[Title 47 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2024 Edition]
[From the U.S. Government Publishing Office]
[[Page 1]]
Title 47
Telecommunication
________________________
Parts 0 to 19
Revised as of October 1, 2024
Containing a codification of documents of general
applicability and future effect
As of October 1, 2024
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........................ 1139
Alphabetical List of Agencies Appearing in the CFR...... 1159
List of CFR Sections Affected........................... 1169
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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
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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
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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
amendments to existing regulations in the CFR. These OMB numbers are
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requirements.
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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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
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An index to the text of ``Title 3--The President'' is carried within
that volume.
[[Page vii]]
The Federal Register Index is issued monthly in cumulative form.
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the daily Federal Register.
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the revision dates of the 50 CFR titles.
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INQUIRIES
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Oliver A. Potts,
Director,
Office of the Federal Register
October 1, 2024
[[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, chapter IV--National Telecommunications and Information
Administration, Department of Commerce, and National Highway Traffic
Safety Administration, Department of Transportation, and chapter V--The
First Responder Network Authority. The contents of these volumes
represent all current regulations codified under this title of the CFR
as of October 1, 2024.
Part 73 contains a numerical designation of FM broadcast channels
and a table of FM allotments designated for use in communities in the
United States, its territories, and possessions. Part 73 also contains a
numerical designation of television channels and a table of allotments
which contain channels designated for the listed communities in the
United States, its territories, and possessions.
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 John
Hyrum Martinez, assisted by Stephen J. Frattini.
[[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...................... 93
2 Frequency allocations and radio treaty
matters; general rules and regulations.. 536
3 Authorization and administration of
accounting authorities in maritime and
maritime mobile-satellite radio services 804
4 Disruptions to communications............... 813
5 Experimental radio service.................. 827
6 Access to telecommunications service,
telecommunications equipment and
customer premises equipment by persons
with disabilities....................... 851
7 Access to voicemail and interactive menu
services and equipment by people with
disabilities............................ 855
8 Safeguarding and securing the internet...... 860
9 911 requirements............................ 878
10 Wireless emergency alerts................... 921
11 Emergency Alert System (EAS)................ 933
13 Commercial radio operators.................. 960
14 Access to advanced communications services
and equipment by people with
disabilities............................ 969
15 Radio frequency devices..................... 981
16 Digital discrimination of access............ 1111
17 Construction, marking, and lighting of
antenna structures...................... 1114
18 Industrial, scientific, and medical
equipment............................... 1124
19 Employee responsibilities and conduct....... 1130
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 Chairperson.
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.
0.19 Functions of the Office.
Office of Economics and Analytics
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 Chairperson.
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 Economics and Analytics
0.271 Authority delegated.
0.272 Record of actions taken.
0.273 Actions taken under delegated authority.
Chief, Media Bureau
0.283 Authority delegated.
0.284 Actions taken under delegated authority.
0.285 Record of actions taken.
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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 Judges and other presiding
officers.
0.347 Record of actions taken.
0.351 Authority delegated.
0.352 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, staff
instructions, and frequently requested records.
0.451 Inspection of records: Generally.
0.453 Public reference rooms.
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: 47 U.S.C. 151, 154(i), 154(j), 155, 225, 409, and 1754,
unless otherwise noted.
Subpart A_Organization
Authority: 47 U.S.C. 151, 154(i), 154(j), 155, 225, and 409, unless
otherwise noted.
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 Chairperson.
(a) One of the members of the Commission is designated by the
President to serve as Chairperson, or chief executive officer, of the
Commission. As Chairperson, he/she 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 Chairperson of the Commission, or in the absence or inability of the
Chairperson to serve, temporarily designate one of its members to act as
Chairperson until the cause or circumstance requiring
[[Page 8]]
such designation has been eliminated or corrected.
[32 FR 10569, July 19, 1967, as amended at 88 FR 21426, Apr. 10, 2023]
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 Economics and Analytics.
(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) Office of International Affairs.
(12) Wireline Competition Bureau.
(13) Wireless Telecommunications Bureau.
(14) Space Bureau.
(15) Media Bureau.
(16) Enforcement Bureau.
(17) Consumer and Governmental Affairs Bureau.
(18) 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 at Sec.
0.181. For a complete description of staff functions, reference should
be made to those provisions. (See also the U.S. Government Organization
Manual, which contains a chart showing the Commission's organization,
the names of the members and principal staff officers of the Commission,
and other information concerning the Commission.)
(c) Delegations of authority to the staff. Pursuant to section 5(c)
of the Communications Act, the Commission has delegated authority to its
staff to act on matters which are minor or routine or settled in nature
and those in which immediate action may be necessary. See subpart B of
this part. Actions taken under delegated authority are subject to review
by the Commission, on its own motion or on an application for review
filed by a person aggrieved by the action. Except for the possibility of
review, actions taken under delegated authority have the same force and
effect as actions taken by the Commission. The delegation of authority
to a staff officer, however, does not mean that the staff officer will
exercise that authority in all matters subject to the delegation. 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]
[[Page 9]]
Editorial Note: For Federal Register citations affecting Sec. 0.5,
see the List of CFR Sections Affected, which appears in the Finding Aids
section of the printed volume and at www.govinfo.gov.
Office of Managing Director
Sec. 0.11 Functions of the Office.
(a) The Managing Director is appointed by the Chairperson with the
approval of the Commission. Under the supervision and direction of the
Chairperson, 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 Chairperson and recommend
to the Chairperson and the Commission major changes in such policies and
programs.
(3) Assist the Chairperson in carrying out the administrative and
executive responsibilities delegated to the Chairperson as the
administrative head of the agency.
(4) Advise the Chairperson 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 Chairperson 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.
(11) Advise the Chairperson, Commission, and Commission Bureaus and
Offices on matters concerning the development, administration, and
management of the Affordable Connectivity Outreach Grant Program.
(b) The Secretary is the official custodian of the Commission's
documents. The Office of the Secretary also 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, Common Carrier
Tariff matters, International
[[Page 10]]
space station files, earth station files, DBS files, and other
miscellaneous international files; maintains for public inspection Time
Brokerage and Affiliation Agreements, court citation files, and
legislative histories concerning telecommunications dockets and provides
the public and Commission staff prompt access to manual and computerized
records and filing systems.
(c) The Chief Information Officer shall have a significant role in:
The decision-making process for annual and multi-year planning,
programming, budgeting, and execution decisions, related reporting
requirements, and reports related to information technology; the
management, governance, and oversight processes related to information
technology; and the hiring of personnel with information technology
responsibilities. The Chief Information Officer, in consultation with
the Chief Financial Officer and budget officials, shall specify and
approve the allocation of amounts appropriated to the Commission for
information technology, consistent with the provisions of appropriations
Acts, budget guidelines, and recommendations from the Director of the
Office of Management and Budget.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C.
154, 303, 307)
[46 FR 59975, Dec. 8, 1981]
Editorial Note: For Federal Register citations affecting Sec. 0.11,
see the List of CFR Sections Affected, which appears in the Finding Aids
section of the printed volume and at www.govinfo.gov.
Office of Inspector General
Sec. 0.13 Functions of the Office.
The Office of Inspector General is directly responsible to the
Chairperson as head of the agency. However, the Chairperson may not
prevent or prohibit the Office of Inspector General from carrying out
its duties and responsibilities as mandated by the Inspector General Act
Amendments of 1988 (Pub. L. 100-504) and the Inspector General Act of
1978 (5 U.S.C. Appendix 3), as amended.
(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 Chairperson of the Commission--and through him or her
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
Chairperson 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 Chairperson by April 30 and
October 31);
(2) Special reports specifically identifying any serious or flagrant
problems, abuses or deficiencies (due to the Chairperson immediately
upon discovery of these matters by the Inspector General).
[54 FR 15194, Apr. 17, 1989, as amended at 88 FR 21427, Apr. 10, 2023]
Office of Media Relations
Sec. 0.15 Functions of the Office.
(a) Enhance public understanding of and compliance with the
Commission's
[[Page 11]]
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.
(d) Assist the Chairperson 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; 88 FR 21427, Apr. 10, 2023]
Sec. 0.19 Functions of the Office.
The Office of International Affairs 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 Chairperson 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 represent the Commission on international communications
matters, including matters involving international, regional, and cross
border spectrum allocation and frequency coordination at both domestic
and international conferences and meetings, and to direct and coordinate
the Commission's preparation for such conferences and meetings.
(d) 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.
(e) To ensure fulfillment of the Commission's responsibilities under
international agreements and treaty obligations, and consistent with
Commission
[[Page 12]]
policy, in coordination with other Bureaus and Offices as appropriate,
to ensure that the Commission's regulations, procedures, and frequency
allocations comply with the mandatory requirements of all applicable
international and bilateral agreements.
(f) To serve as the single focal point within the Commission for
cooperation and consultation on international telecommunications matters
with other Federal agencies, international or foreign organizations, and
appropriate regulatory bodies and officials of foreign governments.
(g) To develop, recommend, and administer policies, rules,
standards, and procedures regarding the authorization and regulation of
international telecommunications facilities and services, submarine
cables, international broadcast services, and foreign ownership issues.
(h) To develop, recommend, and administer policies, rules,
standards, and procedures regarding coordination with Executive Branch
agencies on national security, law enforcement, foreign policy, trade
policy, or concerns.
(i) To monitor compliance with the terms and conditions of
authorizations and licenses and pursue enforcement actions in
conjunction with appropriate bureaus and offices.
(j) To develop, coordinate with other Federal agencies, and
administer the regulatory assistance and training programs for foreign
administrations to promote telecommunications development.
(k) To provide advice and technical assistance to U.S. trade
officials in the negotiation and implementation of communications trade
agreements, and consult with other bureaus and offices as appropriate
with respect thereto.
(l) To conduct economic, legal, technical, statistical, and other
appropriate studies, surveys, and analyses in support of international
telecommunications policies and programs.
(m) To collect and disseminate within the Commission information and
data on international communications policies, regulatory and market
developments in other countries, and international organizations.
(n) To work with the Office of Legislative Affairs to coordinate the
Commission's activities on significant matters of international policy
with appropriate Congressional offices.
(o) To advise the Chairperson on priorities for international travel
and develop, coordinate, and administer the international travel plan.
(p) Managing efforts across the Bureaus and Offices to participate
in international standards activities and serving as the FCC's senior
representative at in-person standards meetings around the world in
conjunction with staff from other Bureaus and Offices as needed.
(q) To issue orders revoking a common carrier's operating authority
pursuant to section 214 of the Act, and issue orders to cease and desist
such operations, in cases where the presiding officer has issued a
certification order to the Commission that the carrier has waived its
opportunity for hearing under that section.
(r) To exercise the 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 Office of
International Affairs. Before issuing a subpoena, the Office of
International Affairs shall obtain the approval of the Office of General
Counsel.
(s) To assist the Consumer and Governmental Affairs Bureau on issues
involving informal consumer complaints and other general inquiries by
consumers.
(t) 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.
[88 FR 21427, Apr. 10, 2023]
Office of Economics and Analytics
Sec. 0.21 Functions of the Office.
The Office of Economics and Analytics advises and makes
recommendations to the Commission in the areas of economic and data
analysis and data management policy. The Office reviews
[[Page 13]]
all Commission actions involving significant economic or data analysis
and provides expertise, guidance, and assistance to the Bureaus and
other Offices in applying the principles of economic and data analysis.
The Office coordinates the Commission's research and development
activities relating to economic and data analysis and data management
policy. In addition, the Office serves, in close coordination with other
relevant Bureaus and Offices, as a principal resource for policy and
administrative staff of the Commission with regard to the design,
implementation, and administration of auctions. The Office also
establishes and implements Commission data management policies in
conjunction with the relevant Bureaus and Offices and with the Office of
Managing Director and Office of General Counsel. The Office of Economics
and Analytics has the following duties and responsibilities:
(a) Identifies and evaluates significant communications policy
issues, based on the principles and methods of economics and data
analysis.
(b) Collaborates with and advises other Bureaus and Offices in the
areas of economic and data analysis and with respect to the analysis of
benefits, costs, and regulatory impacts of Commission policies, rules,
and proposals.
(c) Prepares a rigorous, economically-grounded cost-benefit analysis
for every rulemaking deemed to have an annual effect on the economy of
$100 million or more.
(d) Confirms that the Office of Economics and Analytics has reviewed
each Commission rulemaking to ensure it is complete before release to
the public.
(e) Reviews and comments on all significant issues of economic and
data analysis raised in connection with actions proposed to be taken by
the Commission and advises the Commission regarding such issues.
(f) Develops, recommends, and implements data management policies in
conjunction with the Office of Managing Director, the Office of General
Counsel, and relevant Bureaus and Offices, and collaborates with and
advises other Bureaus and Offices with respect to data management and
data analysis.
(g) Manages the Commission's economic and data analysis research
programs, recommends budget levels and priorities for these programs,
and serves as central account manager for all contractual economic and
data analysis research studies funded by the Commission.
(h) Conducts economic, statistical, cost-benefit, and other data
analysis of the impact of existing and proposed communications policies
and operations, including cooperative studies with other staff units and
consultant and contract efforts as appropriate.
(i) Coordinates the Commission's evaluation of government (state and
federal), academic, and industry-sponsored research affecting Commission
policy.
(j) Coordinates with other Bureaus and Offices in making
recommendations to the Commission on communications policy issues that
involve economic and data analysis, to include cost-benefit analysis;
represents the Commission at appropriate discussions and conferences.
(k) Develops and recommends procedures and plans for effective
economic and data analysis, to include cost-benefit analysis, within the
Commission.
(l) Seeks to ensure that FCC policy encourages and promotes
competitive markets by providing Bureaus and Offices with the necessary
support to identify, evaluate, and resolve competition issues.
(m) Serves as the Commission's principal policy and administrative
staff resource with regard to auction design and implementation issues.
Jointly with the Wireless Telecommunications Bureau, Media Bureau,
Wireline Competition Bureau, and/or other relevant Bureaus and Offices,
develops, recommends, and administers policies, programs and rules, and
advises the Commission on policy, engineering, and technical matters,
concerning auctions of spectrum for wireless telecommunications and
broadcast services and uses of competitive bidding to achieve other
Commission policy objectives, including universal service support.
Administers procurement of auction-related services from outside
contractors. Oversees auctions conducted on behalf of the Commission by
third
[[Page 14]]
parties at the direction of the Commission. Provides policy,
administrative, and technical assistance to other Bureaus and Offices on
auction issues. Advises and makes recommendations to the Commission, or
acts for the Commission under delegated authority, in all matters
pertaining to auction implementation. These activities include:
Conducting auctions, 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; 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 auctions, and developing and
recommending resource deployment priorities. Exercises such authority as
may be assigned, delegated, or referred to it by the Commission.
(n) With respect to applicable data and reporting duties assigned to
the Office, coordinates with the Public Safety and Homeland Security
Bureau and other relevant Bureaus and Offices on all matters affecting
public safety, homeland security, national security, emergency
management, disaster management, and related issues.
(o) With respect to applicable data and reporting duties assigned to
the Office, and in coordination with the Wireline Competition Bureau and
the Wireless Telecommunications Bureau, provides federal staff support
for the Federal-State Joint Board on Universal Service and the Federal-
State Joint Board on Jurisdictional Separations.
(p) In coordination with other relevant Bureaus and Offices,
provides economic, financial, and technical analyses of communications
markets and provider performance.
(q) In coordination with the Wireline Competition Bureau, provides
technical support for de novo review of decisions of the Administrative
Council for Terminal Attachments regarding technical criteria pursuant
to Sec. 68.614 of this chapter.
(r) Prepares briefings, position papers, and proposed Commission
actions, as appropriate.
(s) In coordination with other relevant Bureaus and Offices,
develops and recommends responses to legislative, regulatory or judicial
inquiries and proposals concerning or affecting matters within the
purview of its functions.
(t) Administers part 1, subparts V and W, of this chapter, including
rulemaking.
[83 FR 63075, Dec. 7, 2018, as amended at 85 FR 34526, June 5, 2020]
Office of Engineering and Technology
Sec. 0.31 Functions of the Office.
The Office of Engineering and Technology has the following duties
and responsibilities:
(a) To evaluate evolving technology for interference potential and
to suggest ways to facilitate its introduction in response to Bureau
initiatives, and advise the Commission and staff offices in such
matters.
(b) Represent the Commission at various national conferences and
meetings (and, in consultation with the Office of International Affairs,
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.
[[Page 15]]
(f) To advise and represent the Commission on frequency allocation
and spectrum usage matters.
(g) In cooperation with the relevant Bureaus and Offices, including
the Office of General Counsel and the Office of Economics and Analytics,
to advise 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 and Sec. 63.100 of
this chapter, and for type approval and acceptance, and certification of
radio equipment for compliance with the Rules.
(k) To maintain liaison with other agencies of government, technical
experts representing foreign governments, and members of the public and
industry concerned with communications and frequency allocation and
usage.
(l) To calibrate and standardize technical equipment and
installations used by the Commission.
(m) To exercise authority as may be assigned or referred by the
Commission pursuant to section 5(c) of the Communications Act of 1934,
as amended.
(n) To assist the Consumer 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; 83 FR
63075, Dec. 7, 2018; 88 FR 21428, Apr. 10, 2023]
Office of General Counsel
Sec. 0.41 Functions of the Office.
The Office of the General Counsel has the following duties and
responsibilities:
(a) To advise and represent the Commission in matters of litigation.
(b) To advise and make recommendations to the Commission with
respect to proposed legislation and submit agency views on legislation
when appropriate.
(c) To interpret the statutes, international agreements, and
international regulations affecting the Commission.
(d) To prepare and make recommendations and interpretations
concerning procedural rules of general applicability and to review all
rules for consistency with other rules, uniformity, and legal
sufficiency.
(e) To conduct research in legal matters as directed by the
Commission.
(f) In cooperation with the Office of Engineering and Technology, to
participate in, render advice to the Commission, and coordinate the
staff work with respect to general frequency allocation proceedings and
other proceedings not within the jurisdiction of any single bureau, and
to render advice with respect to rule making matters and proceedings
affecting more than one bureau.
(g) To exercise such authority as may be assigned or referred to it
by the Commission pursuant to section 5(c) of the Communications Act of
1934, as amended.
(h) To cooperate with the Space Bureau on all matters pertaining to
space policy and satellite communications.
[[Page 16]]
(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]
Editorial Note: For Federal Register citations affecting Sec. 0.41,
see the List of CFR Sections Affected, which appears in the Finding Aids
section of the printed volume and at www.govinfo.gov.
International Bureau
Sec. 0.51 Functions of the Bureau.
The Space Bureau has the following duties and responsibilities:
(a) To develop, recommend, and administer policies, rules,
standards, and procedures for the authorization and regulation of
domestic and international satellite systems.
(b) 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.
(c) To facilitate the international coordination of U.S. spectrum
allocations for space-based services and frequency and orbital
assignments so as to minimize cases of international radio interference
involving U.S. licensees.
(d) To coordinate, in consultation with other Bureaus and Offices as
appropriate, negotiation of arrangements and procedures for coordination
of radio frequency assignments for space-based services to prevent or
resolve international radio interference involving U.S. space station
and/or earth station licensees.
(e) To ensure fulfillment of the Commission's responsibilities under
international agreements and treaty obligations in coordination with the
Office of International Affairs, 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 involving space-based services.
(f) In coordination with the Office of International Affairs, 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.
(g) To serve as a focal point for coordination with other U.S.
government agencies on matters of space policy, licensing and governance
and, to support the Office of International Affairs with other Federal
agencies, international
[[Page 17]]
or foreign organizations, and appropriate regulatory bodies and
officials of foreign governments for meetings that involve space policy
matters.
(h) To exercise authority to issue non-hearing related subpoenas for
the attendance and testimony of witnesses and the production of books,
papers, correspondence, memoranda, schedules of charges, contracts,
agreements, and any other records deemed relevant to the investigation
of matters within the jurisdiction of the Space Bureau. Before issuing a
subpoena, the Space Bureau shall obtain the approval of the Office of
General Counsel.
(i) To assist the Consumer and Governmental Affairs Bureau on issues
involving informal consumer complaints and other general inquiries by
consumers.
(j) 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.
[88 FR 21428, Apr. 10, 2023]
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 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) [Reserved]
(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).
[[Page 18]]
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 under Sec. 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;
84 FR 9465, Mar. 15, 2019]
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
Chairperson 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
[[Page 19]]
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 Chairperson 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 outside the Commission on matters relating to equal
opportunity and workplace diversity.
[61 FR 2727, Jan. 29, 1996, as amended at 88 FR 21429, Apr. 10, 2023]
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 in Sec. 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.
[[Page 20]]
(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 to Sec. 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 under Sec. 0.291.
(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 matters affecting public safety, homeland security, national
security, emergency management, disaster management, and related issues.
(p) In coordination with the Office of Economics and Analytics and
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.
(q) Issue orders revoking a common carrier's operating authority
pursuant to section 214 of the Act, and issue orders to cease and desist
such operations, in cases where the presiding officer has issued a
certification order to the Commission that the carrier has waived its
opportunity for hearing under that section.
(r) Review and resolve appeals of decisions by the STIR/SHAKEN
authentication framework Governance Authority (as those terms are
defined in Sec. 64.6300 of this chapter) in accordance with Sec.
64.6308 of this chapter.
[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; 83 FR 63076, Dec. 7, 2018; 85
FR 63171, Oct. 6, 2020; 86 FR 12546, Mar. 4, 2021; 86 FR 48520, Aug. 31,
2021]
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.
[[Page 21]]
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.
(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 1 to paragraph (a)(1): The Consumer and Governmental Affairs
Bureau has primary responsibility for addressing 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 Office of International
Affairs 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 2 to paragraph (a)(2): The Consumer and Governmental Affairs
Bureau has primary responsibility for addressing 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 3 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.
[[Page 22]]
(6) Resolve complaints regarding the lighting and marking of radio
transmitting towers under section 303(q) of the Communications Act.
Note 4 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 5 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 (Title III of the Communications Act of 1934, as amended),
including complaints under Sec. 20.12(e) of this chapter, except that
the Media Bureau has primary responsibility for complaints regarding
children's television programming requirements, and for political and
related programming 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 Television Relay Service authorizations.
Note 6 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 sitting 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 Television 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 this chapter, except that the Media
Bureau has primary responsibility for complaints regarding the
following: Subpart A (general), with the exception of Sec. 76.11;
subpart B (Registration Statements); subpart C (Cable Franchise
Applications); subpart D (carriage of television broadcast signals);
subpart F (nonduplication protection and syndicated exclusivity);
subpart G, Sec. Sec. 76.205 and 76.206 (political broadcasting);
subpart I ([Reserved]); subpart J (ownership); subpart L (cable
television access); subpart N, Sec. 76.944 (basic cable rate appeals),
and Sec. Sec. 76.970, 76.971, and 76.977 (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 paragraph
(a)(13).
Note 7 to paragraph (a)(13): The Media Bureau has primary
responsibility for complaints regarding the following: subpart A
(general), with the exception of Sec. 76.11 of this chapter; subpart B
(Registration Statements); subpart C (Federal-State/Local Relationships
[Reserved]; subpart D (carriage of 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
[[Page 23]]
(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 to Sec. 54.521 of this chapter.
(15) Upon referral from the General Counsel pursuant to Sec.
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 with Sec. 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 proceeding
has been terminated by the presiding officer 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.
(26) Conduct audits and investigations and resolve issues of
compliance concerning equal employment opportunity requirements
involving Title III licensees and permittees or multichannel video
programming distributors, including cable service providers, under part
76 of this chapter.
(27) Identify suspected illegal calls and illegal texts and provide
written notice to voice service or mobile wireless providers. The
Enforcement Bureau shall:
(i) Identify with as much particularity as possible the suspected
traffic or texts;
(ii) Cite the statutory or regulatory provisions the suspected
traffic appear to violate or illegal texts violate;
(iii) Provide the basis for the Enforcement Bureau's reasonable
belief that the identified traffic or the determination that the illegal
texts are unlawful, including any relevant nonconfidential evidence from
credible sources such as the industry traceback consortium or law
enforcement agencies; and
[[Page 24]]
(iv) Direct the voice service provider receiving the notice that it
must comply with Sec. 64.1200(n)(2) of the Commission's rules or direct
the mobile wireless provider receiving the notice that it must comply
with 47 CFR 64.1200(s).
(28) Take enforcement action, including de-listing from the Robocall
Mitigation Database, against any provider:
(i) Whose certification required by Sec. 64.6305 of this chapter is
deficient after giving that provider notice and an opportunity to cure
the deficiency; or
(ii) Who accepts calls directly from a provider not listed in the
Robocall Mitigation Database in violation of Sec. 64.6305(g) of this
chapter.
(29) Take enforcement action, including revoking an existing section
214 authorization, license, or instrument for any entity that has
repeatedly violated Sec. 64.6301, Sec. 64.6302, or Sec. 64.6305 of
this chapter. The Commission or the Enforcement Bureau under delegated
authority will provide prior notice of its intent to revoke an existing
license or instrument of authorization and follow applicable revocation
procedures, including providing the authorization holder with a written
opportunity to demonstrate why revocation is not warranted.
(30) Resolve complaints alleging violations of digital
discrimination of access pursuant to 47 CFR part 16.
(b) Serve as a party in hearing proceedings conducted pursuant to 47
CFR part 1, subpart B.
(c) In coordination with the Office of International Affairs,
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 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) Conduct the annual registration and select a single consortium
to conduct private-led efforts to trace back the origin of suspected
unlawful robocalls, under section 13(d) of the TRACED Act, 133 Stat. at
3287, and Sec. 64.1203 of this chapter, consistent with FCC No. 20-34.
(j) Collects and reviews information received from private entities
related to violations of Sec. Sec. 64.1200(a) and 64.1604(a) of this
chapter.
(k) Perform such other functions as may be assigned or referred to
it by the Commission.
[64 FR 60716, Nov. 8, 1999]
Editorial Note: For Federal Register citations affecting Sec.
0.111, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.govinfo.gov.
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.
[[Page 25]]
(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;
any matters concerning wireless carriers that also affect wireline
carriers in cooperation with the Wireline Competition Bureau; and, in
cooperation with the Office of Economics and Analytics, all policies,
programs, and rules regarding spectrum auctions, and, in cooperation
with the Wireline Competition Bureau and the Office of Economics and
Analytics, USF mechanisms affecting wireless carriers. These activities
include: Policy development and coordination; conducting rulemaking and
adjudicatory proceedings, including licensing and complaint proceedings
for matters not within the responsibility of the Enforcement Bureau;
acting on waivers of rules; acting on applications for service and
facility authorizations; compliance and enforcement activities for
matters not within the responsibility of the Enforcement Bureau;
determining resource impacts of existing, planned or recommended
Commission activities concerning wireless telecommunications, and
developing and recommending resource deployment priorities.
