47 Parts 0 to 19 Revised as of October 1, 2010
Telecommunication
Containing a codification of documents of general applicability and future effect
As of October 1, 2010
With Ancillaries
Published by Office of the Federal Register National Archives and Records Administration
A Special Edition of the Federal Register
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U.S. GOVERNMENT OFFICIAL EDITION NOTICE
Legal Status and Use of Seals and Logos
The seal of the National Archives and Records Administration (NARA) authenticates the Code of Federal Regulations (CFR) as the official codification of Federal regulations established under the Federal Register Act. Under the provisions of 44 U.S.C. 1507, the contents of the CFR, a special edition of the Federal Register, shall be judicially noticed. The CFR is prima facie evidence of the origi- nal documents published in the Federal Register (44 U.S.C. 1510).
It is prohibited to use NARA’s official seal and the stylized Code of Federal Regulations logo on any republication of this material without the express, written permission of the Archivist of the United States or the Archivist’s designee. Any person using NARA’s official seals and logos in a manner inconsistent with the provisions of 36 CFR part 1200 is subject to the penalties specified in 18 U.S.C. 506, 701, and 1017.
Use of ISBN Prefix
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Table of Contents Page
Explanation ................................................................................................ v
Title 47:
Chapter I—Federal Communications Commission .......................... 3
Finding Aids:
Table of CFR Titles and Chapters ....................................................... 893
Alphabetical List of Agencies Appearing in the CFR ......................... 913
List of CFR Sections Affected ............................................................. 923
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Cite this Code: CFR
To cite the regulations in this volume use title, part and section num- ber. Thus, 47 CFR 0.1 refers to title 47, part 0, section 1.
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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 agen- cies of the Federal Government. The Code is divided into 50 titles which represent broad areas subject to Federal regulation. Each title is divided into chapters which usually bear the name of the issuing agency. Each chapter is further sub- divided into parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year and issued on a quarterly basis approximately as follows:
Title 1 through Title 16..............................................................as of January 1 Title 17 through Title 27 .................................................................as of April 1 Title 28 through Title 41 ..................................................................as of July 1 Title 42 through Title 50.............................................................as of October 1
The appropriate revision date is printed on the cover of each volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially noticed (44 U.S.C. 1507). The Code of Federal Regulations is prima facie evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual issues of the Federal Register. These two publications must be used together to deter- mine the latest version of any given rule.
To determine whether a Code volume has been amended since its revision date (in this case, October 1, 2010), consult the ‘‘List of CFR Sections Affected (LSA),’’ which is issued monthly, and the ‘‘Cumulative List of Parts Affected,’’ which appears in the Reader Aids section of the daily Federal Register. These two lists will identify the Federal Register page number of the latest amendment of any given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal Reg- ister since the last revision of that volume of the Code. Source citations for the regulations are referred to by volume number and page number of the Federal Register and date of publication. Publication dates and effective dates are usu- ally not the same and care must be exercised by the user in determining the actual effective date. In instances where the effective date is beyond the cut- off date for the Code a note has been inserted to reflect the future effective date. In those instances where a regulation published in the Federal Register states a date certain for expiration, an appropriate note will be inserted following the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96–511) requires Federal agencies to display an OMB control number with their information collection request.
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Many agencies have begun publishing numerous OMB control numbers as amend- ments to existing regulations in the CFR. These OMB numbers are placed as close as possible to the applicable recordkeeping or reporting requirements.
OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on the cover of each volume are not carried. Code users may find the text of provisions in effect on a given date in the past by using the appropriate numerical list of sections affected. For the period before January 1, 2001, consult either the List of CFR Sections Affected, 1949–1963, 1964–1972, 1973–1985, or 1986–2000, published in eleven separate volumes. For the period beginning January 1, 2001, a ‘‘List of CFR Sections Affected’’ is published at the end of each CFR volume.
‘‘[RESERVED]’’ TERMINOLOGY
The term ‘‘[Reserved]’’ is used as a place holder within the Code of Federal Regulations. An agency may add regulatory information at a ‘‘[Reserved]’’ loca- tion at any time. Occasionally ‘‘[Reserved]’’ is used editorially to indicate that a portion of the CFR was left vacant and not accidentally dropped due to a print- ing or computer error.
INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was established by statute and allows Federal agencies to meet the requirement to publish regu- lations in the Federal Register by referring to materials already published else- where. For an incorporation to be valid, the Director of the Federal Register must approve it. The legal effect of incorporation by reference is that the mate- rial is treated as if it were published in full in the Federal Register (5 U.S.C. 552(a)). This material, like any other properly issued regulation, has the force of law.
What is a proper incorporation by reference? The Director of the Federal Register will approve an incorporation by reference only when the requirements of 1 CFR part 51 are met. Some of the elements on which approval is based are:
(a) The incorporation will substantially reduce the volume of material pub- lished in the Federal Register.
(b) The matter incorporated is in fact available to the extent necessary to afford fairness and uniformity in the administrative process.
(c) The incorporating document is drafted and submitted for publication in accordance with 1 CFR part 51.
What if the material incorporated by reference cannot be found? If you have any problem locating or obtaining a copy of material listed as an approved incorpora- tion by reference, please contact the agency that issued the regulation containing that incorporation. If, after contacting the agency, you find the material is not available, please notify the Director of the Federal Register, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001, or call 202-741-6010.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a separate volume, revised annually as of January 1, entitled CFR INDEX AND FINDING AIDS. This volume contains the Parallel Table of Authorities and Rules. A list of CFR titles, chapters, subchapters, and parts and an alphabetical list of agencies pub- lishing in the CFR are also included in this volume.
An index to the text of ‘‘Title 3—The President’’ is carried within that volume.
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The Federal Register Index is issued monthly in cumulative form. This index is based on a consolidation of the ‘‘Contents’’ entries in the daily Federal Reg- ister.
A List of CFR Sections Affected (LSA) is published monthly, keyed to the revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing in the Code of Federal Regulations.
INQUIRIES
For a legal interpretation or explanation of any regulation in this volume, contact the issuing agency. The issuing agency’s name appears at the top of odd-numbered pages.
For inquiries concerning CFR reference assistance, call 202–741–6000 or write to the Director, Office of the Federal Register, National Archives and Records Administration, 8601 Adelphi Road, College Park, MD 20740-6001 or e-mail fedreg.info@nara.gov.
SALES
The Government Printing Office (GPO) processes all sales and distribution of the CFR. For payment by credit card, call toll-free, 866-512-1800, or DC area, 202- 512-1800, M-F 8 a.m. to 4 p.m. e.s.t. or fax your order to 202-512-2250, 24 hours a day. For payment by check, write to: US Government Printing Office – New Orders, P.O. Box 979050, St. Louis, MO 63197-9000. For GPO Customer Service call 202-512-1803.
ELECTRONIC SERVICES
The full text of the Code of Federal Regulations, the LSA (List of CFR Sections Affected), The United States Government Manual, the Federal Register, Public Laws, Public Papers, Daily Compilation of Presidential Documents and the Pri- vacy Act Compilation are available in electronic format via Federalregister.gov. For more information, contact Electronic Information Dissemination Services, U.S. Government Printing Office. Phone 202-512-1530, or 888-293-6498 (toll-free). E- mail, gpoaccess@gpo.gov.
The Office of the Federal Register also offers a free service on the National Archives and Records Administration’s (NARA) World Wide Web site for public law numbers, Federal Register finding aids, and related information. Connect to NARA’s web site at www.archives.gov/federal-register. The NARA site also con- tains links to GPO Access.
RAYMOND A. MOSLEY,
Director,
Office of the Federal Register.
October 1, 2010.
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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 chap- ter II—Office of Science and Technology Policy and National Security Council, chapter III—National Telecommunications and Information Administration, De- partment of Commerce, and chapter IV—National Telecommunications and Infor- mation Administration, Department of Commerce, and National Highway Traffic Safety Administration, Department of Transportation. The contents of these vol- umes represent all current regulations codified under this title of the CFR as of October 1, 2010.
Part 73 contains a numerical designation of FM broadcast channels (§ 73.201) and a table of FM allotments designated for use in communities in the United States, its territories, and possessions (§ 73.202). Part 73 also contains a numerical designation of television channels (§ 73.603) and a table of allotments which con- tain channels designated for the listed communities in the United States, its territories, and possessions (§ 73.606).
The OMB control numbers for the Federal Communications Commission, ap- pear in § 0.408 of chapter I. For the convenience of the user § 0.408 is reprinted in the Finding Aids section of the second through fifth volumes.
For this volume, Susannah C. Hurley was Chief Editor. The Code of Federal Regulations publication program is under the direction of Michael L. White, as- sisted by Ann Worley.
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Title 47— Telecommunication
(This book contains parts 0 to 19)
Part
CHAPTER I—Federal Communications Commission ............... 0
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CHAPTER I—FEDERAL COMMUNICATIONS COMMISSION
SUBCHAPTER A—GENERAL
Part Page 0 Commission organization ........................................ 5 1 Practice and procedure ........................................... 95 2 Frequency allocations and radio treaty matters;
general rules and regulations ............................... 448 3 Authorization and administration of accounting
authorities in maritime and maritime mobile- satellite radio services ......................................... 666
4 Disruptions to communications .............................. 675 5 Experimental radio service (other than broadcast) 682 6 Access to telecommunications service, tele-
communications equipment and customer prem- ises equipment by persons with disabilities ......... 695
7 Access to voicemail and interactive menu services and equipment by people with disabilities ........... 701
9 Interconnected voice over internet protocol serv- ices ....................................................................... 707
10 Commercial Mobile Alert System ........................... 710 11 Emergency Alert System (EAS) .............................. 718 12 Redundancy of communications systems ................ 740 13 Commercial radio operators .................................... 742 15 Radio frequency devices .......................................... 752 17 Construction, marking, and lighting of antenna
structures ............................................................. 871 18 Industrial, scientific, and medical equipment ........ 879 19 Employee responsibilities and conduct ................... 885
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 edi-
tion.
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SUBCHAPTER A—GENERAL
PART 0—COMMISSION ORGANIZATION
Subpart A—Organization
GENERAL
Sec. 0.1 The Commission. 0.3 The Chairman. 0.5 General description of Commission orga-
nization and operations.
OFFICE OF MANAGING DIRECTOR
0.11 Functions of the Office.
OFFICE OF INSPECTOR GENERAL
0.13 Functions of the Office.
OFFICE OF MEDIA RELATIONS
0.15 Functions of the Office.
OFFICE OF LEGISLATIVE AFFAIRS
0.17 Functions of the Office.
OFFICE OF STRATEGIC PLANNING AND POLICY ANALYSIS
0.21 Functions of the Office.
OFFICE OF ENGINEERING AND TECHNOLOGY
0.31 Functions of the Office.
OFFICE OF GENERAL COUNSEL
0.41 Functions of the Office.
INTERNATIONAL BUREAU
0.51 Functions of the Bureau
MEDIA BUREAU
0.61 Functions of the Bureau.
OFFICE OF WORKPLACE DIVERSITY
0.81 Functions of the Office.
WIRELINE COMPETITION BUREAU
0.91 Functions of the Bureau.
OFFICE OF COMMUNICATIONS BUSINESS OPPORTUNITIES
0.101 Functions of the office.
ENFORCEMENT BUREAU
0.111 Functions of the Bureau. 0.121 Location of field installations.
WIRELESS TELECOMMUNICATIONS BUREAU
0.131 Functions of the Bureau.
CONSUMER AND GOVERNMENTAL AFFAIRS BUREAU
0.141 Functions of the Bureau.
OFFICE OF ADMINISTRATIVE LAW JUDGES
0.151 Functions of the Office.
HOMELAND SECURITY, DEFENSE AND EMERGENCY PREPAREDNESS FUNCTIONS
0.181 The Defense Commissioner. 0.185 Responsibilities of the bureaus and
staff offices. 0.186 Emergency Relocation Board.
PUBLIC SAFETY AND HOMELAND SECURITY BUREAU
0.191 Functions of the Bureau. 0.192 Emergency Response Interoperability
Center.
Subpart B—Delegations of Authority
GENERAL
0.201 General provisions. 0.203 Authority of person, panel, or board to
which functions are delegated. 0.204 The exercise of delegated authority.
COMMISSIONERS
0.211 Chairman. 0.212 Board of Commissioners. 0.218 Authority of, and delegated to, an in-
dividual Commissioner or Commis- sioners.
MANAGING DIRECTOR
0.231 Authority delegated.
CHIEF ENGINEER
0.241 Authority delegated. 0.247 Record of actions taken.
GENERAL COUNSEL
0.251 Authority delegated.
INTERNATIONAL BUREAU
0.261 Authority delegated. 0.262 Record of actions taken.
OFFICE OF STRATEGIC PLANNING AND POLICY ANALYSIS
0.271 Authority delegated.
CHIEF, MEDIA BUREAU
0.283 Authority delegated. 0.284 Actions taken under delegated author-
ity. 0.285 Record of actions taken.
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47 CFR Ch. I (10–1–10 Edition)Pt. 0
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 ex-
empt telecommunications company sta- tus.
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 author-
ity. 0.333–0.337 [Reserved]
ADMINISTRATIVE LAW JUDGES
0.341 Authority of administrative law judge. 0.347 Record of actions taken.
CHIEF ADMINISTRATIVE LAW JUDGE
0.351 Authority delegated. 0.357 Record of actions taken.
CONSUMER AND GOVERNMENTAL AFFAIRS BUREAU
0.361 Authority delegated.
OFFICE OF COMMUNICATIONS BUSINESS OPPORTUNITIES
0.371 Authority delegated.
NATIONAL SECURITY AND EMERGENCY PREPAREDNESS DELEGATIONS
0.381 Defense Commissioner. 0.383 Emergency Relocation Board, author-
ity delegated. 0.387 Other national security and emer-
gency 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 Paper- work 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 publica-
tions. 0.414 The Communications Act and other
statutory materials. 0.415 The rules and regulations (looseleaf
service). 0.416 The Federal Communications Commis-
sion 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 govern-
ment agencies of information submitted to the Commission in confidence.
0.445 Publication, availability and use of opinions, orders, policy statements, in- terpretations, administrative manuals, and staff instructions.
0.451 Inspection of records: Generally. 0.453 Public reference rooms. 0.455 Other locations at which records may
be inspected. 0.457 Records not routinely available for
public inspection. 0.458 Nonpublic information. 0.459 Requests that materials or informa-
tion 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 inspec- tion.
0.463 Demand by competent authority for the production of documents or testi- mony concerning information contained therein.
0.465 Request for copies of materials which are available, or made available, for pub- lic inspection.
0.466 Definitions. 0.467 Search and review fees. 0.468 Interest. 0.469 Advance payments. 0.470 Assessment of fees.
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Federal Communications Commission § 0.3
PLACES FOR MAKING SUBMITTALS OR RE- QUESTS, 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 commer-
cial radio operator licenses. 0.484 Amateur radio operator examinations. 0.485 Commercial radio operator examina-
tions. 0.489 Applications for ship radio inspection
and periodical survey. 0.491 Application for exemption from com-
pulsory ship radio requirements. 0.493 Non-radio common carrier applica-
tions.
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 declassifica-
tion. 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 sys-
tems 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 in-
dividuals. 0.556 Request to correct or amend records. 0.557 Administrative review of an initial de-
cision 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 pub-
lic. 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 Com- mittee.
AUTHORITY: Sec. 5, 48 Stat. 1068, as amend- ed; 47 U.S.C. 155, 225, unless otherwise noted.
Subpart A—Organization
AUTHORITY: Secs. 5, 48 Stat. 1068, as amend- ed; 47 U.S.C. 155.
GENERAL
§ 0.1 The Commission.
The Federal Communications Com- mission is composed of five (5) mem- bers who are appointed by the presi- dent 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]
§ 0.3 The Chairman.
(a) One of the members of the Com- mission is designated by the President to serve as Chairman, or chief execu- tive officer, of the Commission. As Chairman, he has the following duties and responsibilities:
(1) To preside at all meetings and ses- sions 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 re- ports.
(3) To represent the Commission in all matters requiring conferences or communications with other govern- mental officers, departments or agen- cies.
(4) To coordinate and organize the work of the Commission in such a man- ner 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 Chair- man of the Commission, or in the ab- sence or inability of the Chairman to serve, temporarily designate one of its members to act as Chairman until the cause or circumstance requiring such
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47 CFR Ch. I (10–1–10 Edition)§ 0.5
designation has been eliminated or cor- rected.
[32 FR 10569, July 19, 1967]
§ 0.5 General description of Commis- sion organization and operations.
(a) Principal staff units. The Commis- sion 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 Tech-
nology. (3) Office of General Counsel. (4) Office of Strategic Planning and
Policy Analysis. (5) Office of Media Relations. (6) Office of Legislative Affairs. (7) Office of Inspector General. (8) Office of Communications Busi-
ness Opportunities. (9) Office of Administrative Law
Judges. (10) Office of Workplace Diversity (11) Wireline Competition Bureau. (12) Wireless Telecommunications
Bureau. (13) International Bureau. (14) Media Bureau. (15) Enforcement Bureau. (16) Consumer and Governmental Af-
fairs Bureau. (17) Public Safety and Homeland Se-
curity Bureau. (b) Staff responsibilities and func-
tions. The organization and functions of these major staff units are described in detail in §§ 0.11 through 0.151. The de- fense and emergency preparedness functions of the Commission are set forth separately, beginning at § 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 offi- cers of the Commission, and other in- formation concerning the Commis- sion.)
(c) Delegations of authority to the staff. Pursuant to section 5(c) of the Commu- nications Act, the Commission has del- egated 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 possi- bility of review, actions taken under delegated authority have the same force and effect as actions taken by the Commission. The delegation of author- ity to a staff officer, however, does not mean that he will exercise that author- ity in all matters subject to the delega- tion. In non-hearing matters, the staff is at liberty to refer any matter at any stage to the Commission for action, upon concluding that it involves mat- ters warranting the Commission’s con- sideration, and the Commission may instruct the staff to do so.
(d) Commission action. Matters requir- ing Commission action, or warranting its consideration, are dealt with by the Commission at regular monthly meet- ings, or at special meetings called to consider a particular matter. Meetings are normally held at the principal of- fices 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 sub- mission 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 compli- ance with Federal financial manage- ment 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 author- ity that may affect agency compliance with Federal financial management re- quirements must confer with the Office of the Managing Director before taking action.
(Secs. 4(i), 303(r) and 5(c)(i), Communications Act of 1934, as amended; 47 CFR 0.61 and 0.283)
[32 FR 10569, July 19, 1967]
EDITORIAL NOTE: For FEDERAL REGISTER ci- tations affecting § 0.5, see the List of CFR Sections Affected, which appears in the
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Federal Communications Commission § 0.13
Finding Aids section of the printed volume and on GPO Access.
OFFICE OF MANAGING DIRECTOR
§ 0.11 Functions of the Office.
(a) The Managing Director is ap- pointed by the Chairman with the ap- proval of the Commission. Under the supervision and direction of the Chair- man, the Managing Director shall serve as the Commission’s chief operating and executive official with the fol- lowing duties and responsibilities:
(1) Provide managerial leadership to and exercise supervision and direction over the Commission’s Bureaus and Of- fices with respect to management and administrative matters but not sub- stantive regulatory matters such as regulatory policy and rule making, au- thorization of service, administration of sanctions, and adjudication.
(2) Formulate and administer all management and administrative poli- cies, programs, and directives for the Commission consistent with authority delegated by the Commission and the Chairman and recommend to the Chair- man and the Commission major changes in such policies and programs.
(3) Assist the Chairman in carrying out the administrative and executive responsibilities delegated to the Chair- man as the administrative head of the agency.
(4) Advise the Chairman and Commis- sion on management, administrative, and related matters; review and evalu- ate 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, administra- tive, and resource implications of any proposed action or decision to be taken by the Commission or by a Bureau or Office under delegated authority; rec- ommend to the Chairman and Commis- sion program priorities, resource and position allocations, management, and administrative policies.
(5) Plan and administer the Commis- sions performance review system. As- sure that objections, priorities, and ac- tion plans established by Bureau and Offices are consistent with overall Commission objectives and priorities.
(6) Plan and administer the Commis- sion’s Program Evaluation System. En- sure that evaluation results are uti- lized 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 Com- mission-wide management programs.
(8) Plan and manage the administra- tive affairs of the Commission with re- spect to the functions of personnel and position management; labor-manage- ment relations; training; budget and fi- nancial management; accounting for the financial transactions of the Com- mission and preparation of financial statements and reports; information management and processing; organiza- tion planning; management analysis; procurement; office space management and utilization; administrative and of- fice services; supply and property man- agement; records management; per- sonnel and physical security; and inter- national telecommunications settle- ments.
(9) [Reserved] (10) With the concurrence of the Gen-
eral Counsel, interpret rules and regu- lations pertaining to fees.
(b) The Secretary is the official cus- todian of the Commission’s documents.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[46 FR 59975, Dec. 8, 1981, as amended at 47 FR 41380, Sept. 20, 1982; 49 FR 45583, Nov. 19, 1984; 50 FR 27953, July 9, 1985; 53 FR 29054, Aug. 2, 1988; 53 FR 47536, Nov. 23, 1988; 54 FR 152, Jan. 4, 1989; 59 FR 26971, May 25, 1994; 60 FR 5323, Jan. 27, 1995; 62 FR 15853, Apr. 3, 1997; 62 FR 51052, Sept. 30, 1997; 67 FR 13217, Mar. 21, 2002; 69 FR 30233, May 27, 2004; 70 FR 21651, Apr. 27, 2005; 71 FR 69034, Nov. 29, 2006]
OFFICE OF INSPECTOR GENERAL
§ 0.13 Functions of the Office. The Office of Inspector General is di-
rectly responsible to the Chairman as head of the agency. However, the Chairman may not prevent or prohibit the Office of Inspector General from carrying out its duties and responsibil- ities 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
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47 CFR Ch. I (10–1–10 Edition)§ 0.15
amended. The Office has the following duties and responsibilities.
(a) Provide policy direction for and to conduct, supervise and coordinate audits and investigations relating to the programs and operations of the Federal Communications Commission.
(b) Review existing and proposed leg- islation and regulations relating to programs and operations of the Com- mission and to make recommendations in its required semiannual reports to Congress concerning the impact of such legislation or regulations on the econ- omy and efficiency in the administra- tion 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 pro- mote economy and efficiency in the ad- ministration of Commission programs, or detect and prevent fraud and abuse in Commission activities. Coordinate with other governmental agencies and non-governmental entities on these matters.
(d) Keep the Chairman of the Com- mission—and through him the other Commissioners—and the Congress fully and currently informed concerning fraud and other serious problems, abuses, and deficiencies relating to the administration of Commission pro- grams and operations; recommend cor- rective action and report on the progress made in implementing such corrective action. In addition to pro- viding the Chairman with the results of completed audits and inspections, the Inspector General shall prepare statu- torily required reports, identified as such, to include:
(1) Semiannual reports summarizing activities of the office during the pre- ceding six month period (due to the Chairman by April 30 and October 31);
(2) Special reports specifically identi- fying any serious or flagrant problems, abuses or deficiencies (due to the Chairman immediately upon discovery of these matters by the Inspector Gen- eral).
[54 FR 15194, Apr. 17, 1989]
OFFICE OF MEDIA RELATIONS
§ 0.15 Functions of the Office. (a) Enhance public understanding of
and compliance with the Commission’s regulatory requirements through dis- semination 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 infor- mation dissemination as it affects liai- son with the media.
(d) Manage the FCC’s Internet site and oversee the agency’s Web stand- ards and guidelines.
(e) Maintain liaison with the Con- sumer and Governmental Affairs Bu- reau on press and media issues con- cerning consumer assistance and infor- mation 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
§ 0.17 Functions of the Office. The Office of Legislative Affairs is di-
rectly responsible to the Commission. The Office has the following duties and responsibilities:
(a) Advise and make recommenda- tions to the Commission with respect to legislation proposed by members of Congress or the Executive Branch and coordinate the preparation of Commis- sion views thereon for submission to Congress or the Executive Branch.
(b) Coordinate with the Office of Gen- eral Counsel responses to Congres- sional or Executive Branch inquiries as to the local ramifications of Commis- sion 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 Com- mission’s Annual Report.
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Federal Communications Commission § 0.31
(d) Assist the Chairman and Commis- sioners in preparation for, and the co- ordination of their appearances before the Committees of Congress.
(e) Coordinate the annual Commis- sion legislative program.
(f) Coordinate Commission and staff responses to inquiries by individual members of Congress, congressional committees and staffs.
(g) Coordinate with the Consumer and Governmental Affairs Bureau on issues involving informal consumer complaints and other general inquiries by consumers.
[52 FR 42438, Nov. 5, 1987, as amended at 64 FR 60716, Nov. 8, 1999; 67 FR 13217, Mar. 21, 2002]
OFFICE OF STRATEGIC PLANNING AND POLICY ANALYSIS
§ 0.21 Functions of the Office. The Office of Strategic Planning and
Policy Analysis, as a staff office to the Commission, assists, advises and makes recommendations to the Com- mission with respect to the develop- ment and implementation of commu- nications policies in all areas of Com- mission authority and responsibility. A principal function of the Office is to conduct independent policy analyses to assess the long-term effects of alter- native Commission policies on domes- tic and international communication industries and services, with due con- sideration of the responsibilities and programs of other staff units, and to recommend appropriate Commission action. The Office is also responsible for coordinating the policy research and development activities of other staff units, with special concern for matters which transcend their indi- vidual areas of responsibility. The Of- fice is composed of legal, engineering, economic, and sociological policy ana- lysts and other personnel, and is head- ed by a chief having the following du- ties and responsibilities:
(a) To identify and define significant communications policy issues in all areas of Commission interest and re- sponsibility;
(b) To conduct technical, economic, and sociological impact studies of ex- isting and proposed communications policies and operations, including coop-
erative studies with other staff units and consultant and contract efforts as appropriate;
(c) To develop and evaluate alter- native policy options and approaches for consideration by the Commission;
(d) To review and comment on all sig- nificant actions proposed to be taken by the Commission in terms of their overall policy implications;
(e) To recommend and evaluate gov- ernmental (state and federal), aca- demic, and industry sponsored research affecting Commission policy issues;
(f) To prepare briefings, position pa- pers, proposed Commission actions, or other agenda items as appropriate;
(g) To manage the Commission’s pol- icy research program, recommend budget levels and priorities for this program, and serve as central account manager for all contractual policy re- search studies funded by the Commis- sion;
(h) To coordinate the formation and presentation of Commission positions in communications policy; represent the Commission at appropriate discus- sions and conferences.
