Joint applicants or licensees may appoint one party to act 
as proxy for purposes of complying with this requirement.
    (2) Any licensee that seeks to relinquish its interest in a cable 
landing license shall file an application to modify the license. Such 
application must include a demonstration that the applicant is not 
required to be a licensee under paragraph (h) of this section and that 
the remaining licensee(s) will retain collectively de jure and de facto 
control of the U.S. portion of the cable system sufficient to comply 
with the requirements of the Commission's rules and any specific 
conditions of the license, and must be served on each other licensee of 
the cable system.
    (n) Subject to the availability of electronic forms, all 
applications and notifications described in this section must be filed 
electronically through the International Bureau Filing System (IBFS). A 
list of forms that are available for electronic filing can be found on 
the IBFS homepage. For information on electronic filing requirements, 
see part 1, Sec.Sec. 1.1000 through 1.10018 and the IBFS homepage at 
http://www.fcc.gov/ibfs. See also Sec.Sec. 63.20 and 63.53 of this 
chapter.

    Note toSec. 1.767: The terms ``affiliated'' and ``foreign 
carrier,'' as used in this section, are defined as inSec. 63.09 of 
this chapter except that the term ``foreign carrier'' also shall include 
any entity that owns or controls a cable landing station in a foreign 
market.

[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; 67 FR 1619, Jan. 14, 2002; 69 FR 
40327, July 2, 2004; 70 FR 38796, July 6, 2005; 72 FR 54366, Sept. 25, 
2007; 75 FR 81490, Dec. 28, 2010; 76 FR 32867, June 7, 2011; 78 FR 
15623, Mar. 12, 2013]

    Effective Date Note: 78 FR 15623, Mar. 12, 2013,Sec. 1.767 was 
amended by revising paragraph (l)(2). This paragraph contains 
information collection and recordkeeping requirements and will not 
become effective until approval has been given by the Office of 
Management and Budget.

[[Page 213]]



Sec.  1.768  Notification by and prior approval for submarine cable
landing licensees that are or propose to become affiliated with
a foreign carrier.

    Any entity that is licensed by the Commission (``licensee'') to land 
or operate a submarine cable landing in a particular foreign destination 
market that becomes, or seeks to become, affiliated with a foreign 
carrier that is authorized to operate in that market, including an 
entity that owns or controls a cable landing station in that market, 
shall notify the Commission of that affiliation.
    (a) Affiliations requiring prior notification: Except as provided in 
paragraph (b) of this section, the licensee must notify the Commission, 
pursuant to this section, forty-five (45) days before consummation of 
either of the following types of transactions:
    (1) Acquisition by the licensee, or by any entity that controls the 
licensee, or by any entity that directly or indirectly owns more than 
twenty-five percent (25%) of the capital stock of the licensee, of a 
controlling interest in a foreign carrier that is authorized to operate 
in a market where the cable lands; or
    (2) Acquisition of a direct or indirect interest greater than 
twenty-five percent (25%), or of a controlling interest, in the capital 
stock of the licensee by a foreign carrier that is authorized to operate 
in a market where the cable lands, or by an entity that controls such a 
foreign carrier.
    (b) Exceptions: (1) Notwithstanding paragraph (a) of this section, 
the notification required by this section need not be filed before 
consummation, and may instead by filed pursuant to paragraph (c) of this 
section, if either of the following is true with respect to the named 
foreign carrier, regardless of whether the destination market where the 
cable lands is a World Trade Organization (WTO) or non-WTO Member:
    (i) The Commission has previously determined in an adjudication that 
the foreign carrier lacks market power in that destination market (for 
example, in an international section 214 application or a declaratory 
ruling proceeding); or
    (ii) The foreign carrier owns no facilities in that destination 
market. For this purpose, a carrier is said to own facilities if it 
holds an ownership, indefeasible-right-of-user, or leasehold interest in 
a cable landing station or in bare capacity in international or domestic 
telecommunications facilities (excluding switches).
    (2) In the event paragraph (b)(1) of this section cannot be 
satisfied, notwithstanding paragraph (a) of this section, the 
notification required by this section need not be filed before 
consummation, and may instead be filed pursuant to paragraph (c) of this 
section, if the licensee certifies that the destination market where the 
cable lands is a WTO Member and provides certification to satisfy either 
of the following:
    (i) The licensee demonstrates that its foreign carrier affiliate 
lacks market power in the cable's destination market pursuant toSec. 
63.10(a)(3) of this chapter (seeSec. 63.10(a)(3) of this chapter); or
    (ii) The licensee agrees to comply with the reporting requirements 
contained inSec. 1.767(l) effective upon the acquisition of the 
affiliation. SeeSec. 1.767(l).
    (c) Notification after consummation: Any licensee that becomes 
affiliated with a foreign carrier and has not previously notified the 
Commission pursuant to the requirements of this section shall notify the 
Commission within thirty (30) days after consummation of the 
acquisition.