(b) Develops and recommends policy goals, objectives, programs and
plans for the Commission on matters concerning wireless
telecommunications, drawing upon relevant economic, technological,
legislative, regulatory and judicial information and developments. Such
matters include meeting the present and future wireless
telecommunications needs of the Nation; fostering economic growth by
promoting efficiency and innovation in the allocation, licensing and use
of the electromagnetic spectrum; ensuring choice, opportunity and
fairness in the development of wireless telecommunications services and
markets; promoting economically efficient investment in wireless
telecommunications infrastructure and the integration of wireless
communications networks into the public telecommunications network;
enabling access to national communications services; promoting the
development and widespread availability of wireless telecommunications
[[Page 26]]
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 a staff resource, in coordination with the Office of
Economics and Analytics with regard to the development and
implementation of spectrum policy through spectrum auctions. Jointly
with the Office of Economics and Analytics, develops, recommends and
administers policies, programs and rules concerning licensing of
spectrum for wireless telecommunications through auctions and advises
the Commission on policy, engineering, and technical matters relating to
auctions of spectrum used for other purposes.
(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 Space 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 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 Office of International Affairs
with respect to treaty activities and international conferences
concerning wireless telecommunications and standards.
(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
[[Page 27]]
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 and the
Office of Economics and Analytics, develops and recommends policies,
programs, rules and procedures concerning the use of market-based
mechanisms, including competitive bidding, to distribute universal
service support.
(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, 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; 83 FR 63076, Dec. 7, 2018; 85 FR 34526, June
5, 2020; 88 FR 21429, Apr. 10, 2023; 88 FR 77219, Nov. 9, 2023]
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 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 serves as
the primary Commission entity responsible for administering the
Affordable Connectivity Outreach Grant Program for outreach, in
coordination with the Office of the Managing Director, Office of the
General Counsel, Wireline Competition Bureau, and Office of Economics
and Analytics. 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
[[Page 28]]
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) 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.
(l) Advises and makes recommendations to the Commission, or acts for
the Commission under delegated authority, to develop, administer, and
manage the Affordable Connectivity Outreach Grant Program. This includes
coordinating with the Office of the
[[Page 29]]
Managing Director (OMD) on interagency agreements with other Federal
agencies as may be necessary to develop, administer, and manage the
Affordable Connectivity Outreach Grant Program, including, developing,
administering, and issuing Notices of Funding Opportunity for and making
grant awards or entering into cooperative agreements for the Affordable
Connectivity Outreach Grant Program. This also includes, with the
concurrence of the General Counsel, interpreting rules and regulations
pertaining to the Affordable Connectivity Outreach Grant Program.
[67 FR 13219, Mar. 21, 2002, as amended at 76 FR 24388, May 2, 2011; 87
FR 54328, Sept. 6, 2022; 88 FR 21429, Apr. 10, 2023]
Office of Administrative Law Judges
Sec. 0.151 Functions of the Office.
The Office of Administrative Law Judges consists of as many
Administrative Law Judges qualified and appointed pursuant to the
requirements of 5 U.S.C. 3105 as the Commission may find necessary. It
is responsible for hearing and conducting adjudicatory cases designated
for hearing other than those designated to be heard by the Commission en
banc, or by one or more commissioners. The Office of Administrative Law
Judges is also responsible for conducting such other hearing proceedings
as the Commission may assign.
[85 FR 63171, Oct. 6, 2020]
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.
(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, DC, to assume all of the duties and
responsibilities of the Commission and the Chairperson, 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
[[Page 30]]
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; 88 FR
21429, Apr. 10, 2023]
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 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
[[Page 31]]
telephone) and able to act. In the absence of the Chairperson, the
Commissioner present with the longest seniority in office will serve as
acting Chairperson. 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, as amended at 88 FR 21429, Apr. 10, 2023]
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
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
[[Page 32]]
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 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
[[Page 33]]
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]
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: 47 U.S.C. 151, 154(i), 154(j), 155, 225, and 409.
[[Page 34]]
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 any person, other
than the Commission, designated to serve as the presiding officer in a
hearing proceeding pursuant to Sec. 1.241.
(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.
(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; 85 FR 63171, Oct.
6, 2020]
Sec. 0.203 Authority of person, panel, or board to which functions
are delegated.
(a) The person, panel, or board to which functions are delegated
shall, with respect to such functions, have all the jurisdiction,
powers, and authority conferred by law upon the Commission, and shall be
subject to the same duties and obligations.
(b) Except as provided in Sec. 1.102 of this chapter, any action
taken pursuant to delegated authority shall have the same force and
effect and shall be made, evidenced, and enforced in the same manner as
actions of the Commission.
[28 FR 12402, Nov. 22, 1963]
Sec. 0.204 The exercise of delegated authority.
(a) Authority to issue orders and to enter into correspondence. Any
official (or group of officials) to whom authority is delegated in this
subpart is authorized to issue orders (including rulings, decisions, or
other action documents) pursuant to such authority and to enter into
general correspondence concerning any matter for which he is responsible
under this subpart or subpart A of this part.
(b) Authority of subordinate officials. Authority delegated to any
official to issue orders or to enter into correspondence under paragraph
(a) of this section may be exercised by that official or by appropriate
subordinate officials acting for him/her.
(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.
[[Page 35]]
(3) General correspondence by a committee or board is signed by the
committee or board chairperson.
(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; 88 FR 21429, Apr. 10, 2023]
Commissioners
Sec. 0.211 Chairperson.
The responsibility for the general administration of internal
affairs of the Commission is delegated to the Chairperson of the
Commission. The Chairperson 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 Chairperson may
take final action.
(b) Actions of non-routine character which do not involve policy
determinations. The Chairperson 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 Chairperson will develop proposals
for presentation to the Commission.
(d) To act within the purview of the Federal Tort Claims Act, as
amended, 28 U.S.C. 2672, upon tort claims directed against the
Commission where the amount of damages does not exceed $5,000.
(e) Authority to act as ``Head of the Agency'' or ``Agency Head''
for administrative determinations required by 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; 88 FR 21429, Apr. 10, 2023]
Sec. 0.212 Board of Commissioners.
(a) Whenever the Chairperson or Acting Chairperson of the Commission
determines that a quorum of the Commission is not present or able to
act, he/she 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, except that the Board may dismiss any such application that
does not contain any statement required under Sec. 1.115(a) or (b) of
this chapter, or does not comply with the filing requirements of Sec.
1.115(d) or (f) of this chapter.
(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.
[[Page 36]]
(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, as amended at 86 FR 12546, Mar. 4, 2021; 88
FR 21430, Apr. 10, 2023]
Sec. 0.218 Authority of, and delegated to, an individual
Commissioner or Commissioners.
(a) One or more members of the Commission may be designated to
preside in a hearing proceeding. The Commissioner or Commissioners
designated to preside at such a hearing shall fix the time and place of
the hearing and shall act upon all motions, petitions or other matters
which may arise while the proceeding is in hearing status.
(b) One or more members of the Commission may be designated to
review an initial decision issued in any hearing case.
(c) Except for actions taken during the course of a hearing and upon
the record thereof, actions taken by a Commissioner or Commissioners
pursuant to the provisions of this section shall be recorded in writing
and filed in the official minutes of the Commission.
[27 FR 7931, Aug. 10, 1962]
Managing Director
Sec. 0.231 Authority delegated.
(a) The Managing Director, or his designee, upon securing
concurrence of the General Counsel, is delegated authority to act upon
requests for waiver, reduction or deferment of fees, establish payment
dates, and issue notices proposing amendments or adjustments to the fee
schedules established under part 1, subpart G, of this chapter.
(b) The Managing Director, or his designee, is delegated authority
to make nonsubstantive, editorial revisions of the Commission's rules
and regulations upon approval of the bureau or staff office primarily
responsible for the particular part or section involved.
(c) [Reserved]
(d) The Managing Director, or his designee, upon securing the
concurrence of the General Counsel, is delegated authority, within the
purview of the Federal Tort Claims Act, as amended, 28 U.S.C. 2672, to
grant tort claims directed against the Commission where the amount of
the claim does not exceed $5,000. In addition thereto, the Managing
Director, or his designee, upon securing the concurrence of the General
Counsel, is delegated authority to act in the disposition of claims
arising under the Military Personnel and Civilian Employees' Claims Act,
as amended, 31 U.S.C. 3701 and 3721, where the amount of the claim does
not exceed $6,500.
(e) The Managing Director is delegated authority to act as Head of
the Procurement Activity and Contracting Officer for the Commission and
to designate appropriate subordinate officials to act as Contracting
Officers for the Commission.
(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.
[[Page 37]]
(g) The Managing Director, after consultation with the Chairperson
shall establish, renew, and terminate all Federal advisory committees.
He/She shall also exercise all management responsibilities under the
Federal Advisory Committee Act as amended (Pub. L. No. 92-463, 5 U.S.C.
App.).
(h) [Reserved]
(i) The Secretary, acting under the supervision of the Managing
Director, serves as the official custodian of the Commission's documents
and shall have authority to appoint a deputy or deputies for the
purposes of custody and certification of documents located in
Gettysburg, Pennsylvania or other established locations. The Secretary
is delegated authority to rule on requests for extensions of time based
on operational problems associated with the Commission's electronic
comment filing system. See Sec. 1.46 of this chapter.
(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) The Managing Director is delegated authority to issue subpoenas
for the Office of Managing Director's oversight of audits of the USF
programs and other financial assistance 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.
Cross Reference: 47 CFR part 19, subpart E.
[29 FR 14666, Oct. 28, 1964]
Editorial Note: For Federal Register citations affecting Sec.
0.231, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.govinfo.gov.
Chief Engineer
Sec. 0.241 Authority delegated.
(a) The performance of functions and activities described in Sec.
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) Notice of proposed rulemaking and of inquiry and final orders in
rulemaking proceedings, inquiry proceedings and non-editorial orders
making changes, except that:
(i) 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 under Sec. 20.19 of this
chapter, as specified in Sec. 20.19(k).
(ii) The Chief of the Office of Engineering and Technology is
delegated authority, by notice-and-comment rulemaking if required by
statute or otherwise in the public interest, to issue an order amending
rules in parts 2, 5, 15, or 18 of this chapter that reference industry
standards to specify revised versions of the standards. This delegation
is limited to modifying rules to reference revisions to standards that
are already in the rules and not to incorporate a new standard into the
rules, and is limited to the approval of changes to the technical
standards that do not raise major compliance issues.
(2) Applications for review of actions taken pursuant to delegated
authority, except that the Chief of the Office of Engineering and
Technology may dismiss any such application that does not contain any
statement required under Sec. 1.115(a) or (b) of this chapter, or does
not comply with the filing requirements of Sec. 1.115(d) or (f) of this
chapter.
[[Page 38]]
(3) Petitions and other requests for waivers of the Commission's
rules, whether or not accompanied by an applications, when such
petitions or requests contain new or novel arguments not previously
considered by the Commission or present facts or arguments which appear
to justify a change in Commission policy.
(4) Petitions and other requests for declaratory rulings, when such
petitions or requests contain new or novel arguments not previously
considered by the Commission or preset facts or arguments which appear
to justify a change in Commission policy.
(5) Any other petition, pleading or request presenting new or novel
questions of fact, law, or policy which cannot be resolved under
outstanding precedents and guidelines.
(6) Any other complaint or enforcement matter presenting new or
novel questions of fact, law, or policy which cannot be resolved under
outstanding precedents and guidelines.
(7) Authority to issued a notice of opportunity for hearing pursuant
to Sec. 1.80(g) of this chapter; and authority to issue notices of
apparent liability, final forfeiture orders, and orders cancelling or
reducing forfeitures imposed under Sec. 1.80(f) of this chapter, if the
amount set out in the notice of apparent liability is more than $20,000.
(8) Proposed actions following any case remanded by the courts.
(b) The Chief 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 to Sec. 2.948(e) 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 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
[[Page 39]]
TV bands databases. The Chief is also delegated authority jointly with
the Chief of the Wireless Telecommunications Bureau to administer
provisions of Sec. 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.
(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.
(j) The Chief of the Office of Engineering and Technology is
delegated authority jointly with the Chief of the Wireless
Telecommunications Bureau to administer the Spectrum Access System (SAS)
and SAS Administrator functions set forth in part 96 of this chapter.
The Chief is delegated authority to develop specific methods that will
be used to designate SAS Administrators; to designate SAS
Administrators; to develop procedures that these SAS Administrators will
use to ensure compliance with the requirements for SAS operation; to
make determinations regarding the continued acceptability of individual
SAS Administrators; and to perform other functions as needed for the
administration of the SAS. The Chief is delegated the authority to
perform these same functions with regard to the Environmental Sensing
Capability.
(k) The Chief of the Office of Engineering and Technology is
delegated authority to administer the Automated Frequency Coordination
(AFC) system and AFC system operator functions set forth in subpart E of
part 15 of this chapter. The Chief is delegated authority to develop
specific methods that will be used to designate AFC system operators; to
designate AFC system operators; to develop procedures that these AFC
system operators will use to ensure compliance with the requirements for
AFC system operations; to make determinations regarding the continued
acceptability of individual AFC system operators; and to perform other
functions as needed for the administration of the AFC systems.
(l) The Chief of the Office of Engineering and Technology is
delegated authority, jointly with the Chief of the Wireless
Telecommunications Bureau, to establish and administer a process for
review of proposed technologies for point-to-endpoint-in-motion
communications to aircraft and ships in the 71-76 GHz and 81-86 GHz
bands to ensure compliance with the requirements adopted by the
Commission.
[51 FR 41106, Nov. 13, 1986]
Editorial Note: For Federal Register citations affecting Sec.
0.241, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.govinfo.gov.
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.
[[Page 40]]
(c) The General Counsel is delegated authority in adjudicatory
hearing proceedings which are pending before the Commission en banc to
act on all requests for relief, and to issue all appropriate orders,
except those which involve final disposition on the merits of a
previously specified issue concerning an applicant's basic
qualifications or two or more applicants' comparative qualifications.
(d) When an adjudicatory proceeding is before the Commission for the
issuance of a final order or decision, the General Counsel will make
every effort to submit a draft order or decision for Commission
consideration within four months of the filing of the last responsive
pleading. If the Commission is unable to adopt an order or decision in
such cases within five months of the last responsive pleading, it shall
issue an order indicating that additional time will be required to
resolve the case.
(e) The official record of all actions taken by the General Counsel
pursuant to paragraphs (c) and (d) of this section 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 to Sec. 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.
(j) The General Counsel is delegated authority to act as the
Commission's Chief FOIA Officer, as specified in 5 U.S.C. 552(j). In
this role, the General Counsel is delegated authority to dismiss FOIA
applications for review that are untimely, repetitious, or fail to
articulate specific grounds for review.
(Secs. 2, 3, 4, 5, 301, 303, 307, 308, 309, 315, 317, 48 Stat., as
amended, 1064, 1065, 1066, 1068, 1081, 1082, 1083, 1084, 1085, 1088,
1089; 47 U.S.C. 152, 153, 154, 155, 301, 303, 307, 308, 309, 315, 317)
[28 FR 12402, Nov. 22, 1963]
Editorial Note: For Federal Register citations affecting Sec.
0.251, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.govinfo.gov.
International Bureau
Source: Sections 0.261 and 0.262 appear at 60 FR 5324, Jan. 27,
1995, unless otherwise noted.
[[Page 41]]
Sec. 0.261 Authority delegated.
(a) Subject to the limitations set forth in paragraph (b) of this
section, the Chief, Space Bureau, is hereby delegated the authority to
perform the functions and activities described in Sec. 0.51, including
without limitation the following:
(1) To recommend rulemakings, studies, and analyses (legal,
engineering, social, and economic) of various petitions for policy or
rule changes submitted by industry or the public, and to assist the
Commission in conducting the same.
(2) To act upon applications for satellite systems and earth
stations pursuant to part 25 of this chapter.
(3) In conjunction with the Office of International Affairs, to
notify the International Telecommunication Union (ITU) of the United
States' terrestrial and satellite assignments for inclusion in the
Master International Frequency Register.
(4) 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, Space 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, Space Bureau, pursuant to delegated authority, except that the
Chief of the Space Bureau may dismiss any such application that does not
contain any statement required under Sec. 1.115(a) or (b) of this
chapter, or does not comply with the filing requirements of Sec.
1.115(d) or (f) of this chapter;
(4) To act upon any formal or informal radio application which is in
hearing status;
(5) To designate for hearing any applications except:
(i) Mutually exclusive applications for radio facilities filed
pursuant to part 25, 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.
[88 FR 21430, Apr. 10, 2023]
Sec. 0.262 Record of actions taken.
The application and authorization files in the appropriate central
files of the Space Bureau are designated as the Commission's official
records of actions by the Chief, Space Bureau, pursuant to authority
delegated to the Chief. The official records of action are maintained in
the Reference Information Center.
[88 FR 21430, Apr. 10, 2023]
Office of Economics and Analytics
Sec. 0.271 Authority delegated.
The Chief, Office of Economics and Analytics, is delegated authority
to perform all functions and activities described in Sec. 0.21 (and to
perform the specified functions set forth in in paragraphs (f) through
(i) of this section to the extent they fall within the subject matters
over which the Office of Economics and Analytics has primary authority
under Sec. 0.21), subject to the exceptions and limitations in
paragraphs (a) through (e) of this section:
(a) The Chief, Office of Economics and Analytics, shall not have
authority to act on notices of proposed rulemaking and of inquiry, final
orders in rulemaking proceedings and inquiry proceedings, and reports
arising from any of the foregoing except such order
[[Page 42]]
involving ministerial conforming amendments to rule parts and notices
and orders addressing the detailed procedures for implementation of
auctions of spectrum and broadcast services and uses of competitive
bidding to achieve other Commission policy objectives, including
universal service support.
(b) The Chief, Office of Economics and Analytics, shall not have
authority to act on any complaints, petitions, pleadings, requests, or
other matters presenting new or novel questions of fact, law, or policy
that cannot be resolved under existing precedents and guidelines.
(c) The Chief, Office of Economics and Analytics, shall not have
authority to act on any applications for review of actions taken by the
Chief of the Office of Economics and Analytics pursuant to delegated
authority, except that the Chief may dismiss any such application that
does not contain any statement required under Sec. 1.115(a) or (b) of
this chapter, or does not comply with the filing requirements of Sec.
1.115(d) or (f) of this chapter.
(d) The Chief, Office of Economics and Analytics, shall not have
authority to act on any applications that are in hearing status.
(e) The Chief, Office of Economics and Analytics, shall not have
authority to impose, reduce or cancel forfeitures pursuant to the
Communications Act of 1934, as amended, in amounts of more than $80,000.
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.
(f) The Chief, Office of Economics and Analytics, is delegated
authority to deny requests for extension of time or to extend the time
within which comments may be filed.
(g) The Chief, Office of Economics and Analytics, is authorized to
dismiss or deny petitions for rulemaking that are repetitive or moot or
that for other reasons plainly do not warrant consideration by the
Commission.
(h) The Chief, Office of Economics and Analytics, is authorized to
dismiss or deny petitions for reconsideration to the extent permitted by
Sec. 1.429(l) of this chapter and to the extent permitted by Sec.
1.106 of this chapter.
(i) The Chief, Office of Economics and Analytics, is delegated
authority to make nonsubstantive, editorial revisions to the
Commission's rules and regulations contained in part 1, subparts Q, V,
W, and AA, of this chapter.
[85 FR 34527, June 5, 2020, as amended at 86 FR 12547, Mar. 4, 2021]
Sec. 0.272 Record of actions taken.
The application and authorization files and other appropriate files
of the Office of Economics and Analytics are designated as the
Commission's official records of action of the Chief, Office of
Economics and Analytics, pursuant to authority delegated to the Chief.
The official records of action are maintained by the Reference
Information Center.
[88 FR 21430, Apr. 10, 2023]
Sec. 0.273 Actions taken under delegated authority.
In discharging the authority conferred by Sec. 0.271, the Chief,
Office of Economics and Analytics, shall establish working relationships
with other Bureaus and staff Offices to assure the effective
coordination of actions taken in the analysis of regulatory impacts,
including assessments of paperwork burdens and initial and final
regulatory flexibility assessments.
[83 FR 63076, Dec. 7, 2018]
Chief, Media Bureau
Sec. 0.283 Authority delegated.
The Chief, Media Bureau, is delegated authority to perform all
functions of the Bureau, described in Sec. 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, except that the Chief of the Media Bureau may dismiss any
such application
[[Page 43]]
that does not contain any statement required under Sec. 1.115(a) or (b)
of this chapter, or does not comply with the filing requirements of
Sec. 1.115(d) or (f) of this chapter.
(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, as amended at 86 FR 12547, Mar. 4, 2021]
Sec. 0.284 Actions taken under delegated authority.
(a) In discharging the authority conferred by Sec. 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 in Sec. 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 by the
Reference Information Center.
[88 FR 21430, Apr. 10, 2023]
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 in Sec.
0.91, subject to the following exceptions and limitations.
(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.
[[Page 44]]
(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, except that the
Chief of the Wireline Competition Bureau may dismiss any such
application that does not contain any statement required under Sec.
1.115(a) or (b) of this chapter, or does not comply with the filing
requirements of Sec. 1.115(d) or (f) of this chapter.
(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, Office of International Affairs, to issue
and revise a manual on the details of the reporting requirements for
international carriers referenced in Sec. 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) [Reserved]
(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 affecting Sec.
0.291, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.govinfo.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 by the Reference Information
Center.
[88 FR 21430, Apr. 10, 2023]
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
[[Page 45]]
functions of the Bureau, described in Sec. 0.111, provided that:
(a) The following matters shall be referred to the Commission en
banc for disposition:
(1) Notices of proposed rulemaking and of inquiry and final orders
in such proceedings.
(2) Applications for review of actions taken pursuant to delegated
authority, except that the Chief of the Enforcement Bureau may dismiss
any such application that does not contain any statement required under
Sec. 1.115(a) or (b) of this chapter, or does not comply with the
filing requirements of Sec. 1.115(d) or (f) of this chapter.
(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; 86 FR 12547, Mar. 4, 2021]
Sec. 0.314 Additional authority delegated.
The Regional Directors are 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.
(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 in Sec. 18.115 of this
chapter.
(f) Act on requests for permission to resume operation of ISM
equipment on a temporary basis, as provided by Sec. 18.115 of this
chapter, and requests for extensions of time within which to file final
reports, as provided by Sec. 18.117 of this chapter.
(g) Issue notices and orders to operators of part 15 devices, as
provided in Sec. 15.5 of this chapter.
(h) Issue notices and orders to suspend operations to multi-channel
video programming distributors, as provided in Sec. 76.613 of this
chapter.
(i) Issue notices and orders to suspend operations to part 74
licensees, as provided in Sec. 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; 80 FR 53749, Sept.
8, 2015]
[[Page 46]]
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 by the
Reference Information Center.
[88 FR 21431, Apr. 10, 2023]
Wireless Telecommunications Bureau
Sec. 0.331 Authority delegated.
The Chief, Wireless Telecommunications Bureau, is hereby delegated
authority to perform all functions of the Bureau, described in Sec.
0.131, subject to the exceptions and limitations in paragraphs (a)
through (d) of this section, and also the functions described in
paragraphs (e) through (g) 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.
(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 of the
Wireless Telecommunications Bureau pursuant to any delegated authority,
except that the Chief may dismiss any such application that does not
contain any statement required under Sec. 1.115(a) or (b) of this
chapter, or does not comply with the filing requirements of Sec. 1.115
(d) or (f) of this chapter.
(d) Authority concerning rulemaking proceedings. The Chief, Wireless
Telecommunications Bureau shall not have the authority to act upon
notices of proposed rulemaking and inquiry, final orders in rulemaking
proceedings and inquiry proceedings, and reports arising from any of the
foregoing except such orders involving ministerial conforming amendments
to rule parts, or orders conforming any of the applicable rules to
formally adopted international conventions or agreements where novel
questions of fact, law, or policy are not involved. Orders conforming
any of the applicable rules in part 17 of this chapter to rules formally
adopted by the Federal Aviation Administration also need not be referred
to the Commission if they do not involve novel questions of fact, law,
or policy. In addition, revisions to the airport terminal use list in
Sec. 90.35(c)(61) of this chapter and revisions to the Government
Radiolocation list in Sec. 90.371(b) of this chapter need not be
referred to the Commission. Adoption of certain technical standards
applicable to hearing aid compatibility under Sec. 20.19 of this
chapter made together with the Chief of the Office of Engineering and
Technology, as specified in Sec. 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) to Sec. 80.514 of this chapter need
not be referred to the Commission if they do not involve novel questions
of fact, policy or law, as well as requests by the United States Coast
Guard to:
(1) Designate radio protection areas for mandatory Vessel Traffic
Services (VTS) and establish marine channels as VTS frequencies for
these areas; or
(2) Designate regions for shared commercial and non-commercial
vessel use of VHF marine frequencies.
[[Page 47]]
(3) Designate by footnote to frequency table in Sec. 80.373(f) of
this chapter marine VHF frequencies are available for intership port
operations communications in defined port areas.
(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 of Sec. 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.
(f) The Chief of the Wireless Telecommunications Bureau is delegated
authority jointly with the Chief of the Office of Engineering and
Technology to administer the Spectrum Access System (SAS) and SAS
Administrator functions set forth in part 96 of this chapter. The Chief
is delegated authority to develop specific methods that will be used to
designate SAS Administrators; to designate SAS Administrators; to
develop procedures that these SAS Administrators will use to ensure
compliance with the requirements for SAS operation; to make
determinations regarding the continued acceptability of individual SAS
Administrators; and to perform other functions as needed for the
administration of the SAS. The Chief is delegated the authority to
perform these same functions with regard to the Environmental Sensing
Capability.
(g) Authority concerning review of certain proposed technologies in
the 71-76 and 81-86 GHz bands. The Chief of the Wireless
Telecommunications Bureau is delegated authority, jointly with the Chief
of the Office of Engineering and Technology, to establish and administer
a process for review of proposed technologies for point-to-endpoint-in-
motion communications to aircraft and ships in the 71-76 GHz and 81-86
GHz bands to ensure compliance with the requirements adopted by the
Commission. The Chief of the Wireless Telecommunications Bureau is also
delegated authority to establish and administer specific procedures to
be followed for coordinating and registering aeronautical and maritime
stations and their associated transmissions.
(h) Authority concerning space launch services programs and
licensing. The Chief of the Wireless Telecommunications Bureau is
delegated authority to administer the Commission's space launch services
programs (part 26 of this chapter) and the issuing of space launch
services licenses. The Chief is delegated authority to develop specific
methods that will be used to develop an application filing procedure for
initial authorization and subsequent station registration; to seek
comment on the circumstances attending the designation of a third-party
space launch frequency coordinator, including a mechanism for selecting
a frequency coordinator; to develop procedures that the space launch
frequency coordinator will use to ensure compliance with the
coordination requirements for space launch operations; and to perform
other functions as needed for the administration of the space launch
services.
[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; 79 FR 56984, Sept. 24, 2014; 80 FR 36218, June 23,
2015; 85 FR 34527, June 5, 2020; 86 FR 12547, Mar. 4, 2021; 89 FR 33258,
Apr. 29, 2024; 89 FR 63313, Aug. 5, 2024]
Sec. 0.332 Actions taken under delegated authority.