(i) Develop and recommend proce- dures and plans for the effective han- dling of policy issues within the Com- mission.
(j) To help ensure that FCC policy en- courages and promotes competitive market structures by providing bu- reaus and offices with the necessary support to identify, evaluate, and effec- tively and consistently resolve com- petitiveness issues.
[38 FR 17005, June 28, 1973, as amended at 45 FR 25400, Apr. 15, 1980; 51 FR 12615, Apr. 14, 1986; 60 FR 5323, Jan. 27, 1995; 64 FR 5950, Feb. 8, 1999; 68 FR 11747, Mar. 12, 2003]
OFFICE OF ENGINEERING AND TECHNOLOGY
§ 0.31 Functions of the Office.
The Office of Engineering and Tech- nology has the following duties and re- sponsibilities:
(a) To evaluate evolving technology for interference potential and to sug- gest ways to facilitate its introduction in response to Bureau initiatives, and advise the Commission and staff offices in such matters.
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47 CFR Ch. I (10–1–10 Edition)§ 0.41
(b) Represent the Commission at var- ious national conferences and meetings (and, in consultation with the Inter- national Bureau, at various inter- national conferences and meetings) de- voted to the progress of communica- tions 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 tech- nical studies in advanced phases of ter- restrial and space communications, and special projects to obtain theo- retical and experimental data on new or improved techniques.
(d) To advise the Commission con- cerning 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 proce- dures to acquire, store, and retrieve scientific and technical information useful in the engineering work of the Commission.
(f) To advise and represent the Com- mission on frequency allocation and spectrum usage matters.
(g) To render, in cooperation with the General Counsel and the Office of Stra- tegic Planning and Policy Analysis, ad- vice to the Commission, participate in and coordinate staff work with respect to general frequency allocation pro- ceedings 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 formu- lation 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 Commis- sion with respect to formulating rules and regulations, technical standards, and general policies for parts 15, 18 and § 63.100 of this chapter, and for type ap- proval and acceptance, and certifi-
cation of radio equipment for compli- ance with the Rules.
(k) To maintain liaison with other agencies of government, technical ex- perts representing foreign govern- ments, and members of the public and industry concerned with communica- tions and frequency allocation and usage.
(l) To calibrate and standardize tech- nical 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 Commu- nications Act of 1934, as amended.
(n) To assist the Consumer and Gov- ernmental Affairs Bureau on issues in- volving informal consumer complaints and other general inquiries by con- sumers.
(Secs. 2, 3, 4, 5, 301, 303, 307, 308, 309, 315, 317, 48 Stat., as amended, 1064, 1065, 1066, 1068, 1081, 1082, 1083, 1084, 1085, 1088, 1089; 47 U.S.C. 152, 153, 154, 155, 301, 303, 307, 308, 309, 315, 317)
[45 FR 28718, Apr. 30, 1980, as amended at 46 FR 45342, Sept. 11, 1981; 51 FR 12615, Apr. 14, 1986; 60 FR 5323, Jan. 27, 1995; 62 FR 4170, Jan. 29, 1997; 63 FR 37499, July 13, 1998; 64 FR 60716, Nov. 8, 1999; 67 FR 13217, Mar. 21, 2002; 68 FR 11747, Mar. 12, 2003; 69 FR 70337, Dec. 3, 2004; 71 FR 69034, Nov. 29, 2006; 73 FR 9463, Feb. 21, 2008]
OFFICE OF GENERAL COUNSEL
§ 0.41 Functions of the Office.
The Office of the General Counsel has the following duties and responsibil- ities:
(a) To advise and represent the Com- mission in matters of litigation.
(b) To advise and make recommenda- tions to the Commission with respect to proposed legislation and submit agency views on legislation when ap- propriate.
(c) To interpret the statutes, inter- national agreements, and international regulations affecting the Commission.
(d) To prepare and make rec- ommendations and interpretations con- cerning procedural rules of general ap- plicability and to review all rules for consistency with other rules, uni- formity, and legal sufficiency.
(e) To conduct research in legal mat- ters as directed by the Commission.
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Federal Communications Commission § 0.51
(f) In cooperation with the Office of Engineering and Technology, to par- ticipate in, render advice to the Com- mission, and coordinate the staff work with respect to general frequency allo- cation proceedings and other pro- ceedings 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 Inter- national Bureau on all matters per- taining to space satellite communica- tions.
(i) To interpret statutes and execu- tive 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 mat- ters regarding the interception and re- cording of telephone conversations by Commission personnel. Nothing in this paragraph, however, shall affect the authority of the Inspector General to intercept or record telephone conversa- tions as necessary in the conduct of in- vestigations or audits.
(l) To advise the Commission in the preparation and revision of rules and the implementation and administra- tion of ethics regulations and the Free- dom of Information, Privacy, Govern- ment in the Sunshine and Alternative Dispute Resolution Acts.
(m) To assist and make recommenda- tions to the Commission, and to indi- vidual Commissioners assigned to re- view initial decisions, as to the disposi- tion of cases of adjudication and such other cases as, by Commission policy, are handled in the same manner and which have been designated for hear- ing.
(n) To serve as the principal oper- ating office on ex parte matters involv-
ing restricted proceedings. To review and dispose of all ex parte communica- tions received from the public and oth- ers.
(Secs. 2, 3, 4, 5, 301, 303, 307, 308, 309, 315, 317, 48 Stat., as amended, 1064, 1065, 1066, 1068, 1081, 1082, 1083, 1084, 1085, 1088, 1089; 47 U.S.C. 152, 153, 154, 155, 301, 303, 307, 308, 309, 315, 317)
[28 FR 12392, Nov. 22, 1963; 37 FR 19372, Sept. 20, 1972, as amended at 40 FR 17253, Apr. 18, 1975; 43 FR 29006, July 5, 1978; 44 FR 39179, July 5, 1979; 46 FR 57050, Nov. 20, 1981; 49 FR 47604, Dec. 6, 1984; 50 FR 2985, Jan. 23, 1985; 50 FR 49048, Nov. 29, 1985; 51 FR 12615, Apr. 14, 1986; 60 FR 5323, Jan. 27, 1995; 60 FR 34901, July 5, 1995; 62 FR 4170, Jan. 29, 1997; 62 FR 15853, Apr. 3, 1997; 64 FR 5950, Feb. 8, 1999; 64 FR 57585, Oct. 26, 1999]
INTERNATIONAL BUREAU
§ 0.51 Functions of the Bureau. The International Bureau has the fol-
lowing duties and responsibilities: (a) To initiate and direct the develop-
ment and articulation of international telecommunications policies, con- sistent with the priorities of the Com- mission;
(b) To advise the Chairman and Com- missioners 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 com- merce, national defense, and foreign policy;
(c) To develop, recommend, and ad- minister policies, rules, standards, and procedures for the authorization and regulation of international tele- communications facilities and services, domestic and international satellite systems, and international broadcast services;
(d) To monitor compliance with the terms and conditions of authorizations and licenses granted by the Bureau, and to pursue enforcement actions in conjunction with appropriate bureaus and offices;
(e) To represent the Commission on international telecommunications matters at both domestic and inter- national conferences and meetings, and to direct and coordinate the Commis- sion’s preparation for such conferences and meetings;
(f) To serve as the single focal point within the Commission for cooperation
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47 CFR Ch. I (10–1–10 Edition)§ 0.61
and consultation on international tele- communications matters with other Federal agencies, international or for- eign organizations, and appropriate regulatory bodies and officials of for- eign governments;
(g) To develop, coordinate with other Federal agencies, and administer the regulatory assistance and training pro- grams for foreign administrations to promote telecommunications develop- ment;
(h) To provide advice and technical assistance to U.S. trade officials in the negotiation and implementation of telecommunications trade agreements, and consult with other bureaus and of- fices as appropriate;
(i) To conduct economic, legal, tech- nical, statistical, and other appropriate studies, surveys, and analyses in sup- port of international telecommuni- cations policies and programs.
(j) To collect and disseminate within the Commission information and data on international telecommunications policies, regulatory and market devel- opments in other countries, and inter- national organizations;
(k) To work with the Office of Legis- lative Affairs to coordinate the Com- mission’s activities on significant mat- ters of international policy with appro- priate Congressional offices;
(l) To promote the international co- ordination of spectrum allocations and frequency and orbital assignments so as to minimize cases of international radio interference involving U.S. li- censees;
(m) To direct and coordinate, in con- sultation with other bureaus and of- fices as appropriate, negotiation of international agreements to provide for arrangements and procedures for coordination of radio frequency assign- ments to prevent or resolve inter- national radio interference involving U.S. licensees;
(n) To ensure fulfillment of the Com- mission’s responsibilities under inter- national agreements and treaty obliga- tions, and, consistent with Commission policy, to ensure that the Commis- sion’s regulations, procedures, and fre- quency allocations comply with the mandatory requirements of all applica- ble international and bilateral agree- ments;
(o) To oversee and, as appropriate, administer activities pertaining to the international consultation, coordina- tion, and notification of U.S. frequency and orbital assignments, including ac- tivities required by bilateral agree- ments, the international Radio Regula- tions, and other international agree- ments;
(p) To advise the Chairman on prior- ities for international travel and de- velop, coordinate, and administer the international travel plan;
(q) To exercise authority to issue non-hearing related subpoenas for the attendance and testimony of witnesses and the production of books, papers, correspondence, memoranda, schedules of charges, contracts, agreements, and any other records deemed relevant to the investigation of matters within the jurisdiction of the International Bu- reau. Before issuing a subpoena, the International Bureau shall obtain the approval of the Office of General Coun- sel.
(r) To assist the Consumer and Gov- ernmental Affairs Bureau on issues in- volving informal consumer complaints and other general inquiries by con- sumers.
(s) To coordinate with the Public Safety and Homeland Security Bureau on all matters affecting public safety, homeland security, national security, emergency management, disaster man- agement, and related issues.
[60 FR 5323, Jan. 27, 1995, as amended at 60 FR 35504, July 10, 1995; 64 FR 60716, Nov. 8, 1999; 67 FR 13217, Mar. 21, 2002; 71 FR 69034, Nov. 29, 2006]
MEDIA BUREAU
§ 0.61 Functions of the Bureau. The Media Bureau develops, rec-
ommends and administers the policy and licensing programs for the regula- tion of media, including cable tele- vision, broadcast television and radio, and satellite services in the United States and its territories. The Bureau advises and recommends to the Com- mission, or acts for the Commission under delegated authority, in matters pertaining to multichannel video pro- gramming distribution, broadcast radio and television, direct broadcast sat- ellite service policy, and associated
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Federal Communications Commission § 0.61
matters. The Bureau will, among other things:
(a) Process applications for author- ization, assignment, transfer and re- newal 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, en- gineering, and economic aspects of electronic media services.
(d) Administer and enforce rules and policies regarding equal employment opportunity.
(e) Administer and enforce rules and policies regarding political program- ming and related matters.
(f) Administer and enforce rules and policies regarding:
(1) Radio and television broadcast in- dustry services;
(2) Cable television systems, opera- tors, and services, including those re- lating to rates, technical standards, customer service, ownership, competi- tion to cable systems, broadcast sta- tion signal retransmission and car- riage, program access, wiring equip- ment, channel leasing, and federal- state/local regulatory relationships. This includes: acting, after Commis- sion assumption of jurisdiction to regu- late 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 authori- ties’ rate making decisions involving rates for the basic service tier and as- sociated equipment, except when such appeals raise novel or unusual issues; evaluating basic rate regulation cer- tification requests filed by cable sys- tem franchising authorities; periodi- cally reviewing and, when appropriate, revising standard forms used in admin- istering: 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 de-
vices designed for over-the-air recep- tion 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 pro- gramming to persons with disabilities;
(7) Program access and carriage; (8) The Satellite Home Viewer Im-
provement Act; and (9) Post-licensing for satellite con-
sumer broadcast services (DBS, DTH and DARS).
NOTE TO PARAGRAPH (f): The Media Bu- reau’s enforcement authority does not in- clude enforcement in those areas assigned to the Enforcement Bureau. See 47 CFR 0.111.
(g) Conduct rulemaking and policy proceedings regarding pole attach- ments.
(h) Process and act on all applica- tions for authorization, petitions for special relief, petitions to deny, waiver requests, requests for certification, ob- jections, complaints, and requests for declaratory rulings and stays regarding the areas listed.
(i) Assist the Consumer and Govern- mental Affairs Bureau on issues involv- ing informal consumer complaints and other general inquiries by consumers.
(j) Exercise authority to issue non- hearing related subpoenas for the at- tendance 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. Be- fore issuing a subpoena, the Media Bu- reau shall obtain the approval of the Office of General Counsel.
(k) Carry out the functions of the Commission under the Communica- tions Act of 1934, as amended, except as reserved to the Commission under § 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 man- agement, and related issues.
[67 FR 13217, Mar. 21, 2002, as amended at 71 FR 69034, Nov. 29, 2006]
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47 CFR Ch. I (10–1–10 Edition)§ 0.81
OFFICE OF WORKPLACE DIVERSITY
§ 0.81 Functions of the Office.
(a) The Office of Workplace Diversity (OWD), as a staff office to the Commis- sion, shall develop, coordinate, evalu- ate, 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 employ- ment. A principal function of the Office is to lead, advise, and assist the Com- mission, including all of its component Bureau/Office managers, supervisors, and staff, at all levels, on ways to pro- mote inclusion and full participation of all employees in pursuit of the Com- mission’s mission. In accordance with this function, the Office shall:
(1) Conduct independent analyses of the Commission’s policies and prac- tices to ensure that those policies and practices foster diversity in the work- place and ensure equal opportunity and equal treatment for employees and ap- plicants; 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, Ex- ecutive Orders, and regulatory provi- sions relating to workplace diversity, equal employment opportunity, non- discrimination, and civil rights.
(b) The Office has the following du- ties and responsibilities:
(1) Through its Director, serves as the principal advisor to the Chairman and Commission officials on all aspects of workplace diversity, affirmative re- cruitment, equal employment oppor- tunity, non-discrimination, and civil rights;
(2) Provides leadership and guidance to create a work environment that val- ues and encourages diversity in the workplace;
(3) Is responsible for developing, im- plementing, 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 dem-
onstrates the value and effectiveness of a diverse workforce;
(4) Is responsible for developing, im- plementing, and evaluating programs and policies that promote under- standing among members of the Com- mission’s workforce of their differences and the value of those differences and provide a channel for communication among diverse members of the work- force at all levels;
(5) Develops, implements, and evalu- ates programs and policies to ensure that all members of the Commission’s workforce and candidates for employ- ment have equal access to opportuni- ties for employment, career growth, training, and development and are pro- tected from discrimination and harass- ment;
(6) Develops and recommends Com- mission-wide workforce diversity goals and reports on achievements;
(7) Is responsible for developing, im- plementing, 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 recruit- ment and staffing requirements;
(9) Manages the Commission’s equal employment opportunity compliance program. Responsibilities in this area include processing complaints alleging discrimination, recommending to the Chairman final decisions on EEO com- plaints within the Commission, and providing counseling services to em- ployees and applicants on EEO mat- ters;
(10) Develops and administers the Commission’s program of accessibility and accommodation for disabled per- sons in accordance with applicable reg- ulations;
(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 solic- its views of organizations within and
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Federal Communications Commission § 0.91
outside the Commission on matters re- lating to equal opportunity and work- place diversity.
[61 FR 2727, Jan. 29, 1996]
WIRELINE COMPETITION BUREAU
§ 0.91 Functions of the Bureau.
The Wireline Competition Bureau ad- vises and makes recommendations to the Commission, or acts for the Com- mission under delegated authority, in all matters pertaining to the regula- tion and licensing of communications common carriers and ancillary oper- ations (other than matters pertaining exclusively to the regulation and li- censing of wireless telecommuni- cations services and facilities). The Bu- reau 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 in- formation and developments. Overall objectives include meeting the present and future wireline telecommuni- cations needs of the Nation; fostering economic growth; ensuring choice, op- portunity, and fairness in the develop- ment of wireline telecommunications; promoting economically efficient in- vestment in wireline telecommuni- cations infrastructure; promoting the development and widespread avail- ability 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 rea- sonable.
(d) Act on applications for service and facility authorizations, including applications from Bell operating com- panies for authority to provide in-re- gion interLATA services and applica- tions from wireline carriers for trans- fers of licenses and discontinuance of service.
(e) Develop and administer rules and policies relating to incumbent local ex- change carrier accounting.
(f) Develop and administer record- keeping and reporting requirements for telecommunications carriers.
(g) Provide federal staff support for the Federal-State Joint Board on Uni- versal Service and the Federal-State Joint Board on Jurisdictional Separa- tions.
(h) Review the deployment of ad- vanced telecommunications capability to ensure that such deployment is rea- sonable and timely, consistent with section 706 of the Act, and, where ap- propriate, recommend action to en- courage such deployment.
(i) Provide economic, financial, and technical analyses of telecommuni- cations markets and carrier perform- ance.
(j) Act on petitions for de novo review of decisions of the Administrative Council for Terminal Attachments re- garding technical criteria pursuant to § 68.614.
(k) Interact with the public, local, state, and other governmental agencies and industry groups on wireline tele- communications regulation and related matters. Assist the Consumer and Gov- ernmental Affairs Bureau on issues in- volving informal consumer complaints and other general inquiries by con- sumers.
(l) Review and coordinate orders, pro- grams and actions initiated by other Bureaus and Offices in matters affect- ing wireline telecommunications to en- sure consistency with overall Commis- sion policy.
(m) Carry out the functions of the Commission under the Communica- tions Act of 1934, as amended, except as reserved to the Commission under § 0.331.
(n) Address audit findings relating to the schools and libraries support mech- anism, subject to the overall authority of the Managing Director as the Com- mission’s audit follow-up official.
(o) Coordinate with the Public Safety and Homeland Security Bureau on all
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47 CFR Ch. I (10–1–10 Edition)§ 0.101
matters affecting public safety, home- land security, national security, emer- gency management, disaster manage- ment, and related issues.
[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]
OFFICE OF COMMUNICATIONS BUSINESS OPPORTUNITIES
§ 0.101 Functions of the office. (a) The Office of Communications
Business Opportunities (OCBO), as a staff office to the Commission, devel- ops, coordinates, evaluates, and rec- ommends 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 com- ponent Bureau/Office managers, super- visors, and staff, at all levels, on ways to ensure that the competitive con- cerns of small entities, women, and mi- norities, 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 prac- tices 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 Mar- ket Entry Barriers for Small Tele- communications Businesses (47 U.S.C. 257); and the Telecommunications De- velopment Fund (47 U.S.C. 614).
(b) The Office has the following du- ties and responsibilities:
(1) Through its director, serves as the principal small business policy advisor to the Commission;
(2) Develops, implements, and evalu- ates programs and policies that pro- mote participation by small entities, women and minorities in the commu- nications industry;
(3) Manages the Regulatory Flexi- bility Analysis process pursuant to the Regulatory Flexibility Act and the Small Business Regulatory Enforce-
ment Fairness Act to ensure that small business interests are fully considered in agency actions;
(4) Develops and recommends Com- mission-wide goals and objectives for addressing the concerns of small enti- ties, women, and minorities and re- ports of achievement;
(5) Acts as the principal channel for disseminating information regarding the Commission’s activities and pro- grams affecting small entities, women, and minorities;
(6) Develops, recommends, coordi- nates, and administers objectives, plans and programs to encourage par- ticipation 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 re- lating to small business.
[69 FR 7376, Feb. 17, 2003]
ENFORCEMENT BUREAU
§ 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 Commis- sion’s rules, Commission orders and Commission authorizations, other than matters that are addressed in the con- text of a pending application for a li- cense or other authorization or in the context of administration, including post-grant administration, of a licens- ing or other authorization or registra- tion program.
(1) Resolve complaints, including complaints filed under section 208 of the Communications Act, regarding acts or omissions of common carriers (wireline, wireless and international).
NOTE TO PARAGRAPH (a)(1): The Consumer and Governmental Affairs Bureau has pri- mary responsibility for informally resolving individual informal complaints from con- sumers against common carriers (wireline, wireless and international) and against other wireless licensees, and informal consumer complaints involving access to telecommuni- cations services and equipment for persons with disabilities. The International Bureau
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Federal Communications Commission § 0.111
has primary responsibility for complaints re- garding international settlements rules and policies.
(2) Resolve complaints regarding acts or omissions of non-common carriers subject to the Commission’s jurisdic- tion under Title II of the Communica- tions Act and related provisions, in- cluding complaints against aggregators under section 226 of the Communica- tions Act and against entities subject to the requirements of section 227 of the Communications Act.
NOTE TO PARAGRAPH (a)(2): The Consumer and Governmental Affairs Bureau has pri- mary responsibility for informally resolving individual informal complaints from con- sumers against non-common carriers subject to the Commission’s jurisdiction under Title II of the Communications Act and related provisions.
(3) Resolve formal complaints regard- ing 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 ra- diofrequency interference and com- plaints regarding radiofrequency equip- ment and devices, including complaints of violations of sections 302 and 333 of the Communications Act.
NOTE TO PARAGRAPH (a)(4): The Office of Engineering and Technology has shared re- sponsibility for radiofrequency equipment and device complaints.
(5) Resolve complaints regarding compliance with the Commission’s Emergency Alert System rules.
(6) Resolve complaints regarding the lighting and marking of radio trans- mitting towers under section 303(q) of the Communications Act.
NOTE TO PARAGRAPH (a)(6): The Wireless Telecommunications Bureau has responsi- bility for administration of the tower reg- istration program.
(7) Resolve complaints regarding compliance with statutory and regu- latory provisions regarding indecent communications subject to the Com- mission’s jurisdiction.
(8) Resolve complaints regarding the broadcast and cable television chil- dren’s television programming com- mercial limits contained in section 102 of the Children’s Television Act.
NOTE TO PARAGRAPH (a)(8): The Media Bu- reau has responsibility for enforcement of these limits in the broadcast television re- newal context.
(9) Resolve complaints regarding un- authorized construction and operation of communications facilities, including complaints of violations of section 301 of the Communications Act.
(10) Resolve complaints regarding false distress signals under section 325(a) of the Communications Act.
(11) Resolve other complaints against Title III licensees and permittees.
NOTE TO PARAGRAPH (a)(11): The Media Bu- reau has primary responsibility for com- plaints regarding children’s television pro- gramming requirements, and for political and related programming matters and equal employment opportunity matters involving broadcasters, cable operators and other mul- tichannel video programming distributors. The relevant licensing Bureau has primary responsibility for complaints involving tower siting and the Commission’s environ- mental rules. The Media Bureau has primary responsibility for complaints regarding com- pliance with conditions imposed on transfers of control and assignments of licenses of Cable Antenna Relay Service authorizations.
(12) Resolve complaints regarding pole attachments filed under section 224 of the Communications Act.
(13) Resolve complaints regarding multichannel video and cable tele- vision service under part 76 of the Com- mission’s rules.
NOTE TO PARAGRAPH (a)(13): The Media Bu- reau has primary responsibility for com- plaints regarding the following: subpart A (general), with the exception of § 76.11 of this chapter; subpart B (Registration State- ments); subpart C (Federal-State/Local Rela- tionships [Reserved]; subpart D (carriage of television broadcast signals); subpart E (equal employment opportunity require- ments); subpart F (nonduplication protection and syndicated exclusivity); subpart G, §§ 76.205, 76.206 and 76.209 of this chapter (po- litical broadcasting); subpart I (Forms and Reports); subpart J (ownership); subpart L (cable television access); subpart N, § 76.944 of this chapter (basic cable rate appeals), and §§ 76.970, 76.971 and 76.977 of this chapter (cable leased access rates); subpart O (com- petitive access to cable programming); sub- part P (competitive availability of naviga- tion devices); subpart Q (regulation of car- riage agreements); subpart S (Open Video Systems); and subparts T, U and V to the ex- tent related to the matters listed in this note.
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47 CFR Ch. I (10–1–10 Edition)§ 0.111
(14) Resolve universal service suspen- sion and debarment proceedings pursu- ant to § 54.521 of this chapter.
(15) 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 appro- priately handled by the Enforcement Bureau.
(16) Identify and analyze complaint information, conduct investigations, conduct external audits and collect in- formation, including pursuant to sec- tions 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.
(17) Issue or draft orders taking or recommending appropriate action in response to complaints or investiga- tions, including, but not limited to, ad- monishments, 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 re- garding a potential forfeiture, hearing designation orders, orders designating licenses or other authorizations for a revocation hearing and consent de- crees. Issue or draft appropriate orders after a hearing has been terminated by an Administrative Law Judge on the basis of waiver. Issue or draft appro- priate interlocutory orders and take or recommend appropriate action in the exercise of its responsibilities.
(18) Encourage cooperative compli- ance efforts.
(19) Mediate and settle disputes. (20) Provide information regarding
pending complaints, compliance with relevant requirements and the com- plaint process, where appropriate and to the extent the information is not available from the Consumer and Gov- ernmental Affairs Bureau or other Bu- reaus and Offices.
(21) Exercise responsibility for rule- making proceedings regarding general enforcement policies and procedures.
(22) Advise the Commission or re- sponsible Bureau or Office regarding the enforcement implications of exist- ing and proposed rules.
(23) Serve as the primary point of contact for coordinating enforcement matters, including market and con- sumer enforcement matters, with other federal, state and local government agencies, as well as with foreign gov- ernments after appropriate consulta- tion, and provide assistance to such en- tities. Refer matters to such entities, as well as to private sector entities, as appropriate.
(b) Serve as trial staff in formal hear- ings conducted pursuant to 5 U.S.C. 556 regarding applications, revocation, for- feitures and other matters designated for hearing.
(c) In coordination with the Inter- national Bureau, participate in inter- national conferences dealing with mon- itoring and measurement; serve as the point of contact for the U.S. Govern- ment in matters of international moni- toring, fixed and mobile direction-find- ing and interference resolution; and oversee coordination of non-routine communications and materials be- tween the Commission and inter- national or regional public organiza- tions or foreign administrations.
(d) In conjunction with the Office of Engineering and Technology, work with technical standards bodies.
(e) Oversee the Commission’s privatized ship radio safety inspection program.
(f) Provide field support for, and field representation of, the Bureau, other Bureaus and Offices and the Commis- sion. Coordinate with other Bureaus and Offices as appropriate.