    Example 1 to paragraph (c). Acquisition by a licensee (or by any 
entity that directly or indirectly controls, is controlled by, or is 
under direct or indirect common control with the licensee) of a direct 
or indirect interest in a foreign carrier that is greater than twenty-
five percent (25%) but not controlling is subject to paragraph (c) of 
this section but not to paragraph (a) of this section.
    Example 2 to paragraph (c). Notification of an acquisition by a 
licensee of a hundred percent (100%) interest in a foreign carrier may 
be made after consummation, pursuant to paragraph (c) of this section, 
if the foreign carrier operates only as a resale carrier.
    Example 3 to paragraph (c). Notification of an acquisition by a 
foreign carrier from a WTO Member of a greater than twenty-five percent 
(25%) interest in the capital stock of

[[Page 214]]

the licensee may be made after consummation, pursuant to paragraph (c) 
of this section, if the licensee demonstrates in the post-notification 
that the foreign carrier lacks market power in the cable's destination 
market or the licensee agrees to comply with the reporting requirements 
contained inSec. 1.767(l) effective upon the acquisition of the 
affiliation.

    (d) Cross-reference: In the event a transaction requiring a foreign 
carrier notification pursuant to this section also requires a transfer 
of control or assignment application pursuant to the requirements of the 
license granted underSec. 1.767 orSec. 1.767(g), the foreign carrier 
notification shall reference in the notification the transfer of control 
or assignment application and the date of its filing. SeeSec. 
1.767(g).
    (e) Contents of notification: The notification shall certify the 
following information:
    (1) The name of the newly affiliated foreign carrier and the country 
or countries at the foreign end of the cable in which it is authorized 
to provide telecommunications services to the public or where it owns or 
controls a cable landing station;
    (2) Which, if any, of those countries is a Member of the World Trade 
Organization;
    (3) The name of the cable system that is the subject of the 
notification, and the FCC file number(s) under which the license was 
granted;
    (4) The name, address, citizenship, and principal business of any 
person or entity that directly or indirectly owns at least ten percent 
(10%) of the equity of the licensee, and the percentage of equity owned 
by each of those entities (to the nearest one percent (1%));
    (5) Interlocking directorates. The name of any interlocking 
directorates, as defined inSec. 63.09(g) of this chapter, with each 
foreign carrier named in the notification. SeeSec. 63.09(g) of this 
chapter.
    (6) With respect to each foreign carrier named in the notification, 
a statement as to whether the notification is subject to paragraph (a) 
or (c) of this section. In the case of a notification subject to 
paragraph (a) of this section, the licensee shall include the projected 
date of closing. In the case of a notification subject to paragraph (c) 
of this section, the licensee shall include the actual date of closing.
    (7) If a licensee relies on an exception in paragraph (b) of this 
section, then a certification as to which exception the foreign carrier 
satisfies and a citation to any adjudication upon which the licensee is 
relying. Licensees relying upon the exceptions in paragraph (b)(2) of 
this section must make the required certified demonstration in paragraph 
(b)(2)(i) of this section or the certified commitment to comply with the 
reporting requirements in paragraph (b)(2)(ii) of this section in the 
notification required by paragraph (c) of this section.
    (f) If the licensee seeks to be excepted from the reporting 
requirements contained inSec. 1.767(l), the licensee should 
demonstrate that each foreign carrier affiliate named in the 
notification lacks market power pursuant toSec. 63.10(a)(3) of this 
chapter. SeeSec. 63.10(a)(3) of this chapter.
    (g) Procedure. After the Commission issues a public notice of the 
submissions made under this section, interested parties may file 
comments within fourteen (14) days of the public notice.
    (1) If the Commission deems it necessary at any time before or after 
the deadline for submission of public comments, the Commission may 
impose reporting requirements on the licensee based on the provisions of 
Sec.  1.767(l). SeeSec. 1.767(l).
    (2) In the case of a prior notification filed pursuant to paragraph 
(a) of this section in which the foreign carrier is authorized to 
operate in, or own a cable landing station in, a non-WTO Member, the 
licensee must demonstrate that it continues to serve the public interest 
for it to retain its interest in the cable landing license for that 
segment of the cable that lands in the non-WTO destination market by 
demonstrating either that the foreign carrier lacks market power in that 
destination market pursuant toSec. 63.10(a)(3) of this chapter or the 
market offers effective opportunities for U.S. companies to land and 
operate a submarine cable in that country. If the licensee is unable to 
make either required showing or is notified that the affiliation may 
otherwise harm the

[[Page 215]]

public interest pursuant to the Commission's policies and rules under 47 
U.S.C. 34 through 39 and Executive Order No. 10530, dated May 10, 1954, 
then the Commission may impose conditions necessary to address any 
public interest harms or may proceed to an immediate authorization 
revocation hearing.