In discharging the authority conferred by Sec. 0.331, the Chief,
Wireless Telecommunications Bureau, shall establish working
relationships with other bureaus and staff offices to assure the
effective coordination of actions taken in the following areas of joint
responsibility:
(a) [Reserved]
(b) Requests for waiver of tower painting and lighting
specifications--Enforcement Bureau.
(c) Matters involving 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.
[[Page 48]]
(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 Judges and other presiding
officers.
(a) After a presiding officer (other than the Commission) has been
designated to conduct a hearing proceeding, and until he or she has
issued an initial decision or certified the record to the Commission for
decision, or the proceeding has been transferred to another presiding
officer, all motions, petitions and other matters that may arise during
the proceeding shall be acted upon by such presiding officer, except
those which are to be acted upon by the Commission. See Sec.
1.291(a)(1) of this chapter.
(b) Any question which would be acted upon by the presiding officer
if it were raised by the parties to the proceeding may be raised and
acted upon by the presiding officer on his or her own motion.
(c) Any question which would be acted upon by the presiding officer
(other than the Commission) may be certified to the Commission on the
presiding officer's own motion.
(d) Except for actions taken during the course of a hearing and upon
the record thereof, actions taken by a presiding officer pursuant to the
provisions of this section shall be recorded in writing and filed in the
official record of the proceeding.
(e) The presiding officer may waive any rule governing the conduct
of Commission hearings upon motion or upon the presiding officer's own
motion for good cause, subject to the provisions of the Administrative
Procedure Act and the Communications Act of 1934, as amended.
(f) The presiding officer may issue such orders and conduct such
proceedings as will best conduce to the proper dispatch of business and
the ends of justice.
(g)(1) For program carriage complaints filed pursuant to Sec.
76.1302 of this chapter that the Chief, Media Bureau refers to a
presiding officer for an initial decision, the presiding officer shall
release an initial decision in compliance with one of the following
deadlines:
(i) 240 calendar days after a party informs the presiding officer
that it elects not to pursue alternative dispute resolution as set forth
in Sec. 76.7(g)(2) of this chapter; or
(ii) If the parties have mutually elected to pursue alternative
dispute resolution pursuant to Sec. 76.7(g)(2) of this chapter, within
240 calendar days after the parties inform the presiding officer that
they have failed to resolve their dispute through alternative dispute
resolution.
(2) The presiding officer may toll these deadlines under the
following circumstances:
(i) If the complainant and defendant jointly request that the
presiding officer 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.
[85 FR 63171, Oct. 6, 2020]
[[Page 49]]
Sec. 0.347 Record of actions taken.
The record of actions taken by a presiding officer, including
initial and recommended decisions and actions taken pursuant to Sec.
0.341, is available through the Commission's Electronic Comment Filing
System (ECFS). ECFS serves as the repository for records in the
Commission's docketed proceedings from 1992 to the present. The public
may use ECFS to retrieve all such records, as well as selected pre-1992
documents. The Office of the Secretary maintains copies of documents
that include nonpublic information.
[85 FR 63171, Oct. 6, 2020]
Sec. 0.351 Authority delegated.
(a) The Chief, Office of International Affairs, is hereby delegated
the authority to perform the functions and activities described in Sec.
0.19, including without limitation the following:
(1) 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.
(2) 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.
(3) 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.
(4) 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.
(5) To administer and enforce the policies and rules on
international settlements under part 64 of this chapter.
(6) To interpret and enforce rules and regulations pertaining to
matters under its jurisdiction and not within the jurisdiction of the
Enforcement Bureau.
(7) 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.
(8) 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.
(9) To act upon applications for cable landing licenses pursuant to
Sec. 1.767 of this chapter.
(10) 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.
(11) To administer and make available on a public website, a
standardized set of national security and law enforcement questions for
the categories of information set forth in part 1, subpart CC, of this
chapter.
(12) To act upon requests for designation of Recognized Private
Operating Agency (RPOA) status under part 63 of this chapter.
(13) Overseeing a team of staff from the FCC's Bureaus and Offices
for the purposes of developing Commission positions related to
international standard setting issues; collaborating on behalf of the
FCC with other Federal agencies on international standard setting
issues; and serving as the Chairperson's primary point of contact to
develop goals and facilitate strategic decisions about FCC engagement in
international standard setting efforts.
(14) 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.
(15) To make technical and ministerial edits to the rules adopted in
the 2016 Report and Order in the review of foreign ownership policies
for broadcast, common carrier, and aeronautical radio licensees to
ensure that the Commission's rules continue to refer to the
[[Page 50]]
correct Securities and Exchange Commission rules and forms. 31 FCC Rcd
11272.
(b) Notwithstanding the authority delegated in paragraph (a) of this
section, the Chief, Office of International Affairs, 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, Office of International Affairs, pursuant to delegated authority,
except that the Chief of the Office of International Affairs may dismiss
any such application that does not contain any statement required under
Sec. 1.115(a) or (b) of this chapter, or does not comply with the
filing requirements of Sec. 1.115(d) or (f) 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 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.
[88 FR 21431, Apr. 10, 2023]
Sec. 0.352 Record of actions taken.
The application and authorization files and other appropriate files
of the Office of International Affairs are designated as the
Commission's official records of action of the Chief, Office of
International Affairs, pursuant to authority delegated to the Chief. The
official records of action are maintained in the Reference Information
Center.
[88 FR 21431, Apr. 10, 2023]
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 in Sec.
0.141, provided that the following matters shall be referred to the
Commission en banc for disposition:
(a) Notices of proposed rulemaking and of inquiry and final orders
in such proceedings.
(b) Application for review of actions taken pursuant to delegated
authority, except that the Chief of Consumer and Governmental Affairs
Bureau may dismiss any such application that does not contain any
statement required under Sec. 1.115(a) or (b) of this chapter, or does
not comply with the filing requirements of Sec. 1.115(d) or (f) of this
chapter.
(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; 86
FR 12547, Mar. 4, 2021]
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;
[[Page 51]]
(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;
(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 in Sec. 0.186(b), all work,
business or functions of the Federal Communications Commission arising
under the Communications Act of 1934, as amended, is assigned and
referred to the Emergency Relocation Board.
(b) The Board, acting by a majority thereof, shall have the power
and authority to hear and determine, order, certify, report or otherwise
act as to any of the said work, business or functions so assigned or
referred to it, and in respect thereof shall have all the jurisdiction
and powers conferred by law upon the Commission, and be subject to the
same duties and obligations.
(c) Any order, decision or report made or other action taken by the
said Board in respect of any matters so assigned or referred shall have
the same effect and force, and may be made, evidenced, and enforced in
the same manner, as if made or taken by the Commission.
[28 FR 12402, Nov. 22, 1963, as amended at 33 FR 8228, June 1, 1968; 53
FR 29055, Aug. 2, 1988]
Sec. 0.387 Other national security and emergency preparedness
delegations; cross reference.
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 Chairperson 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;
[[Page 52]]
(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, as amended at 88 FR 21431, Apr. 10, 2023]
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, except that the Chief of the Public Safety and
Homeland Security Bureau may dismiss any such application that does not
contain any statement required under Sec. 1.115(a) or (b) of this
chapter, or does not comply with the filing requirements of Sec.
1.115(d) or (f) of this chapter.
(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.
(j) The Chief of the Public Safety and Homeland Security Bureau is
delegated authority to administer the communications reliability and
redundancy rules and policies contained in part 9, subpart H, of this
chapter, develop and revise forms and procedures as may be required for
the administration of part 9, subpart H, of this chapter, review
[[Page 53]]
certifications filed in connection therewith, and order remedial action
on a case-by-case basis to ensure the reliability of 911 service in
accordance with such rules and policies.
[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; 79 FR 3130, Jan. 17, 2014; 86 FR 12547, Mar. 4, 2021]
Subpart C_General Information
General
Sec. 0.401 Location of Commission offices.
The Commission maintains several offices and receipt locations.
Applications and other filings not submitted in accordance with the
addresses or locations set forth below will be returned to the applicant
without processing. When an application or other filing does not involve
the payment of a fee, the appropriate filing address or location is
established elsewhere in the rules for the various types of submissions
made to the Commission. The public should identify the correct filing
location by reference to these rules. Applications or submissions
requiring fees must be submitted in accordance with Sec. 0.401(b) of
the rules irrespective of the addresses that may be set out elsewhere in
the rules for other submissions.
(a) General correspondence, as well as applications and filings not
requiring the fees set forth at part 1, subpart G of the rules (or not
claiming an exemption, waiver or deferral from the fee requirement),
should be delivered to one of the following locations.
(1) The main office of the Commission is located at 45 L Street NE,
Washington, DC 20554.
(i) Documents submitted by mail to this office should be addressed
to: Federal Communications Commission, Washington, DC 20554.
(ii) All hand-carried documents should be addressed to the
Commission's Secretary, Office of the Secretary, Federal Communications
Commission and delivered to 9050 Junction Drive, Annapolis Junction, MD
20701.
(iii) Electronic filings, where required, recommended, or 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) For the locations of the field offices, contact the Enforcement
Bureau.
(5) The location of the Office of General Counsel is 45 L Street NE,
Washington, DC 20554.
(b) Applications or filings requiring the fees set forth at part 1,
subpart G of the rules must be delivered through the appropriate
electronic filing system 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 to paragraph (b) introductory text: 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 submitted
following the procedures set forth by the Commission in the appropriate
fee rules.
Note to paragraph (b)(1): Wireless Telecommunications Bureau
applications that require frequency coordination by certified
[[Page 54]]
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) 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 affecting Sec.
0.401, see the List of CFR Sections Affected, which appears in the
Finding Aids section of the printed volume and at www.govinfo.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, and Sec. 1.8 is followed by Sec. 1.10; in this case, parts 3
and 4 and Sec. 1.9 have been reserved for future use. In numbering
sections, the number before the period is the part number; and the
number after the period locates the section within that part. Thus, for
example, Sec. 1.1 is the first section of part 1 and Sec. 5.1 is the
first section in part 5. Except in the case of accounting regulations
(parts 31-35), the period should not be read as a decimal point; thus,
Sec. 1.511 is not located between 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 to Sec. 5.1 (in
part 5) of chapter I of title 47 of the Code, and permits the exact
location of that rule. No citation to other rule units (e.g., subpart or
chapter) is needed.
(b) Contents. Parts 0-19 of the rules have been reserved for
provisions of a general nature. Parts 20-69 of this chapter have been
reserved for provisions pertaining to common carriers. Parts 20-29 and
80-109 of this chapter
[[Page 55]]
have been reserved for provisions pertaining to the wireless
telecommunications services. In the rules pertaining to common carriers,
parts 20-25 and 80-99 of this chapter pertain to the use of radio; In
the rules pertaining to common carriers, parts 21, 23, and 25 of this
chapter pertain to the use of radio; parts 31-66 of this chapter pertain
primarily to telephone and telegraph companies. Persons having business
with the Commission will find it useful to consult one or more of the
following parts containing provisions of a general nature in addition to
the rules of the radio or wire communication service in which they are
interested:
(1) Part 0, Commission organization. Part 0 describes the structure
and functions of the Commission, lists delegations of authority to the
staff, and sets forth information designed to assist those desiring to
obtain information from, or to do business with, the Commission. This
part is designed, among other things, to meet certain of the
requirements of the Administrative Procedure Act, as amended.
(2) Part 1 of this chapter, practice and procedure. Part 1, subpart
A, of this chapter contains the general rules of practice and procedure.
Except as expressly provided to the contrary, these rules are applicable
in all Commission proceedings and should be of interest to all persons
having business with the Commission. Part 1, subpart A of this chapter
also contains certain other miscellaneous provisions. Part 1, subpart B,
of this chapter contains the procedures applicable in formal hearing
proceedings (see Sec. 1.201 of this chapter). Part 1, subpart C, of
this chapter contains the procedures followed in making or revising the
rule or regulations. Part 1, subpart D, of this chapter contains rules
applicable to applications for licenses in the Broadcast Radio Services,
including the forms to be used, the filing requirements, the procedures
for processing and acting upon such applications, and certain other
matters. Part 1, subpart 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
[[Page 56]]
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 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.
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 can be found at https://www.reginfo.gov/public/do/
PRAMain. The Commission intends that this posting comply with the
requirement that agencies ``display'' current OMB 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 Secretary, Office of the Secretary, Office of
Managing Director, Federal Communications Commission, Washington, DC
20554 by sending an email to [email protected].
[88 FR 21431, Apr. 10, 2023]
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).
[[Page 57]]
(3) If the printer wishes to identify a foreign country in which the
forms are printed, a marginal notation must be added stating ``No U.S.
Government funds were used to print this document.''
(4) Do not add to the form any other symbol, word or phrase that
might be construed as personalizing the form or advertising on it.
(5) Except as specified above, do not delete from or add to any part
of the form, or attach anything thereto.
(6) Assure that the form being reproduced is an edition currently
acceptable by the Commission, which will endeavor to keep the public
advised of revisions to its forms, but cannot assume responsibility to
the extent of eliminating any element of risk against the use of
obsolete forms.
(b) These guidelines do not apply to forms which respondents may
wish to reproduce as completed facsimiles on automated equipment to
satisfy application or report requirements. Requests for permission to
submit such forms to the Commission should be addressed to the Office of
Managing Director.
[53 FR 27861, July 25, 1988]
Printed Publications
Sec. 0.411 General reference materials.
The following reference materials are available in many libraries
and may be purchased from the Superintendent of Documents, U.S.
Government Printing Office, Washington, D.C. 20402:
(a) Statutory materials. Laws pertaining to communications are
contained in Title 47 of the United States Code. Laws enacted since the
printing of the last supplement to the Code are printed individually as
slip laws, and these are compiled chronologically in the United States
Statutes at Large. The Acts of Congress from 1910-62 pertaining to radio
have been compiled in a single volume, Radio Laws of the United States
(1962 ed.). See 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
[[Page 58]]
contains indexes to the Communications Act and the Administrative
Procedure Act. Persons who do not have ready access to the United States
Code, or who refer frequently to these materials, may find this volume
to be useful.
[32 FR 10571, July 19, 1967]
Sec. 0.415 The rules and regulations (looseleaf service).
(a) In this service, the rules are divided into 10 volumes, each
containing several related parts. Each volume may be purchased
separately from the Superintendent of Documents. The purchase price for
a volume includes a subscription to replacement pages reflecting changes
in the rules contained therein until such time as the volume is revised.
Each volume is revised periodically, depending primarily on the
frequency with which the rules it contains have been amended. When a
volume is revised, the revised volume and replacement pages therefor
will be furnished to those who renew their subscriptions.
(b) [Reserved]
[41 FR 21449, May 26, 1976, as amended at 45 FR 49935, July 28, 1980; 51
FR 31304, Sept. 2, 1986]
Sec. 0.416 The Federal Communications Commission Record.
Texts adopted by the Commission or a member of its staff on
delegated authority and released through the Office of Media Relations
are published in the FCC Record. The FCC Record is published biweekly in
pamphlet form. The pamphlets are available on a subscription basis from
the Superintendent of Documents. Each biweekly pamphlet contains a table
of contents and current index. A consolidated index is published on a
periodic basis.
[64 FR 60722, Nov. 8, 1999]
Sec. 0.417 The Annual Reports.
At the end of each fiscal year, the Commission publishes an Annual
Report containing general information concerning the Commission and the
history of regulation, a summary of developments during the year, and
selected industry statistics.
[32 FR 10571, July 19, 1967]
Sec. 0.420 Other Commission publications.
The following additional Commission publications may be purchased
from the Superintendent of Documents:
(a) Statistics of Communications Common Carriers.
(b) Figure M-3, Estimated AM Ground Conductivity of the United
States (set of two maps).
(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 http://www.fcc.gov/forms. For information
concerning the forms to be used and filing requirements, see part 1 of
this chapter and the appropriate substantive rules.
[80 FR 53749, Sept. 8, 2015]
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]
[[Page 59]]
Lists Containing Information Compiled by the Commission
Sec. 0.431 The FCC service frequency lists.
Lists of frequency assignments to radio stations authorized by the
Commission are recapitulated periodically by means of an automated
record system. All stations licensed by the Commission are included,
except the following: Aircraft, amateur, personal (except General Mobile
Radio Service), Civil Air Patrol, and disaster. The resulting documents,
the FCC service frequency lists, consist of several volumes arranged by
nature of service, in frequency order, including station locations, call
signs and other technical particulars of each assignment. These
documents are available for public inspection in Washington, D.C., in
the Office of Engineering and Technology. Copies may be purchased from
the Commission's duplicating contractor. See Sec. 0.465(a).
[64 FR 60722, Nov. 8, 1999]
Sec. 0.434 Data bases and lists of authorized broadcast stations
and pending broadcast applications.
The FCC makes available its data bases, Consolidated Database System
(CDBS) and Licensing and Management System (LMS), containing information
about authorized broadcast stations, pending applications for such
stations, and rulemaking proceedings involving amendments to the TV and
FM Table of Allotments. CDBS and LMS contain frequencies, station
locations, and other particulars. CDBS and LMS may be viewed at the
Commission's website at www.fcc.gov under Media Bureau.
[89 FR 7243, Feb. 1, 2024]
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/consumer-governmental-affairs 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 at
the FCC's main office, located at the address indicated in Sec.
0.401(a).
(5) Visiting the Reference Information Center located at the address
indicated in Sec. 0.401(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. Requesters may
contact the FOIA Public Liaison to seek assistance on resolving disputes
related to FOIA requests. See http://www.fcc.gov/foia/.
(c) The Office of Government Information Services is available to
provide mediation services to help resolve disputes between FOIA
requesters and Federal agencies. FOIA requesters may contact the Office
of Government Information Services directly to seek its assistance. See
http://ogis.archives.gov/.
(d) The General Counsel shall, subject to the authority of the
Chairperson, exercise the responsibilities of the Chief FOIA Officer
specified in 5 U.S.C. 552(j).
[82 FR 4188, Jan. 13, 2017, as amended at 85 FR 64404, Oct. 13, 2020; 88
FR 21432, Apr. 10, 2023]
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 under Sec. 0.457 or Sec. 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
to Sec. 0.457(c)(2) and (3), (d) and (g) or Sec. 0.459, or any other
statute, rule or order,
[[Page 60]]
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 Commission with a request
for confidential treatment, see Sec. 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, staff
instructions, and
frequently requested records.
(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. 0.453.
(b) Documents 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 through the Reference
Information Center, via the Electronic Document Management System
(EDOCS), or as otherwise specified in the rulemaking document published
in the Federal Register.
(d) Formal policy statements and interpretations designed to have
general applicability are published on the Commission's Web site and in
the Federal
[[Page 61]]
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) Copies of all records that have been released to any person
under Sec. 0.461 and that because of the nature of their subject
matter, the Commission determines have become or are likely to become
the subject of subsequent requests for substantially the same records,
or that have been requested three or more times, are made available in
electronic format.
(f) 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 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.
(g) 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.
(h) 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.
[82 FR 4188, Jan. 13, 2017, as amended at 88 FR 21432, Apr. 10, 2023]
Sec. 0.451 Inspection of records: Generally.
(a) Records which are routinely available for public inspection.
Section 0.453 specifies those Commission records which are routinely
available for public inspection and where those records may be
inspected. Procedures governing requests for inspection of such records
are set out in Sec. 0.460.
(b) Records which are not routinely available for public inspection.
Records which are not specified in Sec. 0.453 are not routinely
available for public inspection. Such records fall into three
categories.
(1) The first category consists of categories of records listed in
Sec. 0.457, and of particular records withheld from public inspection
under Sec. 0.459. The Commission has determined that there is a
statutory basis for withholding these records from public inspection. In
some cases, the Commission is prohibited from permitting the inspection
of records. This category also includes records that are the property of
another agency that the Commission has no authority to release for
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. As applicable, procedures governing demands by
competent authority for inspection of these records are set forth in
Sec. 0.463.
(2) The second category consists of records that are not specified
in Sec. 0.453 or Sec. 0.457 and have not been withheld from inspection
under Sec. 0.459. In some
[[Page 62]]
cases, these records have not been identified for listing. In other
cases an individualized determination is required. Procedures governing
requests for inspection of these records are set forth in Sec. 0.461.
Procedures governing demands by competent authority for inspection of
these records are set forth in Sec. 0.463.
(3) The third category consists of material previously released
consistent with the agency's rules that the agency determines is not
likely to become the subject of a subsequent FOIA request or otherwise
likely to be of broader public interest.
(4) Except as provided in Sec. 0.461 and Sec. 0.463, or pursuant
to Sec. 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 under Sec. 0.453, or disclose
information contained therein. This provision does not restrict the
inspection or disclosure of records described in Sec. 0.453(b)(3).
(c) Copies. Section 0.465 applies to requests for copies of
Commission records which are routinely available for public inspection
under Sec. 0.453 and those which are made available for inspection
under Sec. 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 under Sec.
0.460 or Sec. 0.461. Section 0.466 prescribes fees to cover the expense
of searching for and reviewing records made available for inspection
under Sec. 0.460 or Sec. 0.461. Review of initial fee determinations
under Sec. 0.467 through Sec. 0.470 and initial fee reduction or
waiver determinations under Sec. 0.470(e) may be sought under Sec.
0.461(j).
Note to paragraph (d): The Commission may require advance payment
pursuant to Sec. 0.469 before releasing documents.
[82 FR 4189, Jan. 13, 2017]
Sec. 0.453 Public reference rooms.
The Commission's main Web site at http://www.fcc.gov and its
electronic reading room at http://www.fcc.gov/general/freedom-
information-act-electronic-reading-room host the Commission's online
public reference room. The Commission also maintains the FCC Reference
Information Center at its offices in Washington, DC.
(a) The Reference Information Center provides access to files
containing the record of all docketed cases, petitions for rulemaking
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). ECFS serves as the repository for official
filings in the FCC's docketed proceedings from 1992 to the present. The
public can use ECFS to retrieve any document in the system, including
selected pre-1992 documents.
(b) The Commission will maintain a regularly updated listing of
other routinely available records in its electronic reading room at
http://www.fcc.gov/general/freedom-information-act-electronic-reading-
room.
[82 FR 4189, Jan. 13, 2017, as amended at 88 FR 21432, Apr. 10, 2023]
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. The Commission will entertain requests from members of the
public under Sec. 0.461 for permission to inspect particular records
withheld from inspection under the provisions of this section, and will
weigh the policy considerations favoring non-disclosure against the
reasons cited for permitting inspection in the light of the facts of the
particular case. In making such requests, there may be more than one
basis for withholding particular records from inspection. The Commission
will permit inspection of records unless Commission staff reasonably
foresees that disclosure would harm an
[[Page 63]]
interest protected by the exemptions described in 5 U.S.C. 552(b) or
where disclosure is prohibited by law. 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 under Sec. 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 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. 13526, ``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).
(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), 5 U.S.C. 552(b)(3).
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 of Sec.
0.461. Normally, however, such data and information is available for
inspection.
(3) Under section 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 of Sec. 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
[[Page 64]]
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.
(5) The Trade Secrets Act, 18 U.S.C. 1905, prohibits the
unauthorized disclosure of certain confidential information. See
paragraph (d) of this section and Sec. 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 to Sec. 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 (see Sec. 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 Office of International Affairs 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) Information submitted with a 911 reliability certification
pursuant to 47 CFR 12.4 that consists of descriptions and documentation
of alternative measures to mitigate the risks of nonconformance with
certification elements, information detailing specific corrective
actions taken with respect to certification elements, or supplemental
information requested by the Commission with respect to such
certification.
(ix) Confidential Broadcaster Information, as defined in Sec.
1.2206(d) of this
[[Page 65]]
chapter, submitted by a broadcast television licensee in a broadcast
television spectrum reverse auction conducted under section 6403 of the
Middle Class Tax Relief and Job Creation Act of 2012 (Pub. L. 112-96)
(the ``Spectrum Act''), or in the application to participate in such a
reverse auction, is not routinely available for public inspection until
the reassignments and reallocations under section 6403(b)(1)(B) of the
Spectrum Act become effective or until two years after public notice
that the reverse auction is complete and that no such reassignments and
reallocations shall become effective. In the event that reassignments
and reallocations under section 6403(b)(1)(B) of the Spectrum Act become
effective, Confidential Broadcaster Information pertaining to any
unsuccessful reverse auction bid or pertaining to any unsuccessful
application to participate in such a reverse auction will not be
routinely available for public inspection until two years after the
effective date.
(x) Copyrighted materials the release of which would have a
substantial adverse effect on the copyright holder's potential market,
except to the extent such a release can be considered fair use.
(xi) Lists and updates of U.S.-international routes for which a
carrier has an arrangement with a foreign carrier for direct termination
in the foreign destination provided pursuant to Sec. 63.22(h) of this
chapter.
Note to paragraph (d)(1): 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 to Sec. 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 under Sec. 0.461. In the absence of a request for non-
disclosure, the Commission may, in the unusual instance, determine on
its own motion that the materials should not be routinely available for
public inspection.
(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 in Sec. 0.461. Normally such papers are privileged
and not available to private parties through the discovery process,
because 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. The Commission will not use this deliberative process
exemption to withhold records created 25 years or more before the date
on which the request was received.
(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. 12107, 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 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;
[[Page 66]]
(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.
[82 FR 4189, Jan. 13, 2017, as amended at 82 FR 55331, Nov. 21, 2017; 88
FR 21432, Apr. 10, 2023]
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 in Sec. 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 in Sec. 0.457, such a request is unnecessary.) A
copy of the request shall be attached to and shall cover all of the
materials to which it applies and all copies of those materials. If
feasible, the materials to which the request applies shall be physically
separated from any materials to which the request does not apply; if
this is not feasible, the portion of the materials to which the request
applies shall be identified. 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 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 to Sec. 0.461, the submitter will be notified of such request
pursuant to Sec. 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 in Sec. 0.459(a)(3), each such request shall
contain a statement of the reasons for withholding the materials from
inspection (see Sec. 0.457) and of the facts upon which those records
are based, including:
(1) Identification of the specific information for which
confidential treatment is sought;
(2) Identification of the Commission proceeding in which the
information was submitted or a description of the circumstances giving
rise to the submission;
(3) Explanation of the degree to which the information is commercial
or financial, or contains a trade secret or is privileged;
(4) Explanation of the degree to which the information concerns a
service that is subject to competition;
[[Page 67]]
(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 (see Sec. 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 or Sec. 0.461. The information will be accorded
confidential treatment, as provided for in Sec. 0.459(g) and Sec.
0.461, until the Commission acts on the confidentiality request and all
subsequent appeal and stay proceedings have been exhausted.
(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 (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 under Sec. 0.461. If submission of the materials is required by
the Commission and the request for confidentiality is denied, the
materials will be made available for public inspection 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. See Sec. 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 in Sec.
0.459(g) and Sec. 0.461, until the Commission acts on any timely
applications for review of an order denying a request for
confidentiality, and until a court acts on any timely motion for
[[Page 68]]
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 in Sec. 0.457. Any
person wishing to inspect them may submit a request for inspection under
Sec. 0.461.
(i) Third party owners of materials submitted to the Commission by
another party may participate in the proceeding resolving the
confidentiality of the materials.
