[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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[[Page iii]]
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
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Cite this Code: CFR
To cite the regulations in
this volume use title,
part and section number.
Thus, 47 CFR 0.1 refers to
title 47, part 0, section
1.
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[[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
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HOW TO USE THE CODE OF FEDERAL REGULATIONS
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To determine whether a Code volume has been amended since its
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EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
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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
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PAST PROVISIONS OF THE CODE
Provisions of the Code that are no longer in force and effect as of
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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
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INCORPORATION BY REFERENCE
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This material, like any other properly issued regulation, has the force
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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
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(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
A subject index to the Code of Federal Regulations is contained in a
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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
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INQUIRIES
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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)
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Part
chapter i--Federal Communications Commission................ 0
[[Page 3]]
CHAPTER I--FEDERAL COMMUNICATIONS COMMISSION
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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.