    Note to paragraph (g)(2): The assessment of whether a destination 
market offers effective opportunities for U.S. companies to land and 
operate a submarine cable will be made under the standard established in 
Rules and Policies on Foreign Participation in the U.S. 
Telecommunications Market, Market Entry and Regulation of Foreign-
Affiliated Entities, IB Docket Nos. 97-142 and 95-22, Report and Order 
and Order on Reconsideration, 12 FCC Rcd 23891, 23946 at paragraph 130, 
62 FR 64741, December 9, 1997.

    (h) All licensees are responsible for the continuing accuracy of 
information provided pursuant to this section for a period of forty-five 
(45) days after filing. During this period if the information furnished 
is no longer accurate, the licensee shall as promptly as possible, and 
in any event within ten (10) days, unless good cause is shown, file with 
the Commission a corrected notification referencing the FCC file numbers 
under which the original notification was provided.
    (i) A licensee that files a prior notification pursuant to paragraph 
(a) of this section may request confidential treatment of its filing, 
pursuant toSec. 0.459 of this chapter, for the first twenty (20) days 
after filing.
    (j) Subject to the availability of electronic forms, all 
notifications described in this section must be filed electronically 
through the International Bureau Filing System (IBFS). A list of forms 
that are available for electronic filing can be found on the IBFS 
homepage. For information on electronic filing requirements, see part 1, 
Sec.Sec. 1.1000 through 1.10018 and the IBFS homepage at http://
www.fcc.gov/ibfs. See also Sec.Sec. 63.20 and 63.53.

    Note toSec. 1.768: The terms ``affiliated'' and ``foreign 
carrier,'' as used in this section, are defined as inSec. 63.09 of 
this chapter except that the term ``foreign carrier'' also shall include 
an entity that owns or controls a cable landing station in a foreign 
market.

[67 FR 1622, Jan. 14, 2002, as amended at 70 FR 38797, July 6, 2005]

                                 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 inSec. 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 petition may ask that it also be considered a formal 
complaint.

[[Page 216]]

Formal complaints must be separately lodged, as provided inSec. 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 ofSec. 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
    (D) That the suspension would not otherwise be contrary to the 
public interest.
    (iv) For the purposes of this section, tariff filings made pursuant 
toSec. 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 inSec. 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 ofSec. 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, Wireline 
Competition Bureau, the Chief, Pricing Policy Division, and the 
publishing carrier. Thereafter, the request shall be confirmed by 
petition filed and served in accordance withSec. 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.

[[Page 217]]

    (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, 445 12th 
Street, SW., Washington, DC 20554; one copy must be delivered directly 
to the Commission's copy contractor. Additional, separate copies shall 
be served simultaneously upon the Chief, Wireline Competition Bureau; 
and the Chief, Pricing Policy Division. 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

[[Page 218]]

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, 445 12th Street, SW., Washington, DC 
20554; one copy must be delivered directly to the Commission's copy 
contractor. Additional separate copies shall be served simultaneously 
upon the Chief, Wireline Competition Bureau, the Chief, Pricing Policy 
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; 67 FR 13223, Mar. 21, 2002; 71 FR 15618, Mar. 29, 2006; 74 FR 
68544, Dec. 28, 2009]



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 inSec. 
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 
Sec.Sec. 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 inSec. 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 inSec. 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 inSec. 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 inSec. 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 ofSec. 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 ofSec. 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 toSec. 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.

[[Page 219]]

Time shall be computed pursuant toSec. 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 inSec. 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 each opposition or 
comment with the Commission, as follows: the original and three copies 
of each pleading shall be filed with the Secretary, 445 12th Street, 
SW., Washington, DC 20554; one copy must be delivered directly to the 
Commission's copy contractor. Additional, separate copies shall be 
served upon the Chief, Wireline Competition Bureau and the Chief, 
Pricing Policy 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) [Reserved]
    (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 toSec. 1.4.

[64 FR 51264, Sept. 22, 1999, as amended at 67 FR 13223, Mar. 21, 2002; 
71 FR 15618, Mar. 29, 2006; 74 FR 68544, Dec. 28, 2009; 77 FR 57523, 
Sept. 18, 2012]

    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 Sec.Sec. 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

[[Page 220]]

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.



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.