[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) Section 0.453 specifies 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 must submit a
request to the Reference Information Center. Many records also are
available on the Commission's website, https://www.fcc.gov and the
Commission's electronic reading room, https://www.fcc.gov/general/
freedom-information-act-electronic-reading-room. Commission documents
are generally published in the FCC Record, and many of these documents
or summaries thereof are also published in the Federal Register.
(b) Arrangements to review records must be made in advance, by
telephone or by correspondence, by contacting the Reference Information
Center.
(c) The records in question must be reasonably described by the
person requesting them to permit their location by staff personnel. The
information needed to locate the records will vary, depending on the
records requested. Advice concerning the kind of information needed to
locate particular records will be furnished in advance upon request.
Members of the public will not be given access to the area in which
records are kept and will not be permitted to search the files.
(d) If it appears that there will be an appreciable delay in
locating or producing the records (as where a large number of documents
is the subject of a single request or where an extended search for a
document appears to be necessary), the requester may be directed to
submit or confirm the request in writing.
(e)(1) Written requests for records routinely available for public
inspection under Sec. 0.453 shall be directed to the Commission's
Reference Information Center pursuant to the procedures set forth in
Sec. 0.465. Requests shall set out all information known to the person
making the request which would be helpful in identifying and locating
the document, including the date range of the records sought, if
applicable. Upon request by Commission staff, the requester shall
provide his or her street address, phone number (if any), and email
address (if any). Written requests shall, in addition, specify the
maximum search fee the person making the request is prepared to pay (see
Sec. 0.467).
(2) Written requests shall be delivered or mailed directly to the
Commission's Reference Information Center (see Sec. 0.465(a)).
(f) When a written request is received by the Reference Information
Center, it will be date-stamped.
(g) All requests limited to records listed in Sec. 0.453 will be
granted, subject to paragraph (j) of this section.
(h) The records will be produced for inspection at the earliest
possible time.
(i) If the requester is provided access to a physical copy, 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
[[Page 69]]
(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.
[88 FR 21432, Apr. 10, 2023]
Sec. 0.461 Requests for inspection of materials not routinely
available for public inspection.
Any person desiring to inspect Commission records that are not
specified in Sec. 0.453 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 Government contract.
(2) The records in question must be reasonably described by the
person requesting them to permit personnel to locate them 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 must
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 reasonably describe, for each document
requested (see Sec. 0.461(a)(1)), all information known to the person
making the request that would be helpful in identifying and locating the
document, including the date range of the records sought, if applicable,
and the persons/offices to be searched, if known. Upon request by
Commission staff, the requester shall provide his or her street address,
phone number (if any), and email address (if any).
(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 (see Sec. 0.470(e)).
By filing a FOIA request, the requester agrees to pay all applicable
fees charged under Sec. 0.467, unless the person making the request
seeks a waiver of fees (see Sec. 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 in Sec. 0.457 or if they
have been withheld from inspection under Sec. 0.459, the request shall,
in addition, contain a statement of the reasons for inspection and the
facts in support thereof. In the case of other materials, no such
statement need accompany the request, but the custodian of the records
may require the submission of such a statement if he or she determines
that the materials in question may lawfully be withheld from inspection.
(d)(1) Requests shall be:
(i) Filed electronically through the internet at https://
www.foiaonline.gov/foiaonline/action/public/home; or
(ii) Delivered or mailed to the Managing Director at the address
indicated in Sec. 0.401(a), Attn: FOIA 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. The Chief of the Bureau or Office may also
[[Page 70]]
designate an appropriate person to sign the response to any FOIA
request. See Sec. 0.461(m).
(3) If the request is for materials submitted to the Commission by
third parties and not open to routine public inspection under Sec.
0.457(d), Sec. 0.459, or another Commission rule or order, or if a
request for confidentiality is pending pursuant to Sec. 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 (see paragraph (e) of
this section) 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. See Sec. 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 (see Sec. 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 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 entered into the FOIAonline system. The request
will be reviewed and, if it is determined that the request meets all the
requirements of a proper FOIA request, will be designated as perfected.
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) Where the amount of fees authorized is less than the estimated
cost for completing the production;
(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 to Sec. 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
paragraph (e)(2)(i)(A) of this section. Such request must be made no
later than ten calendar days after a request is properly received by the
custodian of records under paragraph (e)(1) of this section.
(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
email at [email protected] or by viewing their request at
http://foiaonline.regulations.gov/.
(4) Multiple FOIA requests by the same or different FOIA requesters
may be consolidated for disposition. See also Sec. 0.470(b)(2).
(f) Requests for inspection of records will be acted on as follows
by the custodian of the records.
[[Page 71]]
(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.
(iii) If the records in the possession of the Commission involve the
equities of another agency, the Commission will consult with that agency
prior to releasing the records.
(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 has 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 Commission may, at its discretion, grant the request
in full or in part, or deny the request.
(5) If there is a statutory basis for withholding part of a document
from inspection, to the extent that portion is reasonably segregable,
that part will be deleted and the remainder will be made available for
inspection. Unless doing so would harm an interest protected by an
applicable exemption, records disclosed in part shall be marked or
annotated, if technically feasible, to show the amount of information
deleted, the location of the information deleted, and the exemption
under which the deletion is made.
(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 a request is perfected 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
perfected by the FOIA Control Office. However, if a request for
clarification has been made under paragraph (e)(2)(i)(A) of this section
or an issue is outstanding regarding the payment of fees for processing
the FOIA request is pending under paragraph (e)(2)(i)(B) of this
section, 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, upon timely notice to the requester,
extend the time for action by up to ten business days, in any of the
following circumstances:
(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 email
specifying the length of the agreed-upon extension. If he or she does
not agree to
[[Page 72]]
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 provide
the requester with the records, if any, that could be located and
produced within the allotted time. The requester may file an application
for review by the Commission.
(3) If the custodian of the records grants a request for inspection
of records submitted to the Commission in confidence under Sec.
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 to
paragraph (i) of this section.
(h)(1) Requesters who seek expedited processing of FOIA requests
shall submit such requests, along with their FOIA requests, to the
Managing Director, as described in paragraph (d) of this section.
(2) Expedited processing shall be granted to a requester
demonstrating a compelling need that is certified by the requester to be
true and correct to the best of his or her knowledge and belief. Simply
stating that the request should be expedited is not a sufficient basis
to obtain expedited processing.
(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 shall be delivered or mailed to the General Counsel. (For
general procedures relating to applications for review, see Sec. 1.115
of this chapter.) The Commission shall act expeditiously on the
application for review, and shall notify the custodian of records 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 under Sec. 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 shall be filed
within ten business days after the date of the written ruling, shall be
delivered or mailed to the General Counsel, or sent via email to FOIA-
[email protected], 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. An application for review is considered filed when it is
received by the Commission. 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. A denial of an application for review is not subject to a
petition for reconsideration under Sec. 1.106 of this chapter.
(4) If an application for review filed by the person who submitted,
owns, or
[[Page 73]]
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 (see Sec. 0.467 through Sec. 0.470),
or a fee reduction or waiver decision (see Sec. 0.470(e)) may be filed
only by the person who made the request. The application shall be filed
within 90 calendar days after the date of the written ruling by the
custodian of records. An application for review is considered filed when
it is received by the Commission. The application shall be delivered or
mailed to the General Counsel, or sent via email to [email protected].
If the proceeding involves records subject to confidential treatment
under Sec. 0.457 or Sec. 0.459, or involves a person with an interest
as described in Sec. 0.461(i), the application for review shall be
served on such persons. That person may file a response within 14
calendar 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 14 calendar 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, see Sec.
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) 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 under paragraph
(i) or (j) of this section.
(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.
[[Page 74]]
(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.
[82 FR 4192, Jan. 13, 2017, as amended at 85 FR 64405, Oct. 13, 2020; 88
FR 21433, Apr. 10, 2023]
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
to Sec. 0.460 or Sec. 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 in Sec. 0.467 of this subpart;
(9) Whether disclosure of the records or the testimony sought would
otherwise be inappropriate under the circumstances; and
[[Page 75]]
(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, 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 may award 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, if any, 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/consumer-governmental-affairs.
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.
0.453 are available to the public through the Commission's Reference
Information Center. 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
Reference Information Center. 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
[[Page 76]]
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
in Sec. 0.467. For copies prepared with other media, such as thumb
drives or other portable electronic storage, 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 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 in Sec. 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
paragraph (c)(2) of this section. The fee for certification shall be $10
for each document.
(d)(1) Computer maintained databases produced by the Commission and
routinely available to the public (see Sec. 0.453) 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 Reference Information Center.
(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 Reference Information Center (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.
[82 FR 4195, Jan. 13, 2017]
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).
[[Page 77]]
(3) The term review refers to the process of examining documents
located in response to a commercial use request (see paragraph (a)(4) of
this section) to determine whether any portion of a document located is
exempt from disclosure. It also includes processing any documents for
disclosure, e.g., performing such functions that are necessary to excise
them or otherwise prepare them for release. Review does not include time
spent resolving general legal or policy issues regarding the application
of FOIA exemptions.
(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 under Sec. 0.460 or Sec.
0.461, unless such fees are reduced or waived pursuant to Sec. 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
[[Page 78]]
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 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. See Sec. 0.465(c)(2) and Sec.
0.470(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. See Sec. 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.
[82 FR 4195, Jan. 13, 2017]
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 in Sec. 0.468, and to make an
advance payment of the full amount of the estimated fee before the
Commission begins to process a new request or a pending request from
that requester.
(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 (see Sec. 0.461(g)(1)(i)
through (iii) and Sec. 0.461(k)(1)(i) through (iii)) will
[[Page 79]]
begin only after the agency has received the fee payments described in
this section. See Sec. 0.461(e)(2)(ii) and Sec. 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 to Sec. 0.466 and Sec. 0.467.
(ii) Commercial use requesters shall not be assessed search fees if
the Commission fails to comply with the time limits under Sec.
0.461(g), except as provided in paragraph (a)(1)(iii) of this section.
(iii) Commercial requesters may still be assessed search fees when
the Commission fails to comply with the time limits under Sec. 0.461(g)
if the Commission determines that unusual circumstances apply and more
than 5,000 pages are necessary to respond to the request, so long as the
Commission has provided a timely written notice to the requester and has
discussed with the requester (or made not less than three good-faith
attempts to do so) how the requester could effectively limit the scope
of the request. Additionally, if a court has determined that exceptional
circumstances exist, a failure to comply with a time limit under Sec.
0.461(g) will be excused for the length of time provided by the court
order.
(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 duplication only, pursuant to Sec. 0.465 above, excluding
duplication 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 duplication if
the Commission fails to comply with the time limits under Sec.
0.461(g), except as provided in paragraph (a)(2)(iii) of this section.
(iii) Educational requesters or requesters who are representatives
of the news media may still be assessed duplication fees when the
Commission fails to comply with the time limits under Sec. 0.461(g) if
the Commission determines that unusual circumstances apply and more than
5,000 pages are necessary to respond to the request, so long as the
Commission has provided a timely written notice to the requester and has
discussed with the requester (or made not less than three good-faith
attempts to do so) how the requester could effectively limit the scope
of the request. Additionally, if a court has determined that exceptional
circumstances exist, a failure to comply with a time limit under Sec.
0.461(g) will be excused for the length of time provided by the court
order.
(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 duplicating records
that are responsive to the request, pursuant to Sec. 0.465 and Sec.
0.467, except that the first 100 pages of duplication 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 under Sec. 0.461(g),
except as provided in paragraph (a)(3)(iii) of this section.
(iii) All other requesters may still be assessed search fees when
the Commission fails to comply with the time limits under Sec. 0.461(g)
if the Commission determines that unusual circumstances apply and more
than 5,000 pages are necessary to respond to the request, so long as the
Commission has provided a timely written notice to the requester and has
discussed with the requester (or made not less than three good-faith
attempts to do so) how the requester could effectively limit the scope
of the request. Additionally, if a court has determined that exceptional
circumstances exist, a failure to comply with a time limit under Sec.
0.461(g) will be excused for the length of time provided by the court
order.
[[Page 80]]
(b)(1) The 100 page restriction on assessment of duplication 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\[sec] x 11[sec] or 11[sec]
x 14[sec].
(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 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
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.
(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. See Sec. 0.467(e)(2).
(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.'' 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 Commission staff determines that the total fee
calculated under this section likely is less than the cost to collect
and process the fee, no fee will be charged.
(g) Review of initial fee determinations under Sec. 0.467 through
Sec. 0.470 and initial fee reduction or waiver determinations under
paragraph (e) of this section may be sought under Sec. 0.461(j).
[82 FR 4196, Jan. 13, 2017]
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]
[[Page 81]]
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 (see Sec. 1.925 of this
chapter) governing the Wireless Radio Services (see Sec. 1.907 of this
chapter) that require a fee (see Sec. 1.1102 of this chapter) shall be
submitted via the Universal Licensing System. Waiver requests that do
not require a fee should be submitted via the Universal Licensing System
or to: Federal Communications Commission, 1270 Fairfield Road,
Gettysburg, Pennsylvania 17325-7245. Waiver requests attached to
applications must be submitted in accordance with Sec. 0.401(b) or
Sec. 0.401(c) of the rules.
[63 FR 68919, Dec. 14, 1998, as amended at 73 FR 9018, Feb. 19, 2008; 88
FR 44736, July 13, 2023]
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.
(See Sec. 97.509). When the FCC conducts examinations for amateur radio
operator licenses, they shall take place at locations and times
designated by the FCC.
[58 FR 13021, Mar. 9, 1993]
Sec. 0.485 Commercial radio operator examinations.
Generally, written and telegraphy examinations for commercial radio
operator licenses shall be conducted at locations and times specified by
commercial operator license examination managers. (See Sec. 13.209 of
this chapter). When the FCC conducts these examinations, they shall take
place at locations and times specified by the FCC.
[58 FR 9124, Feb. 19, 1993]
Sec. 0.489 [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
subpart T of Part 80, must be filed as a waiver request using the
procedures specified in Sec. 0.482. Emergency requests must be filed
via the Universal Licensing System or at the Federal Communications
Commission, Office of the Secretary.
[88 FR 77219, Nov. 9, 2023]
Sec. 0.493 Non-radio common carrier applications.
All such applications shall be filed at the Commission's offices in
Washington, DC.
[28 FR 12413, Nov. 22, 1963. Redesignated at 32 FR 10578, July 19, 1967]
[[Page 82]]
Subpart D_Mandatory Declassification of National Security Information
Authority: Secs. 4(i), 303(r), Communications Act of 1934, as
amended (47 U.S.C. 154(i) and 303(r)).
Source: 47 FR 53377, Nov. 26, 1982, unless otherwise noted.
Sec. 0.501 General.
Executive Order 12356 requires that information relating to national
security be protected against unauthorized disclosure as long as
required by national security considerations. The Order also provides
that all information classified under Executive Order 12356 or
predecessor orders be subject to a review for declassification upon
receipt of a request made by a United States citizen or permanent
resident alien, a Federal agency, or a state or local government.
Sec. 0.502 Purpose.
This subpart prescribes the procedures to be followed in submitting
requests, processing such requests, appeals taken from denials of
declassification requests and fees and charges.
Sec. 0.503 Submission of requests for mandatory declassification review.
(a) Requests for mandatory review of national security information
shall be in writing, addressed to the Managing Director, and reasonably
describe the information sought with sufficient particularity to enable
Commission personnel to identify the documents containing that
information and be reasonable in scope.
(b) When the request is for information originally classified by the
Commission, the Managing Director shall assign the request to the
appropriate bureau or office for action.
(c) Requests related to information, either derivatively classified
by the Commission or originally classified by another agency, shall be
forwarded, together with a copy of the record, to the originating
agency. The transmittal may contain a recommendation for action.
Sec. 0.504 Processing requests for declassification.
(a) Responses to mandatory declassification review requests shall be
governed by the amount of search and review time required to process the
request. A final determination shall be made within one year from the
date of receipt of the request, except in unusual circumstances.
(b) Upon a determination by the bureau or office that the requested
material originally classified by the Commission no longer warrants
protection, it shall be declassified and made available to the
requester, unless withholding is otherwise authorized under law.
(c) If the information may not be declassified or released in whole
or in part, the requester shall be notified as to the reasons for the
denial, given notice of the right to appeal the denial to the
Classification Review Committee, and given notice that such an appeal
must be filed within 60 days of the date of denial in order to be
considered.
(d) The Commission's Classification Review Committee, consisting of
the Managing Director (Chairperson), the General Counsel or his/her
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.
[47 FR 53377, Nov. 26, 1982, as amended at 88 FR 21433, Apr. 10, 2023]
Sec. 0.505 Fees and charges.
(a) The Commission has designated a contractor to make copies of
Commission records and offer them for sale (See Sec. 0.465).
[[Page 83]]
(b) An hourly fee is charged for recovery of the direct costs of
searching for requested documents (See Sec. 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, (See Sec.
0.461), of the Privacy Act of 1974, (See Sec. 0.554) shall be processed
in accordance with the provisions of those Acts.
Subpart E_Privacy Act Regulations
Authority: Secs. 4, 303, 49 Stat. as amended, 1066, 1082 (47 U.S.C.
154, 303).
Source: 40 FR 44512, Sept. 26, 1975, unless otherwise noted.
Sec. 0.551 Purpose and scope; definitions.
(a) The purpose of this subpart is to implement the Privacy Act of
1974, 5 U.S.C. 552(a), and to protect the rights of the individual in
the accuracy and privacy of information concerning him which is
contained in Commission records. The regulations contained herein cover
any group of records under the Commission's control from which
information about individuals is retrievable by the name of an
individual or by some other personal identifier.
(b) In this subpart:
(1) Individual means a citizen of the United States or an alien
lawfully admitted for permanent residence;
(2) Record means any item, collection or grouping of information
about an individual that is maintained by the Commission, including but
not limited to, such individual's education, financial transactions,
medical history, and criminal or employment history, and that contains
such individual's name, or the identifying number, symbol, or other
identifying particular assigned to the individual, such as a finger or
voice print or a photograph.
(3) System of Records means a group of records under the control of
the Commission from which information is retrievable by the name of the
individual or by some identifying number, symbol, or other identifying
particular assigned to the individual;
(4) Routine Use means, with respect to the disclosure of a record,
the use of such record for a purpose which is compatible with the
purpose for which it was collected;
(5) System Manager means the Commission official responsible for the
storage, maintenance, safekeeping, and disposal of a system of records.
(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47
U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))
[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13368, Apr. 4, 1984]
Sec. 0.552 Notice identifying Commission systems of records.
The Commission publishes in the Federal Register upon establishment
or revision a notice of the existence and character of the system of
records, including for each system of records:
(a) The name and location of the system;
(b) The categories of individuals on whom records are maintained in
the system;
(c) The categories of records maintained in the system;
(d) Each routine use of the records contained in the system,
including the categories of users and the purposes of such use;
(e) The policies and practices of the agency regarding storage,
retrievability, access controls, retention, and disposal of the records;
(f) The title and business address of the system manager;
(g) The address of the agency office to which inquiries should be
addressed and the addresses of locations at which the individual may
inquire whether a system contains records pertaining to himself;
(h) The agency procedures whereby an individual can be notified how
access can be gained to any record pertaining to that individual
contained in a system of records, and the procedure for correcting or
contesting its contents; and
[[Page 84]]
(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 of Sec. 0.555(b), will disclose the substance
of such information to that individual. In order to properly request
notification or access to record information, reference must be made to
the Notice described in Sec. 0.552. A table of contents, which is
alphabetized by bureau or office, precedes the system descriptions and
allows members of the public to easily identify record systems of
interest to them. An individual may inquire into information contained
in any or all systems of records described in the Notice. However, each
inquiry shall be limited to information from systems located within a
single bureau or office and shall be addressed to that bureau or office.
(b) Reasonable identification is required of all individuals making
requests pursuant to paragraph (a) of this section in order to assure
that disclosure of any information is made to the proper person.
(1) Individuals who choose to register a request for information in
person may verify their identity by showing any two of the following:
social security card; drivers license; employee identification card;
medicare card; birth certificate; bank credit card; or other positive
means of identification. Documents incorporating a picture and/or
signature of the individual shall be produced if possible. If an
individual cannot provide suitable documentation for identification,
that individual will be required to sign an identity statement
stipulating that knowingly or willfully seeking or obtaining access to
records about another person under false pretenses is punishable by a
fine of up to $5,000.
Note: An individual's refusal to disclose his social security number
shall not constitute cause in and of itself, for denial of a request.
(2) All requests for record information sent by mail shall be signed
by the requestor and shall include his printed name, current address and
telephone number (if any). Commission officials receiving such requests
will attempt to verify the identity of the requestor by comparing his or
her signature to those in the record. If the record contains no
signatures and if positive identification cannot be made on the basis of
other information submitted, the requestor will be required to sign an
identity statement and stipulate that knowingly or willfully seeking or
obtaining access to records about another person under false pretense is
punishable by a fine of up to $5,000.
(3) If positive identification cannot be made on the basis of the
information submitted, and if data in the record is so sensitive that
unauthorized access could cause harm or embarrassment to the individual
to whom the record pertains, the Commission reserves the right to deny
access to the record pending the production of additional more
satisfactory evidence of identity.
Note: The Commission will require verification of identity only
where it has determined that knowledge of the existence of record
information or its substance is not subject to the public disclosure
requirements of the Freedom of Information Act, 5 U.S.C. 552, as
amended.
[[Page 85]]
(c) All requests for notification of the existence of record
information or for access to such information shall be delivered to the
business address of the system manager responsible for the system of
records in question, except that requests relating to official personnel
records shall be addressed to the Associate Managing Director--Personnel
Management. Such addresses can be found in the Federal Register Notice
described in Sec. 0.552.
(d) A written acknowledgement of receipt of a request for
notification and/or access will be provided within 10 days (excluding
Saturdays, Sundays, and legal public holidays) to the individual making
the request. Such an acknowledgement may, if necessary, request any
additional information needed to locate a record. A search of all
systems of records identified in the individual's request will be made
to determine if any records pertaining to the individual are contained
therein, and the individual will be notified of the search results as
soon as the search has been completed. Normally, a request will be
processed and the individual notified of the search results within 30
days (excluding Saturdays, Sundays, and legal holidays) from the date
the inquiry is received. However, in some cases, as where records have
to be recalled from Federal Record Centers, notification may be delayed.
If it is determined that a record pertaining to the individual making
the request does exist, the notification will state approximately when
the record will be available for personal review. No separate
acknowledgement is required if the request can be processed and the
individual notified of the search results within the ten-day period.
(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47
U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))
[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13368, Apr. 4, 1984]
Sec. 0.555 Disclosure of record information to individuals.
(a) Individuals having been notified that the Commission maintains a
record pertaining to them in a system of records may request access to
such record in one of three ways: by in person inspection at the system
location; by transfer of the record to a nearer location; or by mail.
(1) Individuals who wish to review their records at the system
location must do so during regular Commission business hours (8:00 a.m.-
4:30 p.m., Monday through Friday). For personal and administrative
convenience, individuals are urged to arrange to review a record by
appointment. Preferences as to specific dates and times can be made by
writing or calling the system manager responsible for the system of
records in question at least two days in advance of the desired
appointment date, and by providing a telephone number where the
individual can be reached during the day in case the appointment must be
changed. Verification of identity is required as in Sec. 0.554(b)(1)
before access will be granted an individual appearing in person.
Individuals may be accompanied by a person of his or her own choosing
when reviewing a record. However, in such cases, a written statement
authorizing discussion of their record in the presence of a Commission
representative having physical custody of the records.
(2) Individuals may request that copies of records be sent directly
to them. In such cases, individuals must verify their identity as
described in Sec. 0.554(b)(2) and provide an accurate return mailing
address or email 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
[[Page 86]]
testing or examination material shall be removed from the records to the
extent permitted in the Privacy Act of 1974, 5 U.S.C. 552(a). Section
0.561 of this subpart sets forth the systems of records maintained by
the Commission which are either totally or partially exempt from
disclosure under this subparagraph.
(c) No fee will be imposed if the number of pages of records
requested is 25 or less. Requests involving more than 25 pages shall be
submitted to the duplicating contractor (see Sec. 0.456(a)).
(d) The provisions of this section in no way give an individual the
right to access any information compiled in reasonable anticipation of a
civil action or proceeding.
(e) In the event that a determination is made denying an individual
access to records pertaining to that individual for any reason, such
individual may either:
(1) Seek administrative review of the adverse determination. Such a
request shall be in writing and should be addressed to the system
manager who made the initial decision. In addition, the request for
review shall state specifically why the initial decision should be
reversed.
(2) Seek judicial relief in the district courts of the United States
pursuant to paragraph (g)(1)(B) of the Act.
(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47
U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))
[40 FR 44512, Sept. 26, 1975, as amended at 40 FR 58858, Dec. 19, 1975;
49 FR 13369, Apr. 4, 1984; 80 FR 53749, Sept. 8, 2015]
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 (a), 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, at the address indicated
in Sec. 0.401(a). Requests to amend official personnel records of
former FCC employees should be sent to the Assistant Director for Work
Force Information, Compliance and Investigations Group, Office of
Personnel Management, 1900 E Street, NW., Washington, D.C. 20415. Any
request to amend should contain as a minimum:
(1) The identity verification information required by Sec.
0.554(b)(2) and the information needed to locate the record as required
by Sec. 0.554(a).
(2) A brief description of the item or items of information to be
amended; and
(3) The reason for the requested change.
(b) A written acknowledgement of the receipt of a request to amend a
record will be provided within 10 days (excluding Saturdays, Sundays,
and legal public holidays) to the individual requesting the amendment.
Such an acknowledgement may, if necessary, request any additional
information needed to make a determination. There will be no
acknowledgement if the request can be reviewed, processed, and the
individual notified of compliance or denial within the 10 day period.
(c) The responsible system manager, or in the case of official
personnel records of active FCC employees, the Associate Managing
Director--Personnel Management, shall (normally within 30 days) take one
of the following actions regarding a request to amend:
(1) If the system manager agrees that an amendment to the record is
warranted, the system manager shall:
(i) So advise the individual in writing;
(ii) Correct the record in compliance with the individual's request;
and
(iii) If an accounting of disclosures has been made, advise all
previous recipients of the fact that the record has been corrected and
of the substance of the correction.
(2) If the system manager, after an initial review, does not agree
that all or any portion of the record merits amendment, the system
manager shall:
(i) Notify the individual in writing of such refusal to amend and
the reasons therefore;
(ii) Advise the individual that further administrative review of the
initial decision by the full Commission may be sought pursuant to the
procedures set
[[Page 87]]
forth in Sec. 0.557. (In cases where the request to amend involves
official personnel records, review is available exclusively from the
Assistant Director for Work Force Information, Compliance and
Investigations Group, Office of Personnel Management, Washington, DC
20415; and
(iii) Inform the individual of the procedures for requesting
Commission review pursuant to Sec. 0.557.
(d) In reviewing a record in response to a request to amend, the
system manager shall assess the accuracy, relevance, timeliness, or
completeness of the record in light of each data element placed into
controversy and the use of the record in making decisions that could
possibly affect the individual. Moreover, the system manager shall
ajudge the merits of any request to delete information based on whether
or not the information in controversy is both relevant and necessary to
accomplish a statutory purpose required of the Commission by law or
executive order of the President.