(g) Handle congressional and other correspondence relating to or request- ing specific enforcement actions, spe- cific complaints or other specific mat- ters within the responsibility of the Bureau, to the extent not otherwise handled by the Consumer and Govern- mental Affairs Bureau, the Office of General Counsel (impermissible ex parte presentations) or another Bureau or Office;
(h) Have authority to issue non-hear- ing related subpoenas for the attend- ance and testimony of witnesses and the production of books, papers, cor- respondence, memoranda, schedules of charges, contracts, agreements, and any other records deemed relevant to the investigation of matters within the
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Federal Communications Commission § 0.131
responsibility of the Bureau. Before issuing a subpoena, the Enforcement Bureau shall obtain the approval of the Office of General Counsel.
(i) Perform such other functions as may be assigned or referred to it by the Commission.
[64 FR 60716, Nov. 8, 1999, as amended at 67 FR 13218, Mar. 21, 2002; 68 FR 36942, June 20, 2003; 69 FR 30233, May 27, 2004; 71 FR 69034, Nov. 29, 2006]
§ 0.121 Location of field installations.
(a) Field offices are located through- out the United States. For the address and phone number of the closest office contact the Enforcement Bureau or see the U.S. Government Manual.
(b) Protected field offices are located at the following geographical coordi- nates (coordinates are referenced to North American Datum 1983 (NAD83)):
Allegan, Michigan, 42°36′20.1″ N. Lati- tude, 85°57′20.1″ W. Longitude
Belfast, Maine, 44°26′42.3″ N. Latitude, 69°04′56.1″ W. Longitude
Canandaigua, New York, 42°54′48.2″ N. Latitude, 77°15′57.9″ W. Longitude
Douglas, Arizona, 31°30′02.3″ N. Lati- tude, 109°39′14.3″ W. Longitude
Ferndale, Washington, 48°57′20.4″ N. Latitude, 122°33′17.6″ W. Longitude
Grand Island, Nebraska, 40°55′21.0″ N. Latitude, 98°25′43.2″ W. Longitude
Kenai, Alaska, 60°43′26.0″ N. Latitude, 151°20′15.0″ W. Longitude
Kingsville, Texas, 27°26′30.1″ N. Lati- tude, 97°53′01.0″ W. Longitude
Laurel, Maryland, 39°09′54.4″ N. Lati- tude, 76°49′15.9″ W. Longitude
Livermore, California, 37°43′29.7″ N. Latitude, 121°45′15.8″ W. Longitude
Powder Springs, Georgia, 33°51′44.4″ N. Latitude, 84°43′25.8″ W. Longitude
Santa Isabel, Puerto Rico, 18°00′18.9″ N. Latitude, 66°22′30.6″ W. Longitude
Vero Beach, Florida, 27°36′22.1″ N. Lati- tude, 80°38′05.2″ W. Longitude
Waipahu, Hawaii, 21°22′33.6″ N. Lati- tude, 157°59′44.1″ W. Longitude
[53 FR 29054, Aug. 2, 1988, as amended at 61 FR 8477, Mar. 5, 1996; 63 FR 68918, Dec. 14, 1998; 64 FR 60718, Nov. 8, 1999; 67 FR 13219, Mar. 21, 2002; 69 FR 58097, Sept. 29, 2004]
WIRELESS TELECOMMUNICATIONS BUREAU
§ 0.131 Functions of the Bureau. The Wireless Telecommunications
Bureau develops, recommends and ad- ministers the programs and policies for the regulation of the terms and condi- tions under which communications en- tities offer domestic wireless tele- communications services and of ancil- lary operations related to the provision of such services (satellite communica- tions excluded). These functions in- clude all wireless telecommunications service providers’ and licensees’ activi- ties. The Bureau also performs the fol- lowing specific functions:
(a) Advises and makes recommenda- tions to the Commission, or acts for the Commission under delegated au- thority, in all matters pertaining to the licensing and regulation of wireless telecommunications, including ancil- lary operations related to the provision or use of such services; and any mat- ters concerning wireless carriers that also affect wireline carriers in coopera- tion with the Wireline Competition Bu- reau. These activities include: policy development and coordination; con- ducting rulemaking and adjudicatory proceedings, including licensing and complaint proceedings for matters not within the responsibility of the En- forcement 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 En- forcement Bureau; determining re- source impacts of existing, planned or recommended Commission activities concerning wireless telecommuni- cations, and developing and recom- mending resource deployment prior- ities.
(b) Develops and recommends policy goals, objectives, programs and plans for the Commission on matters con- cerning wireless telecommunications, drawing upon relevant economic, tech- nological, legislative, regulatory and judicial information and developments. Such matters include meeting the present and future wireless tele- communications needs of the Nation; fostering economic growth by pro- moting efficiency and innovation in
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47 CFR Ch. I (10–1–10 Edition)§ 0.131
the allocation, licensing and use of the electromagnetic spectrum; ensuring choice, opportunity and fairness in the development of wireless telecommuni- cations services and markets; pro- moting economically efficient invest- ment 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 avail- ability of wireless telecommunications services. Reviews and coordinates or- ders, programs and actions initiated by other Bureaus and Offices in matters affecting wireless telecommunications to ensure consistency of overall Com- mission policy.
(c) Serves as the Commission’s prin- cipal policy and administrative staff resource with regard to spectrum auc- tions. Administers all Commission spectrum auctions. Develops, rec- ommends and administers policies, pro- grams and rules concerning auctions of spectrum for wireless telecommuni- cations. Advises the Commission on policy, engineering and technical mat- ters relating to auctions of spectrum used for other purposes. Administers procurement of auction-related serv- ices from outside contractors. Provides policy, administrative and technical assistance to other Bureaus and Offices on auction issues.
(d) Regulates the charges, practices, classifications, terms and conditions for, and facilities used to provide, wire- less telecommunications services. De- velops and recommends consistent, in- tegrated policies, programs and rules for the regulation of commercial mo- bile 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 au- thorization applications involving do- mestic terrestrial transmission facili- ties. Coordinates with and assists the International Bureau regarding fre- quency assignment, coordination and interference matters.
(f) Develops and recommends re- sponses to legislative, regulatory or ju-
dicial inquiries and proposals con- cerning or affecting wireless tele- communications.
(g) Develops and recommends policies regarding matters affecting the col- laboration and coordination of rela- tions among Federal agencies, and be- tween the Federal government and the states, concerning wireless tele- communications issues. Maintains liai- son with Federal and state government bodies concerning such issues.
(h) Develops and recommends poli- cies, programs and rules to ensure in- terference-free operation of wireless telecommunications equipment and networks. Coordinates with and assists other Bureaus and Offices, as appro- priate, concerning spectrum manage- ment, planning, and interference mat- ters and issues, and in compliance and enforcement activities. Studies tech- nical requirements for equipment for wireless telecommunications services in accordance with standards estab- lished by the Chief, Office of Engineer- ing and Technology.
(i) Advises and assists consumers, businesses and other government agen- cies on wireless telecommunications issues and matters related thereto. Also assists the Consumer and Govern- mental 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) and the Com- mission’s program for registration, construction, marking and lighting of antenna structures (part 17 of this chapter).
(k) Coordinates with and assists the International Bureau with respect to treaty activities and international con- ferences concerning wireless tele- communications.
(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).
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Federal Communications Commission § 0.141
(o) Exercises authority to issue non- hearing related subpoenas for the at- tendance 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 tele- communications operators for any al- leged violation or violations of the Communications Act of 1934, as amend- ed, or the Commission’s rules and or- ders. Before issuing a subpoena, the Wireless Telecommunications Bureau shall obtain the approval of the Office of General Counsel.
(p) Certifies, in the name of the Com- mission, volunteer entities to coordi- nate maintain and disseminate a com- mon data base of amateur station spe- cial event call signs, and issues Public Notices detailing the procedures of amateur service call sign systems.
(q) Coordinates with the Public Safe- ty and Homeland Security Bureau on all matters affecting public safety, homeland security, national security, emergency management, disaster man- agement, and related issues.
[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]
CONSUMER AND GOVERNMENTAL AFFAIRS BUREAU
§ 0.141 Functions of the Bureau. The Consumer and Governmental Af-
fairs Bureau develops and administers the Commission’s consumer and gov- ernmental affairs policies and initia- tives to enhance the public’s under- standing of the Commission’s work and to facilitate the Agency’s relationships with other governmental agencies and organizations. The Bureau is respon- sible for rulemaking proceedings re- garding general consumer education policies and procedures and serves as the primary Commission entity respon- sible for communicating with the gen- eral public regarding Commission poli- cies, programs, and activities in order to facilitate public participation in the Commission’s decision-making proc- esses. The Bureau also performs the following functions:
(a) Advises and makes recommenda- tions to the Commission, or acts for the Commission under delegated au- thority, in matters pertaining to con- sumers and governmental affairs. This includes policy development and co- ordination 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 con- sumer 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 Bu- reaus and Offices, in matters regarding consumer education policies and proce- dures, and any other related issues af- fecting consumer policy; represents the Commission on consumer and govern- mental-related committees, working groups, task forces and conferences within and outside the Commission; and provides expert advice and assist- ance to Bureaus and Offices and con- sumers regarding compliance with ap- plicable disability and accessibility re- quirements, rules, and regulations.
(d) Collects and analyzes information from industry, other Bureaus and Of- fices, and the media, as well as infor- mation received in the Bureau from in- formal consumer inquiries and com- plaints, rulemakings, and consumer fo- rums; identifies trends that affect con- sumers; in consultation with the Office of the Managing Director, provides ob- jectives and evaluation methods for the public information portion of the Com- mission’s Government Performance and Results Act submissions and other Commission-wide strategic planning ef- forts.
(e) Researches, develops, and distrib- utes materials to inform consumers about the Commission’s rules, pro- posals, and events, and to promote con- sumer participation in Commission rulemakings and activities; maintains the Commission’s Consumer Informa- tion Directory; develops a library of commonly requested materials on issues of interest to all consumers. En- sures that alternative translations of Commission materials are available to
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47 CFR Ch. I (10–1–10 Edition)§ 0.151
Commission employees, Bureaus, Of- fices, and members of the public.
(f) Advises and makes recommenda- tions to the Commission, or acts for the Commission under delegated au- thority, in matters pertaining to per- sons 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; re- views relevant agenda items and other documents and coordinates with Bu- reaus and Offices to develop rec- ommendations and propose policies to ensure that communications are acces- sible to persons with disabilities, in conformance with existing disability laws and policies, and that they sup- port the Commission’s goal of increas- ing accessibility of communications services and technologies for persons with disabilities.
(g) Plans, develops, and conducts con- sumer outreach and education initia- tives to educate the public about im- portant Commission regulatory pro- grams. In coordination with other Bu- reaus and Offices, establishes liaison(s) for information sharing purposes to en- sure coordination on all consumer out- reach projects. Ensures that alter- native translations of Commission ma- terials are available to Commission employees, Bureaus, Offices and mem- bers of the public.
(h) Serves as the official FCC records custodian for designated records, in- cluding intake processing, organization and file maintenance, reference serv- ices, and retirement and retrieval of records; manages the Electronic Com- ment Filing System and certifies records for adjudicatory and court pro- ceedings. Maintains manual and com- puterized files that provide for the pub- lic inspection of public record mate- rials concerning Broadcast Ownership, AM/FM/TV, TV Translators, FM Trans- lators, Cable TV, Wireless, Auction, Common Carrier Tariff matters, Inter- national space station files, earth sta- tion files, DBS files, and other mis- cellaneous international files. Also maintains for public inspection Time Brokerage and Affiliation Agreements, court citation files, and legislative his- tories concerning telecommunications
dockets. Provides the public and Com- mission staff prompt access to manual and computerized records and filing systems.
(i) Provides informal mediation and resolution of individual informal con- sumer inquiries and complaints con- sistent with Commission regulations. Resolves certain classes of informal complaints, as specified by the Com- mission, through findings of fact and issuance of orders. Receives, reviews, and analyzes responses to informal complaints; maintains manual and computerized files that permit the pub- lic inspection of informal consumer complaints; mediates and attempts to settle unresolved disputes in informal complaints as appropriate; and coordi- nates 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 Bu- reaus and Offices for dissemination of consumer information via the Internet.
(k) In coordination with other Bu- reaus and Offices, handles Congres- sional and other correspondence re- lated to specific informal consumer complaints, or other specific matters within the responsibility of the Bu- reau, to the extent not otherwise han- dled by the Office of General Counsel or other Bureaus or Offices. Responds to and/or coordinates due diligence and other requests for information per- taining to informal inquiries and com- plaints under the responsibility of the Bureau with other Bureaus and Offices.
[67 FR 13219, Mar. 21, 2002]
OFFICE OF ADMINISTRATIVE LAW JUDGES
§ 0.151 Functions of the Office. The Office of Administrative Law
Judges consists of a Chief Administra- tive Law Judge, an Assistant Chief Ad- ministrative Law Judge, and as many other Administrative Law Judges qualified and appointed pursuant to the requirements of section 11 of the Ad- ministrative Procedure Act as the Commission may find necessary. It is responsible for hearing and conducting
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Federal Communications Commission § 0.185
all adjudicatory cases designated for any evidentiary adjudicatory hearing other than those designated to be heard by the Commission en banc, those designated to be heard by one or more members of the Commission, and those involving the authorization of service in the Instructional Television Fixed Service. The Office of Adminis- trative Law Judges is also responsible for conducting such other hearings as the Commission may assign.
[61 FR 10689, Mar. 15, 1996]
HOMELAND SECURITY, DEFENSE AND EMERGENCY PREPAREDNESS FUNCTIONS
§ 0.181 The Defense Commissioner. The Defense Commissioner is des-
ignated by the Commission. The De- fense Commissioner directs the home- land security, national security and emergency preparedness, and defense activities of the Commission and has the following duties and responsibil- ities:
(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 Commis- sion.
(b) To represent the Commission in public safety, homeland security, na- tional security, emergency prepared- ness, disaster management, defense and related matters requiring conferences or communications with other govern- mental officers, departments, or agen- cies.
(c) To act as the Homeland Security and Defense Coordinator in representa- tions 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 mat- ters pertaining to the Department of Homeland Security.
(f) To take such measures as will as- sure continuity of the Commission’s functions under any foreseeable cir- cumstances with a minimum of inter-
ruption. In the event of an emergency, the Defense Commissioner, in consulta- tion 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 emer- gency 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 of- fices in Washington, D.C., to assume all of the duties and responsibilities of the Commission and the Chairman, until relieved or augmented by other Com- missioners or members of the staff, as set forth in §§ 0.186 and 0.383.
(h) To approve national emergency plans and develop preparedness pro- grams covering: provision of service by common carriers; broadcasting and cable facilities, satellite and the wire- less radio services; radio frequency as- signment; electromagnetic radiation; investigation and enforcement.
(i) To perform such other duties and assume such other responsibilities re- lated to the Commission’s defense ac- tivities as may be necessary for the continuity of functions and the protec- tion of Commission personnel and prop- erty.
(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.
(k) To decide, in response to a re- quest by the Public Safety Broadband Licensee whether circumstances war- rant emergency priority access by first responder public safety entities to the Upper 700 MHz D Block license spec- trum.
[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]
§ 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,
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47 CFR Ch. I (10–1–10 Edition)§ 0.186
emergency management and prepared- ness, disaster management, defense, and related activities will have the fol- lowing duties and responsibilities:
(a) To keep the Chief, Public Safety and Homeland Security Bureau in- formed of the investigation, progress, and completion of programs, plans, or activities with respect to homeland se- curity, national security and emer- gency 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 re- late to the functions of their respective bureaus or staff offices.
(c) To render such assistance and ad- vice to other agencies as may be con- sistent with the functions of their re- spective bureaus or staff offices and the Commission’s policy with respect thereto.
(d) To perform such other duties re- lated to the Commission’s homeland security, national security, emergency management and preparedness, dis- aster management, defense, and related activities as may be assigned to them by the Commission.
(e) To serve as Public Safety/Home- land Security Liaison to the Public Safety and Homeland Security Bureau or designate a Deputy Chief of the Bu- reau 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]
§ 0.186 Emergency Relocation Board. (a) As specified in the Commission’s
Continuity of Operations Plan and con- sistent with the exercise of the War Emergency Powers of the President as set forth in section 706 of the Commu- nications Act of 1934, as amended, if the full Commission or a quorum there- of is unable to act, an Emergency Relo- cation 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. Reloca- tion may be required to accommodate a variety of emergency scenarios. Ex- amples include scenarios in which FCC
headquarters is unavailable or un- inhabitable; or many, if not all, agen- cies must evacuate the immediate Washington, DC, area. The FCC’s Con- tinuity of Operations Plan (COOP) in- cludes the deliberate and pre-planned movement of selected key principals and supporting staff to a relocation fa- cility. As an example, a sudden emer- gency, such as a fire or hazardous ma- terials incident, may require the evac- uation of FCC headquarters with little or no advance notice, but for only a short duration. Alternatively, an emer- gency so severe that FCC headquarters is rendered unusable and likely will be for a period long enough to signifi- cantly impact normal operations, may require COOP implementation. Nothing in this subsection shall be construed to diminish the authority of the Commis- sion 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 (in- cluding Commissioners available through electronic communications or telephone) and able to act. In the ab- sence of the Chairman, the Commis- sioner present with the longest senior- ity in office will serve as acting Chair- man. If no Commissioner is present and able to act, the person designated as next most senior official in the Com- mission’s Continuity of Operations Plan will head the Board.
[69 FR 30234, May 27, 2004]
PUBLIC SAFETY AND HOMELAND SECURITY BUREAU
§ 0.191 Functions of the Bureau.
The Public Safety and Homeland Se- curity Bureau advises and makes rec- ommendations to the Commission, or acts for the Commission under dele- gated authority, in all matters per- taining to public safety, homeland se- curity, national security, emergency management and preparedness, dis- aster management, and ancillary oper- ations. The Bureau has responsibility for coordinating public safety, home- land security, national security, emer- gency management and preparedness,
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Federal Communications Commission § 0.191
disaster management, and related ac- tivities within the Commission. The Bureau also performs the following functions.
(a) Develops, recommends, and ad- ministers policy goals, objectives, rules, regulations, programs and plans for the Commission to promote effec- tive and reliable communications for public safety, homeland security, na- tional security, emergency manage- ment and preparedness, disaster man- agement and related activities, includ- ing public safety communications (in- cluding 911, enhanced 911, and other emergency number issues), priority emergency communications, alert and warning systems (including the Emer- gency Alert System), continuity of government operations, implementa- tion of Homeland Security Presidential Directives and Orders, disaster man- agement coordination and outreach, communications infrastructure protec- tion, reliability, operability and inter- operability of networks and commu- nications systems, the Communica- tions Assistance for Law Enforcement Act (CALEA), and network security. Recommends policies and procedures for public safety, homeland security, national security, emergency manage- ment and preparedness, and rec- ommends national emergency plans and preparedness programs covering Commission functions during national emergency conditions. Conducts out- reach and coordination activities with, among others, state and local govern- mental agencies, hospitals and other emergency health care providers, and public safety organizations. Rec- ommends national emergency plans, policies, and preparedness programs covering the provision of service by communications service providers, in- cluding telecommunications service providers, information service pro- viders, common carriers, and non-com- mon carriers; broadcasting and cable facilities; satellite and wireless radio services; radio frequency assignment; electro-magnetic radiation; investiga- tion and enforcement.
(b) Under the general direction of the Defense Commissioner, coordinates the public safety, homeland security, na- tional security, emergency manage- ment and preparedness, disaster man-
agement, and related activities of the Commission, including national secu- rity and emergency preparedness and defense mobilization, Continuity of Government (COG) planning, alert and warning systems (including the Emer- gency Alert System), and other func- tions as may be delegated during a na- tional emergency or activation of the President’s war emergency powers as specified in section 706 of the Commu- nications Act. Provides support to the Defense Commissioner, including with respect to his or her participation in the Joint Telecommunications Re- sources Board, and the National Secu- rity Telecommunications Advisory Committee and other public safety and homeland security organizations and committees. Represents the Defense Commissioner with other Government agencies and organizations, the com- munications industry, and Commission licensees on public safety, homeland security, national security, emergency management and preparedness, dis- aster management, and related issues. Keeps the Defense Commissioner in- formed as to significant developments in the fields of public safety, homeland security, national security, emergency management, and disaster manage- ment activities, and related areas.
(c) Develops and administers rules, regulations, and policies for priority emergency communications, including the Telecommunications Service Pri- ority System. Supports the Chiefs of the Wireline Competition, Inter- national and Wireless Telecommuni- cations 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 Alter- nate Homeland Security and Defense Coordinator and principal to the Na- tional Communications System, and the Chief, Public Safety and Homeland Security Bureau, or that person’s des- ignee, shall serve as the Commission’s representative on National Commu- nications Systems Committees.
(e) Conducts rulemaking proceedings and acts on requests for interpretation or waiver of rules.
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47 CFR Ch. I (10–1–10 Edition)§ 0.191
(f) Advises and makes recommenda- tions to the Commission, or acts for the Commission under delegated au- thority, in all matters pertaining to the licensing and regulation of public safety, homeland security, national se- curity, emergency management and preparedness, and disaster manage- ment wireless telecommunications, in- cluding ancillary operations related to the provision or use of such services. These activities include: policy devel- opment and coordination; conducting rulemaking and adjudicatory pro- ceedings, including complaint pro- ceedings for matters not within the re- sponsibility of the Enforcement Bu- reau; acting on waivers of rules; acting on applications for service and facility authorizations; compliance and en- forcement activities for matters not within the responsibility of the En- forcement Bureau; determining re- source impacts of existing, planned or recommended Commission activities concerning wireless telecommuni- cations, and developing and recom- mending resource deployment prior- ities. In addition, advises and assists public safety entities on wireless tele- communications issues and matters re- lated thereto. Administers all author- ity previously delegated to the Wire- less Telecommunications Bureau (in- cluding those delegations expressly provided to the Public Safety and Crit- ical Infrastructure Division of the Wireless Telecommunications Bureau) in Improving Public Safety Commu- nications in the 800 MHz Band, WT Docket 02–55.
(g) Conducts studies of public safety, homeland security, national security, emergency management and prepared- ness, disaster management, and related issues. Develops and administers rec- ordkeeping and reporting requirements for communications companies per- taining to these issues. Administers any Commission information collec- tion requirements pertaining to public safety, homeland security, national se- curity, emergency management and preparedness, disaster management, and related issues, including the com- munications disruption reporting re- quirements set forth in part 4 of this chapter and revision of the filing sys- tem and template used for the submis-
sion of those communications disrup- tion reports.
(h) Interacts with the public, local, state, and other governmental agencies and industry groups (including advi- sory committees and public safety or- ganizations and associations) on public safety, homeland security, national se- curity, emergency management, dis- aster management and related issues. As requested, represents the Commis- sion at meetings and conferences. Serves as the point of contact for the U.S. Government in matters of inter- national monitoring, fixed and mobile direction-finding and interference reso- lution; and oversees coordination of non-routine communications and ma- terials between the Commission and international or regional public organi- zations or foreign administrations.
(i) Maintains and operates the Com- mission’s public safety, homeland secu- rity, national security, emergency management and preparedness, and dis- aster management facilities and oper- ations, including the Communications Center, the establishment of any Emer- gency Operations Center (EOC), and any liaison activities with other fed- eral, state, or local government organi- zations.
(j) Reviews and coordinates orders, programs and actions initiated by other Bureaus and Offices in matters affecting public safety, homeland secu- rity, national security, emergency management and preparedness, dis- aster 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 re- sponses to legislative, regulatory or ju- dicial inquiries and proposals con- cerning or affecting public safety, homeland security, national security, emergency management, disaster man- agement and related issues. Responses to judicial inquiries should be devel- oped with and recommended to the Of- fice of General Counsel.
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Federal Communications Commission § 0.201
(l) Develops and maintains the Com- mission’s plans and procedures, includ- ing the oversight, preparation, and training of Commission personnel, for Continuity of Operations (COOP), Con- tinuity 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 Of- fices and Bureaus of the Commission are closed. Such actions shall be co- ordinated with, if possible, and prompt- ly reported to the responsible Bureau or Office.
(n) Maintains liaison with other Bu- reaus and Offices concerning matters affecting public safety, homeland secu- rity, national security, emergency management and preparedness, dis- aster management and related issues.
(o) Is authorized to declare that a temporary state of communications emergency exists pursuant to § 97.401(b) of this chapter and to act on behalf of the Commission with respect to the op- eration of amateur stations during such temporary state of communica- tions emergency.
(p) Performs such other functions and duties as may be assigned or re- ferred to it by the Commission or the Defense Commissioner.
(q) Oversees the Emergency Response Interoperability Center, establishes the intergovernmental advisory commit- tees described under § 0.192(b), and ad- ministers 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]
§ 0.192 Emergency Response Inter- operability Center.
(a) The Emergency Response Inter- operability Center acts under the gen- eral direction of the Chief of the Public Safety and Homeland Security Bureau to develop, recommend, and administer policy goals, objectives, rules, regula- tions, programs, and plans for the Com- mission in matters pertaining to the implementation of national interoper- ability standards and the development of technical and operational require- ments and procedures for the 700 MHz
public safety broadband wireless net- work and other public safety commu- nications systems. These requirements and procedures may involve such issues as interoperability, roaming, priority access, gateway functions and inter- faces, interconnectivity of public safe- ty broadband networks, authentication and encryption, and requirements for common public safety broadband appli- cations.
(b) To the extent permitted by appli- cable law, the Chief of the Public Safe- ty 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 Interoper- ability Center in the performance of its responsibilities. Such advisory bodies may include representatives from rel- evant Federal public safety and home- land security entities, representatives from state and local public safety enti- ties, industry representatives, and service providers.
[75 FR 28207, May 20, 2010]
Subpart B—Delegations of Authority
AUTHORITY: Sec. 5, 48 Stat. 1068, as amend- ed; 47 U.S.C. 155.
GENERAL
§ 0.201 General provisions. (a) There are three basic categories
of delegations made by the Commission pursuant to section 5(c) of the Commu- nications 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 mem- bers of the Commission’s staff. This category also includes delegations to individual commissioners and to boards or committees of commis- sioners.
(2) Delegations to rule on interlocutory matters in hearing proceedings. Delega- tions in this category are made to the Chief Administrative Law Judge.