                          Miscellaneous Reports



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 for public 
inspection at the offices of the Commission.
    (c) Cross references--
    (1) [Reserved]

[[Page 221]]

    (2) Applicability of cable television EEO reporting requirements for 
FSS facilities, seeSec. 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; 69 FR 72026, Dec. 10, 2004]

                       Grants by Random Selection



     Subpart F_Wireless Radio 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, 74, 80, 87, 90, 95, 97 and 101 of this 
chapter.

[68 FR 12755, Mar. 17, 2003]



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, 74, 80, 87, 90, 
95, 97, and 101 of title 47, chapter I of the Code of Federal 
Regulations, the rules in part 1 shall govern.

[68 FR 12755, Mar. 17, 2003]



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 Sec.Sec. 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, 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. Individual 
authorizations are required to operate rural subscriber stations in the 
Rural Radiotelephone Service, except as provided inSec. 22.703 of this 
chapter. Individual authorizations are required for end users of certain 
Specialized Mobile Radio Systems as provided inSec. 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 
Sec.Sec. 80.13, 87.18 of this chapter.

[63 FR 68921, Dec. 14, 1998, as amended at 70 FR 19305, Apr. 13, 2005]



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 inSec. 3(b) of the Communications Act, signed in accordance 
withSec. 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 inSec. 1.2102 of this part for which 
competitive bidding is used if

[[Page 222]]

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. SeeSec. 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 
inSec. 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 whichSec. 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 U.S. Bank. 
Amendments to pending applications may result in the assignment of a new 
receipt date in accordance withSec. 1.927 of this part.
    Spectrum leasing arrangement. An arrangement between a licensed 
entity and a third-party entity in which the licensee leases certain of 
its spectrum usage rights to a spectrum lessee, as set forth in subpart 
X of this part (47 CFR 1.9001 et seq.). Spectrum leasing arrangement is 
defined inSec. 1.9003.
    Spectrum lessee. Any third party entity that leases, pursuant to the 
spectrum leasing rules set forth in subpart X of this part (47 CFR 
1.9001 et seq.), certain spectrum usage rights held by a licensee. 
Spectrum lessee is defined inSec. 1.9003.
    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 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,

[[Page 223]]

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, as amended at 73 FR 9018, Feb. 19, 2008; 78 
FR 41321, July 10, 2013]

                 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 and notification forms; electronic and manual
filing.

    (a) Application and notification forms. Applicants, licensees, and 
spectrum lessees (seeSec. 1.9003) shall use the following forms and 
associated schedules for all applications and notifications:
    (1) FCC Form 601, Application for Authorization in the Wireless 
Radio Services. FCC Form 601 and associated schedules are used to apply 
for initial authorizations, modifications to existing authorizations, 
amendments to pending applications, renewals of station 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 Sec.Sec. 
1.919, 1.948, 1.2112, 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 by applicants and licensees to 
apply for Commission consent to assignments of existing authorizations, 
to apply for Commission consent to transfer 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 for Commission 
consent to partial assignments of authorization, 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.
    (5) FCC Form 608, Notification or Application for Spectrum Leasing 
Arrangement. FCC Form 608 is used by licensees and spectrum lessees (see 
Sec.  1.9003) to notify the Commission regarding spectrum manager 
leasing arrangements and to apply for Commission consent for de facto 
transfer leasing arrangements pursuant to the rules set forth in part 1, 
subpart X. It is also used to notify the Commission if a licensee or 
spectrum lessee establishes a private commons (seeSec. 1.9080).
    (6) FCC Form 609, Application to Report Eligibility Event. FCC Form 
609 is used by licensees to apply for Commission approval of reportable 
eligibility events, as defined inSec. 1.2114.
    (b) Electronic filing. Except as specified in paragraph (d) of this 
section or elsewhere in this chapter, all applications and other filings 
using the application and notification forms listed in this section 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 paragraph 
is effective on July 1, 1999, or 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.

[[Page 224]]

    (1) Attachments to applications and notifications should be uploaded 
along with the electronically filed applications and notifications 
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 submitted with an application or 
notification must be uploaded as attachments to the application or 
notification 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 inSec. 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, 605, and 608 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 (individual applicants only; 
commercial operator license examination managers must file 
electronically, seeSec. 13.13(c) of this part); 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 withSec. 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 ofSec. 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

[[Page 225]]

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 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 withSec. 0.401 of this chapter or 
electronically filed via ULS.
    (g) Section 337 Requests. Applications to provide public safety 
services submitted pursuant to 47 U.S.C. 337 must be filed on the same 
form and in the same manner as other applications for the requested 
frequency(ies), except that applicants must select the service code 
reflective of the type of service the applicant intends to provide.