(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47
U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))
[40 FR 44512, Sept. 26, 1975, as amended at 45 FR 39850, June 12, 1980;
49 FR 13369, Apr. 4, 1984; 65 FR 58466, Sept. 29, 2000; 85 FR 64405,
Oct. 13, 2020]
Sec. 0.557 Administrative review of an initial decision not
to amend a record.
(a) Individuals have 30 days from the date of the determination not
to amend a record consistent with their request to seek further
administrative review by the full Commisison. Such a request shall be in
writing and should be addressed to either the system manager who made
the initial adverse decision, or, in the case of official personnel
records of active FCC employees, to the Assistant Director for Work
Force Information, Compliance and Investigations Group, Office of
Personnel Management, Washington, DC 20415. Any request for
administrative review must:
(1) Clearly identify the questions presented for review (e.g.,
whether the record information in question is, in fact, accurate;
whether information subject to a request to delete is relevant and
necessary to the purpose for which it is maintained);
(2) Specify with particularity why the decision reached by the
system manager is erroneous or inequitable; and
(3) Clearly state how the record should be amended or corrected.
(b) The Commission shall conduct an independent review of the record
in controversy using the standards of review set out in Sec. 0.556(d).
It may seek such additional information as is necessary to make its
determination. Final administrative review shall be completed not later
than 30 days (excluding Saturdays, Sundays and legal public holidays)
from the date on which the individual requests such review unless the
Chairperson determines that a fair and equitable review cannot be made
within the 30-day period. In such event, the individual will be informed
in writing of the reasons for the delay and the approximate date on
which the review is expected to be completed.
(c) If upon review of the record in controversy the Commission
agrees with the individual that the requested amendment is warranted,
the Commission will proceed in accordance with Sec. 0.556(c)(1) (i)
through (iii).
(d) If after the review, the Commission also refuses to amend the
record as requested, it shall:
(1) Notify the individual in writing of its refusal and the reasons
therefore;
(2) Advise the individual that a concise statement of the reasons
for disagreeing with the decision of the Commisison may be filed;
(3) Inform the individual:
(i) That such a statement should be signed and addressed to the
system manager having custody of the record in question;
(ii) That the statement will be made available to any one to whom
the record is subsequently disclosed together with, at the Commission's
discretion, a summary of its reasons for refusing to amend the record;
and
(iii) That prior recipients of the record will be provided a copy of
the statement of dispute to the extent that an accounting of such
disclosures is maintained; and
[[Page 88]]
(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; 88 FR 21433, Apr. 10, 2023]
Sec. 0.558 Advice and assistance.
(a) 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 contact the Privacy Analyst at
[email protected] or at the address indicated in Sec. 0.401(a), Attn:
Office of General Counsel.
(b) Individuals who request clarification of the Notice described in
Sec. 0.552 or who have questions concerning the characterization of
specific systems of records as set forth therein, should contact the
Privacy Analyst at [email protected] or at the address indicated in Sec.
0.401(a), Attn: Office of the Managing Director.
[88 FR 21433, Apr. 10, 2023]
Sec. 0.559 Disclosure of disputed information to persons other
than the individual to whom it pertains.
If the Commission determines not to amend a record consistent with
an individual's request, and if the individual files a statement of
disagreement pursuant to Sec. 0.557(d)(2), the Commission shall clearly
annotate the record so that the disputed portion becomes apparent to
anyone who may subsequently have access to, use or disclose the record.
A copy of the individual's statement of disagreement shall accompany any
subsequent disclosure of the record. In addition, the Commission may
include a brief summary of its reasons for not amending the record when
disclosing the record. Such statements become part of the individual's
record for granting access, but are not subject to the amendment
procedures of Sec. 0.556.
Sec. 0.560 Penalty for false representation of identity.
Any individual who knowingly and willfully requests or obtains under
false pretenses any record concerning an individual from any system of
records maintained by the Commission shall be guilty of a misdemeanor
and subject to a fine of not more than $5,000.
Sec. 0.561 Exemptions.
The following systems of records are totally or partially exempt
from subsections (c)(3), (d), (e)(1), (e)(4) (G), (H), and (I), and (f)
of the Privacy Act of 1974, 5 U.S.C. 552(a), and from 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.
[[Page 89]]
This system of records is exempt pursuant to section (j)(2) of the Act
because the records contain investigatory material compiled for criminal
law enforcement purposes.
(g) System name. General Investigative Files--FCC/OIG-2. Compiled
for law enforcement purposes. This system of records is exempt pursuant
to section (k)(2) of the Act because the records contain investigatory
material compiled for law enforcement purposes.
(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47
U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))
[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13369, Apr. 4, 1984;
58 FR 11549, Feb. 26, 1993]
Subpart F_Meeting Procedures
Authority: Secs. 4, 303, 48 Stat., as amended, 1066, 1082; (47
U.S.C. 154, 303).
Source: 42 FR 12867, Mar. 7, 1977, unless otherwise noted.
Sec. 0.601 Definitions.
For purposes of this section:
(a) The term agency means:
(1) The Commission,
(2) A board of Commissioners (see Sec. 0.212),
(3) The Telecommunications Committee (see Sec. 0.215), and
(4) Any other group of Commissioners hereafter established by the
Commission on a continuing or ad hoc basis and authorized to act on
behalf of the Commission.
(b) The term meeting means the deliberations among a quorum of the
Commission, a Board of Commissioners, or a quorum of a committee of
Commissioners, where such deliberations determine or result in the joint
conduct or disposition of official agency business, except that the term
does not include deliberations to decide whether to announce a meeting
with less than seven days notice, or whether a meeting should be open or
closed. (The term includes conference telephone calls, but does not
include the separate consideration of Commission business by
Commissioners.) For purposes of this subpart each item on the agenda of
a meeting is considered a meeting or a portion of a meeting.
[42 FR 12867, Mar. 7, 1977, as amended at 48 FR 56391, Dec. 21, 1983; 64
FR 2149, Jan. 13, 1999]
Sec. 0.602 Open meetings.
(a) All meetings shall be conducted in accordance with the
provisions of this subpart.
(b) Except as provided in Sec. 0.603, every portion of every
meeting shall be open to public observation. Observation does not
include participation or disruptive conduct by observers, and persons
engaging in such conduct will be removed from the meeting.
(c) The right of the public to observe open meetings does not alter
those rules in this chapter which relate to the filing of motions,
pleadings, or other documents. Unless such pleadings conform to the
other procedural requirements of this chapter, pleadings based upon
comments or discussions at open meetings, as a general rule, will not
become part of the official record, will receive no consideration, and
no further action by the Commission will be taken thereon.
(d) Deliberations, discussions, comments or observations made during
the course of open meetings do not themselves constitute action of the
Commission. Comments made by Commissioners may be advanced for purposes
of discussion and may not reflect the ultimate position of a
Commissioner.
[42 FR 12867, Mar. 7, 1977, as amended at 45 FR 63491, Sept. 25, 1980]
Sec. 0.603 Bases for closing a meeting to the public.
Except where the agency finds that the public interest requires
otherwise, an agency or advisory committee meeting may be closed to the
public, and information pertaining to such meetings which would
otherwise be disclosed to the public under Sec. 0.605 may be withheld,
if the agency determines 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
[[Page 90]]
fact properly classified pursuant to such executive order (see Sec.
0.457(a));
(b) Relate solely to the internal personnel rules and practices of
an agency (see Sec. 0.457(b));
(c) Disclose matters specifically exempted from disclosure, by
statute (other than the Freedom of Information Act, 5 U.S.C. 552).
Provided, That such statute (1) requires that the matters be withheld
from the public in such a manner as to leave no discretion on the issue,
or (2) establishes particular criteria for withholding or refers to
particular types of matters to be withheld (see Sec. 0.457(c));
(d) Disclose trade secrets and commercial or financial information
obtained from a person and privileged or confidential (see Sec.
0.457(d));
(e) Involve accusing any person of a crime or formally censuring any
person;
(f) Disclose information of a personal nature where disclosure would
constitute a clearly unwarranted invasion of personal privacy (see Sec.
0.457(f));
(g) Disclose investigatory records compiled for law enforcement
purposes, or information which if written would be contained in such
records, but only to the extent that the production of such records or
information would (1) interfere with enforcement proceedings, (2)
deprive a person of a right to a fair trial or an impartial
adjudication, (3) constitute an unwarranted invasion of personal
privacy, (4) disclose the identity of a confidential source, and, in the
case of a record compiled by a criminal law enforcement authority in the
course of a criminal investigation, or by an agency conducting a lawful
national security intelligence investigation, confidential information
furnished only by the confidential source, (5) disclose investigative
techniques and procedures, or (6) endanger the life or physical safety
of law enforcement personnel;
(h) Disclose information contained in or related to examination,
operating, or condition reports prepared by, on behalf of, or for the
use of an agency responsible for the regulation or supervision of
financial institutions;
(i) Disclose information the premature disclosure of which would be
likely to significantly frustrate implementation of a proposed agency
action, except where the agency has already disclosed to the public the
content or nature of the disclosed action, or where the agency is
required by law to make such disclosure on its own initiative prior to
taking final agency action on such proposal; or
(j) Specifically concern the agency's issuance of a subpoena, or the
agency's participation in a civil action or proceeding, an action in a
foreign court or international tribunal, or an arbitration, or the
initiation, conduct, or disposition by the agency of a particular case
of formal agency adjudication pursuant to the procedures specified in 5
U.S.C. 554 or otherwise involving a determination on the record after
opportunity for hearing.
Sec. 0.605 Procedures for announcing meetings.
(a) Notice of all open and closed meetings will be given.
(b) The meeting notice will be submitted for publication in the
Federal Register on or before the date on which the announcement is
made. Copies will be available in the Press and News Media Division on
the day the announcement is made. Copies will also be attached to ``FCC
Actions Alert'', which is mailed to certain individuals and groups who
have demonstrated an interest in representing the public in Commission
proceedings.
(c)(1) If the agency staff determines that a meeting should be open
to the public, it will, at least one week prior to the meeting, announce
in writing the time, place and subject matter of the meeting, that it is
to be open to the public, and the name and phone number of the Chief,
Press and News Media Division, who has been designated to respond to
requests for information about the meeting.
(2) If the staff determines that a meeting should be closed to the
public, it will refer the matter to the General Counsel, who will
certify that there is (or is not) a legal basis for closing the meeting
to the public. Following action by the General Counsel, the matter may
be referred to the agency for a vote on the question of closing the
meeting (See Sec. 0.606).
[[Page 91]]
(d)(1) If the question of closing a meeting is considered by the
agency but no vote is taken, the agency will, at least one week prior to
the meeting, announce in writing the time, place and subject matter of
the meeting, that it is to be open to the public, and the name and phone
number of the Chief, Press and News Media Division.
(2) If a vote is taken, the agency will, in the same announcement
and within one day after the vote, make public the vote of each
participating Commissioner.
(3) If the vote is to close the meeting, the agency will also, in
that announcement, set out a full written explanation of its action,
including the applicable provision(s) of Sec. 0.603, and a list of
persons expected to attend the meeting, including Commission personnel,
together with their affiliations. The Commissioners, their assistants,
the General Counsel, the Executive Director, the Chief, Press and News
Media Division, and the Secretary are expected to attend all Commission
meetings. The appropriate Bureau or Office Chief and Division Chief are
expected to attend meetings which relate to their responsibilities (see
subpart A of this part).
(4) If a meeting is closed, the agency may omit from the
announcement information usually included, if and to the extent that it
finds that disclosure would be likely to have any of the consequences
listed in Sec. 0.603.
(e) If the prompt and orderly conduct of agency business requires
that a meeting be held less than one week after the announcement of the
meeting, or before that announcement, the agency will issue the
announcement at the earliest practicable time. In addition to other
information, the announcement will contain the vote of each member of
the agency who participated in the decision to give less than seven days
notice, and the particular reason for that decision.
(f) If, after announcement of a meeting, the time or place of the
meeting is changed or the meeting is cancelled, the agency will announce
the change at the earliest practicable time.
(g) If the subject matter or the determination to open or close a
meeting is changed, the agency will publicly announce the change and the
vote of each member at the earliest practicable time. The announcement
will contain a finding that agency business requires the change and that
no earlier announcement of the change was possible.
(47 U.S.C. 154, 155, 303)
[42 FR 12867, Mar. 7, 1977, as amended at 44 FR 12425, Mar. 7, 1979; 44
FR 70472, Dec. 7, 1979; 64 FR 2150, Jan. 13, 1999]
Sec. 0.606 Procedures for closing a meeting to the public.
(a) For every meeting closed under Sec. 0.603, the General Counsel
will certify that there is a legal basis for closing the meeting to the
public and will state each relevant provision of Sec. 0.603. The staff
of the agency will refer the matter to the General Counsel for
certification before it is referred to the agency for a vote on closing
the meeting. Certifications will be retained in a public file in the
Office of the Secretary.
(b) The agency will vote on the question of closing a meeting.
(1) If a member of the agency requests that a vote be taken;
(2) If the staff recommends that a meeting be closed and one member
of the agency requests that a vote be taken; or
(3) If a person whose interests may be directly affected by a
meeting requests the agency to close the meeting for any of the reasons
listed in Sec. 0.603 (e), (f) or (g), or if any person requests that a
closed meeting be opened, and a member of the agency requests that a
vote be taken. (Such requests may be filed with the Secretary at any
time prior to the meeting and should briefly state the reason(s) for
opening or closing the meeting. To assure that they reach the Commission
for consideration prior to the meeting, they should be submitted at the
earliest practicable time and should be called specifically to the
attention of the Secretary--in person or by telephone. It will be
helpful if copies of the request are furnished to the members of the
agency and the General Counsel. The filing of a request shall not stay
the holding of a meeting.)
(c) A meeting will be closed to the public pursuant to Sec. 0.603
only by vote of a majority of the entire membership
[[Page 92]]
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 adequate to record fully the proceedings of each meeting
closed to the public, except that in a meeting closed pursuant to
paragraph (h) or (j) of Sec. 0.603, the agency may maintain minutes in
lieu of a transcript or recording. Such minutes shall fully and clearly
describe all matters discussed and shall provide a full and accurate
summary of any actions taken, and the reasons therefor, including a
description of each of the views expressed on any item and the record of
any roll call vote. All documents considered in connection with any item
will be identified in the minutes.
(b) A public file of transcripts (or minutes) of closed meetings
will be maintained in the Office of the Secretary. The transcript of a
meeting will be placed in that file if, after the meeting, the
responsible Bureau or Office Chief determines, in light of the
discussion, that the meeting could have been open to the public or that
the reason for withholding information concerning the matters discussed
no longer pertains. Transcripts placed in the public file are available
for inspection under Sec. 0.460. Other transcripts, and separable
portions thereof which do not contain information properly withheld
under Sec. 0.603, may be made available for inspection under Sec.
0.461. When a transcript, or portion thereof, is made available for
inspection under Sec. 0.461, it will be placed in the public file.
Copies of transcripts may be obtained from the duplicating contractor
pursuant to Sec. 0.465(a). There will be no search or transcription
fee. Requests for inspection or copies of transcripts shall specify the
date of the meeting, the name of the agenda and the agenda item number;
this information will appear in the notice of the meeting. Pursuant to
Sec. 0.465(c)(3), the Commission will make copies of the transcript
available directly, free of charge, if it serves the financial or
regulatory interests of the United States.
(c) The Commission will maintain a copy of the transcript or minutes
for a period of at least two years after the meeting, or until at least
one year after conclusion of the proceeding to which the meeting
relates, whichever occurs later.
(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.
[[Page 93]]
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/her discretion, the Chairperson 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 30 members (or their
designated employees), with a minimum of: 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 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 Chairperson of the
Commission will appoint members through an application process initiated
by a Public Notice, and will select a Chairperson and a Vice Chairperson
to lead the IAC. The Chairperson of the Commission will also appoint
members to fill any vacancies and may replace an IAC member, at his or
her 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
Chairperson 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 Chairperson 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 Chairperson of the
Commission, or Commissioner designated by the Chairperson 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, as amended at 83 FR 733, Jan. 8, 2018; 88
FR 21433, Apr. 10, 2023]
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.
[[Page 94]]
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.
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.
1.210 Electronic filing.
1.211 Service.
Participants and Issues
1.221 Notice of hearing; appearances.
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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.
1.242 Appointment of case manager when Commission is the presiding
officer.
1.243 Authority of presiding officer.
1.244 Designation of a settlement officer.
1.245 Disqualification of presiding officer.
Prehearing Procedures
1.246 Admission of facts and genuineness of documents.
1.248 Status conferences.
1.249 Presiding officer 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 proceeding; burden of proof.
1.255 Order of procedure.
1.258 [Reserved]
1.260 [Reserved]
1.261 Corrections to transcript.
1.263 Proposed findings and conclusions.
1.264 Contents of findings of fact and conclusions.
1.265 Closing the record.
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 decision when
the Commission is not the presiding officer; presiding officer
unavailability.
1.276 Appeal and review of initial decision.
1.277 Exceptions; oral arguments.
1.279 Limitation of matters to be reviewed.
1.282 Final decision of the Commission.
Interlocutory Actions in Hearing Proceedings
1.291 General provisions.
1.294 Oppositions and replies.
1.296 Service.
1.297 Oral argument.
1.298 Rulings; time for action.
Appeal and Reconsideration of Presiding Officer's Ruling
1.301 Appeal from interlocutory rulings by a presiding officer, other
than the Commission, or a case manager; effective date of
ruling.
1.302 Appeal from final ruling by presiding officer other than the
Commission; effective date of ruling.
The Discovery and Preservation of Evidence
1.311 General.
1.313 Protective orders.
1.314 Confidentiality of information produced or exchanged.
1.315 Depositions upon oral examination--notice and preliminary
procedure.
1.316 [Reserved]
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.
Hearings on a Written Record
1.370 Purpose.
1.371 General pleading requirements.
1.372 The affirmative case.
1.373 The responsive case.
1.374 The reply case.
1.375 Other written submissions.
1.376 Oral hearing or argument.
1.377 Certification of the written hearing record to the Commission for
decision.
Subpart C_Rulemaking Proceedings
General
1.399 Scope.
[[Page 96]]
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 Purpose.
1.721 General pleading requirements.
1.722 Format and content of complaints.
1.723 Damages.
1.724 Complaints governed by section 208(b)(1) of the Act.
1.725 Joinder of complainants and causes of action.
1.726 Answers.
1.727 Cross-complaints and counterclaims.
1.728 Replies.
1.729 Motions.
1.730 Discovery.
1.731 Confidentiality of information produced or exchanged.
1.732 Other required written submissions.
1.733 Status conference.
1.734 Fee remittance; electronic filing; copies; service; separate
filings against multiple defendants.
1.735 Conduct of proceedings.
1.736 Accelerated Docket Proceedings.
1.737 Mediation.
1.738 Complaints filed pursuant to 47 U.S.C. 271(d)(6)(B).
1.739 Primary jurisdiction referrals.
1.740 Review period for section 208 formal complaints not governed by
section 208(b)(1) of the Act.
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 [Reserved]
1.776 Pricing flexibility limited grandfathering.
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.
[[Page 97]]
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 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.
1.949 Application for renewal of authorization.
1.950 Geographic partitioning and spectrum disaggregation.
1.951 Duty to respond to official communications.
1.953 Discontinuance of service or operations.
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.
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 [Reserved]
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 for wireless radio services.
[[Page 98]]
1.1153 Schedule of annual regulatory fees and filing locations for mass
media services.
1.1154 Schedule of annual regulatory charges for common carrier
services.
1.1155 Schedule of regulatory fees for cable television services.
1.1156 Schedule of regulatory fees for international services.
1.1157 Payment of charges for regulatory fees.
1.1158 Form of payment for regulatory.
1.1159 Filing locations and receipts for regulatory fees.
1.1160 Refunds of regulatory fees.
1.1161 Conditional license grants and delegated authorizations.
1.1162 General exemptions from regulatory fees.
1.1163 Adjustments to regulatory fees.
1.1164 Penalties for late or insufficient regulatory fee payments.
1.1165 Payment by cashier's check for regulatory fees.
1.1166 Waivers, reductions and deferrals of regulatory fees.
1.1167 Error claims related to regulatory fees.
1.1181 Authority to prescribe and collect fees for competitive bidding-
related services and products.
1.1182 Schedule of fees for products and services provided by the
Commission in connection with competitive bidding procedures.
Subpart H_Ex Parte Communications
General
1.1200 Introduction.
1.1202 Definitions.
Sunshine Period Prohibition
1.1203 Sunshine period prohibition.
General Exemptions
1.1204 Exempt ex parte presentations and proceedings.
Non-Restricted Proceedings
1.1206 Permit-but-disclose proceedings.
Restricted Proceedings
1.1208 Restricted proceedings.
Prohibition on Solicitation of Presentations
1.1210 Prohibition on solicitation of presentations.
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, assistance, and waiver of electronic filing and
service requirements.
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.
1.1320 Review of Commission undertakings that may affect historic
properties.
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 Pole attachment complaint proceedings.
1.1405 Dismissal of pole attachment complaints for lack of jurisdiction.
1.1406 Commission consideration of the complaint.
1.1407 Remedies.
[[Page 99]]
1.1408 Imputation of rates; modification costs.
1.1409 Allocation of unusable space costs.
1.1410 Use of presumptions in calculating the space factor.
1.1411 Timeline for access to utility poles.
1.1412 Contractors for survey and make-ready.
1.1413 Complaints by incumbent local exchange carriers.
1.1414 Review period for pole access complaints.
1.1415 Dispute resolution procedures for pole attachment disputes that
impede or delay broadband deployment; functions of the Rapid
Broadband Assessment Team.
1.1416 Overlashing.
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 Initial decision.
1.1528 Commission review.
1.1529 Judicial review.
1.1530 Payment of award.
Subpart L_Random Selection Procedures for Mass Media Services
General Procedures
1.1601 Scope.
1.1602 Designation for random selection.
1.1603 Conduct of random selection.
1.1604 Post-selection hearings.
1.1621 Definitions.
1.1622 Preferences.
1.1623 Probability calculation.
Subpart M_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.
[[Page 100]]
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.
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.
1.2115 Public notice of incentive auction related procedures.
Broadcast Television Spectrum Reverse Auction
1.2200 Definitions.
1.2201 Purpose.
1.2202 Competitive bidding design options.
1.2203 Competitive bidding mechanisms.
1.2204 Applications to participate in competitive bidding.
1.2205 Prohibition of certain communications.
1.2206 Confidentiality of Commission-held data.
1.2207 Two competing participants required.
1.2208 Public notice of auction completion and auction results.
1.2209 Disbursement of incentive payments.
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
[[Page 101]]
broadcast satellite services or multichannel multipoint
distribution services.
Subpart T_Foreign Ownership of Broadcast, Common Carrier, Aeronautical
En Route, and Aeronautical Fixed Radio Station Licensees
1.5000 Citizenship and filing requirements under section 310(b) of the
Communications Act of 1934, as amended.
1.5001 Contents of petitions for declaratory ruling under section 310(b)
of the Communications Act of 1934, as amended.
1.5002 How to calculate indirect equity and voting interests.
1.5003 Insulation criteria for interests in limited partnerships,
limited liability partnerships, and limited liability
companies.
1.5004 Routine terms and conditions.
Subpart U_State and Local Government Regulation of the Placement,
Construction, and Modification of Personal Wireless Service Facilities
1.6001 Purpose.
1.6002 Definitions.
1.6003 Reasonable periods of time to act on siting applications.
1.6100 Wireless Facility Modifications.
Subpart V_Commission Collection of Advanced Telecommunications
Capability Data and Local Exchange Competition Data
1.7000 Purpose.
1.7001 Scope and content of filed reports.
1.7002 Frequency of reports.
1.7003 Authority to update FCC Form 477.
1.7004 Scope, content, and frequency of Broadband Data Collection
filings.
1.7005 Disclosure of data in the Fabric and Broadband Data Collection
filings.
1.7006 Data verification.
1.7007 Establishing the Fabric.
1.7008 Creation of broadband internet access service coverage maps.
1.7009 Enforcement.
1.7010 Authority to update the Broadband Data Collection.
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.
1.9046 Special provisions related to spectrum manager leasing in the
Citizens Broadband Radio Service.
1.9047 Special provisions relating to spectrum leasing arrangements
involving terrestrial spectrum rights for supplemental
coverage from space.
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 Communications Filing System
1.10000 What is the purpose of the requirements related to the
International Communications Filing System?
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 ICFS?
1.10006 Is electronic filing mandatory?
1.10007 What applications can I file electronically?
1.10008 What are ICFS file numbers?
1.10009 What are the steps for electronic filing?
1.10010 Do I need to send paper copies with my electronic applications?
[[Page 102]]
1.10011 Who may sign applications?
1.10012 When can I file on ICFS?
1.10013 How do I check the status of my application after I file it?
1.10014 What happens after officially filing my application?
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.
Subpart BB_Disturbance of AM Broadcast Station Antenna Patterns
1.30000 Purpose.
1.30001 Definitions.
1.30002 Tower construction or modification near AM stations.
1.30003 Installations on an AM antenna.
1.30004 Notice of tower construction or modification near AM stations.
Subpart CC_Review of Applications, Petitions, Other Filings, and
Existing Authorizations or Licenses with Reportable Foreign Ownership By
Executive Branch Agencies for National Security, Law Enforcement,
Foreign Policy, and Trade Policy Concerns
1.40001 Executive branch review of applications, petitions, other
filings, and existing authorizations or licenses with
reportable foreign ownership.
1.40002 Referral of applications, petitions, and other filings with
reportable foreign ownership to the executive branch agencies
for review.
1.40003 Categories of information to be provided to the executive branch
agencies.
1.40004 Time frames for executive branch review of applications,
petitions, and/or other filings with reportable foreign
ownership.
Subpart DD_Secure and Trusted Communications Networks
1.50000 Purpose.
1.50001 Definitions.
1.50002 Covered List.
1.50003 Updates to the Covered List.
1.50004 Secure and Trusted Communications Networks Reimbursement
Program.
1.50005 Enforcement.
1.50006 Replacement List.
1.50007 Reports on covered communications equipment or services.
Subpart EE_Enhanced Competition Incentive Program
1.60000 Purpose.
1.60001 Definitions.
1.60002 Application requirements for program participation.
1.60003 Small carrier or tribal nation transaction prong.
1.60004 Rural-focused transaction prong.
1.60005 Program benefits.
1.60006 Program obligations.
1.60007 Penalties.
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: 47 U.S.C. chs. 2, 5, 9, 13; 28 U.S.C. 2461 note; 47
U.S.C. 1754, unless otherwise noted.
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.
[[Page 103]]
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 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. See Sec. 1.4(b)
(1)-(5) of this section. Unless otherwise provided, all Rules measuring
time from the date of the issuance of a Commission document entitled
``Public Notice'' shall be calculated in accordance with this section.
See Sec. 1.4(b)(4) of this section for a description of the ``Public
Notice'' document. Unless otherwise provided in Sec. 1.4 (g) and (h) of
this section, it is immaterial whether the first day is a ``holiday.''