NOTE TO PARAGRAPH (a)(2): Interlocutory matters which are not delegated to the Chief Administrative Law Judge are ruled on by
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47 CFR Ch. I (10–1–10 Edition)§ 0.203
the presiding officer by virtue of the author- ity vested in him to control the course and conduct of the hearing. This authority stems from section 7 of the Administrative Proce- dure Act and section 409 of the Communica- tions Act rather than from delegations of au- thority made pursuant to section 5(c) of the Communications Act. (See §§ 0.218 and 0.341.).
(3) Delegations to review an initial deci- sion. 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 au- thority has been delegated, rather than by the categories listed in paragraph (a) of this section.
(c) Procedures pertaining to the fil- ing and disposition of interlocutory pleadings in hearing proceedings are set forth in §§ 1.291 through 1.298 of this chapter. Procedures pertaining to ap- peals from rulings of the presiding offi- cer are set forth in § 1.301. Procedures pertaining to reconsideration of the presiding officer’s rulings are set forth in § 1.303. Procedures pertaining to re- consideration and review of actions taken pursuant to delegated authority are set forth in §§ 1.101, 1.102, 1.104, 1.106, 1.113, 1.115, and 1.117. Procedures pertaining to exceptions to initial deci- sions are set forth in §§ 1.276–1.279.
(d) The Commission, by vote of a ma- jority of the members then holding of- fice, 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 re- curring nature are delegated by rule. The rule is published in the FEDERAL REGISTER and is included in this sub- part.
(2) Functions pertaining to a par- ticular matter or proceeding are dele- gated by order. The order is published in the FEDERAL REGISTER and associ- ated 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]
§ 0.203 Authority of person, panel, or board to which functions are dele- gated.
(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 § 1.102 of this chapter, any action taken pursu- ant 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 Com- mission.
[28 FR 12402, Nov. 22, 1963]
§ 0.204 The exercise of delegated au- thority.
(a) Authority to issue orders and to enter into correspondence. Any official (or group of officials) to whom author- ity is delegated in this subpart is au- thorized to issue orders (including rul- ings, decisions, or other action docu- ments) pursuant to such authority and to enter into general correspondence concerning any matter for which he is responsible under this subpart or sub- part A of this part.
(b) Authority of subordinate officials. Authority delegated to any official to issue orders or to enter into cor- respondence under paragraph (a) of this section may be exercised by that offi- cial or by appropriate subordinate offi- cials acting for him.
(c) Signature. (1) Other orders made by a committee, board or panel iden- tify the body and are signed by the Secretary.
(2) Upon signing an order, the Sec- retary affixes the Commission’s seal.
(3) General correspondence by a com- mittee or board is signed by the com- mittee or board chairman.
(4) All other orders and letters are signed by the official who has given final approval of their contents.
(5) With the exception of license forms requiring the signature of an ap- propriate 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)
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Federal Communications Commission § 0.218
and may, if appropriate, be issued oral- ly. Orders issued orally shall, if prac- ticable, be confirmed promptly in writ- ing.
(e) Minutes entries. Except as other- wise provided in this subpart, actions taken as provided in paragraph (d) of this section shall be recorded in writ- ing and filed in the official minutes of the Commission.
[33 FR 8227, June 1, 1968, as amended at 38 FR 18550, July 12, 1973; 62 FR 4170, Jan. 29, 1997]
COMMISSIONERS
§ 0.211 Chairman.
The responsibility for the general ad- ministration of internal affairs of the Commission is delegated to the Chair- man of the Commission. The Chairman will keep the Commission advised con- cerning his actions taken under this delegation of authority. This authority includes:
(a) Actions of routine character as to which the Chairman may take final ac- tion.
(b) Actions of non-routine character which do not involve policy determina- tions. The Chairman may take final ac- tion on these matters but shall specifi- cally advise the Commission on these actions.
(c) Actions of an important character or those which involve policy deter- minations. In these matters the Chair- man will develop proposals for presen- tation 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 di- rected 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 admin- istrative determinations required by Federal Procurement Regulations and Federal Management Circulars.
(f) Authority to act as ‘‘Head of the Agency’’ or ‘‘Agency Head’’ for all ad- ministrative 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]
§ 0.212 Board of Commissioners. (a) Whenever the Chairman or Acting
Chairman of the Commission deter- mines that a quorum of the Commis- sion is not present or able to act, he may convene a Board of Commis- sioners. 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 nor- mally acted upon by the Commission en banc, except the following:
(1) The final determination on the merits of any adjudicatory or inves- tigatory hearing proceeding or of any rule making proceeding, except upon a finding by the Board that the public in- terest would be disserved by waiting the convening of a quorum of the Com- mission.
(2) Petitions for reconsideration of Commission actions.
(3) Applications for review of actions taken pursuant to delegated authority.
(c) The Board of Commissioners is authorized to act upon all matters nor- mally acted upon by an individual Commissioner (when he or his alter- nates are not present or able to act) or by a committee of Commissioners (in the absence of a quorum of the com- mittee).
(d) Actions taken by the Board of Commissioners shall be recorded in the same manner as actions taken by the Commission en banc.
(e) This section has no application in circumstances in which the Commis- sion is unable to function at its offices in Washington, D.C. See §§ 0.181–0.186 and §§ 0.381–0.387.
[30 FR 9314, July 27, 1965]
§ 0.218 Authority of, and delegated to, an individual Commissioner or Commissioners.
(a) One or more members of the Com- mission may be designated to preside in a hearing proceeding. The Commis- sioner 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 pro- ceeding is in hearing status.
(b) One or more members of the Com- mission may be designated to review
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47 CFR Ch. I (10–1–10 Edition)§ 0.231
an initial decision issued in any hear- ing case.
(c) Except for actions taken during the course of a hearing and upon the record thereof, actions taken by a Commissioner or Commissioners pursu- ant 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
§ 0.231 Authority delegated. (a) The Managing Director, or his
designee, upon securing concurrence of the General Counsel, is delegated au- thority to act upon requests for waiver, reduction or deferment of fees, estab- lish 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 revi- sions of the Commission’s rules and regulations upon approval of the bu- reau or staff office primarily respon- sible for the particular part or section involved.
(c) [Reserved] (d) The Managing Director, or his
designee, upon securing the concur- rence of the General Counsel, is dele- gated authority, within the purview of the Federal Tort Claims Act, as amend- ed, 28 U.S.C. 2672, to grant tort claims directed against the Commission where the amount of the claim does not ex- ceed $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 aris- ing 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 ex- ceed $6,500.
(e) The Managing Director is dele- gated authority to act as Head of the Procurement Activity and Contracting Officer for the Commission and to des- ignate appropriate subordinate offi- cials to act as Contracting Officers for the Commission. As Head of the Pro- curement Activity, the Managing Di- rector will refer all appeals filed
against final decisions regarding pro- curement contracts to the Armed Serv- ices Board of Contract Appeals for res- olution. Appeals will be handled in ac- cordance with the Rules of the Board of Contract Appeals.
(f) (1) The Managing Director, or his designee, is delegated authority to per- form all administrative determinations provided for by the Debt Collection Im- provement 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 prop- erty arising out of the activities of, or referred to, the Federal Communica- tions Commission,
(ii) Compromise a claim of the Gov- ernment of not more than $100,000 (ex- cluding 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 pro- spective ability to pay a significant amount of the claim or the cost of col- lecting 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 ad- ministrative determinations provided for by 31 U.S.C. 3720B.
(g) The Managing Director, after con- sultation with the Chairman shall es- tablish, renew, and terminate all Fed- eral advisory committees. He shall also exercise all management responsibil- ities under the Federal Advisory Com- mittee 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
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Federal Communications Commission § 0.241
in Gettysburg, Pennsylvania or other established locations. The Secretary is delegated authority to rule on requests for extensions of time based on oper- ational problems associated with the Commission’s electronic comment fil- ing system. See § 1.46 of this chapter.
(j) The Managing Director or his des- ignee 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 orga- nizations, 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 ac- counts that are required to be included in the financial statements of the Com- mission to comply with all relevant and applicable federal financial man- agement and reporting statutes.
(Secs. 4, 303, 48 Stat., as amended, 1066, 1082; 47 U.S.C. 154, 303; 18 U.S.C. 207(j); 39 U.S.C. 3220; Notice of Preliminary Guidelines issued by the Department of Justice, 50 FR 46622, November 8, 1985)
CROSS REFERENCE: 47 CFR part 19, subpart E.
[29 FR 14666, Oct. 28, 1964]
EDITORIAL NOTE: For FEDERAL REGISTER ci- tations affecting § 0.231, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.
CHIEF ENGINEER
§ 0.241 Authority delegated. (a) The performance of functions and
activities described in § 0.31 is dele- gated to the Chief of the Office of Engi- neering and Technology: Provided, that the following matters shall be referred to the Commission en banc for disposi- tion:
(1) Notices of proposed rulemaking and of inquiry and final orders in rule- making proceedings, inquiry pro- ceedings and non-editorial orders mak- ing changes, except that the Chief of the Office of Engineering and Tech- nology is delegated authority, together with the Chief of the Wireless Tele-
communications Bureau, to adopt cer- tain technical standards applicable to hearing aid compatibility under § 20.19 of this chapter, as specified in § 20.19(k).
(2) Petitions for review of actions taken to delegated authority. See § 1.115 of this chapter.
(3) Petitions and other requests for waivers of the Commission’s rules, whether or not accompanied by an ap- plications, when such petitions or re- quests contain new or novel arguments not previously considered by the Com- mission or present facts or arguments which appear to justify a change in Commission policy.
(4) Petitions and other requests for declaratory rulings, when such peti- tions 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 re- quest presenting new or novel ques- tions of fact, law, or policy which can- not be resolved under outstanding precedents and guidelines.
(6) Any other complaint or enforce- ment 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 op- portunity for hearing pursuant to § 1.80(g) of this chapter; and authority to issue notices of apparent liability, final forfeiture orders, and orders can- celling or reducing forfeitures imposed under § 1.80(f) of this chapter, if the amount set out in the notice of appar- ent liability is more than $20,000.
(8) Proposed actions following any case remanded by the courts.
(b) The Chief of the Office of Engi- neering 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 Engi- neering and Technology is delegated authority to administer the Experi- mental Radio licensing program pursu- ant to part 5 of this chapter.
(d) The Chief of the Office of Engi- neering and Technology is delegated authority to examine all applications
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47 CFR Ch. I (10–1–10 Edition)§ 0.247
for certification (approval) of subscrip- tion television technical systems as ac- ceptable 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 sub- mitted in accordance with the provi- sions of this chapter indicates that the system does or does not appear to be acceptable for authorization as a sub- scription television system. This dele- gation shall be exercised in consulta- tion with the Chief, Media Bureau.
(e) The Chief of the Office of Engi- neering and Technology is authorized to dismiss or deny petitions for rule- making which are repetitive or moot or which for other reasons plainly do not warrant consideration by the Commis- sion.
(f) The Chief of the Office of Engi- neering and Technology is authorized to enter into agreements with the Na- tional Institute of Standards and Tech- nology and other accreditation bodies to perform accreditation of test labora- tories pursuant to § 2.948(d) of this chapter. In addition, the Chief is au- thorized to make determinations re- garding the continued acceptability of individual accrediting organizations and accredited laboratories.
(g) The Chief of the Office of Engi- neering and Technology is delegated authority to enter into agreements with the National Institute of Stand- ards and Technology to perform ac- creditation of Telecommunication Cer- tification Bodies (TCBs) pursuant to §§ 2.960 and 2.962 of this chapter. In ad- dition, the Chief is delegated authority to develop specific methods that will be used to accredit TCBs, to designate TCBs, to make determinations regard- ing the continued acceptability of indi- vidual TCBs, and to develop procedures that TCBs will use for performing post- market surveillance.
(h) The Chief of the Office of Engi- neering and Technology is delegated authority to make nonsubstantive, edi- torial revisions to the Commission’s
rules and regulations contained in parts 2, 4, 5, 15, and 18 of this chapter.
[51 FR 41106, Nov. 13, 1986, as amended at 57 FR 18088, Apr. 29, 1992; 60 FR 5324, Jan. 27, 1995; 60 FR 32119, June 20, 1995; 61 FR 4918, Feb. 9, 1996; 61 FR 31045, June 19, 1996; 62 FR 48952, Sept. 18, 1997; 64 FR 4995, Feb. 2, 1999; 67 FR 13220, Mar. 21, 2002; 69 FR 70337, Dec. 3, 2004; 73 FR 9463, Feb. 21, 2008; 73 FR 25587, May 7, 2008]
§ 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 §§ 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
§ 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 dele- gated 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 pe- tition for reconsideration of a Commis- sion 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 peti- tion for reconsideration of a Commis- sion order denying an application for review which fails to rely on new facts or changed circumstances.
(c) The General Counsel is delegated authority in adjudicatory hearing pro- ceedings which are pending before the Commission en banc to act on all re- quests for relief, and to issue all appro- priate orders, except those which in- volve final disposition on the merits of a previously specified issue concerning
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Federal Communications Commission § 0.261
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 deci- sion for Commission consideration within four months of the filing of the last responsive pleading. If the Com- mission 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 re- solve the case.
(e) The official record of all actions taken by the General Counsel pursuant to § 0.251 (c) and (d) is contained in the original docket folder, which is main- tained by the Reference Information Center.
(f) The General Counsel is delegated authority to issue written determina- tions on matters regarding the inter- ception of telephone conversations. Nothing in this paragraph, however, shall affect the authority of the Inspec- tor General to intercept or record tele- phone 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 oc- curred.
(h) The General Counsel is delegated authority to make determinations re- garding and waive the applicability of section 4(b) of the Communications Act (47 U.S.C. § 154(b)) and the Federal con- flict of interest statutes (18 U.S.C. §§ 203, 205 and 208).
(i) The General Counsel is delegated authority to perform all administra- tive 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 prop- erty arising out of the activities of, or referred to, the Federal Communica- tions Commission,
(2) Compromise a claim of the Gov- ernment of not more than $100,000 (ex- cluding 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 pro- spective ability to pay a significant amount of the claim or the cost of col- lecting the claim is likely to be more than the amount recovered.
NOTE TO PARAGRAPH (i): This delegation does not include waiver authority provided by 31 U.S.C. 3720B.
(Secs. 2, 3, 4, 5, 301, 303, 307, 308, 309, 315, 317, 48 Stat., as amended, 1064, 1065, 1066, 1068, 1081, 1082, 1083, 1084, 1085, 1088, 1089; 47 U.S.C. 152, 153, 154, 155, 301, 303, 307, 308, 309, 315, 317)
[28 FR 12402, Nov. 22, 1963]
EDITORIAL NOTE: For FEDERAL REGISTER ci- tations affecting § 0.251, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.
INTERNATIONAL BUREAU
SOURCE: Sections 0.261 and 0.262 appear at 60 FR 5324, Jan. 27, 1995, unless otherwise noted.
§ 0.261 Authority delegated. (a) Subject to the limitations set
forth in paragraph (b) of this section, the Chief, International Bureau, is hereby delegated the authority to per- form the functions and activities de- scribed in § 0.51, including without limi- tation the following:
(1) To recommend rulemakings, stud- ies, and analyses (legal, engineering, social, and economic) of various peti- tions for policy or rule changes sub- mitted by industry or the public, and to assist the Commission in conducting the same;
(2) To assume the principal represen- tational role on behalf of the Commis- sion in international conferences, meetings, and negotiations, and direct Commission preparation for such con- ferences, meetings, and negotiations with other bureaus and offices, as ap- propriate;
(3) To act upon applications for inter- national telecommunications and serv- ices pursuant to relevant portions of part 63 of this chapter, and coordinate
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47 CFR Ch. I (10–1–10 Edition)§ 0.262
with the Wireline Competition Bureau as appropriate;
(4) To act upon applications for inter- national and domestic satellite sys- tems and earth stations pursuant to part 25 and part 100 of this chapter;
(5) To act upon applications for cable landing licenses pursuant to § 1.767 of this chapter;
(6) To act upon requests for designa- tion of Recognized Private Operating Agency (RPOA) status under part 63 of this chapter;
(7) To act upon applications relating to international broadcast station op- erations, or for permission to deliver programming to foreign stations, under part 73 of this chapter;
(8) To administer and enforce the policies and rules on international set- tlements under part 64 of this chapter;
(9) To administer portions of part 2 of this chapter dealing with international treaties and call sign provisions, and to make call sign assignments, individ- ually and in blocks, to U.S. Govern- ment agencies and FCC operating bu- reaus;
(10) To act upon applications for clo- sure of public coast stations in the maritime service under part 63 of this chapter and to coordinate its efforts with the Wireless Telecommunications Bureau.
(11) To administer Commission par- ticipation in the International Tele- communication Union (ITU) Fellow- ship telecommunication training pro- gram for foreign officials offered through the U.S. Telecommunications Training Institute;
(12) In consultation with the affected Bureaus and Offices, to recommend re- vision of Commission rules and proce- dures as appropriate to conform to the outcomes of international conferences, agreements, or treaties;
(13) To notify the ITU of the United States’ terrestrial and satellite assign- ments for inclusion in the Master International Frequency Register;
(14) To conduct studies and compile such data relating to international telecommunications as may be nec- essary for the Commission to develop and maintain an adequate regulatory program; and
(15) To interpret and enforce rules and regulations pertaining to matters
under its jurisdiction and not within the jurisdiction of the Enforcement Bu- reau.
(b) Notwithstanding the authority delegated in paragraph (a) of this sec- tion, the Chief, International Bureau, shall not have authority:
(1) To act on any application, peti- tion, pleading, complaint, enforcement matter, or other request that:
(i) Presents new or novel arguments not previously considered by the Com- mission;
(ii) Presents facts or arguments which appear to justify a change in Commission policy; or
(iii) Cannot be resolved under out- standing precedents and guidelines after consultation with appropriate Bu- reaus or Offices.
(2) To issue notices of proposed rule- making, notices of inquiry, or reports or orders arising from rulemaking or inquiry proceedings;
(3) To act upon any application for review of actions taken by the Chief, International Bureau, pursuant to dele- gated authority, which application complies with § 1.115 of this chapter;
(4) To act upon any formal or infor- mal radio application or section 214 ap- plication for common carrier services which is in hearing status;
(5) To designate for hearing any ap- plications except:
(i) Mutually exclusive applications for radio facilities filed pursuant to parts 23, 25, 73, or 100 of this chapter; and
(ii) Applications for facilities where the issues presented relate solely to whether the applicant has complied with outstanding precedents and guide- lines; or
(6) To impose, reduce, or cancel for- feitures pursuant to section 203 or sec- tion 503(b) of the Communications Act of 1934, as amended, in amounts of more than $80,000 for common carrier providers and $20,000 for non-common carrier providers.
[60 FR 5324, Jan. 27, 1995, as amended at 60 FR 35506, July 10, 1995; 64 FR 60721, Nov. 8, 1999; 67 FR 13220, Mar. 21, 2002; 75 FR 7972, Feb. 23, 2010]
§ 0.262 Record of actions taken. The application and authorization
files in the appropriate central files of
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Federal Communications Commission § 0.291
the International Bureau are des- ignated as the Commission’s official records of actions by the Chief, Inter- national Bureau, pursuant to authority delegated to him.
OFFICE OF STRATEGIC PLANNING AND POLICY ANALYSIS
§ 0.271 Authority delegated. (a) Insofar as authority is not dele-
gated to any other Bureau or Office, and with respect only to matters which are not in hearing status, the Chief, Of- fice of Strategic Planning and Policy Analysis is delegated authority to deny requests or to extend the time within which comments may be filed in dock- ets over which the Office of Strategic Planning and Policy Analysis has pri- mary authority.
(b) [Reserved]
[45 FR 10347, Feb. 15, 1980, as amended at 68 FR 11747, Mar. 12, 2003]
CHIEF, MEDIA BUREAU
§ 0.283 Authority delegated. The Chief, Media Bureau, is dele-
gated authority to perform all func- tions of the Bureau, described in § 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 rule- making proceedings involving the al- lotment of FM and television channels.
(b) Application for review of actions taken pursuant to delegated authority.
(c) Matters that present novel ques- tions of law, fact or policy that cannot be resolved under existing precedents and guidelines.
(d) The imposition, reduction or can- cellation of forfeitures pursuant to sec- tion 503(b) of the Communications Act of 1934, as amended, in amounts of more than $20,000.
[67 FR 13220, Mar. 21, 2002]
§ 0.284 Actions taken under delegated authority.
(a) In discharging the authority con- ferred by § 0.283 of this part, the Chief, Media Bureau, shall establish working relationships with other bureaus and staff offices to assure the effective co-
ordination of actions taken in the fol- lowing 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 pri- vate sector nonbroadcast or govern- ment services—Office of Engineering and Technology and appropriate oper- ating bureau.
(4) Requests involving coordination with other agencies of government—Of- fice of General Counsel, Office of Engi- neering and Technology and appro- priate 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 appli- cations granted under authority dele- gated in § 0.283 of this part, the Chief, Media Bureau or his designees, shall enter on the working papers associated with each application a narrative jus- tification of the action taken. While not available for public inspection, these working papers shall, upon re- quest, be made available to the Com- missioners 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]
§ 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 Bu- reau. The official records of action are maintained in the Reference Informa- tion Center in the Consumer and Gov- ernmental Affairs Bureau.
[67 FR 13220, Mar. 21, 2002]
CHIEF, WIRELINE COMPETITION BUREAU
§ 0.291 Authority delegated.
The Chief, Wireline Competition Bu- reau, is hereby delegated authority to
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47 CFR Ch. I (10–1–10 Edition)§ 0.291
perform all functions of the Bureau, de- scribed in § 0.91, subject to the fol- lowing exceptions and limitations.
(a) Authority concerning applications. (1) The Chief, Wireline Competition Bu- reau 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 Competi- tion Bureau shall not have authority to promulgate regulations or orders prescribing permanent depreciation rates for common carriers, or to pre- scribe 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 Bu- reau shall not have authority to im- pose, reduce or cancel forfeitures pur- suant to Section 203 or Section 503(b) of the Communications Act of 1934, as amended, in amounts of more than $80,000.
(d) Authority concerning applications for review. The Chief, Wireline Competi- tion Bureau shall not have authority to act upon any applications for review of actions taken by the Chief, Wireline Competition Bureau, pursuant to any delegated authority.
(e) Authority concerning rulemaking and investigatory proceedings. The Chief, Wireline Competition Bureau, shall not have authority to issue notices of pro- posed 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 co- ordination with the Chief, Inter- national Bureau, to issue and revise a manual on the details of the reporting requirements for international carriers set forth in § 43.61(d) 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 re-
lated subpoenas for the attendance and testimony of witnesses and the produc- tion of books, papers, correspondence, memoranda, schedules of charges, con- tracts, agreements, and any other records deemed relevant to the inves- tigation of matters within the jurisdic- tion of the Wireline Competition Bu- reau. 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 In- stitute of Standards and Technology to perform accreditation of Telecommuni- cation Certification Bodies (TCBs) pur- suant to §§ 68.160 and 68.162 of this chap- ter. In addition, the Chief is delegated authority to develop specific methods that will be used to accredit TCBs, to designate TCBs, to make determina- tions regarding the continued accept- ability of individual TCBs and to de- velop procedures that TCBs will use for performing post-market surveillance.
(h) Authority concerning petitions for pricing flexibility. (1) The Chief, Wireline Competition Bureau, shall have authority to act on petitions filed pursuant to part 69, subpart H, of this chapter for pricing flexibility involving special access and dedicated transport services. This authority is not subject to the limitation set forth in paragraph (a)(2) of this section.
(2) The Chief, Wireline Competition Bureau, shall not have authority to act on petitions filed pursuant to part 69, subpart H, of this chapter for pricing flexibility involving common line and traffic sensitive services.
(i) Authority concerning schools and li- braries support mechanism audits. The Chief, Wireline Competition Bureau, shall have authority to address audit findings relating to the schools and li- braries support mechanism. This au- thority is not subject to the limitation set forth in paragraph (a)(2) of this sec- tion.
(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]
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Federal Communications Commission § 0.314
EDITORIAL NOTE: For FEDERAL REGISTER ci- tations affecting § 0.291, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.
§ 0.301 [Reserved]
§ 0.302 Record of actions taken. The application and authorization
files are designated as the Commis- sion’s official records of action of the Chief, Wireline Competition Bureau pursuant to authority delegated to the Chief. The official records of action are maintained in the Reference Informa- tion Center in the Consumer and Gov- ernmental Affairs Bureau.
[67 FR 13221, Mar. 21, 2002]
§ 0.303 [Reserved]
§ 0.304 Authority for determinations of exempt telecommunications com- pany status.
Authority is delegated to the Chief, Wireline Competition Bureau to act upon any application for a determina- tion of exempt telecommunications company status filed pursuant to sec- tion 34(a)(1) of the Public Utility Hold- ing Company Act of 1935, as amended by section 103 of the Telecommuni- cations Act of 1996.
[64 FR 5950, Feb. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]
ENFORCEMENT BUREAU
§ 0.311 Authority delegated. The Chief, Enforcement Bureau, is
delegated authority to perform all functions of the Bureau, described in § 0.111, provided that:
(a) The following matters shall be re- ferred to the Commission en banc for disposition:
(1) Notices of proposed rulemaking and of inquiry and final orders in such proceedings.
(2) Applications for review of actions taken pursuant to delegated authority.
(3) Matters that present novel ques- tions 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 investiga- tion under section 208(b) of the Com- munications 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 informa- tion to a state public utility commis- sion or in response to a Freedom of In- formation Act Request.
(b) Action on complaints regarding compliance with section 705(a) of the Communications Act shall be coordi- nated with the Office of General Coun- sel.
[64 FR 60721, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002; 71 FR 69036, Nov. 29, 2006]
§ 0.314 Additional authority delegated.
The Regional Director, Deputy Re- gional Director, District Director or Resi- dent Agent at each installation is dele- gated authority to act upon applica- tions, requests, or other matters, which are not in hearing status, and di- rect the following activities necessary to conduct investigations or inspec- tions:
(a) On informal requests from broad- cast stations to extend temporary au- thority for operation without mon- itors, plate ammeter, plate volmeter, base current meter, common point meter, and transmission line meter from FM and television stations.
(b)(1) Extend the Communications Act Safety Radiotelephony Certificate for a period of up to 90 days beyond the specified expiration date.
(b)(2) Grant emergency exemption re- quests, extensions or waivers of inspec- tion to ships in accordance with appli- cable provisions of the Communica- tions Act, the Safety Convention, the Great Lakes Agreement or the Com- mission’s rules.