[63 FR 68922, Dec. 14, 1998, as amended at 66 FR 55, Jan. 2, 2001; 67 FR 
34851, May 16, 2002; 68 FR 42995, July 21, 2003; 68 FR 66276, Nov. 25, 
2003; 69 FR 77549, Dec. 27, 2004; 71 FR 26251, May 4, 2006; 78 FR 23152, 
Apr. 18, 2013; 78 FR 25160, Apr. 29, 2013]

    Effective Date Note: At 69 FR 77549, Dec. 27, 2004,Sec. 
1.913(a)(5) was added. This paragraph contains information collection 
and recordkeeping requirements and will not become effective until 
approval has been given by the Office of Management and Budget.

    Effective Date Note: At 78 FR 23152, Apr. 18, 2013,Sec. 1.913 was 
amended by revising paragraph (d)(1)(vi). This paragraph contains 
information collection and recordkeeping requirements and will not 
become effective until approval has been given by the Office of 
Management and Budget.



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 Sec.Sec. 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 underSec. 
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

[[Page 226]]

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 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 ofSec. 1.2112 shall 
use FCC Form 602 to provide all ownership information required by the 
chapter.
    (b) Any applicant or licensee that is subject to the reporting 
requirements ofSec. 1.2112 orSec. 1.2114 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 (seeSec. 1.948(c) of this part).
    (5) An application reporting any reportable eligibility event, as 
defined inSec. 1.2114.
    (c) Reporting of Cellular Cross-Ownership Interests. (1) A cellular 
licensee of one channel block in a cellular geographic service area 
(CGSA) must report current ownership information if the licensee, a 
party that owns a controlling or otherwise attributable interest in the 
licensee, or a party that actually controls the licensee, obtains a 
direct or indirect ownership interest of more than 10 percent in a 
cellular licensee, a party that owns a controlling or otherwise 
attributable interest in a cellular licensee, or a party that actually 
controls a cellular licensee, for the other channel block in an 
overlapping CGSA, if the overlap is located in whole or in part in a 
Rural Service Area (RSA), as defined inSec. 22.909 of this chapter. 
The ownership information must be filed on a FCC Form 602 within 30 days 
of the date of consummation of the transaction and reflect the specific 
levels of investment.

[[Page 227]]

    (2) For the purposes of paragraph (c) of this section, the following 
definitions and other provisions shall apply:
    (i) Non-controlling interests. A direct or indirect non-attributable 
interest in both systems is excluded from the reporting requirement set 
out in paragraph (c)(1) of this section.
    (ii) Ownership attribution. For purposes of paragraph (c) of this 
section, ownership and other interests in cellular licensees will be 
attributed to their holders pursuant to the following criteria:
    (A) Controlling interest shall be attributable. Controlling interest 
means majority voting equity ownership, any general partnership 
interest, or any means of actual working control (including negative 
control) over the operation of the licensee, in whatever manner 
exercised.
    (B) Partnership and other ownership interests and any stock interest 
amounting to 20 percent or more of the equity, or outstanding stock, or 
outstanding voting stock of a cellular licensee shall be attributed.
    (C) Non-voting stock shall be attributed as an interest in the 
issuing entity if in excess of the amounts set forth in paragraph 
(c)(2)(ii)(B) of this section.
    (D) Debt and instruments such as warrants, convertible debentures, 
options, or other interests (except non-voting stock) with rights of 
conversion to voting interests shall not be attributed unless and until 
converted.
    (E) Limited partnership interests shall be attributed to limited 
partners and shall be calculated according to both the percentage of 
equity paid in and the percentage of distribution of profits and losses.
    (F) Officers and directors of a cellular licensee shall be 
considered to have an attributable interest in the entity with which 
they are so associated. The officers and directors of an entity that 
controls a cellular licensee shall be considered to have an attributable 
interest in the cellular licensee.
    (G) Ownership interests that are held indirectly by any party 
through one or more intervening corporations will be determined by 
successive multiplication of the ownership percentages for each link in 
the vertical ownership chain and application of the relevant attribution 
benchmark to the resulting product, except that if the ownership 
percentage for an interest in any link in the chain exceeds 50 percent 
or represents actual control, it shall be treated as if it were a 100 
percent interest. (For example, if A owns 20 percent of B, and B owns 40 
percent of licensee C, then A's interest in licensee C would be 8 
percent. If A owns 20 percent of B, and B owns 51 percent of licensee C, 
then A's interest in licensee C would be 20 percent because B's 
ownership of C exceeds 50 percent.)
    (H) Any person who manages the operations of a cellular licensee 
pursuant to a management agreement shall be considered to have an 
attributable interest in such licensee if such person, or its affiliate, 
has authority to make decisions or otherwise engage in practices or 
activities that determine, or significantly influence:
    (1) The nature or types of services offered by such licensee;
    (2) The terms upon which such services are offered; or
    (3) The prices charged for such services.
    (I) Any licensee, or its affiliate, who enters into a joint 
marketing arrangements with a cellular licensee, or its affiliate, shall 
be considered to have an attributable interest, if such licensee or 
affiliate has authority to make decisions or otherwise engage in 
practices or activities that determine, or significantly influence:
    (1) The nature or types of services offered by such licensee;
    (2) The terms upon which such services are offered; or
    (3) The prices charged for such services.
    (3) Sunset Provisions. This notification requirement will sunset at 
the earlier of:
    (i) Five years after February 14, 2005, or
    (ii) At the cellular licensee's specific deadline for renewal.
    (d) 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