For purposes of this section, the term public notice means the date of
any of the following events: See Sec. 1.4(e)(1) of this section for
definition of ``holiday.''
(1) For all documents in notice and comment and non-notice and
comment rulemaking proceedings required by the Administrative Procedure
Act, 5 U.S.C. 552, 553, to be published in the
[[Page 104]]
Federal Register, including summaries thereof, the date of publication
in the Federal Register.
Note to paragraph (b)(1): Licensing and other adjudicatory decisions
with respect to specific parties that may be associated with or
contained in rulemaking documents are governed by the provisions of
Sec. 1.4(b)(2).
Example 1: A document in a Commission rule making proceeding is
published in the Federal Register on Wednesday, May 6, 1987. Public
notice commences on Wednesday, May 6, 1987. The first day to be counted
in computing the beginning date of a period of time for action in
response to the document is Thursday, May 7, 1987, the ``day after the
day'' of public notice.
Example 2: Section 1.429(e) provides that when a petition for
reconsideration is timely filed in proper form, public notice of its
filing is published in the Federal Register. Section 1.429(f) provides
that oppositions to a petition for reconsideration shall be filed within
15 days after public notice of the petition's filing in the Federal
Register. Public notice of the filing of a petition for reconsideration
is published in the Federal Register on Wednesday, June 10, 1987. For
purposes of computing the filing period for an opposition, the first day
to be counted is Thursday, June 11, 1987, which is the day after the
date of public notice. Therefore, oppositions to the reconsideration
petition must be filed by Thursday, June 25, 1987, 15 days later.
(2) For non-rulemaking documents released by the Commission or
staff, including the Commission's section 271 determinations, 47 U.S.C.
271, the release date.
Example 3: The Chief, Mass Media Bureau, adopts an order on
Thursday, April 2, 1987. The text of that order is not released to the
public until Friday, April 3, 1987. Public notice of this decision is
given on Friday, April 3, 1987. Saturday, April 4, 1987, is the first
day to be counted in computing filing periods.
(3) For rule makings of particular applicability, if the rule making
document is to be published in the Federal Register and the Commission
so states in its decision, the date of public notice will commence on
the day of the Federal Register publication date. If the decision fails
to specify Federal Register publication, the date of public notice will
commence on the release date, even if the document is subsequently
published in the Federal Register. See Declaratory Ruling, 51 FR 23059
(June 25, 1986).
Example 4: An order establishing an investigation of a tariff, and
designating issues to be resolved in the investigation, is released on
Wednesday, April 1, 1987, and is published in the Federal Register on
Friday, April 10, 1987. If the decision itself specifies Federal
Register publication, the date of public notice is Friday, April 10,
1987. If this decision does not specify Federal Register publication,
public notice occurs on Wednesday, April 1, 1987, and the first day to
be counted in computing filing periods is Thursday, April 2, 1987.
(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
[[Page 105]]
specific number of days thereafter. Unless otherwise provided, the first
day to be counted when a period of time begins with the occurrence of an
act, event or default is the day after the day on which the act, event
or default occurs.
Example 8: Commission Rule Sec. 21.39(d) requires the filing of an
application requesting consent to involuntary assignment or control of
the permit or license within thirty days after the occurrence of the
death or legal disability of the licensee or permittee. If a licensee
passes away on Sunday, March 1, 1987, the first day to be counted
pursuant to Sec. 1.4(c) is the day after the act or event. Therefore,
Monday, March 2, 1987, is the first day of the thirty day period
specified in Sec. 21.39(d).
(d) General Rule--Computation of Terminal Date. Unless otherwise
provided, when computing a period of time the last day of such period of
time is included in the computation, and any action required must be
taken on or before that day.
Example 9: Paragraph 1.4(b)(1) of this section provides that
``public notice'' in a notice and comment rule making proceeding begins
on the day of Federal Register publication. Paragraph 1.4(b) of this
section provides that the first day to be counted in computing a
terminal date is the ``day after the day'' on which public notice
occurs. Therefore, if the commission allows or requires an action to be
taken 20 days after public notice in the Federal Register, the first day
to be counted is the day after the date of the Federal Register
publication. Accordingly, if the Federal Register document is published
on Thursday, July 23, 1987, public notice is given on Thursday, July 23,
and the first day to be counted in computing a 20 day period is Friday,
July 24, 1987. The 20th day or terminal date upon which action must be
taken is Wednesday, August 12, 1987.
(e) Definitions for purposes of this section:
(1) The term holiday means Saturday, Sunday, officially recognized
Federal legal holidays and any other day on which the Commission's
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 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 Rule Sec. 0.403,
which are not ``holidays'' as defined above.
(3) The term filing period means the number of days allowed or
prescribed by statute, rule, order, notice or other Commission action
for filing any document with the Commission. It does not include any
additional days allowed for filing any document pursuant to paragraphs
(g), (h) and (j) of this section.
(4) The term filing date means the date upon which a document must
be filed after all computations of time authorized by this section have
been made.
(f) Except as provided in Sec. 0.401(b) of this chapter, all
petitions, pleadings, tariffs or other documents not required to be
accompanied by a fee and which are hand-carried must be tendered for
filing in complete form, as directed by the Commission's rules, with the
Office of the Secretary before 4 p.m., at the address indicated in 47
CFR 0.401(a).
[[Page 106]]
The Secretary will determine whether a tendered document meets the pre-
7:00 p.m. deadline. Documents filed electronically pursuant to Sec.
1.49(f) must be received by the Commission's electronic filing system
before midnight. Applications, attachments and pleadings filed
electronically in the Universal Licensing System (ULS) pursuant to Sec.
1.939(b) must be received before midnight on the filing date. Media
Bureau applications and reports filed electronically pursuant to Sec.
73.3500 of this chapter must be received by the electronic filing system
before midnight on the filing date.
(g) Unless otherwise provided (e.g., 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 (see Sec. 1.47(f)), and the filing period for a response is 10
days or less, an additional 3 days (excluding holidays) will be allowed
to all parties in the proceeding for filing a response. This paragraph
(h) shall not apply to documents filed pursuant to Sec. 1.89, Sec.
1.315(b) or Sec. 1.316. For purposes of this paragraph (h) service by
facsimile or by electronic means shall be deemed equivalent to hand
delivery.
Example 11: A reply to an opposition for a petition for
reconsideration must be filed within 7 days after the opposition is
filed. 47 CFR 1.106(h). The rules require that the opposition be served
on the person seeking reconsideration. 47 CFR 1.106(g). If the
opposition is served on the party seeking reconsideration by mail and
the opposition is filed with the Commission on Monday, November 9, 1987,
the first day to be counted is Tuesday, November 10, 1987 (the day after
the day on which the event occurred, Sec. 1.4(c)), and the seventh day
is Monday, November 16. An additional 3 days (excluding holidays) is
then added at the end of the 7 day period, and the reply must be filed
no later than Thursday, November 19, 1987.
Example 12: Assume that oppositions to a petition in a particular
proceeding are due 10 days after the petition is filed and must be
served on the parties to the proceeding. If the petition is filed on
October 28, 1993, the last day of the filing period for oppositions is
Sunday, November 7. If service is made by mail, the opposition is due
three days after November 7, or Wednesday, November 10.
(i) If both paragraphs (g) and (h) of this section are applicable,
make the paragraph (g) computation before the paragraph (h) computation.
Example 13: Section 1.45(b) requires the filing of replies to
oppositions within five days after the time for filing oppositions has
expired. If an opposition has been filed on the last day of the filing
period (Friday, July 10, 1987), and was served on the replying party by
mail, Sec. 1.4(i) of this section specifies that the paragraph (g)
computation should be made before the paragraph (h) computation.
Therefore, since the specified filing period is 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,
where Sec. 76.1502(e) of this chapter conflicts
[[Page 107]]
with this section, those specific provisions of Sec. 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]
Editorial Note: For Federal Register citations affecting Sec. 1.4,
see the List of CFR Sections Affected, which appears in the Finding Aids
section of the printed volume and at www.govinfo.gov.
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 purposes of this
paragraph (a). For licensees in the Wireless Radio Services, each
licensee shall also furnish the Commission with an email address to be
used by Commission for serving documents or directing correspondence to
that licensee; correspondence sent to such email address is deemed to
have been served on the licensee.
(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.
[28 FR 12415, Nov. 22, 1963, as amended at 85 FR 85527, Dec. 29, 2020]
Sec. 1.6 Availability of station logs and records for Commission
inspection.
(a) Station records and logs shall be made available for inspection
or duplication at the request of the Commission or its representative.
Such logs or records may be removed from the licensee's possession by a
Commission representative or, upon request, shall be mailed by the
licensee to the Commission by either registered mail, return receipt
requested, or certified mail, return receipt requested. The return
receipt shall be retained by the licensee as part of the station records
until such records or logs are returned to the licensee. A receipt shall
be furnished when the logs or records are removed from the licensee's
possession by a Commission representative and this receipt shall be
retained by the licensee as part of the station records until such
records or logs are returned to the licensee. When the Commission has no
further need for such records or logs, they shall be returned to the
licensee. The provisions of this rule shall apply solely to those
station logs and records which are required to be maintained by the
provisions of this chapter.
(b) Where records or logs are maintained as the official records of
a recognized law enforcement agency and the removal of the records from
the possession of the law enforcement agency will hinder its law
enforcement activities, such records will not be removed pursuant to
this section if the chief of the law enforcement agency promptly
certifies in writing to the Federal Communications Commission that
removal of the logs or records will hinder law enforcement activities of
the agency, stating insofar as feasible the basis for his decision and
the date when it can reasonably be expected that such records will be
released to the Federal Communications Commission.
Sec. 1.7 Documents are filed upon receipt.
Unless otherwise provided in this Title, by Public Notice, or by
decision of the Commission or of the Commission's staff acting on
delegated authority, pleadings and other documents are 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.
[[Page 108]]
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; or for matters involving
Wireless Radio Services, emailed to the attorney instead of mailed.
[85 FR 85527, Dec. 29, 2020]
Sec. 1.13 Filing of petitions for review and notices of appeals
of Commission orders.
(a) Petitions for review involving a judicial lottery pursuant to 28
U.S.C. 2112(a). (1) This paragraph pertains to each party filing a
petition for review in any United States court of appeals of a
Commission Order pursuant to 47 U.S.C. 402(a) and 28 U.S.C. 2342(1),
that wishes to avail itself of procedures established for selection of a
court in the case of multiple petitions for review of the same
Commission action, pursuant to 28 U.S.C. 2112(a). Each such party shall,
within ten days after the issuance of that order, serve on the Office of
General Counsel, by email to the address [email protected], 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 received by the Office of General Counsel by 5:30 p.m.
Eastern Time on the tenth day of the filing period. A return email from
the Office of General Counsel acknowledging receipt of the petition for
review will constitute proof of filing. Upon receipt of any copies of
petitions for review according to these procedures, the Commission shall
follow the procedures established in section 28 U.S.C. 2112(a) to
determine the court in which to file the record in that case.
(2) If a party wishes to avail itself of procedures established for
selection of a court in the case of multiple petitions for review of the
same Commission action, pursuant to 28 U.S.C. 2112(a), but is unable to
use email to effect service as described in paragraph (a)(1) of this
section, it shall instead, within ten days after the issuance of the
order on appeal, serve a copy of its petition for review in person on
the General Counsel in the Office of General Counsel, located at the
FCC's main office address indicated in 47 CFR 0.401(a). Only parties not
represented by counsel may use this method. Such parties must telephone
the Litigation Division of the Office of General Counsel beforehand to
make arrangements at 202-418-1740. Parties are advised to call at least
one day before service must be effected.
(3) 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 in Sec. 1.4(b) of the
Commission's Rules, 47 CFR 1.4(b).
(b) Notices of appeal pursuant to 47 U.S.C. 402(b). Copies of
notices of appeals filed pursuant to 47 U.S.C. 402(b) shall be served
upon the General Counsel. The FCC consents to--and encourages--service
of such notices by email to the address [email protected].
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
[[Page 109]]
regardless of whether it wishes to avail itself of the procedures for
multiple appeals set forth in 47 U.S.C. 2112(a). Parties are encouraged
to serve such notice by email to the address [email protected].
[81 FR 40821, June 23, 2016, as amended at 85 FR 64405, Oct. 13, 2020]
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;
(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
[[Page 110]]
(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 hearing and, in the
discretion of the presiding officer, may appear and be heard on behalf
of the corporation in a 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; 85 FR 63172, Oct. 6,
2020]
Sec. 1.22 Authority for representation.
Any person, in a representative capacity, transacting business with
the Commission, may be required to show his authority to act in such
capacity.
Sec. 1.23 Persons who may be admitted to practice.
(a) Any person who is a member in good standing of the bar of the
Supreme Court of the United States or of the highest court of any state,
territory or the District of Columbia, and who is not under any final
order of any authority having power to suspend or disbar an attorney in
the practice of law within any state, territory or the District of
Columbia that suspends, enjoins, restrains, disbars, or otherwise
restricts him or her in the practice of law, may represent others before
the Commission.
(b) When such member of the bar acting in a representative capacity
appears in person or signs a paper in practice before the Commission,
his personal appearance or signature shall constitute a representation
to the Commission that, under the provisions of this chapter and the
law, he is authorized and qualified to represent the particular party in
whose behalf he acts. Further proof of authority to act
[[Page 111]]
in a representative capacity may be required.
[28 FR 12415, Nov. 22, 1963, as amended at 57 FR 38285, Aug. 24, 1992]
Sec. 1.24 Censure, suspension, or disbarment of attorneys.
(a) The Commission may censure, suspend, or disbar any person who
has practiced, is practicing or holding himself out as entitled to
practice before it if it finds that such person:
(1) Does not possess the qualifications required by Sec. 1.23;
(2) Has failed to conform to standards of ethical conduct required
of practitioners at the bar of any court of which he is a member;
(3) Is lacking in character or professional integrity; and/or
(4) Displays toward the Commission or any of its hearing officers
conduct which, if displayed toward any court of the United States or any
of its Territories or the District of Columbia, would be cause for
censure, suspension, or disbarment.
(b) Except as provided in paragraph (c) of this section, before any
member of the bar of the Commission shall be censured, suspended, or
disbarred, charges shall be preferred by the Commission against such
practitioner, and he or she shall be afforded an opportunity to be heard
thereon.
(c) Upon receipt of official notice from any authority having power
to suspend or disbar an attorney in the practice of law within any
state, territory, or the District of Columbia which demonstrates that an
attorney practicing before the Commission is subject to an order of
final suspension (not merely temporary suspension pending further
action) or disbarment by such authority, the Commission may, without any
preliminary hearing, enter an order temporarily suspending the attorney
from practice before it pending final disposition of a disciplinary
proceeding brought pursuant to Sec. 1.24(a)(2), 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.
Sec. 1.27 Witnesses; right to counsel.
Any individual compelled to appear in person in any Commission
proceeding may be accompanied, represented, and advised by counsel as
provided in this section. (Regulations as to persons seeking voluntarily
to appear and give evidence are set forth in Sec. 1.225.)
(a) Counsel may advise his client in confidence, either upon his own
initiative or that of the witness, before, during, and after the
conclusion of the proceeding.
(b) Counsel for the witness will be permitted to make objections on
the
[[Page 112]]
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
in Sec. 1.904, such requests must be submitted electronically, via the
ULS, and the request must include an email address for receiving
electronic service. See Sec. 1.47(d).
[85 FR 85528, Dec. 29, 2020]
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.
Note: Matters which are acted on pursuant to delegated authority are
set forth in subpart B of part 0 of this chapter. Matters acted on by
the hearing examiner are set forth in Sec. 0.341.
Sec. 1.45 Pleadings; filing periods.
Except as otherwise provided in this chapter, pleadings in
Commission proceedings shall be filed in accordance with the provisions
of this section. Pleadings associated with licenses, applications,
waivers, and other documents in the Wireless Radio Services
[[Page 113]]
must be filed via the ULS, and persons other than applicants or
licensees filing pleadings in ULS must provide an email address to
receive electronic service. See Sec. 1.47(d).
(a) Petitions. Petitions to deny may be filed pursuant to Sec.
1.939 of this part.
(b) Oppositions. Oppositions to any motion, petition, or request may
be filed within 10 days after the original pleading is filed.
(c) Replies. The person who filed the original pleading may reply to
oppositions within 5 days after the time for filing oppositions has
expired. The reply shall be limited to matters raised in the
oppositions, and the response to all such matters shall be set forth in
a single pleading; separate replies to individual oppositions shall not
be filed.
(d) Requests for temporary relief; shorter filing periods.
Oppositions to a request for stay of any order or to a request for other
temporary relief shall be filed within 7 days after the request is
filed. Replies to oppositions should not be filed and will not be
considered. The provisions of Sec. 1.4(h) shall not apply in computing
the filing date for oppositions to a request for stay or for other
temporary relief.
(e) Ex parte disposition of certain pleadings. As a matter of
discretion, the Commission may rule ex parte upon requests for
continuances and extensions of time, requests for permission to file
pleadings in excess of the length prescribed in this chapter, and
requests for temporary relief, without waiting for the filing of
oppositions or replies.
Note: Where specific provisions contained in part 1 conflict with
this section, those specific provisions are controlling. See, in
particular, 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; 85 FR 85528, Dec. 29, 2020]
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. Documents associated with
licenses, applications, waivers, and other requests in the Wireless
Radio Services that are required to be served by the Commission in
agency proceedings must be served in electronic form. In proceedings
involving a large number of parties, and unless otherwise provided by
statute, the Commission may satisfy its service obligation by issuing a
[[Page 114]]
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):
Paragraph (a) of this section 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 1.740 and proceedings related to the
Wireless Radio Services under subpart F of this part, 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.
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. Petitions, pleadings, and other documents associated with
licensing matters in the Wireless Radio Services must be served
electronically upon a party, his attorney, or other duly constituted
agent by delivering a copy by email to the email address listed in the
Universal Licensing System (ULS). If a filer is not an applicant or
licensee, the document must include an email address for receiving
electronic service.
(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. For pleadings, petitions, and other documents
associated with licensing matters in the Wireless Radio Services,
delivery of a copy pursuant to this section is complete by sending it by
email to the email addresses listed in the ULS, or to the email address
of the applicant's or licensee's attorney provided in a pleading or
other document served on the filer.
(f) Service by mail is complete upon mailing. Service by email is
complete upon sending to the email address listed in the ULS for a
particular license, application, or filing.
(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. Proof of electronic service
shall show the email address of the person making the service, in
addition to that person's residence or business address; the date and
time of the electronic service; the name and email address of the person
served; and that the document was served electronically.
(h) Every common carrier and interconnected VoIP provider, as
defined in Sec. 54.5 of this chapter, and non-interconnected VoIP
provider, as defined in Sec. 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
[[Page 115]]
non-interconnected VoIP provider in any proceeding before the
Commission. Every international section 214 authorization holder must
also designate an agent in the District of Columbia who is a U.S.
citizen or lawful U.S. permanent resident pursuant to Sec.
63.18(q)(1)(iii) of this chapter. 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 email
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, as delineated by the Commission in the Federal
Register, to satisfy the requirement in the preceding sentence. 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 email 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; 83 FR 44831, Sept. 4, 2018; 85 FR 76381, Nov. 27, 2020; 85 FR
85528, Dec. 29, 2020]
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
[[Page 116]]
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 electronically or on paper with
dimensions of A4 (21 cm. x 29.7 cm.) or on 8\1/2\ x 11 inch (21.6 cm. x
27.9 cm.) with the margins set so that the printed material does not
exceed 6\1/2\ x 9\1/2\ inches (16.5 cm. x 24.1 cm.). The printed
material may be in any typeface of at least 12-point (0.42333 cm. or
\12/72\) in height. The body of the text must be double
spaced with a minimum distance of \7/32\ of an inch (0.5556 cm.) between
each line of text. Footnotes and long, indented quotations may be single
spaced, but must be in type that is 12-point or larger in height, with
at least \1/16\ of an inch (0.158 cm.) between each line of text.
Counsel are cautioned against employing extended single spaced passages
or excessive footnotes to evade prescribed pleading lengths. If single-
spaced passages or footnotes are used in this manner the pleading will,
at the discretion of the Commission, either be rejected as unacceptable
for filing or dismissed with leave to be refiled in proper form.
Pleadings may be printed on both sides of the paper. Pleadings that use
only one side of the paper shall be stapled, or otherwise bound, in the
upper left-hand corner; those using both sides of the paper shall be
stapled twice, or otherwise bound, along the left-hand margin so that it
opens like a book. The foregoing shall not apply to printed briefs
specifically requested by the Commission, official publications, charted
or maps, original documents (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 must be filed
electronically in ULS. See Sec. 22.6 of this chapter 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 1.740, and pole attachment complaint
proceedings under section 224 of the Act and rules in Sec. Sec. 1.1401
through 1.1415;
(ii) Proceedings, other than rulemaking proceedings, relating to
customer proprietary network information (CPNI);
(iii) Proceedings relating to cable special relief petitions;
[[Page 117]]
(iv) Proceedings involving Over-the-Air Reception Devices;
(v) Common carrier certifications under Sec. 54.314 of this
chapter;
(vi) Domestic Section 214 transfer-of-control applications pursuant
to Sec. Sec. 63.52 and 63.53 of this chapter;
(vii) Domestic section 214 discontinuance applications pursuant to
Sec. 63.63 and/or Sec. 63.71 of this chapter;
(viii) Notices of network change and associated certifications
pursuant to Sec. 51.325 et seq. of this chapter; and
(ix) Hearing proceedings under Sec. Sec. 1.201 through 1.377.
(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);
(iv) Petition for forbearance proceedings; and
(v) Filings responsive to domestic section 214 transfers under Sec.
63.03 of this chapter, section 214 discontinuances under Sec. 63.71 of
this chapter, and notices of network change under Sec. 51.325 et seq.
of this chapter.
(3) To further greater reliance on electronic filing wherever
possible, the Bureaus and Offices, in coordination with the Managing
Director, may provide to the public capabilities for electronic filing
of additional types of pleadings notwithstanding any provisions of this
chapter that may otherwise be construed as requiring such filings to be
submitted on paper.
(4) For purposes of compliance with 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
than 250 words per page.
Note to Sec. 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; 80
FR 1587, Jan. 13, 2015; 80 FR 19847, Apr. 13, 2015; 83 FR 2556, Jan. 18,
2018; 83 FR 7922, Feb. 22, 2018; 83 FR 44831, Sept. 4, 2018; 85 FR
63172, Oct. 6, 2020; 85 FR 85528, Dec. 29, 2020]
Sec. 1.50 Specifications as to briefs.
The Commission's preference is for briefs that are either
typewritten, prepared by other mechanical processing methods, or, in the
case of matters in the Wireless Radio Services, composed electronically
and sent via ULS. Printed briefs will be accepted only if specifically
requested by the Commission. Typewritten, mechanically produced, or
electronically transmitted briefs must conform to all of the applicable
specifications for pleadings and documents set forth in Sec. 1.49.
[63 FR 68920, Dec. 14, 1998]
Sec. 1.51 Number of copies of pleadings, briefs, and other papers.
(a) In hearing proceedings, all pleadings, letters, documents, or
other written submissions, shall be filed using the Commission's
Electronic Comment Filing System, excluding confidential material as set
forth in Sec. 1.314 of these rules. Each written submission that
includes confidential material shall be filed as directed by the
Commission, along with an additional courtesy copy transmitted to the
presiding officer.
(b) In rulemaking proceedings which have not been designated for
hearing, see Sec. 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, see Sec. 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.
[[Page 118]]
(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 must be filed
electronically in ULS.
(g) Participants that file pleadings, briefs or other documents
electronically in ULS need only submit one copy, so long as the
submission conforms to any procedural or filing requirements established
for formal electronic comments. (See Sec. 1.49)
(h) Pleadings, briefs or other documents filed electronically in ULS
by a party represented by an attorney shall include the name, street
address, email address, and telephone number of at least one attorney of
record. Parties not represented by an attorney that files electronically
in ULS shall provide their name, street address, email address, and
telephone number.
[76 FR 24391, May 2, 2011, as amended at 83 FR 2556, Jan. 18, 2018; 85
FR 63172, Oct. 6, 2020; 85 FR 85528, Dec. 29, 2020]
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. Pleadings,
petitions, and other documents related to licensing matters in the
Wireless Radio Services shall be signed by at least one attorney of
record in his individual name or by the party who is not represented by
an attorney and shall include his email and physical mailing 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 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 to Sec. 1.24, for a willful violation of this section
or if scandalous or indecent matter is inserted.
[63 FR 24125, May 1, 1998, as amended at 63 FR 68920, Dec. 14, 1998; 83
FR 2556, Jan. 18, 2018; 85 FR 85529, Dec. 29, 2020]
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]
[[Page 119]]
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 in Sec. 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 in Sec. 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.
(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]
[[Page 120]]
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 Chairperson 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, as amended at 88 FR 21433, Apr. 10, 2023]
Sec. 1.58 Forbearance petition quiet period prohibition.
The prohibition in Sec. 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 with Sec. 1.1307 and Sec. 17.4(c) of this
chapter, the Bureau will address any environmental concerns prior to
processing the registration.
(3) If a final FAA determination of ``no hazard'' is not submitted
along with FCC Form 854, processing of the registration may be delayed
or disapproved.
(4) If the owner of the antenna structure cannot file FCC Form 854
because it is subject to a denial of Federal benefits under the Anti-
Drug Abuse Act of 1988, 21 U.S.C. 862, the first licensee authorized to
locate on the structure must register the structure using FCC Form 854,
and provide a copy of the Antenna Structure Registration (FCC Form 854R)
to the owner. The owner remains responsible for providing a copy of FCC
Form 854R to all tenant licensees on the structure and for posting the
registration number as required by Sec. 17.4(g) of this chapter.
(5) Upon receipt of FCC Form 854, and attached FAA final
determination of ``no hazard,'' the Bureau may prescribe antenna
structure painting and/or
[[Page 121]]
lighting specifications or other conditions in accordance with the FAA
airspace recommendation. Unless otherwise specified by the Bureau, the
antenna structure must conform to the FAA's painting and lighting
recommendations set forth in the FAA's determination of ``no hazard''
and the associated FAA study number. The Bureau 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 (see Sec. 17.9 of this chapter), an
application proposing the erection of an antenna structure over 1,000
feet in height above ground to serve such community or communities will
not be accepted for filing unless:
(1) It is proposed to locate the antenna structure in a designated
antenna farm area, or
(2) It is accompanied by a statement from the Federal Aviation
Administration that the proposed structure will not constitute a menace
to air navigation, or
(3) It is accompanied by a request for waiver setting forth reasons
sufficient, if true, to justify such a waiver.