(c) To act on and make determina- tions on behalf of the Commission re- garding requests for assignments and reassignments of priorities under the Telecommunications Service Priority System, part 64 of the rules, when cir- cumstances require immediate action
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47 CFR Ch. I (10–1–10 Edition)§ 0.317
and the common carrier seeking to pro- vide service states that it cannot con- tact the National Communications System or the Commission office nor- mally responsible for such assign- ments. To the extent possible, all such actions and determinations shall be made in coordination with the Public Safety and Homeland Security Bureau.
(d) Require special equipment and program tests during inspections or in- vestigations to determine compliance with technical requirements specified by the Commission.
(e) Require stations to operate with the pre-sunrise and nighttime facilities during daytime hours in order that an inspection or investigation may be made by an authorized Commission representative to determine operating parameters.
(f) Issue notices and orders to opera- tors of industrial, scientific, and med- ical (ISM) equipment, as provided in § 18.115 of this chapter.
(g) Act on requests for permission to resume operation of ISM equipment on a temporary basis, as provided by § 18.115 of this chapter, and requests for extensions of time within which to file final reports, as provided by § 18.117 of this chapter.
(h) Issue notices and orders to opera- tors of part 15 devices, as provided in § 15.5 of this chapter.
(i) Issue notices and orders to sus- pend operations to multi-channel video programming distributors, as provided in § 76.613 of this chapter.
(j) Issue notices and orders to sus- pend operations to part 74 licensees, as provided in § 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]
§ 0.317 Record of action taken.
The application, authorization, and other appropriate files of the Enforce- ment Bureau are designated as the Commission’s official records of action taken pursuant to authority delegated under §§ 0.311 and 0.314, and shall con- stitute the official Commission min- utes entry of such actions. The official records of action are maintained in the
Reference Information Center in the Consumer Information Bureau.
[64 FR 60722, Nov. 8, 1999]
WIRELESS TELECOMMUNICATIONS BUREAU
§ 0.331 Authority delegated. The Chief, Wireless Telecommuni-
cations Bureau, is hereby delegated au- thority to perform all functions of the Bureau, described in § 0.131, subject to the following exceptions and limita- tions.
(a) Authority concerning applications. (1) The Chief, Wireless Telecommuni- cations Bureau shall not have author- ity to act on any radio applications that are in hearing status.
(2) The Chief, Wireless Telecommuni- cations Bureau shall not have author- ity to act on any complaints, petitions or requests, whether or not accom- panied 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 prece- dents and guidelines.
(b) Authority concerning forfeitures and penalties. The Chief, Wireless Tele- communications Bureau, shall not have authority to impose, reduce, or cancel forfeitures pursuant to the Com- munications Act of 1934, as amended, and imposed under regulations in this chapter in amounts of more than $80,000 for commercial radio providers and $20,000 for private radio providers. Payments for bid withdrawal, default or to prevent unjust enrichment that are imposed pursuant to Section 309(j) of the Communications Act of 1934, as amended, and regulations in this chap- ter implementing Section 309(j) gov- erning auction authority, are excluded from this restriction.
(c) Authority concerning applications for review. The Chief, Wireless Tele- communications Bureau shall not have authority to act upon any applications for review of actions taken by the Chief, Wireless Telecommunications Bureau pursuant to any delegated au- thority, except that the Chief may dis- miss any such application that does not comply with the filing require- ments of § 1.115 (d) and (f) of this chap- ter.
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Federal Communications Commission § 0.341
(d) Authority concerning rulemaking proceedings. The Chief, Wireless Tele- communications 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 aris- ing from any of the foregoing except such orders involving ministerial con- forming amendments to rule parts, or orders conforming any of the applica- ble rules to formally adopted inter- national conventions or agreements where novel questions of fact, law, or policy are not involved. In addition, re- visions to the airport terminal use list in § 90.35(c)(61) of this chapter and revi- sions to the Government Radiolocation list in § 90.371(b) of this chapter need not be referred to the Commission. Adoption of certain technical stand- ards applicable to hearing aid compat- ibility under § 20.19 of this chapter made together with the Chief of the Of- fice of Engineering and Technology, as specified in § 20.19(k) of this chapter, also need not be referred to the Com- mission. Also, the addition of new Ma- rine VHF frequency coordination com- mittee(s) to § 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 com- mercial and non-commercial vessel use of VHF marine frequencies.
(3) Designate by footnote to fre- quency table in § 80.373(f) of this chap- ter marine VHF frequencies are avail- able for intership port operations com- munications in defined port areas.
[60 FR 35506, July 10, 1995, as amended at 61 FR 26465, May 28, 1996; 62 FR 40285, July 28, 1997; 65 FR 43715, July 14, 2000; 67 FR 63284, Oct. 11, 2002; 69 FR 46440, Aug. 3, 2004; 73 FR 25587, May 7, 2008]
§ 0.332 Actions taken under delegated authority.
In discharging the authority con- ferred by § 0.331, the Chief, Wireless Telecommunications Bureau, shall es- tablish working relationships with other bureaus and staff offices to as-
sure the effective coordination of ac- tions 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 prepared- ness, and disaster management com- munications—the Public Safety and Homeland Security Bureau.
(d) Complaints involving equal em- ployment opportunities—Office of Gen- eral Counsel.
(e) Requests for use of frequencies or bands of frequencies shared with broad- cast, 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]
§§ 0.333–0.337 [Reserved]
ADMINISTRATIVE LAW JUDGES
§ 0.341 Authority of administrative law judge.
(a) After an administrative law judge has been designated to preside at a hearing and until he has issued an ini- tial decision or certified the record to the Commission for decision, or the proceeding has been transferred to an- other administrative law judge, all mo- tions, petitions and other pleadings shall be acted upon by such adminis- trative law judge, except the following:
(1) Those which are to be acted upon by the Commission. See § 1.291(a)(1) of this chapter.
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47 CFR Ch. I (10–1–10 Edition)§ 0.347
(2) Those which are to be acted upon by the Chief Administrative Law Judge under § 0.351.
(b) Any question which would be acted upon by the administrative law judge if it were raised by the parties to the proceeding may be raised and acted upon by the administrative law judge on his own motion.
(c) Any question which would be acted upon by the Chief Administrative Law Judge or the Commission, if it were raised by the parties, may be cer- tified by the administrative law judge, on his own motion, to the Chief Admin- istrative Law Judge, or the Commis- sion, as the case may be.
(d) In the conduct of routine broad- cast comparative hearings involving applicants for only new facilities, i.e., cases that do not involve numerous ap- plicants and/or motions to enlarge issues, the presiding administrative law judge shall make every effort to conclude the case within nine months of the release of the hearing designa- tion order. In so doing, the presiding judge will make every effort to release an initial decision in such cases within 90 days of the filing of the last respon- sive pleading.
(e) Upon assignment by the Chief Ad- ministrative Law Judge, Administra- tive Law Judges, including the Chief Judge, will act as settlement judges in appropriate cases. See 47 CFR 1.244 of this chapter.
[29 FR 6442, May 16, 1964, as amended at 37 FR 19372, Sept. 20, 1972; 41 FR 14870, Apr. 8, 1976; 56 FR 792, Jan. 9, 1991; 62 FR 4170, Jan. 29, 1997]
§ 0.347 Record of actions taken.
The official record of all actions taken by an Administrative Law Judge, including initial and rec- ommended decisions and actions taken pursuant to § 0.341, is contained in the original docket folder, which is main- tained in the Reference Information Center of the Consumer and Govern- mental Affairs Bureau.
[64 FR 60722, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]
CHIEF ADMINISTRATIVE LAW JUDGE
§ 0.351 Authority delegated. The Chief Administrative Law Judge
shall act on the following matters in proceedings conducted by hearing ex- aminers:
(a) Initial specifications of the time and place of hearings where not other- wise specified by the Commission and excepting actions under authority dele- gated by § 0.296.
(b) Designation of the hearing exam- iner to preside at hearings.
(c) Orders directing the parties or their attorneys to appear at a specified time and place before the hearing ex- aminer for an initial prehearing con- ference in accordance with § 1.251(a) of this chapter. (The administrative law judge named to preside at the hearing may order an initial prehearing con- ference although the Chief Administra- tive Law Judge may not have seen fit to do so and may order supplementary prehearing conferences in accordance with § 1.251(b) of this chapter.)
(d) Petitions requesting a change in the place of hearing where the hearing is scheduled to begin in the District of Columbia or where the hearing is scheduled to begin at a field location and all appropriate proceedings at that location have not been completed. (See § 1.253 of this chapter.) However, if all parties to a proceeding concur in hold- ing all hearing sessions in the District of Columbia rather than at any field lo- cation, the presiding administrative law judge may act on the request.
(e) In the absence of the administra- tive law judge who has been designated to preside in a proceeding, to discharge the administrative law judge’s func- tions.
(f) All pleadings filed, or matters which arise, after a proceeding has been designated for hearing, but before a law judge has been designated, which would otherwise be acted upon by the law judge, including all pleadings filed, or matters which arise, in cease and de- sist and/or revocation proceedings prior to the designation of a presiding offi- cer.
(g) All pleadings (such as motions for extension of time) which are related to matters to be acted upon by the Chief Administrative Law Judge.
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Federal Communications Commission § 0.383
(h) If the administrative law judge designated to preside at a hearing be- comes unavailable, to order a rehearing or to order that the hearing continue before another administrative law judge and, in either case, to designate the judge who is to preside.
(i) The consolidation of related pro- ceedings pursuant to § 1.227(a) of this chapter, after designation of those pro- ceedings for hearing.
[29 FR 6443, May 16, 1964, as amended at 37 FR 19372, Sept. 20, 1972; 38 FR 30559, Nov. 6, 1973; 43 FR 49307, Oct. 23, 1978; 44 FR 76295, Dec. 26, 1979]
§ 0.357 Record of actions taken. The official record of all actions
taken by the Chief Administrative Law Judge in docketed proceedings pursu- ant to § 0.351 is contained in the origi- nal docket folder, which is maintained by the Reference Information Center of the Consumer and Governmental Af- fairs Bureau.
[64 FR 60722, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]
CONSUMER AND GOVERNMENTAL AFFAIRS BUREAU
§ 0.361 Authority delegated. The Chief, Consumer and Govern-
mental Affairs Bureau, is delegated au- thority to perform all functions of the Bureau, described in § 0.141, provided that the following matters shall be re- ferred to the Commission en banc for disposition:
(a) Notices of proposed rulemaking and of inquiry and final orders in such proceedings.
(b) Application for review of actions taken pursuant to delegated authority.
(c) Matters that present novel ques- tions of law, fact or policy that cannot be resolved under existing precedents and guidelines.
[64 FR 60722, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]
OFFICE OF COMMUNICATIONS BUSINESS OPPORTUNITIES
§ 0.371 Authority delegated. The Director, Office of Communica-
tions Business Opportunities, or his/her designee, is hereby delegated authority to:
(a) Manage the Commission’s compli- ance with the Regulatory Flexibility Act and the Small Business Regulatory Enforcement Fairness Act;
(b) Develop the Commission’s goals and objectives regarding increased op- portunities for small entities, women, and minorities;
(c) Collect and analyze data on the Commission’s efforts toward ensuring full consideration of the interests of small entities, women, and minorities;
(d) Prepare and release reports on the opportunities available and obstacles faced by small entities, women, and minorities in the communications in- dustry;
(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, em- ployment 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 enti- ties, women, and minorities and to en- sure that all available information is accessible to the same.
[69 FR 7377, Feb. 17, 2003]
NATIONAL SECURITY AND EMERGENCY PREPAREDNESS DELEGATIONS
§ 0.381 Defense Commissioner.
The authority delegated to the Com- mission under Executive Orders 12472 and 12656 is redelegated to the Defense Commissioner.
[69 FR 30234, May 27, 2004]
§ 0.383 Emergency Relocation Board, authority delegated.
(a) During any period in which the Commission is unable to function be- cause of the circumstances set forth in § 0.186(b), all work, business or func- tions of the Federal Communications
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47 CFR Ch. I (10–1–10 Edition)§ 0.387
Commission arising under the Commu- nications Act of 1934, as amended, is as- signed and referred to the Emergency Relocation Board.
(b) The Board, acting by a majority thereof, shall have the power and au- thority to hear and determine, order, certify, report or otherwise act as to any of the said work, business or func- tions so assigned or referred to it, and in respect thereof shall have all the ju- risdiction 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 as- signed or referred shall have the same effect and force, and may be made, evi- denced, and enforced in the same man- ner, as if made or taken by the Com- mission.
[28 FR 12402, Nov. 22, 1963, as amended at 33 FR 8228, June 1, 1968; 53 FR 29055, Aug. 2, 1988]
§ 0.387 Other national security and emergency preparedness delega- tions; cross reference.
For authority of the Chief of the Public Safety and Homeland Security Bureau to declare a temporary commu- nications emergency, see § 0.191(o).
[71 FR 69037, Nov. 29, 2006]
OFFICE OF WORKPLACE DIVERSITY
§ 0.391 Authority delegated. The Director, Office of Workplace Di-
versity, or his/her designee, is hereby delegated authority to:
(a) Manage the Commission’s inter- nal 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 Dis- crimination in Employment Act of 1967, as amended, the Equal Pay Act, and other applicable laws, rules, regu- lations, and Executive Orders, with au- thority that includes appointing EEO counselors, investigators, and medi- ators; investigating complaints of em- ployment discrimination, and recom- mending to the Chairman final agency decisions on EEO complaints;
(b) Mediate EEO complaints; (c) Develop the Commission’s affirm-
ative 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 di- versity, and related subjects;
(f) Review personnel activities, in- cluding hiring, promotions, discipline, training, awards, and performance rec- ognition for conformance with EEO and workplace diversity goals, objec- tives and requirements;
(g) Conduct studies and collect data on workplace diversity issues and prob- lems;
(h) Assume representational role on behalf of the Commission at con- ferences, meetings, and negotiations on EEO and workplace diversity issues;
(i) Develop programs and strategies designed to foster and encourage fair- ness, equality, and inclusion of all em- ployees in the workforce.
[61 FR 2728, Jan. 29, 1996]
PUBLIC SAFETY AND HOMELAND SECURITY BUREAU
§ 0.392 Authority delegated.
The Chief, Public Safety and Home- land Security Bureau, is hereby dele- gated authority to perform all func- tions of the Bureau, described in §§ 0.191 and 0.192, subject to the following ex- ceptions 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 applica- tions 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 author- ity to act upon any applications for re- view of actions taken by the Chief, Public Safety and Homeland Security Bureau, pursuant to any delegated au- thority.
(c) The Public Safety and Homeland Security Bureau shall not have author- ity to act upon any formal or informal radio application or section 214 appli- cation for common carrier services which is in hearing status.
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Federal Communications Commission § 0.401
(d) The Public Safety and Homeland Security Bureau shall not have author- ity to impose, reduce, or cancel forfeit- ures 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 pro- viders and $20,000 for non-common car- rier providers.
(e) The Chief, Public Safety and Homeland Security Bureau shall not have authority to issue notices of pro- posed rulemaking, notices of inquiry, or reports or orders arising from either of the foregoing except such orders in- volving ministerial conforming amend- ments to rule parts, or orders con- forming any of the applicable rules to formally adopted international conven- tions or agreements where novel ques- tions of fact, law, or policy are not in- volved.
(f) The Chief, Public Safety and Homeland Security Bureau or her/his designee has the authority to rule on emergency requests for Special Tem- porary Authority during non-business hours. Action on emergency requests for Special Temporary Authority dur- ing non-business hours shall be promptly reported to the responsible Bureau or Office.
(g) The Chief, Public Safety and Homeland Security Bureau is author- ized to declare that a temporary state of communications emergency exists pursuant to § 97.401(b) of this chapter and to act on behalf of the Commission with respect to the operation of ama- teur stations during such temporary state of communications emergency.
(h) The Chief, Public Safety and Homeland Security Bureau or her/his designee is authorized to issue non- hearing related subpoenas for the at- tendance 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 commu-
nications disruption reporting require- ments contained in part 4 of this chap- ter and to revise the filing system and template used for the submission of such communications disruption re- ports.
[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]
Subpart C—General Information
GENERAL
§ 0.401 Location of Commission offices.
The Commission maintains several offices and receipt locations. Applica- tions and other filings not submitted in accordance with the addresses or loca- tions 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 loca- tion is established elsewhere in the rules for the various types of submis- sions 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 § 0.401(b) of the rules irrespective of the addresses that may be set out elsewhere in the rules for other submis- sions.
(a) General correspondence, as well as applications and filings not requir- ing the fees set forth at part 1, subpart G of the rules (or not claiming an ex- emption, waiver or deferral from the fee requirement), should be delivered to one of the following locations.
(1) The main office of the Commis- sion is located at 445 12th Street, SW., Washington, DC 20554.
(i) Documents submitted by mail to this office should be addressed to: Fed- eral Communications Commission, Washington, DC 20554.
(ii) Hand-carried documents should be delivered to the Secretary’s Office at 445 12th Street, SW., Washington, DC 20554.
(iii) Electronic filings, where per- mitted, must be transmitted as speci- fied by the Commission or relevant Bu- reau or Office.
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47 CFR Ch. I (10–1–10 Edition)§ 0.401
(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 Tele- communications Bureau’s licensing fa- cilities are:
(A) Federal Communications Com- mission, 1270 Fairfield Road, Gettys- burg, PA 17325–7245; and
(B) Federal Communications Com- mission, Wireless Telecommunications Bureau, Washington, DC 20554.
(ii) The mailing address of the Inter- national Telecommunications Section of the Finance Branch is: Federal Com- munications Commission, P.O. Box IT– 70, Gettysburg, PA 17326.
(4) The locations of the field offices of the Compliance and Information Bu- reau are listed in § 0.121.
(5) The location of the Office of Gen- eral Counsel is 445 12th Street, SW, Washington, DC 20554.
(b) Applications or filings requiring the fees set forth at part 1, subpart G of the rules must be delivered to the Com- mission’s lockbox bank in St. Louis, Missouri with the correct fee and com- pleted Fee Form attached to the appli- cation or filing, unless otherwise di- rected by the Commission. In the case of any conflict between this rule sub- part and other rules establishing filing locations for submissions subject to a fee, this subpart shall govern.
NOTE: Applicants seeking a waiver or de- ferral 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 ap- plications in accordance with paragraph (a) of this section.
(1) Applications and filings submitted by mail shall be addressed to the U.S. Bank in St. Louis, Missouri. The bank maintains separate post office boxes for the receipt of different types of ap- plications. It will also establish special post office boxes to receive responses to special filings such as applications filed in response to ‘‘filing windows’’ established by the Commission. The ad- dress for the submission of filings will
be established in the Public Notice an- nouncing the filing dates. In all other cases, applications and filings sub- mitted by mail should be sent to the addresses listed in the appropriate fee rules.
NOTE: Wireless Telecommunications Bu- reau applications that require frequency co- ordination by certified coordinators must be submitted to the appropriate certified fre- quency coordinator before filing with the Commission. After coordination, the applica- tions are filed with the Commission as set forth herein. (See §§ 90.127 and 90.175 of this chapter.)
(2) Applications and other filings may also be hand carried, in person or by courier, to the U.S. Bank, Govern- ment Lockbox, 1005 Convention Plaza, St. Louis, Missouri. All applications and filings delivered in this manner must be in an envelope clearly marked for the ‘‘Federal Communications Com- mission,’’ and identified with the ap- propriate Post Office Box address as set out in the fee schedule (§§ 1.1102 through 1.1109 of this chapter). Applica- tions should be enclosed in a separate envelope for each Post Office Box. Hand-carried or couriered applications and filings may be delivered at any time on any day. Applications or fil- ings received by the bank before mid- night on any Commission business day will be treated as having been filed on that day. Materials received by the bank after midnight, Monday through Friday, or on weekends or holidays, will be treated as having been filed on the next Commission business day.
(3) Alternatively, applications and other filings may be sent electronically via the Universal Licensing System (ULS) or the Cable Operations and Li- censing System (COALS) as appro- priate for use of those systems.
[52 FR 10227, Mar 31, 1987]
EDITORIAL NOTE: For FEDERAL REGISTER ci- tations affecting § 0.401, see the List of CFR Sections Affected, which appears in the Finding Aids section of the printed volume and on GPO Access.
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Federal Communications Commission § 0.406
§ 0.403 Office hours. The main offices of the Commission
are open from 8 a.m. to 5:30 p.m., Mon- day through Friday, excluding legal holidays, unless otherwise stated.
[52 FR 10228, Mar. 31, 1987]
§ 0.405 Statutory provisions. The following statutory provisions,
among others, will be of interest to persons having business with the Com- mission:
(a) The Federal Communications Commission was created by the Com- munications Act of 1934, 48 Stat. 1064, June 19, 1934, as amended, 47 U.S.C. 151– 609.
(b) The Commission exercises author- ity 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 author- ity under the Communications Sat- ellite 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]
§ 0.406 The rules and regulations. Persons having business with the
Commission should familiarize them- selves with those portions of its rules and regulations pertinent to such busi- ness. All of the rules have been pub- lished and are readily available. See §§ 0.411(b), 0.412, and 0.415. For the ben- efit of those who are not familiar with the rules, there is set forth in this sec- tion 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 di-
vided into parts numbered from 0–99. Each part, in turn, is divided into num- bered sections. To allow for the addi- tion of new parts and sections in log- ical sequence, without extensive re- numbering, parts and sections are not always numbered consecutively. Thus, for example, part 2 is followed by part 5, and § 1.8 is followed by § 1.10; in this case, parts 3 and 4 and § 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, § 1.1 is the first section of part 1 and § 5.1 is the first section in part 5. Ex- cept in the case of accounting regula- tions (parts 31–35), the period should not be read as a decimal point; thus, § 1.511 is not located between §§ 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 § 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 provi- sions pertaining to common carriers. Parts 20–29 and 80–109 of this chapter have been reserved for provisions per- taining to the wireless telecommuni- cations services. In the rules per- taining 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 pri- marily 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 gen- eral nature in addition to the rules of the radio or wire communication serv- ice in which they are interested:
(1) Part 0, Commission organization. Part 0 describes the structure and func- tions of the Commission, lists delega- tions of authority to the staff, and sets forth information designed to assist those desiring to obtain information
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47 CFR Ch. I (10–1–10 Edition)§ 0.406
from, or to do business with, the Com- mission. This part is designed, among other things, to meet certain of the re- quirements of the Administrative Pro- cedure 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 ex- pressly 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, sub- part B, of this chapter contains the procedures applicable in formal hear- ing proceedings (see § 1.201 of this chap- ter). Part 1, subpart C, of this chapter contains the procedures followed in making or revising the rule or regula- tions. Part 1, subpart D, of this chapter contains rules applicable to applica- tions 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 car- riers. Part 1, subpart F, of this chapter contain rules applicable to applications for licenses in the Wireless Tele- communications Bureau services, in- cluding the forms to be used, the filing requirements, the procedures for proc- essing and acting on such applications, and certain other matters. Part 1, sub- part F, of this chapter contains rules applicable to applications for licenses in the Private Radio Services, includ- ing the forms to be used, the filing re- quirements, the procedures for proc- essing and acting on such applications, and certain other matters. Part 1, sub- part G, of this chapter contains rules pertaining to the application proc- essing fees established by the Consoli- dated Omnibus Budget Reconciliation Act of 1985 (Pub. L. 99–272, 100 Stat. 82 (1986)) and also contains rules per- taining to the regulatory fees estab- lished by the Omnibus Budget Rec- onciliation 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 gov-
erning communications with commis- sion personnel in hearing proceedings and contested application proceedings. Part 1, subparts G and H, of this chap- ter 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 pro- ceedings.
(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 tech- nical terms used in the rules and regu- lations; provisions governing the allo- cation 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 Allo- cations (§ 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 inter- national agreements pertaining to the use of radio.
(4) Part 5, experimental radio services (other than broadcast). Part 5 deals with the temporary use of radio frequencies for research in the radio art, for com- munication involving other research projects, and for the development of equipment, data, or techniques.
(5) Part 13, commercial radio operators. Part 13 describes the procedures to be followed in applying for a commercial operator license, including the forms to be used and the examinations given, and sets forth rules governing licensed operators. It will be of interest to ap- plicants for such licenses, licensed op- erators, and the licensees of radio sta- tions which may be operated only by persons holding a commercial radio op- erator license.
(6) Part 15, radio frequency devices. Part 15 contains regulations designed to prevent harmful interference to radio communication from radio re- ceivers 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 op- eration of certificated transmitters without a license.
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Federal Communications Commission § 0.408
(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 con- struction to the Federal Aviation Ad- ministration, and specifications for ob- struction marking and lighting of an- tenna structures.
(8) Part 18, industrial, scientific and medical equipment. Part 18 contains reg- ulations 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 stand- ards 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]
§ 0.408 OMB control numbers and expi- ration dates assigned pursuant to the Paperwork Reduction Act of 1995.
(a) Purpose. This section displays the control numbers and expiration dates for the Commission information collec- tion requirements assigned by the Of- fice of Management and Budget (‘‘OMB’’) pursuant to the Paperwork Reduction Act of 1995, Public Law 104– 13. The Commission intends that this section comply with the requirement that agencies ‘‘display’’ current con- trol numbers and expiration dates as- signed by the Director, OMB, for each approved information collection re- quirement. Not withstanding any other provisions of law, no person shall be subject to any penalty for failing to comply with a collection of informa- tion subject to the Paperwork Reduc- tion Act (PRA) that does not display a currently valid OMB control number. Questions concerning the OMB control numbers and expiration dates should be directed to the Associate Managing Di- rector—Performance Evaluation and Records Management, (‘‘AMD– PERM’’), Office of Managing Director, Federal Communications Commission, Washington, DC 20554 by sending an e- mail to Judith-B.Herman@fcc.gov.
(b) Display.
OMB Control No. FCC form number or 47 CFR section or part, docket number or title identi-fying the collection OMB expiration date
3060–0004 ................ Secs. 1.1307 and 1.1311, Guidelines for Evaluating the Environmental Ef- fects of Radiofrequency Radiation, ET Docket No. 93–62.