[[Page 228]]

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.
    (e) No filing fee is required to submit or update FCC Form 602.
    (f) Applicants or licensees in Wireless Radio Services that are not 
subject to the ownership reporting requirements ofSec. 1.2112 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, as amended at 68 FR 42995, July 21, 2003; 
69 FR 75170, Dec. 15, 2004; 71 FR 26251, May 4, 2006]



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 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 Structure Registration Number(s) of each 
structure for which registration is required. To facilitate frequency 
coordination or for other purposes, the Bureau shall accept for filing 
an application that does not contain the FCC Antenna Structure 
Registration Number so long as;
    (1) The antenna structure owner has filed an antenna structure 
registration application (FCC Form 854);
    (2) The antenna structure owner has provided local notice and the 
Commission has posted notification of the proposed construction on its 
Web site pursuant toSec. 17.4(c)(3) and (4) of this chapter; and
    (3) The antenna structure owner has obtained a Determination of No 
Hazard to Aircraft Navigation from the Federal Aviation Administration. 
In such instances, the applicant shall provide the FCC Form 854 File 
Number on its application. Once the antenna structure owner has obtained 
the Antenna Structure Registration Number, the applicant shall amend its 
application to provide the Antenna Structure Registration Number, and 
the Commission shall not grant the application before the Antenna 
Structure Registration Number has been provided. If registration is not 
required, the applicant must provide information in its application 
sufficient for the Commission to verify this fact.
    (e) Environmental concerns. (1) Environmental processing shall be 
completed pursuant to the process set forth

[[Page 229]]

inSec. 17.4(c) of this chapter for any facilities that use one or more 
new or existing antenna structures for which a new or amended 
registration is required by part 17 of this chapter. Environmental 
review by the Commission must be completed prior to construction.
    (2) For applications that propose any facilities that are not 
subject to the process set forth inSec. 17.4(c) of this chapter, the 
applicant is required to indicate at the time its application is filed 
whether or not a Commission grant of the application for those 
facilities may have a significant environmental effect as defined by 
Sec.  1.1307. If the applicant answers affirmatively, an Environmental 
Assessment, required bySec. 1.1311 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 (seeSec. 1.924).
    (h) Taxpayer Identification Number (TINs). Wireless applicants and 
licensees, including all attributable owners of auctionable licenses as 
defined bySec. 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; 77 
FR 3952, Jan. 26, 2012]



Sec.  1.924  Quiet zones.

    Areas implicated by this paragraph are those in which 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. Consent throughout this paragraph means 
written consent from the quiet zone, radio astronomy, research, and 
receiving installation entity. 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[min]0.4[sec] on the north, W 
78[deg]29[min]59.0[sec] on the east, N 37[deg]30[min]0.4[sec] on the 
south, and W 80[deg]29[min]59.2[sec] 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 may be made prior to, or simultaneously with the application. 
The application must state the date that notification in accordance with 
paragraph (a)(1) of this section was made. After receipt of such

[[Page 230]]

applications, the FCC will allow a period of 20 days for comments or 
objections in response to the notifications indicated. If an applicant 
submits written consent from the National Radio Astronomy Observatory 
for itself or on behalf of the Naval Radio Research Observatory, the FCC 
will process the application without awaiting the conclusion of the 20-
day period. For services that do not require individual station 
authorization, entities that have obtained written consent from the 
National Radio Astronomy Observatory for itself or on behalf of the 
Naval Radio Research Observatory may begin to operate new or modified 
facilities prior to the end of the 20-day period. In instances in which 
notification has been made to the National Radio Astronomy Observatory 
prior to application filing, the applicant must also provide notice to 
the quiet zone entity upon actual filing of the application with the 
FCC. Such notice will be made simultaneous with the filing of the 
application and shall comply with the requirements of paragraph (a)(1) 
of this section.
    (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[min]49.9[sec] North Latitude, 
105[deg]14[min]42.0[sec] 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/m
                                                                  \2\)
------------------------------------------------------------------------
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 MHz 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[pi][Omega]).