Note: By Commission Order (FCC 65-455), 30 FR 7419, June 5, 1965,
the Commission issued the following policy statement concerning the
height of radio and television antenna towers:
``We have concluded that this objective can best be achieved by adopting
the following policy: Applications for antenna towers higher than 2,000
feet above ground will be presumed to be inconsistent with the public
interest, and the applicant will have a burden of overcoming that strong
presumption. The applicant must accompany its application with a
detailed showing directed to meeting this burden. Only in the
exceptional case, where the Commission concludes that a clear and
compelling showing has been made that there are public interest reasons
requiring a tower higher than 2,000 feet above ground, and after the
parties have complied with applicable FAA procedures, and full
Commission coordination with FAA on the question of menace to air
navigation, will a grant be made. Applicants and parties in interest
will, of course, be afforded their statutory hearing rights.''
[28 FR 12415, Nov. 22, 1963, as amended at 32 FR 8813, June 21, 1967; 32
FR 20860, Dec. 28, 1967; 34 FR 6481, Apr. 15, 1969; 45 FR 55201, Aug.
19, 1980; 58 FR 13021, Mar. 9, 1993, 61 FR 4361, Feb. 6, 1996; 77 FR
3952, Jan. 26, 2012; 79 FR 56984, Sept. 24, 2014]
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
[[Page 122]]
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 non-broadcast licensee operating by virtue of this paragraph
(a) 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 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)
[28 FR 12415, Nov. 22, 1963, as amended at 84 FR 2758, Feb. 8, 2019]
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 with Sec. 1.47. Where the matter is before any court for
review, statements and requests to amend shall in addition be served
upon the Commission's General Counsel. For the purposes of this section,
an application is ``pending'' before the Commission from the time it is
accepted for filing by the Commission until a Commission grant or denial
of the application is no longer subject to reconsideration by the
Commission or to review by any court.
(b) Applications in broadcast services subject to competitive
bidding will be 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
[[Page 123]]
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 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]
[[Page 124]]
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 sections 227(b) or (e) of the
Communications Act or of Sec. Sec. 64.1200(a)(1) through (5) and
64.1604 of this title;
(5) Violated any provision of section 511(a) or (b) of the
Communications Act or of paragraph (b)(6) of this section;
(6) Violated any provision of section 1304, 1343, or 1464 of Title
18, United States Code; or
(7) 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.
(8) Violated section 60506 of the Infrastructure and Jobs Act of
2021 or 47 CFR part 16.
Note 1 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) Forfeiture
penalty for a broadcast station licensee, permittee, cable television
operator, or applicant. 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 (b)(1), the forfeiture penalty under
this section shall not exceed $61,238 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 $612,395 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 (47 U.S.C.
554). 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 $495,500 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 $4,573,840 for any single act or failure to
act described in paragraph (a) of this section.
(2) Forfeiture penalty for a common carrier or applicant. 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 $244,958 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 $2,449,575 for any single act or
failure to act described in paragraph (a) of this section.
(3) Forfeiture penalty for a manufacturer or service provider. If
the violator is a manufacturer or service provider
[[Page 125]]
subject to the requirements of section 255, 716, or 718 of the
Communications Act (47 U.S.C. 255, 617, or 619), 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 $140,674 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 $1,406,728 for any
single act or failure to act.
(4) Forfeiture penalty for a 227(e) violation. 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 $14,067 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 $1,406,728 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) Forfeiture penalty for a 227(b)(4)(B) violation. Any person
determined to have violated section 227(b)(4)(B) of the Communications
Act or the rules in 47 CFR part 64 issued by the Commission under
section 227(b)(4)(B) of the Communications Act shall be liable to the
United States for a forfeiture penalty determined in accordance with
paragraphs (A)-(F) of section 503(b)(2) plus an additional penalty not
to exceed $11,955.
(6) Forfeiture penalty for pirate radio broadcasting. (i) Any person
who willfully and knowingly does or causes or suffers to be done any
pirate radio broadcasting shall be subject to a fine of not more than
$2,391,097; and
(ii) Any person who willfully and knowingly violates the Act or any
rule, regulation, restriction, or condition made or imposed by the
Commission under authority of the Act, or any rule, regulation,
restriction, or condition made or imposed by any international radio or
wire communications treaty or convention, or regulations annexed
thereto, to which the United States is party, relating to pirate radio
broadcasting shall, in addition to any other penalties provided by law,
be subject to a fine of not more than $119,555 for each day during which
such offense occurs, in accordance with the limit described in this
section.
(7) Forfeiture penalty for a section 6507(b)(4) Tax Relief Act
violation. 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 in 47 CFR part 64, the
monetary penalty for such unauthorized disclosure or dissemination of a
telephone number from the registry shall be not less than $131,738 per
incident nor more than $1,317,380 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.
(8) Forfeiture penalty for a section 6507(b)(5) Tax Relief Act
violation. 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 in 47 CFR part 64, the monetary penalty for contacting such a
telephone number shall be not less than $13,174 per call nor more than
$131,738 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.
(9) Forfeiture penalty for a failure to block. Any person determined
to have failed to block illegal robocalls pursuant to Sec. Sec.
64.6305(g) and 64.1200(n) of this chapter shall be liable to the United
States for a forfeiture penalty of no more than $24,496 for each
violation, to be assessed on a per-call basis.
(10) Maximum forfeiture penalty for any case not previously covered.
In any case not covered in paragraphs (b)(1) through (9) of this
section, the amount of any forfeiture penalty determined
[[Page 126]]
under this section shall not exceed $24,496 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 $183,718 for any single
act or failure to act described in paragraph (a) of this section.
(11) 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.
Table 1 to Paragraph (b)(11)--Base Amounts for Section 503 Forfeitures
------------------------------------------------------------------------
Violation
Forfeitures amount
------------------------------------------------------------------------
Misrepresentation/lack of candor............................ (\1\)
Failure to file required DODC required forms, and/or filing $15,000
materially inaccurate or incomplete DODC information.......
Construction and/or operation without an instrument of 10,000
authorization for the service..............................
Failure to comply with prescribed lighting and/or marking... 10,000
Violation of public file rules.............................. 10,000
Violation of political rules: Reasonable access, lowest unit 9,000
charge, equal opportunity, and discrimination..............
Unauthorized substantial transfer of control................ 8,000
Violation of children's television commercialization or 8,000
programming requirements...................................
Violations of rules relating to distress and safety 8,000
frequencies................................................
False distress communications............................... 8,000
EAS equipment not installed or operational.................. 8,000
Alien ownership violation................................... 8,000
Failure to permit inspection................................ 7,000
Transmission of indecent/obscene materials.................. 7,000
Interference................................................ 7,000
Importation or marketing of unauthorized equipment.......... 7,000
Exceeding of authorized antenna height...................... 5,000
Fraud by wire, radio or television.......................... 5,000
Unauthorized discontinuance of service...................... 5,000
Use of unauthorized equipment............................... 5,000
Exceeding power limits...................................... 4,000
Failure to Respond to Commission communications............. 4,000
Violation of sponsorship ID requirements.................... 4,000
Unauthorized emissions...................................... 4,000
Using unauthorized frequency................................ 4,000
Failure to engage in required frequency coordination........ 4,000
Construction or operation at unauthorized location.......... 4,000
Violation of requirements pertaining to broadcasting of 4,000
lotteries or contests......................................
Violation of transmitter control and metering requirements.. 3,000
Failure to file required forms or information............... 3,000
Per call violations of the robocall blocking rules.......... 2,500
Failure to make required measurements or conduct required 2,000
monitoring.................................................
Failure to provide station ID............................... 1,000
Unauthorized pro forma transfer of control.................. 1,000
Failure to maintain required records........................ 1,000
------------------------------------------------------------------------
Table 2 to Paragraph (b)(11)--Violations Unique to the Service
------------------------------------------------------------------------
Violation Services affected Amount
------------------------------------------------------------------------
Unauthorized conversion of long Common Carrier..... $40,000
distance telephone service.
Violation of operator services Common Carrier..... 7,000
requirements.
Violation of pay-per-call Common Carrier..... 7,000
requirements.
Failure to implement rate reduction Cable.............. 7,500
or refund order.
Violation of cable program access Cable.............. 7,500
rules.
Violation of cable leased access Cable.............. 7,500
rules.
Violation of cable cross-ownership Cable.............. 7,500
rules.
Violation of cable broadcast Cable.............. 7,500
carriage rules.
Violation of pole attachment rules. Cable.............. 7,500
Failure to maintain directional Broadcast.......... 7,000
pattern within prescribed
parameters.
Violation of broadcast hoax rule... Broadcast.......... 7,000
AM tower fencing................... Broadcast.......... 7,000
Broadcasting telephone Broadcast.......... 4,000
conversations without
authorization.
Violation of enhanced underwriting Broadcast.......... 2,000
requirements.
------------------------------------------------------------------------
[[Page 127]]
Table 3 to Paragraph (b)(11)--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.
------------------------------------------------------------------------
Table 4 to Paragraph (b)(11)--Non-Section 503 Forfeitures That Are
Affected by the Downward Adjustment Factors \1\
------------------------------------------------------------------------
Statutory amount after 2024
Violation annual inflation adjustment
------------------------------------------------------------------------
Sec. 202(c) Common Carrier $14,697, $735/day.
Discrimination.
Sec. 203(e) Common Carrier Tariffs..... $14,697, $735/day.
Sec. 205(b) Common Carrier $29,395.
Prescriptions.
Sec. 214(d) Common Carrier Line $2,939/day.
Extensions.
Sec. 219(b) Common Carrier Reports..... $2,939/day.
Sec. 220(d) Common Carrier Records & $14,697/day.
Accounts.
Sec. 223(b) Dial-a-Porn................ $152,310/day.
Sec. 227(e) Caller Identification...... $14,067/violation.
$42,200/day for each day of
continuing violation, up to
$1,406,728 for any single act
or failure to act.
Sec. 364(a) Forfeitures (Ships)........ $12,249/day (owner).
Sec. 364(b) Forfeitures (Ships)........ $2,451 (vessel master).
Sec. 386(a) Forfeitures (Ships)........ $12,249/day (owner).
Sec. 386(b) Forfeitures (Ships)........ $2,451 (vessel master).
Sec. 511 Pirate Radio Broadcasting..... $2,391,097, $119,555/day.
Sec. 634 Cable EEO..................... $1,086/day.
------------------------------------------------------------------------
\1\ Unlike section 503 of the Act, which establishes maximum forfeiture
amounts, other sections of the Act, with two exceptions, state
prescribed amounts of forfeitures for violations of the relevant
section. These amounts are then subject to mitigation or remission
under section 504 of the Act. 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 this
table 4 to determine the amount of the penalty to assess in any
particular situation. The amounts in this table 4 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 table 3 to this paragraph (b)(11).
Note 2 to paragraph (b)(11): Guidelines for Assessing Forfeitures.
The Commission and its staff may use the guidelines in tables 1 through
4 of this paragraph (b)(11) 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 in paragraph (b)(12) of this section. These
statutory maxima became effective September 13, 2013. Forfeitures issued
under other sections of the Act are dealt with separately in table 4 to
this paragraph (b)(11).
(12) Inflation adjustments to the maximum forfeiture amount. (i)
Pursuant to the Federal Civil Penalties Inflation Adjustment Act
Improvements Act of 2015, Public Law 114-74 (129 Stat. 599-600), 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 annually for inflation by order published no
later than January 15 each year. Annual inflation adjustments will be
based on the percentage (if any) by which the Consumer Price Index for
all Urban Consumers (CPI-U) for October preceding the date of the
adjustment exceeds the prior year's CPI-U for October. The Office of
Management and Budget (OMB) will
[[Page 128]]
issue adjustment rate guidance no later than December 15 each year to
adjust for inflation in the CPI-U as of the most recent October.
(ii) The application of the annual inflation adjustment required by
the foregoing Federal Civil Penalties Inflation Adjustment Act
Improvements Act of 2015 results in the following adjusted statutory
maximum forfeitures authorized by the Communications Act:
Table 5 to Paragraph (b)(12)(ii)
------------------------------------------------------------------------
Maximum penalty after 2024
U.S. Code citation annual inflation adjustment
------------------------------------------------------------------------
47 U.S.C. 202(c)....................... $14,697.
$735.
47 U.S.C. 203(e)....................... $14,697.
$735.
47 U.S.C. 205(b)....................... $29,395.
47 U.S.C. 214(d)....................... $2,939.
47 U.S.C. 219(b)....................... $2,939.
47 U.S.C. 220(d)....................... $14,697.
47 U.S.C. 223(b)....................... $152,310.
47 U.S.C. 227(b)(4)(B)................. $61,238, plus an additional
penalty not to exceed $11,955.
$612,395, plus an additional
penalty not to exceed $11,955.
$244,958, plus an additional
penalty not to exceed $11,955.
$2,449,575, plus an additional
penalty not to exceed $11,955.
$495,500, plus an additional
penalty not to exceed $11,955.
$4,573,840, plus an additional
penalty not to exceed $11,955.
$24,496, plus an additional
penalty not to exceed $11,955.
$183,718, plus an additional
penalty not to exceed $11,955.
$140,674, plus an additional
penalty not to exceed $11,955.
$1,406,728, plus an additional
penalty not to exceed $11,955.
47 U.S.C. 227(e)....................... $14,067.
$42,200.
$1,406,728.
47 U.S.C. 362(a)....................... $12,249.
47 U.S.C. 362(b)....................... $2,451.
47 U.S.C. 386(a)....................... $12,249.
47 U.S.C. 386(b)....................... $2,451.
47 U.S.C. 503(b)(2)(A)................. $61,238.
$612,395.
47 U.S.C. 503(b)(2)(B)................. $244,958.
$2,449,575.
47 U.S.C. 503(b)(2)(C)................. $495,500.
$4,573,840.
47 U.S.C. 503(b)(2)(D)................. $24,496.
$183,718.
47 U.S.C. 503(b)(2)(F)................. $140,674.
$1,406,728.
47 U.S.C. 507(a)....................... $2,426.
47 U.S.C. 507(b)....................... $356.
47 U.S.C. 511.......................... $2,391,097.
$119,555.
47 U.S.C. 554.......................... $1,086.
Sec. 6507(b)(4) of Tax Relief Act...... $1,317,380/incident.
Sec. 6507(b)(5) of Tax Relief Act...... $131,738/call.
------------------------------------------------------------------------
Note 3 to paragraph (b)(12): 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
[[Page 129]]
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 4 years
prior to the date on which the appropriate notice was issued.
(4) In the case of a forfeiture imposed under section 227(b)(4)(B),
no forfeiture will be imposed if the violation occurred more than 4
years prior to the date on which the appropriate notice is issued.
(5) 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 sections 227(b), 227(e)(5), 511(a), and 511(b)
of the Act, no forfeiture penalty shall be imposed upon any person under
the preceding sections 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) Preliminary procedure in Preventing Illegal Radio Abuse Through
Enforcement Act (PIRATE Act) cases. Absent good cause, in any case
alleging a violation of subsection (a) or (b) of section 511 of the Act,
the Commission shall proceed directly to issue a notice of apparent
liability for forfeiture without first issuing a notice of unlicensed
operation.
(f) 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).
(g) Notice of apparent liability. Before imposing a forfeiture
penalty under the provisions of this paragraph, the Commission or its
designee will issue a written notice of apparent liability.
(1) Content of notice. The notice of apparent liability will:
(i) Identify each specific provision, term, or condition of any act,
rule, regulation, order, treaty, convention, or other agreement,
license, permit, certificate, or instrument of authorization which the
respondent has apparently violated or with which he has failed to
comply,
(ii) Set forth the nature of the act or omission charged against the
respondent and the facts upon which such charge is based,
(iii) State the date(s) on which such conduct occurred, and
(iv) Specify the amount of the apparent forfeiture penalty.
(2) Delivery. The notice of apparent liability will be sent to the
respondent, by certified mail, at his last known address (see Sec.
1.5).
(3) Response. The respondent will be afforded a reasonable period of
time (usually 30 days from the date of the notice) to show, in writing,
why a forfeiture penalty should not be imposed or should be reduced, or
to pay the forfeiture. Any showing as to why the forfeiture should not
be imposed or should
[[Page 130]]
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.
(h) Notice of opportunity for hearing. The procedures set out in
this paragraph apply only when a formal hearing under section
503(b)(3)(A) of the Communications Act is being held to determine
whether to assess a forfeiture penalty.
(1) Before imposing a forfeiture penalty, the Commission may, in its
discretion, issue a notice of opportunity for hearing. The formal
hearing proceeding shall be conducted by an administrative law judge
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 proceeding to determine whether a pending application should be
granted, and the application is dismissed pursuant to a settlement
agreement or otherwise, and the presiding judge has not made a
determination on the forfeiture issue, the presiding judge shall forward
the order of dismissal to the attention of the full Commission. Within
the time provided by Sec. 1.117, the Commission may, on its own motion,
proceed with a determination of whether a forfeiture against the
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.
(i) Payment. The forfeiture should be paid electronically using the
Commission's electronic payment system in accordance with the procedures
set forth on the Commission's website, www.fcc.gov/licensing-databases/
fees.
(j) Remission and mitigation. In its discretion, the Commission, or
its designee, may remit or reduce any forfeiture imposed under this
section. After issuance of a forfeiture order, any request that it do so
shall be submitted as a petition for reconsideration pursuant to Sec.
1.106.
(k) 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]
Editorial Note: For Federal Register citations affecting Sec. 1.80,
see the List of CFR Sections Affected, which appears in the Finding Aids
section of the printed volume and at www.govinfo.gov.
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]
[[Page 131]]
Sec. 1.85 Suspension of operator licenses.
Whenever grounds exist for suspension of an operator license, as
provided in section 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 email the said application.
In the event that conditions prevent emailing of the application before
the expiration of the 15-day period, the application shall then be
emailed 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.
[85 FR 85529, Dec. 29, 2020]
Sec. 1.87 Modification of license or construction permit on motion of the Commission.
(a) Whenever it appears that a station license or construction
permit should be modified, the Commission shall notify the licensee or
permittee in writing of the proposed action and reasons therefor, and
afford the licensee or permittee at least thirty days to protest such
proposed order of modification, except that, where safety of life or
property is involved, the Commission may by order provide a shorter
period of time.
(b) The notification required in paragraph (a) of this section may
be effectuated by a notice of proposed rulemaking 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 of this chapter) or Table of
Assignments (Sec. 73.606 of this chapter). The Commission shall send a
copy of any such notice of proposed rulemaking to the affected licensee
or permittee by email. For modifications involving Wireless Radio
Services, the Commission shall notify the licensee or permittee by email
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:
(1) Where safety of life or property is involved, the Commission may
by order provide a shorter period of time; and
(2) Where the notification required in paragraph (a) of this section
is effectuated by publication in the Federal Register, the Commission
shall afford the licensee or permittee at least thirty days after
publication in the Federal Register to protest such proposed order of
modification.
(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 proceeding 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.
[[Page 132]]
(f) In order to use the right to a hearing and the opportunity to
give evidence upon the issues specified in any order designating a
matter for hearing, any licensee, or permittee, itself or by counsel,
shall, within the period of time as may be specified in that order, file
with the Commission a written appearance stating that it will present
evidence on the matters specified in the order and, if required, appear
before the presiding officer at a date and time to be determined.
(g) The right to file a protest or the right to a hearing proceeding
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, as amended at 85 FR 63172, Oct. 6, 2020; 85
FR 85529, Dec. 29, 2020]
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 in Sec. 1.1203 of these rules.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; (47 U.S.C.
154, 303, 307))
[45 FR 65597, Oct. 3, 1980]
Sec. 1.89 Notice of violations.
(a) Except in cases of willfulness or those in which public health,
interest, or safety requires otherwise, any person who holds a license,
permit or other authorization appearing to have violated any provision
of the Communications Act or any provision of this chapter will, before
revocation, suspension, or cease and desist proceedings are instituted,
be served with a written notice calling these facts to his or her
attention and requesting a statement concerning the matter. FCC Form 793
may be used for this purpose. The Notice of Violation may be combined
with a Notice of Apparent Liability to Monetary Forfeiture. In such
event, notwithstanding the Notice of Violation, the provisions of Sec.
1.80 apply and not those of Sec. 1.89.
(b) Within 10 days from receipt of notice or such other period as
may be specified, the recipient shall send a written answer, in
duplicate, directly to the Commission office originating the official
notice. If an answer cannot be sent or an acknowledgment cannot be made
within such 10-day period by reason of illness or other unavoidable
[[Page 133]]
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 designate for hearing the
matters with respect to which the Commission is inquiring and will call
upon the person to whom it is directed (the respondent) to file with the
Commission a written appearance stating that the respondent will present
evidence upon the matters specified in the order to show cause and, if
required, appear before a presiding officer at a time and place to be
determined, but no earlier than thirty days after the receipt of such
order. However, if safety of life or property is involved, the order to
show cause may specify a deadline of less than thirty days from the
receipt of such order.
(c) To avail themselves of such opportunity for a hearing,
respondents, personally or by counsel, shall file with the Commission,
within twenty days of the mailing of the order or such shorter period as
may be specified therein, a written appearance stating that they will
present evidence on the matters specified in the order and, if required,
appear before the presiding officer at a time and place to be
determined. The presiding officer in his or her discretion may accept a
late-filed appearance. However, a written 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 a late-filed
appearance will be granted only if the presiding officer determines that
the facts and reasons stated therein constitute good cause for failure
to file on time.
(d) Hearing proceedings 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
[[Page 134]]
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)
[28 FR 12415, Nov. 22, 1963, as amended at 85 FR 63172, Oct. 6, 2020]
Sec. 1.92 Revocation and/or cease and desist proceedings; after
waiver of hearing.
(a) After the issuance of an order to show cause, pursuant to Sec.
1.91, designating a matter for hearing, the occurrence of any one of the
following events or circumstances will constitute a waiver of such
hearing and the proceeding thereafter will be conducted in accordance
with the provisions of this section.
(1) The respondent fails to file a timely written appearance as
prescribed in Sec. 1.91(c) indicating that the respondent will present
evidence on the matters specified in the order and, if required by the
order, that the respondent will appear before the presiding officer.
(2) The respondent, having filed a timely written appearance as
prescribed in Sec. 1.91(c), fails in fact to present evidence on the
matters specified in the order or appear before the presiding officer in
person or by counsel at the time and place duly scheduled.
(3) The respondent files with the Commission, within the time
specified for a written appearance in Sec. 1.91(c), a written statement
expressly waiving his or her rights to a hearing.
(b) When a hearing is waived under the provisions of paragraph (a)
(1) or (3) of this section, a written statement signed by the respondent
denying or seeking to mitigate or justify the circumstances or conduct
complained of in the order to show cause may be submitted within the
time specified in Sec. 1.91(c). The Commission in its discretion may
accept a late statement. However, a statement tendered after the
specified time has expired will not be accepted unless accompanied by a
petition stating with particularity the facts and reasons relied on to
justify such late filing. Such petitions for acceptance of a late
statement will be granted only if the Commission determines that the
facts and reasons stated 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
presiding officer shall, at the earliest practicable date, issue an
order reciting the events or circumstances constituting a waiver of
hearing and terminating the hearing proceeding. A presiding officer
other than the Commission also shall certify the case to the Commission.
Such order shall be served upon the respondent.
(d) After a hearing proceeding has been terminated pursuant to
paragraph (c) of this section, the Commission will act upon the matters
specified in the order to show cause in the regular course of business.
The Commission will determine on the basis of all the information
available to it from any source, including such further proceedings as
may be warranted, if a revocation order and/or a cease and desist order
should issue, and if so, will issue such order. Otherwise, the
Commission will issue an order dismissing the proceeding. All orders
specified in this paragraph will include a statement of the findings of
the Commission and the grounds and reasons therefor, will specify the
effective date thereof, and will be served upon the respondent.
(e) Corrections or promise to correct the conditions or matters
complained of in a show cause order shall not preclude the issuance of a
cease and desist order. Corrections or promises to correct the
conditions or matters complained of, and the past record of the
licensee, may, however, be considered in determining whether a
revocation and/
[[Page 135]]
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; 85 FR 63173, Oct. 6, 2020]
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 proceeding.
(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, as amended at 85 FR 63173, Oct. 6, 2020]
Sec. 1.94 Consent order procedures.
(a) Negotiations leading to a consent order may be initiated by the
operating Bureau or by a party whose possible violations are issues in
the proceeding. Negotiations may be initiated at any time after
designation of a proceeding for hearing. If negotiations are initiated
the presiding officer shall be notified. Parties shall be prepared at
the initial prehearing conference to state whether they are at that time
willing to enter negotiations. See Sec. 1.248(c)(7). If either party is
unwilling to enter negotiations, the hearing proceeding shall proceed.
If the parties agree to enter negotiations, they will be afforded an
appropriate opportunity to negotiate before the hearing is commenced.
(b) Other parties to the proceeding are entitled, but are not
required, to participate in the negotiations, and may join in any
agreement which is reached.
(c) Every agreement shall contain the following:
(1) An admission of all jurisdictional facts;
(2) A waiver of the usual procedures for preparation and review of
an initial decision;
(3) A waiver of the right of judicial review or otherwise to
challenge or contest the validity of the consent order;
(4) A statement that the designation order may be used in construing
the consent order;
(5) A statement that the agreement shall become a part of the record
of the proceeding only if the consent order is signed by the presiding
officer and the time for review has passed without rejection of the
order by the Commission;
(6) A statement that the agreement is for purposes of settlement
only and that its signing does not constitute an admission by any party
of any violation of law, rules or policy (see 18 U.S.C. 6002); and
(7) A draft order for signature of the presiding officer resolving
by consent, and for the future, all issues specified in the designation
order.
(d) If agreement is reached, it shall be submitted to the presiding
officer, who shall either sign the order, reject the agreement, or
suggest to the parties that negotiations continue on such portion of the
agreement as the presiding officer considers unsatisfactory or on
matters not reached in the agreement. If the presiding officer signs the
consent order, the record shall be closed. If the presiding officer
rejects the agreement, the hearing proceeding shall continue. If the
presiding officer suggests further negotiations and the parties agree to
resume negotiating, the presiding officer may, in his or her discretion,
decide whether to hold the hearing proceeding in abeyance pending the
negotiations.
(e) Any party to the proceeding who has not joined in any agreement
which
[[Page 136]]
is reached may appeal the consent order under Sec. 1.302, and the
Commission may review the agreement on its own motion under the
provisions of that section. If the Commission rejects the consent order,
the proceeding will be remanded for further proceedings. If the
Commission does not reject the consent order, it shall be entered in the
record as a final order and is subject to judicial review on the
initiative only of parties to the proceeding who did not join in the
agreement. The Commission may revise the agreement and consent order. In
that event, private parties to the agreement may either accept the
revision or withdraw from the agreement. If the party whose possible
violations are issues in the proceeding withdraws from the agreement,
the consent order will not be issued or made a part of the record, and
the proceeding will be remanded for further proceedings.
(f) The provisions of this section shall not alter any existing
procedure for informal settlement of any matter prior to designation for
hearing (see, e.g., 47 U.S.C. 208) or for summary decision after
designation for hearing.
(g) Consent orders, pleadings relating thereto, and Commission
orders with respect thereto shall be served on parties to the
proceeding. Public notice will be given of orders issued by the
Commission or by the presiding officer. 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, as amended at 85 FR 63173, Oct. 6, 2020]
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]
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
[[Page 137]]
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 in Sec. 1.4(b) of these rules: Provided, That the Commission
may, on its own motion or on motion by any party, designate an effective
date that is either earlier or later in time than the date of public
notice of such action. The designation of an earlier or later effective
date shall have no effect on any pleading periods.