03/31/11
3060–0009 ................ FCC 316 ............................................................................................................. 06/30/11 3060–0010 ................ FCC 323 ............................................................................................................. 01/31/09 3060–0016 ................ FCC 346 ............................................................................................................. 03/31/11 3060–0017 ................ FCC 347 ............................................................................................................. 05/31/09 3060–0027 ................ FCC 301 ............................................................................................................. 08/31/11 3060–0029 ................ FCC 302–DTV .................................................................................................... 05/31/11 3060–0031 ................ FCC 314, FCC 315 ............................................................................................ 06/30/11 3060–0053 ................ FCC 703 ............................................................................................................. 06/30/11 3060–0055 ................ FCC 327 ............................................................................................................. 10/31/09 3060–0056 ................ Part 68 ................................................................................................................ 05/31/11 3060–0057 ................ FCC 731 ............................................................................................................. 03/31/11 3060–0059 ................ FCC 740 ............................................................................................................. 02/28/10 3060–0061 ................ FCC 325 ............................................................................................................. Pending OMB Approval. 3060–0065 ................ FCC 442 ............................................................................................................. 06/30/11 3060–0068 ................ FCC 702 ............................................................................................................. 06/30/11 3060–0075 ................ FCC 345 ............................................................................................................. 06/30/11 3060–0076 ................ FCC 395 ............................................................................................................. 12/31/10 3060–0084 ................ FCC 323–E ......................................................................................................... 03/31/11 3060–0093 ................ FCC 405 ............................................................................................................. 01/31/09 3060–0095 ................ FCC 395–A ......................................................................................................... Pending OMB Approval. 3060–0106 ................ Part 43 ................................................................................................................ 05/31/10 3060–0110 ................ FCC 303–S ......................................................................................................... 06/30/11 3060–0113 ................ FCC 396/396–A .................................................................................................. 12/31/09 3060–0126 ................ Sec. 73.1820 ...................................................................................................... 12/31/08 3060–0132 ................ FCC 1068A ......................................................................................................... 11/30/09 3060–0139 ................ FCC 854 ............................................................................................................. Pending OMB Approval.
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47 CFR Ch. I (10–1–10 Edition)§ 0.408
OMB Control No. FCC form number or 47 CFR section or part, docket number or title identi-fying the collection OMB expiration date
3060–0147 ................ Sec. 64.804 ........................................................................................................ 01/31/09 3060–0149 ................ Part 63, Section 214, Secs. 63.01, 63.602; 63.50, 63.51, 63.52, 63.53; 63.61,
63.62, 63.63; 63.65, 63.66; 63.71; 63.90; 63.500, 63.501; 63.504, 63.505 and 63.601.
03/31/11
3060–0157 ................ Sec. 73.99 .......................................................................................................... 02/28/09 3060–0161 ................ Sec. 73.61 .......................................................................................................... 05/31/09 3060–0166 ................ Part 42 ................................................................................................................ 11/30/10 3060–0168 ................ Sec. 43.43 .......................................................................................................... 09/30/09 3060–0169 ................ Secs. 43.51 and 43.53 ....................................................................................... Pending OMB Approval. 3060–0170 ................ Sec. 73.1030 ...................................................................................................... 12/31/10 3060–0171 ................ Sec. 73.1125 ...................................................................................................... 12/31/10 3060–0174 ................ Secs. 73.1212, 76.1615, and 76.1715 ............................................................... 02/28/09 3060–0175 ................ Sec. 73.1250 ...................................................................................................... 06/30/11 3060–0176 ................ Sec. 73.1510 ...................................................................................................... 02/28/09 3060–0178 ................ Sec. 73.1560 ...................................................................................................... 01/31/09 3060–0179 ................ Sec. 73.1590 ...................................................................................................... 10/31/10 3060–0180 ................ Sec. 73.1610 ...................................................................................................... 10/31/10 3060–0182 ................ Sec. 73.1620 ...................................................................................................... 05/31/10 3060–0184 ................ Sec. 73.1740 ...................................................................................................... 10/31/10 3060–0185 ................ Sec. 73.3613 ...................................................................................................... 02/28/11 3060–0188 ................ Call Sign Reservation and Authorization System .............................................. 11/30/10 3060–0190 ................ Sec. 73.3544 ...................................................................................................... 01/31/10 3060–0192 ................ Sec. 87.103 ........................................................................................................ 09/30/10 3060–0202 ................ Sec. 87.37 .......................................................................................................... 09/30/09 3060–0204 ................ Sec. 90.20(a)(2)(v) ............................................................................................. 01/31/09 3060–0207 ................ Part 11 ................................................................................................................ 08/31/11 3060–0208 ................ Sec. 73.1870 ...................................................................................................... 09/30/09 3060–0213 ................ Sec. 73.3525 ...................................................................................................... 12/31/09 3060–0214 ................ Secs. 73.3526 and 73.3527; Secs. 76.1701 and 73.1943 ................................ Pending OMB Approval. 3060–0216 ................ Sec. 73.3538 and Sec. 73.1690(e) .................................................................... 02/28/11 3060–0219 ................ Sec. 90.20(a)(2)(xi) ............................................................................................. 11/30/08 3060–0221 ................ Sec. 90.155 (b) and (d) ...................................................................................... 01/31/11 3060–0222 ................ Sec. 97.213 ........................................................................................................ 09/30/09 3060–0223 ................ Sec. 90.129 ........................................................................................................ 01/31/09 3060–0228 ................ Sec. 80.59 .......................................................................................................... 07/31/10 3060–0233 ................ Part 36 ................................................................................................................ 11/30/09 3060–0236 ................ Sec. 74.703 ........................................................................................................ 06/30/11 3060–0248 ................ Sec. 74.751 ........................................................................................................ 02/28/11 3060–0249 ................ Secs. 74.781, 74.1281, and 78.69 ..................................................................... 10/31/09 3060–0250 ................ Secs. 73.1207, 74.784 and 74.1284 .................................................................. 10/31/10 3060–0259 ................ Sec. 90.263 ........................................................................................................ 09/30/09 3060–0261 ................ Sec. 90.215 ........................................................................................................ 06/30/10 3060–0262 ................ Sec. 90.179 ........................................................................................................ 03/31/11 3060–0264 ................ Sec. 80.413 ........................................................................................................ 09/30/09 3060–0265 ................ Sec. 80.868 ........................................................................................................ 05/31/10 3060–0270 ................ Sec. 90.443 ........................................................................................................ 01/31/10 3060–0281 ................ Sec. 90.651 ........................................................................................................ 06/30/10 3060–0286 ................ Sec. 80.302 ........................................................................................................ 04/30/10 3060–0288 ................ Sec. 78.33 .......................................................................................................... 02/28/09 3060–0289 ................ Secs. 76.601, 76.1704, 76.1705, and 76.1717 .................................................. 06/30/11 3060–0290 ................ Sec. 90.517 ........................................................................................................ 04/30/11 3060–0291 ................ Sec. 90.477(a), (b)(2), (d)(2) and (d)(3) ............................................................. 06/30/11 3060–0292 ................ Part 69 (Sec. 69.605) ......................................................................................... 01/31/10 3060–0295 ................ Sec. 90.607(b)(1) and (c)(1) ............................................................................... 04/30/10 3060–0297 ................ Sec. 80.503 ........................................................................................................ 09/30/09 3060–0298 ................ Part 61 ................................................................................................................ 07/31/11 3060–0307 ................ Amendment of Part 90 of the Commission’s Rules to Facilitate Future Devel-
opment of SMR Systems in the 800 MHz Frequency Band. 01/31/10
3060–0308 ................ Sec. 90.505 ........................................................................................................ 04/30/10 3060–0310 ................ FCC 322 ............................................................................................................. 10/31/09 3060–0311 ................ Sec. 76.54 .......................................................................................................... 04/30/11 3060–0316 ................ Secs. 76.1700, 76.1702, 76.1703, 76.1704, 76.1707, and 76.1711 ................. 02/28/11 3060–0320 ................ Sec. 73.1350 ...................................................................................................... 03/31/10 3060–0325 ................ Sec. 80.605 ........................................................................................................ 09/30/11 3060–0329 ................ Sec. 2.955 .......................................................................................................... 01/31/09 3060–0331 ................ FCC 321 ............................................................................................................. 10/31/09 3060–0332 ................ Secs. 76.614 and 76.1706 ................................................................................. 11/30/10 3060–0340 ................ Sec. 73.51 .......................................................................................................... 01/31/10 3060–0341 ................ Sec. 73.1680 ...................................................................................................... 10/31/09 3060–0346 ................ Sec. 78.27 .......................................................................................................... 01/31/10 3060–0347 ................ Sec. 97.311 ........................................................................................................ 01/31/09 3060–0349 ................ Secs. 73.2080, 76.73, 76.75, 76.79, and 76.1702 ............................................. 01/31/10 3060–0355 ................ FCC 492 and FCC 492A .................................................................................... 07/31/10
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Federal Communications Commission § 0.408
OMB Control No. FCC form number or 47 CFR section or part, docket number or title identi-fying the collection OMB expiration date
3060–0357 ................ Sec. 63.701 ........................................................................................................ 06/30/11 3060–0360 ................ Sec. 80.409 ........................................................................................................ 11/30/10 3060–0370 ................ Part 32 ................................................................................................................ 04/30/11 3060–0384 ................ Secs. 64.904 and 64.905 ................................................................................... 01/31/11 3060–0386 ................ Sec. 73.1635 ...................................................................................................... 08/31/11 3060–0387 ................ Sec. 15.201(d) .................................................................................................... 09/30/09 3060–0390 ................ FCC 395–B ......................................................................................................... Pending OMB Approval. 3060–0391 ................ Parts 54 and 36, Program to Monitor the Impacts of the Universal Service
Support Mechanisms. 05/31/11
3060–0392 ................ 47 CFR Part 1, Subpart J, Pole Attachment Complaint Procedures ................. 01/31/10 3060–0394 ................ Sec. 1.420 .......................................................................................................... 06/30/11 3060–0395 ................ FCC Reports 43–02, FCC 43–05 and FCC 43–07 ............................................ Pending OMB Approval. 3060–0398 ................ Secs. 2.948 and 15.117(g)(2) ............................................................................ 08/31/09 3060–0400 ................ Tariff Review Plan .............................................................................................. 03/31/09 3060–0404 ................ FCC 350 ............................................................................................................. 02/28/11 3060–0407 ................ Sec. 73.3598 ...................................................................................................... 06/30/11 3060–0410 ................ FCC 495A and FCC 495B ................................................................................. Pending OMB Approval. 3060–0411 ................ FCC 485 ............................................................................................................. 05/31/10 3060–0414 ................ Terrain Shielding Policy ...................................................................................... 01/31/10 3060–0419 ................ Secs. 76.94, 76.95, 76.105, 76.106, 76.107, and 76.1609 ............................... 07/31/11 3060–0422 ................ Sec. 68.5 ............................................................................................................ 09/30/10 3060–0423 ................ Sec. 73.3588 ...................................................................................................... 11/30/08 3060–0430 ................ Sec. 1.1206 ........................................................................................................ 04/30/11 3060–0433 ................ FCC 320 ............................................................................................................. 05/31/11 3060–0434 ................ Sec. 90.20(e)(6) .................................................................................................. 05/31/11 3060–0436 ................ Equipment Authorization—Cordless Telephone Security Coding ...................... 06/30/09 3060–0439 ................ Sec. 64.201 ........................................................................................................ 10/31/10 3060–0441 ................ Sec. 90.621(b)(4) and (b)(5) .............................................................................. 09/30/09 3060–0454 ................ Secs. 43.51, 64.1001, and 64.1002 ................................................................... 08/31/11 3060–0463 ................ Telecommunications Relay Services and Speech-to-Speech Services for Indi-
viduals with Hearing and Speech Disabilities, Report and Order and De- claratory Ruling, CG Docket No. 03–123, FCC 07–186.
07/31/11
3060–0466 ................ Secs. 73.1201, 74.783, and 74.1283 ................................................................. 12/31/10 3060–0470 ................ Secs. 64.901 and 64.903, and RAO Letters 19 and 26 .................................... 02/28/11 3060–0473 ................ Sec. 74.1251 ...................................................................................................... 09/30/11 3060–0474 ................ Sec. 74.1263 ...................................................................................................... 02/28/09 3060–0484 ................ Part 4 of the Commission’s Rules Concerning Disruptions to Communications 02/28/11 3060–0489 ................ Sec. 73.37 .......................................................................................................... 01/31/10 3060–0496 ................ FCC Report 43–08 ............................................................................................. 03/31/10 3060–0500 ................ Sec. 76.1713 ...................................................................................................... 10/31/10 3060–0501 ................ Secs. 73.1942, 76.206 and 76.1611 .................................................................. 01/31/09 3060–0506 ................ FCC 302–FM ...................................................................................................... 04/30/09 3060–0508 ................ Part 1 and Part 22 Reporting and Recordkeeping Requirements ..................... 04/30/11 3060–0511 ................ FCC Report 43–04 ............................................................................................. 10/31/08 3060–0512 ................ FCC Report 43–01 ............................................................................................. 07/31/09 3060–0513 ................ FCC Report 43–03 ............................................................................................. 07/31/09 3060–0514 ................ Sec. 43.21(b) ...................................................................................................... 03/31/09 3060–0515 ................ Sec. 43.21(c) ...................................................................................................... 08/31/11 3060–0519 ................ Rules and Regulations Implementing the Telephone Consumer Protection Act
(TCPA) of 1991, Order, CG Docket No. 02–278. 11/30/10
3060–0526 ................ Sec. 69.123, Density Pricing Zone Plans, Expanded Interconnection with Local Telephone Company Facilities.
08/31/11
3060–0531 ................ Local Multipoint Distribution Service (LMDS) ..................................................... 01/31/10 3060–0532 ................ Secs. 2.1033(b)(10) and 15.121 ........................................................................ 12/31/08 3060–0537 ................ Sec. 13.217 ........................................................................................................ 04/30/11 3060–0546 ................ Sec. 76.59 .......................................................................................................... 03/31/09 3060–0548 ................ Secs. 76.1708, 76.1709, 76.1620, 76.56, and 76.1614 ..................................... 07/31/11 3060–0550 ................ FCC 328 ............................................................................................................. 09/30/11 3060–0560 ................ Sec. 76.911 ........................................................................................................ 07/31/10 3060–0561 ................ Sec. 76.913 ........................................................................................................ 11/30/09 3060–0562 ................ Sec. 76.916 ........................................................................................................ 04/30/10 3060–0565 ................ Sec. 76.944 ........................................................................................................ 12/31/09 3060–0567 ................ Sec. 76.962 ........................................................................................................ 12/31/10 3060–0568 ................ Secs. 76.970, 76.971 and 76.975 ...................................................................... 10/31/09 3060–0569 ................ Sec. 76.975 ........................................................................................................ 08/31/09 3060–0572 ................ Filing Manual for Annual International Circuit Status Reports ........................... 05/31/10 3060–0573 ................ FCC 394 ............................................................................................................. 06/30/09 3060–0580 ................ Sec. 76.1710 ...................................................................................................... 01/31/10 3060–0584 ................ FCC 44 and FCC 45 .......................................................................................... 04/30/09 3060–0589 ................ FCC 159, FCC 159–B, FCC 159–C, FCC 159–E, and FCC 159–W ................ 01/31/11 3060–0594 ................ FCC 1220 ........................................................................................................... 08/31/10 3060–0599 ................ Secs. 90.647 and 90.425 ................................................................................... 03/31/10 3060–0600 ................ FCC 175 ............................................................................................................. 11/30/09
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47 CFR Ch. I (10–1–10 Edition)§ 0.408
OMB Control No. FCC form number or 47 CFR section or part, docket number or title identi-fying the collection OMB expiration date
3060–0601 ................ FCC 1200 ........................................................................................................... 08/31/10 3060–0607 ................ Sec. 76.922 ........................................................................................................ 11/30/09 3060–0609 ................ Sec. 76.934(e) .................................................................................................... 10/31/10 3060–0625 ................ Sec. 24.103 ........................................................................................................ 04/30/10 3060–0626 ................ Sec. 90.483 ........................................................................................................ 12/31/10 3060–0627 ................ FCC 302–AM ...................................................................................................... 05/31/09 3060–0633 ................ Secs. 73.1230, 74.165, 74.432, 74.564, 74.664, 74.765, 74.832, and 74.1265 10/31/10 3060–0634 ................ Sec. 73.691 ........................................................................................................ 02/28/10 3060–0636 ................ Sec. 2.1075 ........................................................................................................ 04/30/09 3060–0645 ................ Sec. 17.4 ............................................................................................................ 04/30/09 3060–0647 ................ Annual Cable Price Survey and Supplemental Questions ................................ 08/31/09 3060–0649 ................ Secs. 76.1601, 76.1617, 76.1697 and 76.1708 ................................................. 12/31/10 3060–0652 ................ Secs. 76.309, 76.1602, 76.1603, and 76.1619 .................................................. 03/31/11 3060–0653 ................ Sec. 64.703(b) and (c) ....................................................................................... 04/30/11 3060–0655 ................ Request for Waivers of Regulatory and Application Fees Predicated on Alle-
gations of Financial Hardship. 05/31/10
3060–0665 ................ Sec. 64.707 ........................................................................................................ 10/31/10 3060–0667 ................ Secs. 76.630, 76.1621, and 76.1622 ................................................................. 03/31/11 3060–0668 ................ Sec. 76.936 ........................................................................................................ 12/31/10 3060–0669 ................ Sec. 76.946 ........................................................................................................ 02/28/11 3060–0674 ................ Sec. 76.1618 ...................................................................................................... 08/31/11 3060–0678 ................ FCC 312, Schedule S ........................................................................................ 03/31/10 3060–0681 ................ Secs. 52.103 and 52.105 ................................................................................... 10/31/09 3060–0685 ................ FCC 1210 and FCC 1240 .................................................................................. 04/30/09 3060–0686 ................ Streamlining the International Section 214 Authorization Process and Tariff
Requirements. 02/28/09
3060–0687 ................ Access to Telecommunications Equipment and Services by Persons with Dis- abilities, CC Docket No. 87–124.
05/31/09
3060–0688 ................ FCC 1235 ........................................................................................................... 11/30/10 3060–0690 ................ Sec. 101.17 ........................................................................................................ 09/30/09 3060–0691 ................ Sec. 90.665 ........................................................................................................ 07/31/10 3060–0692 ................ Home Wiring Provisions ..................................................................................... 03/31/10 3060–0695 ................ Sec. 87.219 ........................................................................................................ 01/31/09 3060–0698 ................ Secs. 23.20, 25.203, and 73.1030, Radio Astronomy Coordination Zone in
Puerto Rico. 11/30/10
3060–0700 ................ FCC 1275 ........................................................................................................... 07/31/10 3060–0703 ................ FCC 1205 ........................................................................................................... 04/30/09 3060–0704 ................ Policy and Rules Concerning the Interstate, Interexchange Marketplace; Im-
plementation of Section 254(g) of the Communications Act of 1934, as amended, CC Docket No. 96–61.
01/31/09
3060–0706 ................ Cable Act Reform ............................................................................................... Pending OMB Approval. 3060–0707 ................ Over-the Air Reception Devices (OTARD) ......................................................... 06/30/11 3060–0710 ................ Policy and Rules Concerning the Implementation of the Local Competition
Provisions in the Telecommunications Act of 1996—CC Docket No. 96–98. 02/28/10
3060–0711 ................ Secs. 1.5001, 1.5002, 1.5003, 1.5004, 1.5005, 1.5006 and 1.5007, Imple- mentation of Section 34(a)(1) of the Public Utility Holding Company Act of 1935.
10/31/09
3060–0713 ................ Alternative Broadcast Inspection Program (ABIP) Compliance Notification ...... 04/30/11 3060–0715 ................ Telecommunications Carriers’ Use of Customer Proprietary Network Informa-
tion (CPNI) and Other Customer Information—CC Docket No. 96–115. 07/31/11
3060–0716 ................ Secs. 73.88, 73.718, 73.685 and 73.1630 ......................................................... 11/30/09 3060–0717 ................ Secs. 64.703(a), 64.709, and 64.710 ................................................................. 06/30/11 3060–0718 ................ Part 101, Governing the Terrestrial Microwave Fixed Radio Service ............... 06/30/09 3060–0719 ................ Quarterly Report of IntraLATA Carriers Listing Payphone Automatic Number
Identifications (ANIs). 01/31/10
3060–0723 ................ Public Disclosure of Network Information by Bell Operating Companies (BOCs).
10/31/09
3060–0725 ................ Quarterly Filing of Nondiscrimination Reports (on Quality of Service, Installa- tion, and Maintenance) by Bell Operating Companies (BOCs).
08/31/09
3060–0727 ................ Sec. 73.213 ........................................................................................................ 01/31/10 3060–0734 ................ Secs. 53.209, 53.211 and 53.213; Sections 260 and 271–276 of the Commu-
nications Act of 1934, as amended. 07/31/11
3060–0737 ................ Disclosure Requirements for Information Services Provided Under a Presubscription or Comparable Arrangement.
06/30/09
3060–0740 ................ Sec. 95.1015 ...................................................................................................... 01/31/09 3060–0741 ................ Implementation of the Local Competition Provisions of the Telecommuni-
cations Act of 1996—CC Docket No. 96–98. 01/31/11
3060–0742 ................ Secs. 52.21, 52.22, 52.23, 52.24, 52.25, 52.26, 52.27, 52.28, 52.29, 52.30, 52.31, 52.32 and 52.33 and CC Docket No. 95–116.
11/30/08
3060–0743 ................ Implementation of the Pay Telephone Reclassification and Compensation Provisions of the Telecommunications Act of 1996—CC Docket No. 96– 128.
01/31/10
3060–0745 ................ Implementation of the Local Exchange Carrier Tariff Streamlining Provisions of the Telecommunications Act of 1996, CC Docket No. 96–187.
11/30/09
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3060–0748 ................ Sec. 64.1504 ...................................................................................................... 04/30/10 3060–0749 ................ Sec. 64.1509 ...................................................................................................... 04/30/10 3060–0750 ................ Secs. 73.671 and 73.673 ................................................................................... 07/31/11 3060–0751 ................ Reports Concerning International Private Lines Interconnected to the U.S.
Public Switched Network. 01/31/09
3060–0752 ................ Sec. 64.1510 ...................................................................................................... 04/30/10 3060–0754 ................ FCC 398 ............................................................................................................. 06/30/09 3060–0755 ................ Secs. 59.1, 59.2, 59.3 and 59.4 ......................................................................... 03/31/09 3060–0757 ................ FCC Auctions Customer Survey ........................................................................ 03/31/10 3060–0758 ................ Amendment of Part 5 of the Commission’s Rules to Revise the Experimental
Radio Service Regulations, ET Docket No. 96–256. 03/31/10
3060–0760 ................ Access Charge Reform, CC Docket No. 96–262 .............................................. Pending OMB Approval. 3060–0761 ................ Sec. 79.1 ............................................................................................................ 12/31/08 3060–0763 ................ FCC Report 43–06 ............................................................................................. 04/30/09 3060–0767 ................ Sections 1.2110, 1.2111, and 1.2112, Auction Forms and License Transfer
Disclosure Requirements. 04/30/11
3060–0768 ................ 28 GHz Band Segmentation Plan Amending the Commission’s Rules to Re- designate the 27.5—29.5 GHz Frequency Band, to Reallocate the 29.5— 30.0 GHz Frequency Band, and to Establish Rules and Policies for Local Multipoint Distribution Services (LMDS) and for the Fixed Satellite Service (FSS).
01/31/09
3060–0770 ................ Price Cap Performance Review for Local Exchange Carriers—CC Docket No. 94–1 (New Services).
11/30/08
3060–0773 ................ Sec. 2.803 .......................................................................................................... 02/28/10 3060–0774 ................ Parts 36 and 54, Federal-State Joint Board on Universal Service .................... 04/30/11 3060–0775 ................ Sec. 64.1903 ...................................................................................................... 01/31/10 3060–0779 ................ Amendment of Part 90 of the Commission’s Rules to Provide for Use of the
220 MHz Band by the Private Land Mobile Radio Service (PLMRS), PR Docket No. 89–552.
09/30/10
3060–0782 ................ Petition for Limited Modification of LATA Boundaries to Provide Expanded Local Calling Service (ELCS) at Various Locations.
11/30/09
3060–0783 ................ Sec. 90.176 ........................................................................................................ 01/31/09 3060–0786 ................ Petitions for LATA Association Changes by Independent Telephone Compa-
nies. 11/30/09
3060–0787 ................ Implementation of Subscriber Carrier Selection Changes Provisions of the Telecommunications Act of 1996; Policies and Rules Concerning Unauthor- ized Changes of Consumers’ Long Distance.
07/31/11
3060–0788 ................ DTV Showings/Interference Agreements ........................................................... 01/31/11 3060–0790 ................ Sec. 68.110(c) .................................................................................................... 10/31/09 3060–0791 ................ Accounting for Judgments and Other Costs Associated with Litigation, CC
Docket No. 93–240. 11/30/09
3060–0793 ................ Federal-State Joint Board on Universal Service, Procedures for Self-Certi- fying as a Rural Carrier, CC Docket No. 96–45.
09/30/11
3060–0795 ................ FCC 606 ............................................................................................................. 06/30/11 3060–0798 ................ FCC 601 ............................................................................................................. 12/31/10 3060–0799 ................ FCC 602 ............................................................................................................. 12/31/10 3060–0800 ................ FCC 603 ............................................................................................................. 01/31/11 3060–0804 ................ FCC 465, FCC 466, FCC 466–A, and FCC 467 ............................................... Pending OMB Approval. 3060–0805 ................ Secs. 90.523, 90.527, 90.545 and 90.1211 ....................................................... 07/31/11 3060–0806 ................ FCC 470 and FCC 471 ...................................................................................... 01/31/11 3060–0807 ................ Sec. 51.803 and Supplemental Procedures for Petitions to Section 252(e)(5)
of the Communications Act of 1934, as amended. 09/30/10
3060–0809 ................ Communications Assistance for Law Enforcement Act (CALEA) ...................... 01/31/11 3060–0810 ................ Procedures for Designation of Eligible Telecommunications Carriers (ETCs)
Pursuant to Section 214(e)(6) of the Communications Act of 1934, as amended.
09/30/09
3060–0812 ................ Exemption from Payment of Regulatory Fees When Claiming Non-Profit Sta- tus.
01/31/09
3060–0813 ................ Commission’s Rules to Ensure Compatibility with Enhanced 911 Calling Sys- tems.
02/28/09
3060–0814 ................ Sec. 54.301, Local Switching Support and Local Switching Support Data Col- lection Form and Instructions.