    (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 Manager, Department of Commerce, 325 Broadway, Boulder, CO 
80305; Telephone: 303-497-4619, Fax: 303-497-6982, E-mail: 
[email protected], in advance of filing their 
applications with the Commission.
    (4) The FCC will not screen applications to determine whether 
advance

[[Page 231]]

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 office. FCC protected field offices are 
listed inSec. 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[pi] [Omega]) 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, Enforcement 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 inSec. 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

[[Page 232]]

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, HC3 Box 53995, Arecibo, 
Puerto Rico 00612, in writing or electronically (e-mail address: 
[email protected]), 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.
    (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 may 
be made prior to, or simultaneously with, the filing of the application 
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. If an applicant submits 
written consent from the Interference Office, the FCC will process the 
application without awaiting the conclusion of the 20-day period. For 
services that do not require individual station authorization, entities 
that have obtained written consent from the Interference Office may 
begin to operate new or modified facilities prior to the end of the 20-
day period. In instances in which notification has been made to the 
Interference Office prior to application filing, the applicant must also 
provide notice to the Interference Office upon actual filing of the 
application with the FCC. Such notice will be made simultaneous with the 
filing of the application and shall comply with the requirements of 
paragraph (d) of this section.
    (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.
    (4) The provisions of paragraph (d) of this section do not apply to 
operations that transmit on frequencies above 15 GHz.
    (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 bySec. 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:
    41[deg]30[min]00[sec] N. Lat. on the north
    103[deg]10[min]00[sec] W. Long. on the east
    38[deg]30[min]00[sec] N. Lat. on the south
    106[deg]30[min]00[sec] W. Long. on the west
Rectangle 2:
    38[deg]30[min]00[sec] N. Lat. on the north

[[Page 233]]

    105[deg]00[min]00[sec] W. Long. on the east
    37[deg]30[min]00[sec] N. Lat. on the south
    105[deg]50[min]00[sec] W. Long. on the west
Rectangle 3:
    40[deg]08[min]00[sec] N. Lat. on the north
    107[deg]00[min]00[sec] W. Long. on the east
    39[deg]56[min]00[sec] N. Lat. on the south
    107[deg]15[min]00[sec] W. Long. on the west

                           Washington, DC Area

Rectangle
    38[deg]40[min]00[sec] N. Lat. on the north
    78[deg]50[min]00[sec] W. Long. on the east
    38[deg]10[min]00[sec] N. Lat. on the south
    79[deg]20[min]00[sec] W. Long. on the west; or

    (2) Within a radius of 178 km of 38[deg]48[min]00[sec] N. Lat./
76[deg]52[min]00[sec] 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 toSec. 101.147(r)(10) of this 
chapter) of the following coordinated:

Denver, CO area: 39[deg]43[min]00[sec] N. Lat./104[deg]46[min]00[sec] W. 
          Long.
Washington, DC area: 38[deg]48[min]00[sec] N. Lat./76[deg]52[min]00[sec] 
          W. Long.

    (4) In the band 17.7-17.8 GHz, fixed service applications, under 
parts 74, 78, or 101 of this chapter, supporting Multichannel Video 
Programming Distributors shall 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 in paragraphs (e)(1) or (e)(2) of this section.
    (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) 41[deg]45[min]00.2[sec] N, 70[deg]30[min]58.3[sec] W.,
    (ii) 64[deg]17[min]00.0[sec] N., 149[deg]10[min]00.0[sec] W.,

    Note: Note to paragraph (f)(ii) is referenced to NAD27.

