[Federal Register Volume 67, Number 46 (Friday, March 8, 2002)]
[Proposed Rules]
[Pages 10658-10659]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-5382]


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FEDERAL COMMUNICATIONS COMMISSION

47 CFR Part 1

[GC Docket No. 02-37; FCC 02-54]


Truthful Statements

AGENCY: Federal Communications Commission.

ACTION: Notice of proposed rulemaking.

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SUMMARY: The Commission proposes to amend its regulations relating to 
the submission of truthful information to the Commission. Under the 
current rule, Commission regulatees must not, in any written statement 
submitted to the Commission, make any misrepresentation or willful 
material omission bearing on any matter within the jurisdiction of the 
Commission. The item would provide that the rule prohibits incorrect 
statements or omissions resulting from negligence and not just 
intentional misrepresentation or lack of candor; make clearer that the 
rule covers statements made to the Commission in all contexts; include 
oral statements and not just written statements; and include all 
persons making statements to the Commission (e.g., including non-
regulatees).

DATES: Comments must be filed on or before April 8, 2002; reply 
comments must be filed on or before April 22, 2002.

ADDRESSES: Federal Communications Commission, 445 12th Street, SW, Room 
8-C723, Washington, DC 20554.

FOR FURTHER INFORMATION CONTACT: David S. Senzel, Office of General 
Counsel (202) 418-1720.

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Notice 
of Proposed Rulemaking (NPRM), GC Docket No. 2-37, adopted on February 
14, 2002, and released February 22, 2002. The full text of the NPRM is 
available for inspection and copying during normal business hours in 
the FCC Reference Information Center, Portals II, 445 12th Street, SW, 
Room CY-A257, Washington, DC 20554. Copies of filings may be purchased 
from the Commission's copy contractor, Qualex International, Portals 
II. 445 12th Street, SW, Room CY-B402, Washington, DC 20554, telephone 
(202) 863-2893, facsimile (202) 863-2898. Filings may also be viewed on 
the Commission's Internet web site using the Electronic Document Filing 
System (ECFS) at http://gullfoss2.fcc.gov/prod/ecfs/comsrch--v2.cgi.

Summary of Notice of Proposed Rule Making

    1. By this notice of proposed rulemaking, we propose to amend 
Sec. 1.17 of our Rules, 47 CFR 1.17, which relates to the submission of 
truthful statements to the Commission.
    2. In all of our proceedings, the Commission relies heavily on the 
truthfulness and accuracy of information submitted to us. If 
information submitted to us is incorrect, we cannot properly carry out 
our statutory responsibilities. It is our experience that the vast 
majority of persons dealing with the Commission understand their 
obligation to take the appropriate steps to ensure that the information 
they submit is accurate. Nevertheless, we believe that the scope of the 
current Sec. 1.17 as written may reflect an unduly narrow articulation 
of the existing obligations of persons dealing with the Commission. It 
thus may hamper our ability to take enforcement action in those rare 
cases where persons dealing with the Commission do not exercise the 
requisite care to ensure that they submit accurate information. 
Accordingly, we propose to revise Sec. 1.17 as follows: (1) To provide 
that the rule prohibits incorrect statements or omissions that are the 
result of an intent to deceive or negligence\1\; (2) to make clearer 
that the rule covers statements made to the Commission in all contexts; 
(3) to include oral statements and not just written statements; and (4) 
to include all persons making statements to the Commission (e.g., 
including non-regulatees).
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    \1\ We have previously held that a violation of the portion of 
the rule relating to omissions may occur in the absence of an intent 
to deceive. See The Curators of the University of Missouri, 16 FCC 
Rcd 1174 (2001).
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    3. To implement these changes, we proposed to modify slightly the 
first sentence of the current rule, which merely codifies existing 
statutory requirements in Secs. 218, 308(b), 403, and other sections of 
the Act pertaining to the obligation to provide any required 
information. In addition, we modify the remainder of Sec. 1.17 to set 
forth the obligation to provide truthful information. By specifying 
that the rule prohibits both intentional and negligent statements and 
omissions, the proposed rule better conveys our view that the rule 
should have a broad scope. Licensees, regulatees, and others are 
responsible for using their best efforts and exercising care and 
diligence to ensure that, in all contexts, the information they provide 
is correct and accurate. Nevertheless, we seek

[[Page 10659]]

comment on whether certain classes of proceedings (e.g., rulemakings or 
other non-adjudicatory proceedings not involving specific parties) 
should be subject to the rule only when deceptive intent is involved 
and whether persons or entities that are not regulated by the 
Commission should be subject to the rule only when deceptive intent is 
involved.