02/28/11
3060–0816 ................ FCC 477 ............................................................................................................. 06/30/11 3060–0817 ................ Computer III Further Remand Proceedings: BOC Provision of Enhanced
Services (ONA Requirements), CC Docket No. 95–20. 09/30/09
3060–0819 ................ Secs. 54.400, 54.401, 54.402, 54.403, 54.404, 54.405, 54.406, 54.407, 54.408, 54.409. 54.410, 54.411, 54.412, 54.413, 54.414, 54.415, 54.416 and 54.417, and FCC 497.
07/31/11
3060–0823 ................ Part 64, Pay Telephone Reclassification ........................................................... 06/30/11 3060–0824 ................ FCC 498 ............................................................................................................. 09/30/09 3060–0833 ................ Implementation of Section 255 of the Telecommunications Act of 1996: Com-
plaint Filings. 04/30/11
3060–0835 ................ FCC 806, FCC 824, FCC 827 and FCC 829 ..................................................... 04/30/09
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OMB Control No. FCC form number or 47 CFR section or part, docket number or title identi-fying the collection OMB expiration date
3060–0841 ................ Public Notice—Additional Processing Guidelines for DTV (Nonchecklist Appli- cations).
02/28/11
3060–0844 ................ Carriage of the Transmissions of Digital Television Broadcast Stations ........... 11/30/10 3060–0848 ................ Deployment of Wireline Services Offering Advanced Telecommunications Ca-
pability—CC Docket No. 98–147. 04/30/09
3060–0849 ................ Commercial Availability of Navigation Devices, CS Docket No. 97–80 ............ 06/30/10 3060–0850 ................ FCC 605 ............................................................................................................. 04/30/11 3060–0853 ................ FCC 479, FCC 486, and FCC 500 .................................................................... 04/30/10 3060–0854 ................ Truth-in-Billing Format, CC Docket No. 98–170 ................................................ Pending OMB Approval. 3060–0855 ................ FCC 499–A and FCC 499–Q ............................................................................. 09/30/10 3060–0856 ................ FCC 472, FCC 473, and FCC 474 .................................................................... 04/30/10 3060–0859 ................ Suggested Guidelines for Petitions for Ruling under Section 253 of the Com-
munications Act. 06/30/09
3060–0862 ................ Handling Confidential Information ...................................................................... 06/30/11 3060–0863 ................ Satellite Delivery of Network Signals to Unserved Households for Purposes
of the Satellite Home Viewer Act (SHVA). 04/30/09
3060–0865 ................ Wireless Telecommunications Bureau Universal Licensing System Record- keeping and Third-Party Disclosure Requirements.
07/31/10
3060–0874 ................ FCC 475B, FCC 2000 Series, FCC Form E ...................................................... 09/30/10 3060–0876 ................ Sec. 54.703 and Secs. 54.719, 54.720, 54.721, 54.722, 54.723, 54.724 and
54.725. 09/30/09
3060–0881 ................ Sec. 95.861 ........................................................................................................ 08/31/11 3060–0882 ................ Sec. 95.833 ........................................................................................................ 01/31/09 3060–0888 ................ Secs. 76.7, 76.9, 76.61, 76.914, 76.1003, 76.1302, and 76.1513 .................... 02/28/11 3060–0894 ................ Secs. 54.313 and 54.316 and Certification Letter Accounting for Receipt of
Federal Support and Rate Comparability Review and Certification. 09/30/10
3060–0895 ................ FCC 502 ............................................................................................................. 05/31/10 3060–0896 ................ Broadcast Auction Form Exhibits ....................................................................... 12/31/08 3060–0900 ................ Compatibility of Wireless Services with Enhanced 911—CC Docket No. 94–
102. 02/28/09
3060–0901 ................ Reports of Common Carriers and Affiliates ....................................................... 04/30/09 3060–0905 ................ Secs. 18.213 and 18.307 ................................................................................... 11/30/08 3060–0906 ................ FCC 317 ............................................................................................................. 05/31/09 3060–0910 ................ Third Report and Order in CC Docket No. 94–102 to Ensure Compatibility
with Enhanced 911 Emergency Calling Systems. 09/30/09
3060–0912 ................ Cable Attribution Rules ....................................................................................... 11/30/09 3060–0917 ................ FCC 160 ............................................................................................................. 03/31/10 3060–0918 ................ FCC 161 ............................................................................................................. 03/31/10 3060–0920 ................ FCC 318 ............................................................................................................. 06/30/11 3060–0921 ................ Petitions for LATA Boundary Modification for the Deployment of Advanced
Services. 09/30/09
3060–0922 ................ FCC 397 ............................................................................................................. 09/30/09 3060–0927 ................ Auditor’s Annual Independence and Objectivity Certification ............................ 04/30/09 3060–0928 ................ FCC 302–CA ...................................................................................................... 01/31/10 3060–0931 ................ Maritime Mobile Services Identity (MMSI) ......................................................... 06/30/09 3060–0932 ................ FCC 301–CA ...................................................................................................... 02/28/11 3060–0936 ................ Secs. 95.1215 and 95.1217 ............................................................................... 08/31/09 3060–0937 ................ Establishment of a Class A Television Service, MM Docket No. 00–10 ........... 09/30/10 3060–0938 ................ FCC 319 ............................................................................................................. 09/30/09 3060–0942 ................ Access Charge Reform, Price Cap Performance Review for Local Exchange
Carriers, Low-Volume Long Distance Users, Federal-State Joint Board on Universal Service.
03/31/10
3060–0943 ................ Sec. 54.809 ........................................................................................................ 10/31/09 3060–0944 ................ Review of Commission Consideration of Applications Under the Cable Land-
ing License Act. 03/31/09
3060–0949 ................ FCC 159–W ........................................................................................................ 03/31/10 3060–0950 ................ Bidding Credits for Tribal Lands, WT Docket No. 99–266 ................................ 09/30/10 3060–0951 ................ Sec. 1.1204(b) Note, and Sec. 1.1206(a) Note 1 .............................................. 01/31/10 3060–0952 ................ Proposed Demographic Information and Notifications, CC Docket Nos. 98–
147 and 96–98. 01/31/10
3060–0953 ................ Wireless Medical Telemetry Service, ET Docket No. 99–255, FCC 00–211 .... 04/30/10 3060–0955 ................ 2 GHz Mobile Satellite Service Reports ............................................................. 02/28/10 3060–0957 ................ Requests for Waiver of Deadline on Location-Capable Handset Deployment
(4th MO&O in CC Docket No. 94–102). 12/31/10
3060–0960 ................ Secs. 76.122, 76.123, 76.124 and 76.127 ......................................................... 04/30/11 3060–0962 ................ Redesignation of the 18 GHz Frequency Band, Blanket Licensing of Satellite
Earth Stations in the Ka-Band, and the Allocation of Additional Spectrum for Broadcast Satellite Service Use.
11/30/08
3060–0967 ................ Sec. 79.2 ............................................................................................................ 09/30/10 3060–0968 ................ FCC 501 ............................................................................................................. 09/30/10 3060–0971 ................ Sec. 52.15 .......................................................................................................... 01/31/11 3060–0972 ................ FCC 507, FCC 508 and FCC 509 ..................................................................... 01/31/11 3060–0973 ................ Sec. 64.1120(e) .................................................................................................. 10/31/10
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3060–0975 ................ Secs. 68.3 and 1.4000 ....................................................................................... 11/30/10 3060–0978 ................ Sec. 20.18, 911 Service, Fourth Report and Order ........................................... 04/30/09 3060–0979 ................ Spectrum Audit Letter ......................................................................................... 09/30/09 3060–0980 ................ Sec. 76.66, Satellite Home Viewer Extension and Reauthorization Act of
2004 (SHVERA) Rules, Local Broadcast Signal Carriage Issues and Re- transmission Consent Issues.
08/31/11
3060–0982 ................ Implementation of Low Power Television (LPTV) Digital Data Services Pilot Project.
11/30/10
3060–0984 ................ Secs. 90.35(b)(2) and 90.175(b)(1) .................................................................... 09/30/10 3060–0986 ................ FCC 525 ............................................................................................................. 07/31/11 3060–0987 ................ 911 Callback Capability: Non-initialized Phones ................................................ 10/31/08 3060–0989 ................ Secs. 63.01, 63.03 and 63.04 ............................................................................ 11/30/08 3060–0991 ................ AM Measurement Data ...................................................................................... 04/30/11 3060–0992 ................ Sec. 54.507(d)(1)–(4) ......................................................................................... 12/31/10 3060–0994 ................ Flexibility for Delivery of Communications by Mobile Satellite Service Pro-
viders in the 2 GHz Band, the L-Band, and the 1.6/2.4 GHz Band. 01/31/10
3060–0995 ................ Sec. 1.2105(c) .................................................................................................... 03/31/11 3060–0996 ................ AM Auction Section 307(b) Submissions ........................................................... 02/28/11 3060–0997 ................ Sec. 52.15(k) ...................................................................................................... 04/30/11 3060–0998 ................ Sec. 87.109 ........................................................................................................ 08/31/10 3060–0999 ................ Sec. 20.19 .......................................................................................................... 07/31/11 3060–1000 ................ Sec. 87.147 ........................................................................................................ 12/31/10 3060–1003 ................ Communications Disaster Information Reporting System (DIRS) ..................... 07/31/10 3060–1004 ................ Revision of the Commission’s Rules to Ensure Compatibility with Enhanced
911 Emergency Calling Systems. 09/30/09
3060–1005 ................ Numbering Resource Optimization—Phase 3 ................................................... 07/31/11 3060–1007 ................ Streamlining and Other Revisions of Part 25 of the Commission’s Rules ........ 07/31/10 3060–1008 ................ Reallocation and Service Rules for the 698–746 MHz Band (Television Chan-
nels 52–59). Pending OMB Approval.
3060–1009 ................ FCC 499–M ........................................................................................................ 01/31/09 3060–1013 ................ Mitigation of Orbital Debris ................................................................................. 03/31/11 3060–1014 ................ Ku-Band NGSO FSS .......................................................................................... 04/30/09 3060–1015 ................ Ultra Wideband Transmission Systems Operating Under Part 15 .................... 04/30/09 3060–1021 ................ Sec. 25.139 ........................................................................................................ 06/30/11 3060–1022 ................ Sec. 101.1403 .................................................................................................... 01/31/09 3060–1023 ................ Sec. 101.103 ...................................................................................................... 01/31/09 3060–1024 ................ Sec. 101.1413 .................................................................................................... 01/31/09 3060–1025 ................ Sec. 101.1440 .................................................................................................... 01/31/09 3060–1026 ................ Sec. 101.1417 .................................................................................................... 01/31/09 3060–1027 ................ Sec. 27.602 ........................................................................................................ 03/31/09 3060–1028 ................ International Signaling Point Code (ISPC) ......................................................... 05/31/11 3060–1029 ................ Data Network Identification Code (DNIC) .......................................................... 08/31/11 3060–1030 ................ Service Rules for Advanced Wireless Services (AWS) in the 1.7 GHz and 2.1
GHz Bands. 06/30/10
3060–1031 ................ Revision of the Commission’s Rules to Ensure Compatibility with Enhanced 911 Emergency Calling Systems—Petition of City of Richardson, TX; Order on Reconsideration II.
10/31/09
3060–1033 ................ FCC 396–C ......................................................................................................... 05/31/10 3060–1034 ................ Digital Audio Broadcasting Systems and Their Impact on the Terrestrial
Radio Broadcast Service. 12/31/10
3060–1035 ................ FCC 309, FCC 310 and FCC 311 ..................................................................... 01/31/09 3060–1036 ................ Potential Reporting Requirements on Local Exchange Carriers to Assist Ex-
peditious Implementation of Wireless E911 Service. 05/31/09
3060–1038 ................ Digital Television Transition Information Questionnaires ................................... 01/31/10 3060–1039 ................ FCC 620 and FCC 621 ...................................................................................... Pending OMB Approval. 3060–1040 ................ Broadcast Ownership Rules, Report and Order in MB Docket No. 02–777
and MM Docket Nos. 02–235, 02–327, and 00–244. 02/28/10
3060–1041 ................ Remedial Measures for Failure to Construct Digital Television Stations (DTV Policy Statement).
06/30/09
3060–1042 ................ Request for Technical Support—Help Request Form ....................................... 11/30/10 3060–1043 ................ Telecommunications Relay Services and Speech-to-Speech Services for Indi-
viduals with Hearing and Speech Disabilities, CC Docket No. 98–67. 03/31/11
3060–1044 ................ Review of the Section 251 Unbundling Obligations of Incumbent Local Ex- change Carriers, CC Docket No. 01–338, and WC Docket No. 04–313, FCC 04–290, Order on Remand.
03/31/10
3060–1045 ................ FCC 324 ............................................................................................................. 11/30/09 3060–1046 ................ Part 64, Pay Telephone Reclassification and Compensation Provisions of the
Telecommunications Act of 1996. 06/30/11
3060–1047 ................ Telecommunications Relay Services and Speech-to-Speech Services for Indi- viduals with Hearing and Speech Disabilities, Report and Order, CG Dock- et Nos. 03–123, FCC 05–203.
02/28/09
3060–1048 ................ Sec. 1.929(c)(1) .................................................................................................. 03/31/10 3060–1050 ................ Sec. 97.303 ........................................................................................................ 11/30/10
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OMB Control No. FCC form number or 47 CFR section or part, docket number or title identi-fying the collection OMB expiration date
3060–1053 ................ Sec. 64.604, Telecommunications Relay Services, and Speech-to-Speech Services for Individuals with Hearing and Speech Disabilities, Two-Line Captioned Telephone Order,....
05/31/10
3060–1054 ................ FCC 422–IB ........................................................................................................ 02/28/10 3060–1055 ................ FCC 423–IB ........................................................................................................ 02/28/10 3060–1056 ................ FCC 421–IB ........................................................................................................ 02/28/10 3060–1057 ................ FCC 420–IB ........................................................................................................ 02/28/10 3060–1058 ................ FCC 608 ............................................................................................................. 01/31/11 3060–1059 ................ Global Mobile Personal Communications by Satellite (GMPCS)/E911 Call
Centers. 01/31/11
3060–1060 ................ Wireless E911 Coordination Initiative Letter ...................................................... 10/31/10 3060–1061 ................ Earth Stations on Board Vessels (ESVs) ........................................................... 04/30/11 3060–1062 ................ Schools and Libraries Universal Service Support Mechanism—Notification of
Equipment Transfers. 07/31/10
3060–1063 ................ Global Mobile Personal Communications by Satellite (GMPCS) Authorization, Marketing and Importation Rules.
03/31/10
3060–1064 ................ Regulatory Fee Assessment True-Ups .............................................................. 06/30/11 3060–1065 ................ Sec. 25.701 ........................................................................................................ 06/30/10 3060–1066 ................ FCC 312–R ......................................................................................................... 03/31/10 3060–1067 ................ FCC 312–EZ ....................................................................................................... 05/31/10 3060–1069 ................ Rules and Policies Concerning Attribution of Joint Sales Agreements in Local
Television Markets, NPRM, MB Docket No. 94–246, FCC 04–173. 08/31/10
3060–1070 ................ Allocations and Service Rules for the 71–76 GHz, 81–86 GHz, and 92–95 GHz Bands.
12/31/08
3060–1078 ................ Rules and Regulations Implementing the Controlling the Assault of Non-Solic- ited Pornography and Marketing Act of 2003 (CAN–SPAM Act), CG Docket No. 04–53.
11/30/10
3060–1079 ................ Sec. 15.240, Radio Frequency Identification Equipment (RFID) ....................... 02/28/11 3060–1080 ................ Collections for the Prevention or Elimination of Interference and for the Re-
configuration of the 800 MHz Band. 08/31/11
3060–1081 ................ Federal-State Joint Board on Universal Service, CC Docket No. 96–45 .......... 10/31/08 3060–1083 ................ Secs. 64.1300 through 64.1340 ......................................................................... 06/30/11 3060–1084 ................ Rules and Regulations Implementing Minimum Customer Account Record
Obligations on All Local and Interexchange Carriers (CARE), CG Docket No. 02–386.
06/30/10
3060–1085 ................ Collection of Location Information, Provision of Notice and Reporting on Inter- connected Voice Over Internet Protocol (VoIP) E911 Compliance.
01/31/09
3060–1086 ................ Secs. 74.786, 74.787, 74.790, 74.794 and 74.796 ............................................ 07/31/11 3060–1087 ................ Section 15.615, Broadband Over Power Lines (BPL) ....................................... 07/31/11 3060–1088 ................ FCC 1088 Series ................................................................................................ 03/31/10 3060–1089 ................ Telecommunications Relay Services and Speech-to-Speech Services for Indi-
viduals with Hearing and Speech Disabilities; Emergency Access Notice of Proposed Rulemaking and IP Relay/VRS Fraud.....
10/31/10
3060–1092 ................ FCC 609–T and FCC 611–T .............................................................................. 01/31/11 3060–1094 ................ Licensing, Operation, and Transition of the 2500–2690 MHz Band .................. 10/31/09 3060–1095 ................ Surrenders of Authorization for International Carrier, Space Station and Earth
Station Licensees. 12/31/09
3060–1096 ................ Prepaid Calling Card Service Provider Certification, WC Docket No. 05–68 .... 02/28/10 3060–1098 ................ Rural Health Care Support Mechanism ............................................................. 03/31/10 3060–1100 ................ Sec. 15.117 ........................................................................................................ 09/30/10 3060–1101 ................ Children’s Television Requests for Preemption Flexibility ................................. 06/30/10 3060–1103 ................ Sec. 76.41 .......................................................................................................... 07/31/10 3060–1104 ................ Sec. 83.682(d) .................................................................................................... 03/31/11 3060–1105 ................ Digital TV Transition Report ............................................................................... 06/30/11 3060–1108 ................ Consummations of Assignments and Transfers of Control Authorization ......... 09/30/10 3060–1110 ................ Sunset of the Cellular Radiotelephone Service Analog Service Requirement
and Related Matters, MO&O, FCC 07–103. 10/31/10
3060–1111 ................ Sections 225 and 255, Interconnected Voice Over Internet Protocol (VoIP) Services.
01/31/11
3060–1112 ................ Comprehensive Review of the Universal Service Fund Management, Admin- istration, and Oversight.
01/31/11
3060–1114 ................ Information Needed in Requests for Waiver of June 26, 2008 Deadline for Rebanding Completion.
09/30/08
3060–1115 ................ Secs. 15.124, 27.20, 54.418, 73.674, and 76.1630 ........................................... Pending OMB Approval. 3060–1116 ................ Submarine Cable Reporting ............................................................................... 10/31/08 3060–1117 ................ Viewer Notification Requirements in the Third DTV Periodic Report and
Order, FCC 07–228. Pending OMB Approval.
3060–1118 ................ DTV Retailer Site Visit Program ......................................................................... 12/31/08 3060–1119 ................ Section 12.3, Information Collection Regarding Redundancy, Resiliency and
Reliability of 911 and E911 Networks and/or Systems as Set Forth in the Commission’s Rules.
08/31/11
3060–XXXX .............. Service Quality Measurement Plan for Interstate Special Access and Monthly Useage Reporting Requirements (272 Sunset Rulemaking).
Pending OMB Approval.
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Federal Communications Commission § 0.411
[73 FR 57544, Oct. 3, 2008]
§ 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 expe- diency and convenience to their clients or consumers. The policy is as follows:
(a) Blank FCC forms may be repro- duced 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 mar- gin(s).
(3) If the printer wishes to identify a foreign country in which the forms are printed, a marginal notation must be added stating ‘‘No U.S. Government funds were used to print this docu- ment.’’
(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 repro- duced is an edition currently accept- able by the Commission, which will en- deavor to keep the public advised of re- visions to its forms, but cannot assume responsibility to the extent of elimi- nating 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 appli- cation or report requirements. Re- quests for permission to submit such forms to the Commission should be ad- dressed to the Office of Managing Di- rector.
[53 FR 27861, July 25, 1988]
PRINTED PUBLICATIONS
§ 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 per- taining to communications are con- tained 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 per- taining to radio have been compiled in a single volume, Radio Laws of the United States (1962 ed.). See §§ 0.405 and 0.414.
(b) Regulatory materials—(1) The Code of Federal Regulations. The rules and regulations of the Commission are con- tained in chapter I of title 47 of the Code of Federal Regulations. Chapter I is divided into the following four sub- chapters, which may be purchased sep- arately: Subchapter A—General; Sub- chapter B—Common Carrier Services; Subchapter C—Broadcast Radio Serv- ices; and Subchapter D—Private Radio Services. Most persons will find that they need subchapter A, containing the general rules, and one of the other vol- umes, depending upon their area of in- terest. These four volumes are revised annually to reflect changes in the rules. See §§ 0.406, 0.412, and 0.415. The Code of Federal Regulations is fully in- dexed 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 ex- cept on legal holidays. Notices of pro- posed rule making, other rule making documents, statements of general pol- icy, interpretations of general applica- bility, and other Commission docu- ments having general applicability and legal effect are also published in the FEDERAL REGISTER. Summaries of the full Notices of proposed rule making
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47 CFR Ch. I (10–1–10 Edition)§ 0.413
and other rule making decisions adopt- ed by the Commission constitute rule- making documents for purposes of FED- ERAL REGISTER publication. The FED- ERAL 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]
§ 0.413 The Commission’s printed pub- lications.
The Commission’s printed publica- tions are described in §§ 0.414 through 0.420. These publications may be pur- chased from the Superintendent of Documents, U.S. Government Printing Office, Washington, DC 20402.
[64 FR 60722, Nov. 8, 1999]
§ 0.414 The Communications Act and other statutory materials.
This publication, with packets of re- vised pages, contains the Communica- tions Act of 1934, with amendments through 1964; the Administrative Pro- cedure Act, with amendments through 1964; the Judicial Review Act; the Com- munications Satellite Act of 1962; and selected sections of the Criminal Code pertaining to communications. It also contains indexes to the Communica- tions Act and the Administrative Pro- cedure Act. Persons who do not have ready access to the United States Code, or who refer frequently to these mate- rials, may find this volume to be use- ful.
[32 FR 10571, July 19, 1967]
§ 0.415 The rules and regulations (looseleaf service).
(a) In this service, the rules are di- vided into 10 volumes, each containing several related parts. Each volume may be purchased separately from the Su- perintendent of Documents. The pur- chase price for a volume includes a sub- scription to replacement pages reflect- ing changes in the rules contained therein until such time as the volume is revised. Each volume is revised peri- odically, depending primarily on the frequency with which the rules it con- tains have been amended. When a vol- ume is revised, the revised volume and replacement pages therefor will be fur- nished to those who renew their sub- scriptions.
(b) [Reserved]
[41 FR 21449, May 26, 1976, as amended at 45 FR 49935, July 28, 1980; 51 FR 31304, Sept. 2, 1986]
§ 0.416 The Federal Communications Commission Record.
Texts adopted by the Commission or a member of its staff on delegated au- thority and released through the Office of Media Relations are published in the FCC Record. The FCC Record is pub- lished biweekly in pamphlet form. The pamphlets are available on a subscrip- tion basis from the Superintendent of Documents. Each biweekly pamphlet contains a table of contents and cur- rent index. A consolidated index is pub- lished on a periodic basis.
[64 FR 60722, Nov. 8, 1999]
§ 0.417 The Annual Reports. At the end of each fiscal year, the
Commission publishes an Annual Re- port containing general information concerning the Commission and the history of regulation, a summary of de- velopments during the year, and se- lected industry statistics.
[32 FR 10571, July 19, 1967]
§ 0.420 Other Commission publica- tions.
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 Pro- curement 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
§ 0.421 Application forms. All forms for use in submitting appli-
cations for radio authorization, to- gether with instructions and informa- tion as to filing such forms, may be ob- tained at the Washington offices of the Commission or at any of the field of- fices listed in § 0.121. For information
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Federal Communications Commission § 0.441
concerning the forms to be used and fil- ing requirements, see subparts D, E, F, and G, of part 1 of this chapter and the appropriate substantive rules.
[40 FR 17254, Apr. 18, 1975]
§ 0.422 Current action documents and public notices.
Documents adopted by the Commis- sion, 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 Commis- sion’s duplicating contractor.
[64 FR 60722, Nov. 8, 1999]
§ 0.423 Information bulletins.
Information bulletins and fact sheets containing information about commu- nications issues and the Federal Com- munications Commission are available on the Commission’s web site at www.fcc.gov, ftp.fcc.gov or may be re- quested from the Consumer and Gov- ernmental Affairs Bureau.
[64 FR 60722, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002]
LISTS CONTAINING INFORMATION COMPILED BY THE COMMISSION
§ 0.431 The FCC service frequency lists.
Lists of frequency assignments to radio stations authorized by the Com- mission are recapitulated periodically by means of an automated record sys- tem. All stations licensed by the Com- mission are included, except the fol- lowing: Aircraft, amateur, personal (except General Mobile Radio Service), Civil Air Patrol, and disaster. The re- sulting documents, the FCC service fre- quency lists, consist of several volumes arranged by nature of service, in fre- quency order, including station loca- tions, call signs and other technical particulars of each assignment. These documents are available for public in- spection in Washington, D.C., in the Of- fice of Engineering and Technology. Copies may be purchased from the Commission’s duplicating contractor. See § 0.465(a).
[64 FR 60722, Nov. 8, 1999]
§ 0.434 Data bases and lists of author- ized broadcast stations and pending broadcast applications.
Periodically the FCC makes avail- able copies of its data bases and lists containing information about author- ized broadcast stations, pending appli- cations for such stations, and rule- making proceedings involving amend- ments to the TV and FM Table of Al- lotments. The data bases, and the lists prepared from the data bases, contain frequencies, station locations, and other particulars. The lists are avail- able for public inspection at the FCC’s Reference Information Center at 445 12th Street, SW., Washington, DC. Paper copies of the lists may be pur- chased from the FCC’s duplicating con- tractor; see § 0.465(a). Many of the data- bases may be viewed at the Commis- sion’s web site at www.fcc.gov and ftp.fcc.gov under mass media services. Microfiche copies of these lists are maintained by the Reference Informa- tion Center. These lists are derived from the data bases and can be used as an alternative research source to the Broadcast Application Processing Sys- tem (BAPS).
[64 FR 60722, Nov. 8, 1999]
PUBLIC INFORMATION AND INSPECTION OF RECORDS
SOURCE: 74 FR 14078, Mar. 30, 2009, unless otherwise noted.
§ 0.441 General.