    (iii) 48[deg]43[min]00.0[sec] N., 97[deg]54[min]01.4[sec] W.;
    (2) Within 200 kilometers (124 miles) of the following locations:
    (i) 32[deg]38[min]00.5[sec] N., 83[deg]34[min]59.7[sec] W.,
    (ii) 31[deg]25[min]00.6[sec] N., 100[deg]24[min]01.3[sec] W.;
    (3) Within 240 kilometers (150 miles) of the following location:
    (i) 39[deg]07[min]59.6[sec] N., 121[deg]26[min]03.9[sec] W.;
    (ii) [Reserved]
    (4) Within 320 kilometers (200 miles) of the following locations:
    (i) 28[deg]21[min]01.0[sec] N., 80[deg]42[min]59.2[sec] W.,
    (ii) 30[deg]30[min]00.7[sec] N., 86[deg]29[min]59.8[sec] W.,
    (iii) 34[deg]08[min]59.6[sec] N, 119[deg]11[min]03.8[sec] 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[min] N.,
    (iv) And portions of Texas and New Mexico bounded by 31[deg]45[min] 
N., 34[deg]30[min] N., 104[deg]00[min] W., and 107[deg]30[min] W.
    (g) GOES. The requirements of this paragraph are intended to 
minimize harmful interference to Geostationary Operational Environmental 
Satellite earth stations receiving in the band 1670-1675 MHz, which are 
located at Wallops Island, Virginia; Fairbanks, Alaska; and Greenbelt, 
Maryland.
    (1) Applicants and licensees planning to construct and operate a new 
or modified station within the area bounded by a circle with a radius of 
100 kilometers (62.1 miles) that is centered on 37[deg]56[min]44[sec] N, 
75[deg]27[min]37[sec] W (Wallops Island) or 64[deg]58[min]22[sec] N, 
147[deg]30[min]04[sec] W (Fairbanks) or within the area bounded by a 
circle with a radius of 65 kilometers (40.4 miles) that is centered on 
39[deg]00[min]02[sec] N, 76[deg]50[min]29[sec] W (Greenbelt) must notify 
the National Oceanic and Atmospheric Administration (NOAA) of the 
proposed operation. For this purpose, NOAA maintains the GOES 
coordination Web page at http://www.osd.noaa.gov/radio/frequency.htm, 
which provides the technical parameters of the earth stations and the 
point-of-contact for the notification. The notification shall include 
the following information: Requested frequency, geographical coordinates 
of the antenna location, antenna height above mean sea level, antenna 
directivity, emission type, equivalent isotropically radiated power, 
antenna make and model, and transmitter make and model.
    (2) Protection. (i) Wallops Island and Fairbanks. Licensees are 
required to protect the Wallops Island and Fairbanks sites at all times.
    (ii) Greenbelt. Licensees are required to protect the Greenbelt site 
only when it is active. Licensees should coordinate appropriate 
procedures directly with NOAA for receiving notification of times when 
this site is active.

[[Page 234]]

    (3) When an application for authority to operate a station is filed 
with the FCC, the notification required in paragraph (f)(1) of this 
section should be sent at the same time. The application must state the 
date that notification in accordance with paragraph (f)(1) of this 
section was made. After receipt of such an application, the FCC will 
allow a period of 20 days for comments or objections in response to the 
notification.
    (4) If an objection is received during the 20-day period from NOAA, 
the FCC will, after consideration of the record, take whatever action is 
deemed appropriate.

    Note toSec. 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, as amended at 67 FR 6182, Feb. 11, 2002; 67 
FR 13224, Mar. 21, 2002; 67 FR 41852, June 20, 2002; 67 FR 71111, Nov. 
29, 2002; 69 FR 17957, Apr. 6, 2004; 70 FR 31372, June 1, 2005; 71 FR 
69046, Nov. 29, 2006; 73 FR 25420, May 6, 2008; 75 FR 62932, Oct. 13, 
2010]



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 inSec. 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 ofSec. 1.945 of this part.
    (d) Any amendment to an application for modification must be 
consistent

[[Page 235]]

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 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(i)(2).
    (h) Where an amendment to an application constitutes a major change, 
as defined inSec. 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; 70 
FR 61058, Oct. 20, 2005]



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 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.

[[Page 236]]

    (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[min] W., thence by great circle 
arc through the northernmost point of Drummondville, Quebec (lat: 45 
deg. 52[min] N., long: 72 deg. 30[min] W.), thence by great circle arc 
to 48 deg. 30[min] 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[min] N., 
139 deg. W., (Burwash Landing), thence by great circle arc to the 
intersection of 60 deg. 45[min] 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 (seeSec. 
1.947). Categories of major and minor filings are listed inSec. 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;
    (4) Application or amendment requesting authorization for a facility 
that may have a significant environmental effect as defined inSec. 
1.1307, unless the facility has been determined not to have a 
significant environmental effect through the process set forth inSec. 
17.4(c) of this chapter.
    (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

[[Page 237]]

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 
(CGSA) 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 paragraph (a) in this 
section, 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), the remote 
pickup broadcast auxiliary service, and GMRS systems licensed to non-
individuals;
    (i) Change in frequency or modification of channel pairs, except the 
deletion of one or more frequencies from an authorization;
    (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, except for deletions of one or more such stations 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, aural broadcast auxiliary, and television 
broadcast auxiliary 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;
    (ii) Any increase in frequency tolerance;
    (iii) Any increase in bandwidth;
    (iv) Any change in emission type;

[[Page 238]]

    (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) ofSec. 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 inSec. 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.
    (k) Any change not specifically listed above as major is considered 
minor (seeSec. 1.947(b). This includes but is not limited to:

[[Page 239]]

    (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