(b) Notwithstanding any determinations made under paragraph (a) of
this section, Commission action shall be deemed final, for purposes of
seeking reconsideration at the Commission or judicial review, on the
date of public notice as defined in Sec. 1.4(b) of these rules.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C.
154, 303, 307)
[46 FR 18556, Mar. 25, 1981]
Sec. 1.104 Preserving the right of review; deferred consideration
of application for review.
(a) The provisions of this section apply to all final actions taken
pursuant to delegated authority, including final actions taken by
members of the Commission's staff on nonhearing matters. They do not
apply to interlocutory actions of a presiding officer in hearing
proceedings, or to orders designating a matter for hearing issued under
delegated authority. See Sec. Sec. 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 in Sec. 1.4(b). 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 be acted upon by the
Commission, except in those cases where a Bureau or Office has been
delegated authority to dismiss an application for review.
Note: In those cases where the Commission does not intend to release
a document containing the full text of its action, it will state that
fact in the public notice announcing its action.
(c) If in any matter one party files a petition for reconsideration
and a second party files an application for review, the Commission will
withhold action on the application for review until final action has
been taken on the petition for reconsideration.
(d) Any person who has filed a petition for reconsideration may file
an application for review within 30 days from the date of public notice
of such action, as that date is defined in Sec. 1.4(b)
[[Page 138]]
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.
[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; 85 FR 63173, Oct. 6, 2020; 86 FR 12547, Mar. 4, 2021]
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, see Sec. 1.429.
This Sec. 1.106 does not govern reconsideration of such actions.)
(2) Within the period allowed for filing a petition for
reconsideration, any party to the proceeding may request the presiding
officer to certify to the Commission the question as to whether, on
policy in effect at the time of designation or adopted since
designation, and undisputed facts, a hearing should be held. If the
presiding officer finds that there is substantial doubt, on established
policy and undisputed facts, that a hearing should be held, he will
certify the policy question to the Commission with a statement to that
effect. No appeal may be filed from an order denying such a request. See
also, 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 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 in Sec. 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,
[[Page 139]]
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 in Sec. 1.4(b) of
these rules, and shall be served upon parties to the proceeding. The
petition for reconsideration shall not exceed 25 double spaced
typewritten pages. No supplement or addition to a petition for
reconsideration which has not been acted upon by the Commission or by
the designated authority, filed after expiration of the 30 day period,
will be considered except upon leave granted upon a separate pleading
for leave to file, which shall state the grounds therefor.
(g) Oppositions to a petition for reconsideration shall be filed
within 10 days after the petition is filed, and shall be served upon
petitioner and parties to the proceeding. Oppositions shall not exceed
25 double spaced typewritten pages.
(h) Petitioner may reply to oppositions within seven days after the
last day for filing oppositions, and any such reply shall be served upon
parties to the proceeding. Replies shall not exceed 10 double spaced
typewritten pages, and shall be limited to matters raised in the
opposition.
(i) Petitions for reconsideration, oppositions, and replies shall
conform to the requirements of Sec. Sec. 1.49, 1.51, and 1.52 and,
except for those related to licensing matters in the Wireless Radio
Service and addressed in paragraph (o) of this section, 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:
(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
[[Page 140]]
original order, or it may set aside the order and remand the matter for
such further proceedings, including rehearing, as may be appropriate.
(3) Any order disposing of a petition for reconsideration which
reverses or modifies the original order is subject to the same
provisions with respect to reconsideration as the original order. In no
event, however, shall a ruling which denies a petition for
reconsideration be considered a modification of the original order. A
petition for reconsideration of an order which has been previously
denied on reconsideration may be dismissed by the staff as repetitious.
Note: For purposes of this section, the word ``order'' refers to
that portion of its action wherein the Commission announces its
judgment. This should be distinguished from the ``memorandum opinion''
or other material which often accompany and explain the order.
(l) No evidence other than newly discovered evidence, evidence which
has become available only since the original taking of evidence, or
evidence which the Commission or the designated authority believes
should have been taken in the original proceeding shall be taken on any
rehearing ordered pursuant to the provisions of this section.
(m) The filing of a petition for reconsideration is not a condition
precedent to judicial review of any action taken by the Commission or by
the designated authority, except where the person seeking such review
was not a party to the proceeding resulting in the action, or relies on
questions of fact or law upon which the Commission or designated
authority has been afforded no opportunity to pass. (See Sec.
1.115(c).) Persons in those categories who meet the requirements of this
section may qualify to seek judicial review by filing a petition for
reconsideration.
(n) Without special order of the Commission, the filing of a
petition for reconsideration shall not excuse any person from complying
with or obeying any decision, order, or requirement of the Commission,
or operate in any manner to stay or postpone the enforcement thereof.
However, upon good cause shown, the Commission will stay the
effectiveness of its order or requirement pending a decision on the
petition for reconsideration. (This paragraph applies only to actions of
the Commission en banc. For provisions applicable to actions under
delegated authority, see Sec. 1.102.)
(o) Petitions for reconsideration of licensing actions, as well as
oppositions and replies thereto, that are filed with respect to the
Wireless Radio Services, must 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;
(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
[[Page 141]]
(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; 85 FR 85529, Dec. 29, 2020]
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 in Sec. 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 in Sec.
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.
(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.
[[Page 142]]
(4) The application for review shall state the form of relief sought
and, subject to this requirement, may contain alternative requests.
(c) No application for review will be granted if it relies on
questions of fact or law upon which the designated authority has been
afforded no opportunity to pass.
Note: Subject to the requirements of Sec. 1.106, new questions of
fact or law may be presented to the designated authority in a petition
for reconsideration.
(d) Except as provided in paragraph (e) of this section and in Sec.
0.461(j) of this chapter, 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 Sec. 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)(1) 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 an order designating a matter for
hearing that was issued under delegated authority shall be deferred
until exceptions to the initial decision in the case are filed, unless
the presiding officer certifies such an application for review to the
Commission. A matter shall be certified to the Commission if the
presiding officer 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 request
to certify a matter to the Commission shall be filed with the presiding
officer within 5 days after the designation order is released. A ruling
refusing to certify a matter to the Commission is not appealable. Any
application for review authorized by the presiding officer shall be
filed within 5 days after the order certifying the matter to the
Commission is released or such a ruling is made. Oppositions shall be
filed within 5 days after the application for review is filed. Replies
to oppositions shall be filed only if they are requested by the
Commission. Replies (if allowed) shall be filed within 5 days after they
are requested. The Commission may dismiss, without stating reasons, an
application for review that has been certified, and direct that the
objections to the order designating the matter for hearing be deferred
and raised when exceptions in the initial decision in the case are
filed.
(2) 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
in Sec. 1.4(b). These applications for review oppositions and replies
in Accelerated Docket proceedings shall be served on parties to the
proceeding by hand or facsimile transmission.
(f) Applications for review, oppositions, and replies shall conform
to the requirements of 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)(1) 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)(1) 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
[[Page 143]]
or circumstances which have changed since the last opportunity to
present such matters; or
(2) The petition relies on facts unknown to petitioner until after
his last opportunity to present such matters which could not, through
the exercise of ordinary diligence, have been learned prior to such
opportunity.
(h)(1) If the Commission grants the application for review in whole
or in part, it may, in its decision:
(i) Simultaneously reverse or modify the order from which review is
sought;
(ii) Remand the matter to the designated authority for
reconsideration in accordance with its instructions, and, if an
evidentiary hearing has been held, the remand may be to the person(s)
who conducted the hearing; or
(iii) Order such other proceedings, including briefs and oral
argument, as may be necessary or appropriate.
(2) In the event the Commission orders further proceedings, it may
stay the effect of the order from which review is sought. (See Sec.
1.102.) Following the completion of such further proceedings the
Commission may affirm, reverse or modify the order from which review is
sought, or it may set aside the order and remand the matter to the
designated authority for reconsideration in accordance with its
instructions. If an evidentiary hearing has been held, the Commission
may remand the matter to the person(s) who conducted the hearing for
rehearing on such issues and in accordance with such instructions as may
be appropriate.
Note: For purposes of this section, the word ``order'' refers to
that portion of its action wherein the Commission announces its
judgment. This should be distinguished from the ``memorandum opinion''
or other material which often accompany and explain the order.
(i) An order of the Commission which reverses or modifies the action
taken pursuant to delegated authority is subject to the same provisions
with respect to reconsideration as an original order of the Commission.
In no event, however, shall a ruling which denies an application for
review be considered a modification of the action taken pursuant to
delegated authority.
(j) No evidence other than newly discovered evidence, evidence which
has become available only since the original taking of evidence, or
evidence which the Commission believes should have been taken in the
original proceeding shall be taken on any rehearing ordered pursuant to
the provisions of this section.
(k) The filing of an application for review shall be a condition
precedent to judicial review of any action taken pursuant to delegated
authority.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C.
154, 303, 307)
[28 FR 12415, Nov. 22, 1963, as amended at 41 FR 14871, Apr. 8, 1976; 44
FR 60295, Oct. 19, 1979; 46 FR 18556, Mar. 25, 1981; 48 FR 12719, Mar.
28, 1983; 50 FR 39000, Sept. 26, 1985; 54 FR 40392, Oct. 2, 1989; 55 FR
36641, Sept. 6, 1990; 57 FR 19387, May 6, 1992; 62 FR 4170, Jan. 29,
1997; 63 FR 41446, Aug. 4, 1998; 67 FR 13223, Mar. 21, 2002; 76 FR
70908, Nov. 16, 2011; 82 FR 4197, Jan. 13, 2017; 85 FR 63173, Oct. 6,
2020]
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.
[[Page 144]]
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 1 to Sec. 1.201: For special provisions relating to hearing
proceedings under this subpart that the Commission determines shall be
conducted and resolved on a written record, see Sec. Sec. 1.370 through
1.377.
Note 2 to Sec. 1.201: For special provisions relating to AM
broadcast station applications involving other North American countries
see Sec. 73.23.
[28 FR 12425, Nov. 22, 1963, as amended at 51 FR 32088, Sept. 9, 1986;
85 FR 63174, Oct. 6, 2020]
Sec. 1.202 Official reporter; transcript.
The Commission will designate an official reporter for the recording
and transcribing of hearing proceedings as necessary. Transcripts will
be transmitted to the Secretary for inclusion in the Commission's
Electronic Comment Filing System.
[85 FR 63174, Oct. 6, 2020]
Sec. 1.203 The record.
The evidence submitted by the parties, together with all papers and
requests filed in the proceeding and any transcripts, 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; 47 U.S.C. 154, 159, 208, 209, 214, 309, 312, 316, and
409)
[85 FR 63174, Oct. 6, 2020]
Sec. 1.204 Pleadings; definition.
As used in this subpart, the term pleading means any written notice,
motion, petition, request, opposition, reply, brief, proposed findings,
exceptions, memorandum of law, or other paper filed with the Commission
in a hearing proceeding. It does not include exhibits or documents
offered in evidence. See Sec. 1.356.
[29 FR 8219, June 30, 1964]
Sec. 1.205 Continuances and extensions.
Continuances of any proceeding or hearing and extensions of time for
making any filing or performing any act required or allowed to be done
within a specified time may be granted 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 or, if the
Commission is not the presiding officer, by the presiding officer.
Unless it is to be acted upon by the Commission, the presiding officer
shall be identified by name.
[85 FR 63174, Oct. 6, 2020]
Sec. 1.210 Electronic filing.
All pleadings filed in a hearing proceeding, as well as all letters,
documents, or other written submissions, shall be filed using the
Commission's Electronic Comment Filing System, excluding confidential
material as set
[[Page 145]]
forth in Sec. 1.314. A courtesy copy of all submissions shall be
contemporaneously provided to the presiding officer, as directed by the
Commission.
[85 FR 63174, Oct. 6, 2020]
Sec. 1.211 Service.
Except as otherwise expressly provided in this chapter, all
pleadings filed in a hearing proceeding shall be served upon all other
counsel in the proceeding or, if a party is not represented by counsel,
then upon such party. All such papers shall be accompanied by proof of
service. For provisions governing the manner of service, see Sec. 1.47.
[29 FR 8219, June 30, 1964]
Participants and Issues
Sec. 1.221 Notice of hearing; appearances.
(a) Upon designation of an application for hearing, the Commission
issues an order containing the following:
(1) A statement as to the reasons for the Commission's action.
(2) A statement as to the matters of fact and law involved, and the
issues upon which the application will be heard.
(3) A statement as to the time, place, and nature of the hearing.
(If the time and place are not specified, the order will indicate that
the time and place will be specified at a later date.)
(4) A statement as to the legal authority and jurisdiction under
which the hearing is to be held.
(b) The order designating an application for hearing shall be mailed
to the applicant and the order, or a summary thereof, shall be published
in the Federal Register. Reasonable notice of hearing will be given to
the parties in all proceedings.
(c) In order to avail themselves of the opportunity to be heard,
applicants or their attorney shall file, within 20 days of the mailing
of the order designating a matter for hearing, a written appearance
stating that the applicant will present evidence on the matters
specified in the order and, if required by the order, appear before the
presiding officer at a date and time to be determined. 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 proceeding any person found to be a party in interest.
(e) In order to avail themselves of the opportunity to be heard, any
persons named as parties pursuant to paragraph (d) of this section
shall, within 20 days of the mailing of the order designating them as
parties to a hearing proceeding, file personally or by attorney a
written appearance that they will present evidence on the matters
specified in the order and, if required by the order, appear before the
presiding officer at a date and time to be determined. Any persons so
named who fail to file this written appearance within the time
specified, shall, unless good cause for such failure is shown, forfeit
their hearing rights.
(f)(1) For program carriage complaints filed pursuant to Sec.
76.1302 of this chapter that the Chief, Media Bureau refers to a
presiding officer, each party, in person or by attorney, shall file a
written appearance within five calendar days after the party informs the
presiding officer that it elects not to pursue alternative dispute
resolution pursuant to Sec. 76.7(g)(2) of this chapter or, if the
parties have mutually elected to pursue alternative dispute resolution
pursuant to Sec. 76.7(g)(2) of this chapter, within five calendar days
after the parties inform the presiding officer that they have failed to
resolve their dispute through alternative dispute resolution. The
written appearance shall state that the party will appear 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
[[Page 146]]
presiding officer 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 presiding officer shall
expeditiously terminate the proceeding and certify to the Commission the
complaint for resolution based on the existing record. When the
Commission has designated itself as the presiding officer, it shall
expeditiously terminate the proceeding and resolve the complaint based
on the existing record.
(5 U.S.C. 554; 47 U.S.C. 154, 159, 208, 209, 214, 309, 312, 316, and
409)
[28 FR 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; 85 FR 63174, Oct. 6,
2020]
Sec. 1.223 Petitions to intervene.
(a) Where the order designating a matter for hearing has failed to
notify and name as a party to the hearing proceeding 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 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 proceeding 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 the matter 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 or her 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 the matter 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. If, in the opinion of the presiding
officer, good cause is shown for the delay in filing, the presiding
officer may in his or her 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)
[85 FR 63175, Oct. 6, 2020]
Sec. 1.224 Motion to proceed in forma pauperis.
(a) A motion to proceed in forma pauperis may be filed by an
individual, a corporation, and unincorporated entity, an association or
other similar group, if the moving party is either of the following:
(1) A respondent in a revocation proceeding, or a renewal applicant,
who cannot carry on his livelihood without the radio license at stake in
the proceeding; or
(2) An intervenor in a hearing proceeding who is in a position to
introduce testimony which is of probable decisional significance, on a
matter of substantial public interest importance, which cannot, or
apparently will not, be introduced by other parties to the
[[Page 147]]
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 persons shall be precluded from giving any relevant,
material, and competent testimony because they lack a sufficient
interest to justify their intervention as parties in the matter.
(c) 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 in Sec. 1.351, and no communication shall be admissible on the
basis of a stipulation unless Commission counsel as well as
[[Page 148]]
counsel for all of the parties shall join in such stipulation.
[28 FR 12425, Nov. 22, 1963, as amended at 85 FR 63175, Oct. 6, 2020]
Sec. 1.227 Consolidations.
The Commission, upon motion or upon its own motion, may, where such
action will best conduce to the proper dispatch of business and to the
ends of justice, consolidate in a hearing proceeding any cases that
involve the same applicant or substantially the same issues, or that
present conflicting claims.
[85 FR 63175, Oct. 6, 2020]
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 proceeding. 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) For program carriage complaints filed pursuant to Sec.
76.1302 of this chapter that the Chief, Media Bureau refers to a
presiding officer, such motions shall be filed within 15 calendar days
after the deadline for submitting written appearances pursuant to Sec.
1.221(f), 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).
(2) Any person desiring to file a motion to modify the issues after
the expiration of periods specified in paragraphs (a) and (b)(1) 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 any case in which the presiding officer 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; 85 FR 63175, Oct. 6,
2020]
Presiding Officer
Sec. 1.241 Designation of presiding officer.
(a) Hearing proceedings will be conducted by a presiding officer.
The designated presiding officer will be identified in the order
designating a matter for hearing. Only the Commission, one or more
commissioners, or an administrative law judge designated pursuant to 5
U.S.C. 3105 may be designated as a presiding officer. Unless otherwise
stated, the term presiding officer will
[[Page 149]]
include the Commission when the Commission designates itself to preside
over a hearing proceeding.
(b) If a presiding officer becomes unavailable during the course of
a hearing proceeding, another presiding officer will be designated.
(5 U.S.C. 556; 47 U.S.C. 154, 159, 208, 209, 214, 309, 312, 316, and
409)
[85 FR 63176, Oct. 6, 2020]
Sec. 1.242 Appointment of case manager when Commission is the presiding officer.
When the Commission designates itself as the presiding officer in a
hearing proceeding, it may delegate authority to a case manager to
develop the record in a written hearing (see Sec. Sec. 1.370 through
1.377). The case manager must be a staff attorney who qualifies as a
neutral under 5 U.S.C. 571 and 573. The Commission shall not designate
any of the following persons to serve as case manager in a case, and
they may not advise or assist the case manager: Staff who participated
in identifying the specific issues designated for hearing; staff who
have taken or will take an active part in investigating, prosecuting, or
advocating in the case; or staff who are expected to investigate and act
upon petitions to deny (including challenges thereto). A case manager
shall have authority to perform any of the functions generally performed
by the presiding officer, except that a case manager shall have no
authority to resolve any new or novel issues, to issue an order on the
merits resolving any issue designated for hearing in a case, to issue an
order on the merits of any motion for summary decision filed under Sec.
1.251, or to perform any other functions that the Commission reserves to
itself in the order appointing a case manager.
[85 FR 63176, Oct. 6, 2020]
Sec. 1.243 Authority of presiding officer.
From the time the presiding officer is designated until issuance of
the presiding officer's decision or the transfer of the proceeding to
the Commission or to another presiding officer, the presiding officer
shall have such authority as granted 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 the
presiding officer or the Commission is required to rule during the
course of the hearing proceeding;
(h) Hold conferences for the settlement or simplification of the
issues by consent of the parties;
(i) Dispose of procedural requests and ancillary matters, as
appropriate;
(j) Take actions and make decisions in conformity with governing
law;
(k) Act on motions to enlarge, modify or delete the hearing issues;
(l) Act on motions to proceed in forma pauperis pursuant to Sec.
1.224;
(m) Decide a matter upon the existing record or request additional
information from the parties; and
(n) Issue such orders and conduct such proceedings as will best
conduce to the proper dispatch of business and the ends of justice.
(5 U.S.C. 556; 47 U.S.C. 154, 159, 208, 209, 214, 309, 312, 316, and
409)
[28 FR 12425, Nov. 22, 1963, as amended at 41 FR 53022, Dec. 3, 1976; 85
FR 63176, Oct. 6, 2020]
Sec. 1.244 Designation of a settlement officer.
(a) Parties may request that the presiding officer appoint a
settlement officer to facilitate the resolution of the case by
settlement.
(b) Where all parties in a case agree that such procedures may be
beneficial, such requests may be filed with the presiding officer no
later than 15 days prior to the date scheduled for the commencement of
hearings or, in hearing proceedings conducted pursuant to Sec. Sec.
1.370 through 1.377, no later than 15 days before the date set as the
deadline
[[Page 150]]
for filing the affirmative case. The presiding officer shall suspend the
procedural dates in the case pending action upon such requests.
(c) If, in the discretion of the presiding officer, it appears that
the appointment of a settlement officer will facilitate the settlement
of the case, the presiding officer shall appoint a ``neutral'' as
defined in 5 U.S.C. 571 and 573 to act as the settlement officer.
(1) The parties may request the appointment of a settlement officer
of their own choosing so long as that person is a ``neutral'' as defined
in 5 U.S.C. 571 and 573.
(2) The appointment of a settlement officer in a particular case is
subject to the approval of all the parties in the proceeding.
(3) Neither the Commission, nor any sitting members of the
Commission, nor the presiding officer shall serve as the settlement
officer in any case.
(4) Other members of the Commission's staff who qualify as neutrals
may be appointed as settlement officers. The presiding officer shall not
appoint a member of the Commission's staff as a settlement officer in
any case if the staff member's duties include, or have included,
drafting, reviewing, and/or recommending actions on the merits of the
issues designated for hearing in that case.
(d) The settlement officer shall have the authority to require
parties to submit their written direct cases for review. The settlement
officer may also meet with the parties 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 officer may express an opinion as to the relative
merit of the parties' positions and recommend possible means to resolve
the proceeding by settlement. The proceedings before the settlement
officer 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
officer will be admissible as evidence in any Commission proceeding.
[85 FR 63176, Oct. 6, 2020]
Sec. 1.245 Disqualification of presiding officer.
(a) In the event that a presiding officer (other than the
Commission) deems himself or herself disqualified and desires to
withdraw from the case, the presiding officer shall immediately so
notify the Commission.
(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.
(2) The presiding officer may file a response to the affidavit; and
if the presiding officer believes he or she is not disqualified, he or
she shall so rule and continue with the hearing proceeding.
(3) The person seeking disqualification may appeal a ruling denying
the request for withdrawal of the presiding officer, and, in that event,
shall do so within five days of release of the presiding officer's
ruling. Unless an appeal of the ruling is filed at this time, the right
to request withdrawal of the presiding officer shall be deemed waived.
(4) If an appeal of the ruling is filed, the presiding officer shall
certify the question, together with the affidavit and any response filed
in connection therewith, to the Commission. The hearing shall be
suspended pending a ruling on the question by the Commission.
(5) The Commission may rule on the question without hearing, or it
may require testimony or argument on the issues raised.
(6) The affidavit, response, testimony or argument thereon, and the
Commission's decision shall be part of the record in the case.
(5 U.S.C. 556; 47 U.S.C. 154, 159, 208, 209, 214, 309, 312, 316, and
409)
[28 FR 12425, Nov. 22, 1963, as amended at 55 FR 36641, Sept. 6, 1990;
62 FR 4171, Jan. 29, 1997; 85 FR 63176, Oct. 6, 2020]
[[Page 151]]
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 (see Sec. 1.229); or within such shorter or longer time as
the presiding officer may allow on motion or notice, a party may serve
upon any other party a written request for the admission by the latter
of the genuineness of any relevant documents identified in and exhibited
by a clear copy with the request or of the truth of any relevant matters
of fact set forth in the request.
(b) Each of the matters of which an admission is requested shall be
deemed admitted unless, within a period designated in the request, not
less than 10 days after service thereof, or within such shorter or
longer time as the presiding officer may allow on motion or notice, the
party to whom the request is directed serves upon the party requesting
the admission either: (1) A sworn statement denying specifically the
matters of which an admission is requested or setting forth in detail
the reasons why he cannot truthfully admit or deny those matters, or (2)
written objections on the ground that some or all of the requested
admissions are privileged or irrelevant or that the request is otherwise
improper in whole or in part. If written objections to a part of the
request are made, the remainder of the request shall be answered within
the period designated in the request. A denial shall fairly meet the
substance of the requested admission, and when good faith requires that
a party deny only a part or a qualification of a matter of which an
admission is requested, he shall specify so much of it as is true and
deny only the remainder.
(c) A copy of the request and of any answer shall be served by the
party filing on all other parties to the proceeding and upon the
presiding officer.
(d) Written objections to the requested admissions may be ruled upon
by the presiding officer without additional pleadings.
[33 FR 463, Jan. 12, 1968, as amended at 35 FR 17333, Nov. 11, 1970]
Sec. 1.248 Status conferences.
(a) The presiding officer may direct the parties or their attorneys
to appear at a specified time and place for a status conference during
the course of a hearing proceeding, or to submit suggestions in writing,
for the purpose of considering, among other things, the matters set
forth in paragraph (c) of this section. Any party may request a status
conference at any time after release of the order designating a matter
for hearing. During a status conference, the presiding officer may issue
rulings regarding matters relevant to the conduct of the hearing
proceeding including, inter alia, procedural matters, discovery, and the
submission of briefs or evidentiary materials.
(b) The presiding officer shall schedule an initial status
conference promptly after written appearances have been submitted under
Sec. 1.91 or Sec. 1.221. At or promptly after the initial status
conference, the presiding officer shall adopt a schedule to govern the
hearing proceeding. If the Commission designated a matter for hearing on
a written record under Sec. Sec. 1.370 through 1.376, the scheduling
order shall include a deadline for filing a motion to request an oral
hearing in accordance with Sec. 1.376. If the Commission did not
designate the matter for hearing on a written record, the scheduling
order shall include a deadline for filing a motion to conduct the
hearing on a written record. 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 motions.
(c) In status conferences, the following matters, among others, may
be considered:
(1) Clarifying, amplifying, or narrowing issues designated for
hearing;
(2) Scheduling;
(3) Admission of facts and of the genuineness of documents (see
Sec. 1.246),
[[Page 152]]
and the possibility of stipulating with respect to facts;
(4) Discovery;
(5) Motions;
(6) Hearing procedure;
(7) Settlement (see Sec. 1.93); and
(8) Such other matters that may aid in resolution of the issues
designated for hearing.
(d) Status conferences may be conducted in person or by telephone
conference call or similar technology, at the discretion of the
presiding officer. An official transcript of all status conferences
shall be made unless the presiding officer and the parties agree to
forego a transcript, in which case any rulings by the presiding officer
during the status conference shall be promptly memorialized in writing.
(e) The failure of any attorney or party, following reasonable
notice, to appear at a scheduled status conference may be deemed a
waiver by that party of its rights to participate in the hearing
proceeding and shall not preclude the presiding officer from conferring
with parties or counsel present.
[85 FR 63177, Oct. 6, 2020]
Sec. 1.249 Presiding officer statement.
The presiding officer shall enter upon the record a statement
reciting all actions taken at a status conference convened under Sec.
1.248 and incorporating into the record all of the stipulations and
agreements of the parties which were approved by the presiding officer,
and any special rules which the presiding officer may deem necessary to
govern the course of the proceeding.
[85 FR 63177, Oct. 6, 2020]
Hearing and Intermediate Decision