Initial Regulatory Flexibility Certification

    4. The Regulatory Flexibility Act of 1980, as amended (see 5 U.S.C. 
601 et seq.) \2\ requires an initial regulatory flexibility analysis in 
a notice and comment rulemaking proceeding unless we certify that ``the 
rule will not, if promulgated, have a significant economic impact on a 
substantial number of small entities.'' 5 U.S.C. 605(b). We believe 
that the rule we propose today will not have a significant economic 
impact on a substantial number of small entities.
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    \2\ See 5 U.S.C. 603. The RFA, see 5 U.S.C. 601 et. seq., has 
been amended by the Contract With America Advancement Act of 1996, 
Public Law 104-121, 110 Stat. 847 (1996) (CWAAA). Title II of the 
CWAAA is the Small Business Regulatory Enforcement Fairness Act of 
1996 (SBREFA).
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    5. In proposing to expand the scope of 47 CFR 1.17, we are merely 
requiring persons dealing with the Commission to submit accurate 
information. The proposed revised rule thus would not impose any 
significant compliance burden on persons dealing with the Commission, 
including small entities, or otherwise affect the rights of persons 
participating in Commission proceedings. The revised rule would simply 
enable the Commission to impose sanctions more effectively in those 
instances where people intentionally or negligently submit incorrect 
information. There is thus no reason to believe that operation of the 
revised rule would impose significant costs on parties to Commission 
proceedings.
    6. Accordingly, we certify that the rule as proposed will not have 
a significant economic impact on a substantial number of small 
entities. 5 U.S.C. 605(b). The Commission shall send a copy of this 
Notice of Proposed Rulemaking, including this certification, to the 
Chief Counsel for Advocacy of the SBA. 5 U.S.C. 605(b). A copy of this 
certification will also be published in the Federal Register. Id.
    7. This Notice is Hereby given of the proposed regulatory changes 
described above, and that Comment is Sought on these proposals.
    8. Pursuant to Secs. 1.415 and 1.419 of the Commission's rules, 47 
CFR 1.415, 1.419, interested persons May file comments on or before 
April 8, 2002 and reply comments on or before April 22, 2002. Comments 
may be filed using the Commission's Electronic Comment Filing System or 
by filing paper copies. See Electronic Filing of Documents in 
Rulemaking Proceedings, 63 FR 24,121 (1998). To file by paper, 
commenters must file an original and four copies of all comments, reply 
comments, and supporting comments. If commenters want each Commissioner 
to receive a personal copy of their comments, they must file an 
original plus nine copies. Comments and reply comments should be sent 
to Office of the Secretary, Federal Communications Commission, 
Washington, DC 20554. In addition, commenters should file a copy of any 
such pleadings with the Office of General Counsel, Portals II, 445 12th 
Street, SW, Room 8-C723, Washington, DC 20554.
    9. Comments and reply comments will be available for public 
inspection during regular business hours in the FCC Reference 
Information Center, Portals II, 445 12th Street, SW, Room CY-A257, 
Washington, DC 20554. Copies of filings may be purchased from the 
Commission's copy contractor, Qualex International, Portals II. 445 
12th Street, SW, Room CY-B402, Washington, DC 20554, telephone (202) 
863-2893, facsimile (202) 863-2898. Filings may also be viewed on the 
Commission's Internet web site using the Electronic Document Filing 
System (ECFS) at http://gullfoss2.fcc.gov/prod/ecfs/comsrch--v2.cgi. 
Alternative formats (computer diskette, large print, audio recording, 
and Braille) are available to persons with disabilities by contacting 
Brian Millin at (202) 418-7426 voice, (202) 418-7365 TTY, or 
[email protected]. This NPRM can also be downloaded in Word or ASCII 
formats at http://www.fcc.gov/ccb/cpd.
    10. The Commission's Consumer Information Bureau, Reference 
Information Center, Shall send a copy of this Notice of Proposed 
Rulemaking, including the Initial Regulatory Flexibility Certification, 
to the Chief Counsel for Advocacy of the Small Business Administration.

List of Subjects in 47 CFR Part 1

    Administrative practice and procedure, Radio, Telecommunications, 
Television.


Federal Communications Commission.
William F. Caton,
Acting Secretary.

Rule Changes

    For the reasons discussed in the preamble, part 1 of title 47 of 
the Code of Federal Regulations is proposed to be amended as follows:

PART 1--PRACTICE AND PROCEDURE

    1. The authority citation for part 1 continues to read as follows:

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

    2. Section 1.17 is revised to read as follows:


Sec. 1.17  Truthful and accurate statements to the Commission.

    (a) The Commission or its representatives may, in writing, require 
written statements of fact relevant to the determination of any matter 
within the jurisdiction of the Commission.
    (b) No person shall, in any written or oral statement of fact 
submitted to the Commission, intentionally or negligently provide 
incorrect material information or intentionally or negligently omit any 
material information bearing on any matter within the jurisdiction of 
the Commission.

[FR Doc. 02-5382 Filed 3-7-02; 8:45 am]
BILLING CODE 6712-01-P