(a) Any person desiring to obtain in- formation from the Commission may do so by contacting the Consumer and Governmental Affairs Bureau (CGB). Requests for information and general inquiries may be submitted by:
(1) Internet at http://www.fcc.gov/cgb/ fccinfo or http://www.fcc.gov/foia.
(2) Telephone at 1–888–CALL–FCC (1– 888–225–5322).
(3) TDD/TDY at 1–888–TELL–FCC (1– 888–835–5322).
(4) Correspondence to: Consumer and Governmental Affairs Bureau, 445 12th Street, SW., Washington, DC 20554.
(5) Visiting the Reference Informa- tion Center of the Consumer and Gov- ernmental Affairs Bureau at Room CY– A257 of the Commission’s main office
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47 CFR Ch. I (10–1–10 Edition)§ 0.442
at 445 12th Street, SW., Washington, DC 20554.
(6) Facsimile at 1–866–418–0232. (7) Contacting the Commission’s
Copy Contractor, see § 0.465(a). (b) The Commission’s FOIA Public
Liaison is available to assist any per- son requesting information from the Commission in resolving any concerns related to a Freedom of Information Act request. See http://www.fcc.gov/foia/ .
§ 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 gen- erally governed by the Paperwork Re- duction Act, 44 U.S.C. 3510, rather than the Freedom of Information Act. The acceptance of materials in confidence under § 0.457 or § 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 § 0.457(c)(2) and (3), (d) and (g) or § 0.459, or any other statute, rule or order, may be disclosed to other agencies of the Federal government upon request or upon the Commission’s own motion, provided:
(1) Specific Commission assurances against such disclosure have not been given;
(2) The other agency has established a legitimate need for the information;
(3) Disclosure is made subject to the provisions of 44 U.S.C. 3510(b); and
(4) Disclosure is not prohibited by the Privacy Act or other provisions of law.
(c) The Commission’s staff may give assurances against disclosure of infor- mation to other Federal agencies only with the prior written approval of the General Counsel. In no event will as- surance against disclosure to other agencies be given in advance of submis- sion of the information to the Commis- sion if submission is required by stat- ute or by the provisions of this chap- ter; but the notice provisions of para- graph (d) of this section will apply to such required submissions.
(d)(1) Except as provided in para- graphs (d)(2) and (d)(3) of this section, a party who furnished records to the
Commission with a request for con- fidential treatment, see § 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 satis- faction of the Commission that notice to the party who furnished the records to the Commission will interfere un- duly with its law enforcement, na- tional security or homeland defense ac- tivities and further states that it will notify that party of the Commission’s disclosure once the potential for such interference is eliminated, the Com- mission will not give notice of disclo- sure.
(3) A party who furnished records to the Commission in confidence will not be afforded prior notice when the dis- closure 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 Comp- troller 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 rul- ing 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.
§ 0.445 Publication, availability and use of opinions, orders, policy state- ments, interpretations, administra- tive manuals, and staff instructions.
(a) Adjudicatory opinions and orders of the Commission, or its staff acting on delegated authority, are sent to the parties by mail, delivery service, or e- mail, unless the Commission deter- mines that individual delivery would be unduly burdensome and instead issues a public notice of its decision. As
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Federal Communications Commission § 0.451
part of the record, these documents are generally available for inspection in accordance with § 0.453 and § 0.455. In addition, many adjudicatory orders and opinions are available on the Commis- sion’s Web site, http://www.fcc.gov. In appropriate circumstances, the Com- mission may redact the copy made available to the public in order to pro- tect information not routinely avail- able to the public under § 0.457, which is treated confidentially pursuant to a re- quest under § 0.459, or which is con- fidential pursuant to other statutes, regulations or orders.
(b) Texts adopted by the Commission or a member of its staff on delegated authority and released through the Of- fice of Media Relations are published in the FCC Record. Older materials of this nature are available in the FCC Re- ports. In the event that such older ma- terials 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 com- plete text of the Commission decision also is released by the Commission and is available for inspection and copying during normal business hours in the Of- fice of Media Relations, the Reference Information Center, via the Electronic Comment Filing System (ECFS), or as otherwise specified in the rulemaking document published in the FEDERAL REGISTER. The complete texts of rule- making decisions may also be pur- chased from the Commission’s copy contractor.
(d) Formal policy statements and in- terpretations designed to have general applicability are published in the FED- ERAL REGISTER, the FCC Record, FCC Reports, or Pike and Fischer Commu- nications Regulation. Commission de- cisions and other Commission docu- ments not entitled formal policy state- ments or interpretations may contain substantive interpretations and state- ments regarding policy, and these are published as part of the document in the FCC Record, FCC Reports or Pike and Fischer Communications Regula- tion. General statements regarding pol- icy and interpretations furnished to in-
dividuals, in correspondence or other- wise, are not ordinarily published.
(e) If the documents described in paragraphs (a) through (d) of this sec- tion are published in the FEDERAL REG- ISTER, 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 pri- vate parties in any manner. If they are not so published, they may not be re- lied upon, used or cited as precedent, except against persons who have actual notice of the document in question or by such persons against the Commis- sion. 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 pub- lished as provided in this paragraph. Nothing in this paragraph, however, shall be construed as precluding a ref- erence to a recent document that is pending publication.
(f) Subparts A and B of this part de- scribe 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 limita- tions 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 privi- leged and/or protected and are not pub- lished or made available for public in- spection.
(g) To the extent required to prevent a clearly unwarranted invasion of per- sonal privacy, or to prevent disclosure of information required or authorized to be withheld by another statute, the Commission may delete identifying de- tails 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.
§ 0.451 Inspection of records: Gen- erally.
(a) Records which are routinely avail- able for public inspection. Sections 0.453 and 0.455 list those Commission records which are routinely available for pub- lic inspection and the places at which
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47 CFR Ch. I (10–1–10 Edition)§ 0.453
those records may be inspected. Proce- dures governing requests for inspection of such records are set out in § 0.460.
(b) Records which are not routinely available for public inspection. Records which are not listed in § 0.453 or § 0.455 are not routinely available for public inspection. Such records fall into two categories.
(1) The first category consists of those records or kinds of records listed in § 0.457 and of particular records with- held from public inspection under § 0.459. The Commission has determined that there is a statutory basis for with- holding these records from public in- spection. In some cases, the Commis- sion is prohibited from permitting the inspection of records. In other cases, the records are the property of another agency, and the Commission has no au- thority to permit their inspection. In still other cases, the Commission is au- thorized, for reason of policy, to with- hold records from inspection, but is not required to do so.
(2) The second category consists of records that are not listed in § 0.453, § 0.455, or § 0.457 and have not been with- held from inspection under § 0.459. In some cases, these records have not been identified for listing. In other cases (e.g., the general correspondence files), the Commission is unable to de- termine either that all records in a class should be routinely available for inspection or that all records in that class should not be routinely available for inspection, and individualized de- termination is required.
(3) Procedures governing requests for inspection of these records are set forth in § 0.461.
(4) Procedures governing demands by competent authority for inspection of these records are set forth in § 0.463.
(5) Except as provided in §§ 0.461 and 0.463, or pursuant to § 19.735–203 of this chapter, no officer or employee of the Commission shall permit the inspec- tion of records which are not routinely available for public inspection under § 0.453 or § 0.455, or disclose information contained therein.
(c) Copies. Section 0.465 applies to re- quests for copies of Commission records which are routinely available for public inspection under § 0.453 and § 0.455 and those which are made avail-
able for inspection under § 0.461. Sec- tions 0.467 and 0.465(c)(3) apply to re- quests for certified copies of Commis- sion records.
(d) Search and copying fees. Section 0.465(c)(2) prescribes the per page fee for copying records made available for inspection under § 0.460 or § 0.461. Sec- tion 0.466 prescribes fees to cover the expense of searching for and reviewing records made available for inspection under § 0.460 or § 0.461. Review of initial fee determinations under §§ 0.467 through 0.470 and initial fee reduction or waiver determinations under § 0.470(e) may be sought under § 0.461(j).
NOTE TO PARAGRAPH (d): The Commission may require advance payment pursuant to § 0.469 before releasing documents.
§ 0.453 Public reference rooms. The Commission maintains the FCC
Reference Information Center as its public reference room at its offices in Washington, DC. Much of the informa- tion available from the public ref- erence room may also be retrieved from the Commission’s main Web site at http://www.fcc.gov and its electronic reading room at http://www.fcc.gov/foia/ e-room.html:
(a) The Reference Information Center. Maintains files containing the record of all docketed cases, petitions for rule making and related papers. A file is maintained for each docketed hearing case and for each docketed rule making proceeding. Cards summarizing the his- tory of such cases for the years before 1984 are available for inspection. Infor- mation summarizing the history of such cases for the years from 1984 through present is available online on the Electronic Comment Filing System (ECFS).
(b) Broadcast Services. The following files and documents are available, in- cluding:
(1) Applications for radio and tele- vision broadcast station construction permits, licenses, modifications of fa- cilities, license renewal, assignments and transfer of control, including any Commission correspondence or rulings pertaining to those applications;
(2) Petitions to deny, informal objec- tions, and complaints directed against the stations and/or station applica- tions;
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(3) Ownership reports filed by licens- ees pursuant to § 73.3615 of this chapter;
(4) Television network application contracts, radio and television time brokerage agreements, and other docu- ments required to be filed under § 73.3613 of this chapter;
(5) Children’s television program- ming reports filed by commercial tele- vision licensees pursuant to § 73.3526 of this chapter;
(6) Annual DTV ancillary/supple- mentary services reports filed by com- mercial and non-commercial edu- cational digital television licensees pursuant to § 73.624 of this chapter;
(7) Station requests for declaratory rulings, special temporary authoriza- tions, and other waivers;
(8) Annual employment reports filed by licensees and permittees of broad- cast stations pursuant to § 73.3612 of this chapter; and.
(9) Responses from licensees to ran- dom audits of their Equal Employment Opportunity programs conducted pur- suant to § 73.2080 of this chapter.
(c) Common Carrier Services, including: (1) Annual reports filed by carriers
under § 43.21 of this chapter; (2) Reports of proposed changes in de-
preciation rates filed by carriers under § 43.43 of this chapter;
(3) Rate-of-return reports filed by price-cap and rate-of-return incumbent local exchange carriers under § 65.600 of this chapter;
(4) All applications for common car- rier authorizations acted upon by the Enforcement Bureau, and related files;
(5) All formal and informal com- plaints against common carriers filed under § 1.711 through § 1.735 of this chapter, all documents filed in connec- tion therewith, and all communica- tions related thereto;
(6) Annual employment reports filed by common carrier licensees or permit- tees pursuant to § 1.815 of this chapter;
(7) Enforcement proceedings and pub- lic inquiries and related materials;
(8) Cost Allocation Manuals and re- lated materials;
(9) Currently effective tariffs filed by Communications Common Carriers pursuant to various FCC Rules and Regulations; and
(10) Recent revisions to tariff filings and the Reference Information Center
Log, which is prepared daily and lists the tariff filings received the previous day.
(d) Wireless Telecommunications Serv- ices and Auction related data including:
(1) Pending files containing applica- tions for additional facilities or modi- fications of existing facilities;
(2) Cellular and Paging Granted Sta- tion files and related materials;
(3) Pending cellular and paging appli- cations and related files;
(4) Electronically stored application and licensing data for commercial radio operators and for all authoriza- tions in the Wireless Radio services are available for public inspection via the Commission’s Web site, http://wire- less.fcc.gov/uls. Wireless Radio services include Commercial and Private Mo- bile Radio, Common Carrier and Pri- vate Operational Field point-to-point Microwave, Local Television Trans- mission Service (LTTS), Digital Elec- tronic Message Service (DEMS), Avia- tion Ground and Marine Coast applica- tions; and
(5) Petitions and related materials. (e) International Services as follows,
except to the extent they are excluded from routine public inspection under another section of this chapter:
(1) Satellite and earth station appli- cations files and related materials under part 25 of this chapter;
(2) Section 214 applications and re- lated files under part 63 of this chapter, to the extent that they concern inter- national communications facilities and services;
(3) International Fixed Public Radio applications and related files under part 23 of this chapter;
(4) Files relating to submarine cable landing licenses and applications for such licenses since June 30, 1934, except for maps showing the exact location of submarine cables, which are withheld from inspection under sec. 4(j) of the Communications Act, 47 U.S.C. 154(j) (see § 0.457(c)(1)(i));
(5) International broadcast applica- tions, applications for permission to deliver programming to foreign sta- tions, and related files under part 73 of this chapter; and
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(6) Contracts and other arrangements filed under § 43.51 of this chapter, ex- cept for those that are filed with a re- quest for confidential treatment (see § 0.459) or are deemed confidential pur- suant to sec. 412 of the Communica- tions Act (see also § 0.457(c)(3)).
(f) Cable and other Multichannel Video Program Distribution Services. The fol- lowing files and records are available, including:
(1) Complaints regarding multi- channel video programming, all docu- ments filed in connection therewith, and all communications related there- to, unless the cable operator has sub- mitted a request pursuant to § 0.459 that such information not be made rou- tinely available for public inspection;
(2) Special relief petitions and files pertaining to cable television oper- ations;
(3) Special relief petitions and files pertaining to DBS television oper- ations;
(4) Petitions and related documents concerning the enforcement of regula- tions governing the installation of over-the-air reception devices (OTARD) pursuant to § 1.4000 of this chapter;
(5) Filings by cable television opera- tors, including Cable Signal Leakage Reports (Form 320 and § 76.1804 of this chapter), Cable System Registration Statements (§ 76.1801 of this chapter), Cable System Operator Changes (§ 76.1610 of this chapter), Cable Aero- nautical Frequency Notifications (§ 76.1804 of this chapter), Cable Annual Report (Form 325 and § 76.403 of this chapter), and filings related to CARS licenses (part 78 of this chapter).
NOTE TO PARAGRAPH (f)(5): This data also is available at http://www.fcc.gov/coals. Elec- tronic submissions for cable filings (exclud- ing CARS) are mandatory. Original forms are not available for information filed elec- tronically, but the Reference Information Center or the Commission’s Copy Contractor may assist in producing paper copies of in- formation found in the COALS database;
(6) Annual employment reports filed by multichannel video programming distributors pursuant to § 76.1802 of this chapter; and
(7) Responses from multichannel video programming distributors to ran- dom audits of their Equal Employment
Opportunity programs conducted pur- suant to § 76.77 of this chapter.
§ 0.455 Other locations at which records may be inspected.
Except as provided in §§ 0.453, 0.457, and 0.459, records are routinely avail- able for inspection in the Reference In- formation Center or the offices of the Bureau or Office which exercises re- sponsibility over the matters to which those records pertain (see § 0.5), or will be made available for inspection at those offices upon request. Upon in- quiry to the appropriate Bureau or Of- fice, persons desiring to inspect such records will be directed to the specific location at which the particular records may be inspected. Examples of the records available from Bureaus and Offices are set forth in paragraphs (a) through (c).
(a) Media Bureau. (1) Rulings under secs. 312(a)(7), 315, and 317 of the Com- munications Act of 1934, as amended;
(2) All materials associated with a rate proceeding for basic cable service and associated equipment over which the Commission has assumed jurisdic- tion pursuant to § 76.913 of this chapter;
(3) All materials associated with Commission review of franchise au- thority decisions concerning the rate charged for the basic cable service tier and associated equipment pursuant to § 76.944 of this chapter;
(4) All materials associated with local government requests for author- ization to regulate basic cable rates pursuant to § 76.910 of this chapter (Form 328);
(5) All materials associated with the certification of Open Video System (OVS) operators pursuant to § 76.1502 of this chapter;
(6) A list of all registered cable com- munities is maintained electronically at http://www.fcc.gov/mb; and
(7) Public notices issued related to CARS licenses, Cable Special Relief Pe- titions, and other filings are available electronically at http://www.fcc.gov/ DocumentlIndexes/Media/.
(b) Office of Managing Director. (1) All minutes of Commission actions, con- taining a record of all final votes, min- utes of actions and internal manage- ment matters as provided in § 0.457(b)(1) and (c)(1)(i). These records and files are
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available for inspection in the Office of the Secretary.
(2) Files containing information con- cerning the history of the Commis- sion’s rules. These files are available for inspection in the Office of the Sec- retary.
(3) Reports filed by employees pursu- ant to 5 CFR Parts 2634 and 3902 and applications for inspection of such re- ports. See § 0.460(k).
(c) International Bureau. (1) The trea- ties and other international and bilat- eral agreements listed in § 73.1650 of this chapter are available for inspec- tion in the office of the Chief, Stra- tegic Analysis and Negotiations Divi- sion, International Bureau.
(2) Contracts and other arrangement filed under § 43.51 of this chapter and reports of negotiations regarding for- eign communication matters filed under § 43.52 of this chapter, except those kept confidential pursuant to sec. 412 of the Communications Act. See § 0.457(c)(3).
(3) Files relating to international set- tlements under part 64 of this chapter.
§ 0.457 Records not routinely available for public inspection.
The records listed in this section are not routinely available for public in- spection 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 with- holding and disclosure of records in that category are briefly outlined. Ex- cept where the records are not the property of the Commission or where the disclosure of those records is pro- hibited by law, the Commission will en- tertain requests from members of the public under § 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 permit- ting inspection in the light of the facts of the particular case. In making such requests, there may be more than one basis for withholding particular records from inspection. The listing of records by category is not intended to
imply the contrary but is solely for the information and assistance of persons making such requests. Requests to in- spect or copy the transcripts, record- ings or minutes of closed agency meet- ings will be considered under § 0.607 rather than under the provisions of this section.
(a) Materials that are specifically au- thorized under criteria established by Ex- ecutive 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, includ- ing materials classified under E.O. 10450, ‘‘Security Requirements for Gov- ernment Employees’’; E.O. 10501, as amended, ‘‘Safeguarding Official Infor- mation in the Interests of the Defense of the United States’’; and E.O. 12958, ‘‘Classified National Security Informa- tion,’’ or any other executive order concerning the classification of records. See also 47 U.S.C. 154(j).
(2) Materials referred to another Fed- eral agency for classification will not be disclosed while such a determina- tion is pending.
(b) Materials that are related solely to the internal personnel rules and practices of the Commission, 5 U.S.C. 552(b)(2). (1) Materials related solely to internal management matters, including min- utes of Commission actions on such matters (see paragraph (f) of this sec- tion).
(2) Materials relating to the negotia- tion of contracts.
(c) Materials that are specifically ex- empted 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 with- held from the public in such a manner as to leave no discretion on the issue, or es- tablishes particular criteria for with- holding or refers to particular types of materials to be withheld). The Commis- sion is authorized under the following statutory provisions to withhold mate- rials from public inspection.
(1) Section 4(j) of the Communica- tions Act, 47 U.S.C. 154(j), provides, in part, that, ‘‘The Commission is author- ized to withhold publication of records
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or proceedings containing secret infor- mation affecting the national defense.’’ Pursuant to that provision, it has been determined that the following mate- rials should be withheld from public in- spection (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 Commu- nications Act, 47 U.S.C. 213(f), the Com- mission is authorized to order, with the reasons therefor, that records and data pertaining to the valuation of the prop- erty of common carriers and furnished to the Commission by the carriers pur- suant to the provisions of that section, shall not be available for public inspec- tion. If such an order has been issued, the data and records will be withheld from public inspection, except under the provisions of § 0.461. Normally, how- ever, such data and information is available for inspection.
(3) Under sec. 412 of the Communica- tions Act, 47 U.S.C. 412, the Commis- sion may withhold from public inspec- tion certain contracts, agreements and arrangements between common car- riers 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 publi- cation would place American commu- nication 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 § 0.461.
(4) Section 605 of the Communica- tions Act, 47 U.S.C. 605(a), provides, in part, that, ‘‘no person not being au- thorized by the sender shall intercept any communication [by wire or radio] and divulge or publish the existence, contents, substance, purport, effect, or meaning of such intercepted commu-
nications to any person.’’ In executing its responsibilities, the Commission regularly monitors radio trans- missions. Except as required for the en- forcement of the communications laws, treaties and the provisions of this chapter, or as authorized in sec. 605, the Commission is prohibited from di- vulging information obtained in the course of these monitoring activities; and such information, and materials relating thereto, will not be made available for public inspection.
(5) Section 1905 of the federal crimi- nal code, the Trade Secrets Act, 18 U.S.C. 1905, prohibits the unauthorized disclosure of certain confidential infor- mation. See paragraph (d) of this sec- tion and § 19.735–203 of this chapter.
(d) Trade secrets and commercial or fi- nancial information obtained from any person and privileged or confidential— categories of materials not routinely avail- able for public inspection, 5 U.S.C. 552(b)(4) and 18 U.S.C. 1905. (1) The ma- terials 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 § 0.459. A persua- sive showing as to the reasons for in- spection will be required in requests submitted under § 0.461 for inspection of such materials.
(i) Financial reports submitted by radio or television licensees.
(ii) Applications for equipment au- thorizations (type acceptance, type ap- proval, certification, or advance ap- proval of subscription television sys- tems), and materials relating to such applications, are not routinely avail- able 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 appli- cant. 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 § 0.460). Portions of
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applications for equipment certifi- cation of scanning receivers and re- lated materials will not be made avail- able for inspection.
(iii) Information submitted in con- nection 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 traf- fic, including the method for allocating return traffic, if the U.S. international route is exempt from the international settlements policy under § 43.51(e)(3) of this chapter.
(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 be- tween the Commission and the ITU re- lated to the international coordination process, and
(B) Documents prepared in connec- tion with coordination, notification, and recording of frequency assignments and Plan modifications, including but not limited to minutes of meetings, supporting exhibits, supporting cor- respondence, and documents and cor- respondence prepared in connection with operator-to-operator arrange- ments.
NOTE TO PARAGRAPH (d): The content of the communications described in paragraph (d)(1)(vii)(A) of this section is in some cir- cumstances separately available through the ITU’s publication process, or through records available in connection with the Commis- sion’s licensing procedures.
(2) Unless the materials to be sub- mitted 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 § 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 mate- rials will not be made routinely avail- able for inspection; and a persuasive showing as to the reasons for inspec- tion will be required in requests for in- spection submitted under § 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 rou- tinely available for public inspection.
(e) Interagency and intra-agency memo- randa or letters, 5 U.S.C. 552(b)(5). Inter- agency 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 inspec- tion, except in accordance with the procedures set forth in § 0.461. Normally such papers are privileged and not available to private parties through the discovery process, since their dis- closure would tend to restrain the com- mitment of ideas to writing, would tend to inhibit communication among Government personnel, and would, in some cases, involve premature disclo- sure of their contents.
(f) Personnel, medical and other files whose disclosure would constitute a clear- ly unwarranted invasion of personal pri- vacy, 5 U.S.C. 552(b)(6). Under E.O. 10561, the Commission maintains an Official Personnel Folder for each of its em- ployees. Such folders are under the ju- risdiction and control, and are a part of the records, of the U.S. Office of Per- sonnel Management. Except as pro- vided in the rules of the Office of Per- sonnel Management (5 CFR 293.311), such folders will not be made available for public inspection by the Commis- sion. In addition, other records of the Commission containing private, per- sonal or financial information con- cerning particular employees and Com- mission contractors will be withheld from public inspection.
(g) Under 5 U.S.C. 552(b)(7), records compiled for law enforcement purposes, to the extent that production of such records:
(1) Could reasonably be expected to interfere with enforcement pro- ceedings;
(2) Would deprive a person of a right to fair trial or an impartial adjudica- tion;
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(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 tech- niques or procedures or would disclose investigative guidelines if such disclo- sure 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.
§ 0.458 Nonpublic information. Any person regulated by or prac-
ticing before the Commission coming into possession of written nonpublic in- formation (including written material transmitted in electronic form) as de- scribed in § 19.735–203(a) of this chapter under circumstances where it appears that its release was inadvertent or oth- erwise unauthorized shall be obligated to and shall promptly return the infor- mation to the Commission’s Office of Inspector General without further dis- tribution or use. See 47 CFR 19.735–203.
§ 0.459 Requests that materials or in- formation submitted to the Commis- sion be withheld from public in- spection.
(a)(1) Any person submitting infor- mation or materials to the Commission may submit therewith a request that such information not be made rou- tinely available for public inspection. (If the materials are specifically listed in § 0.457, such a request is unneces- sary.) A copy of the request shall be at- tached to and shall cover all of the ma- terials to which it applies and all cop- ies 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 con- fidential treatment is sought only for a portion of a document, the person sub- mitting the document shall submit a redacted version for the public file.
(2) Comments and other materials may not be submitted by means of the Commission’s Electronic Comment Fil-
ing System (ECFS) with a request for confidential treatment under this sec- tion.
(3) The Commission may use abbre- viated means for indicating that the submitter of a record seeks confiden- tial treatment, such as a checkbox ena- bling the submitter to indicate that the record is confidential. However, upon receipt of a request for inspection of such records pursuant to § 0.461, the submitter will be notified of such re- quest pursuant to § 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 § 0.459(a)(3), each such request shall contain a state- ment of the reasons for withholding the materials from inspection (see § 0.457) and of the facts upon which those records are based, including:
(1) Identification of the specific infor- mation for which confidential treat- ment is sought;
(2) Identification of the Commission proceeding in which the information was submitted or a description of the circumstances giving rise to the sub- mission;
(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 serv- ice that is subject to competition;
(5) Explanation of how disclosure of the information could result in sub- stantial competitive harm;
(6) Identification of any measures taken by the submitting party to pre- vent unauthorized disclosure;
(7) Identification of whether the in- formation is available to the public and the extent of any previous disclo- sure of the information to third par- ties;
(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
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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 par- ties.
(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 § 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 Informa- tion 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 informa- tion submitted to the Commission be withheld from public inspection until a request for inspection has been made pursuant to § 0.460 or § 0.461. The infor- mation will be accorded confidential treatment, as provided for in § 0.459(g) and § 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 require- ment by statute, regulation, or the Commission), the person submitting them may request the Commission to return the materials without consider- ation 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 confiden- tial basis). Only in the unusual in- stance where the public interest so re- quires will the materials be made available for public inspection. How- ever, no materials submitted with a re- quest for confidentiality will be re- turned if a request for inspection has been filed under § 0.461. If submission of the materials is required by the Com- mission and the request for confiden- tiality 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 § 0.457(g).
(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 re- view is denied, the person who sub- mitted the request will be afforded ten business days in which to seek a judi- cial stay of the ruling. If these periods expire without action by the person who submitted the request, the mate- rials 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 para- graph is the day after the date of oral notice. Materials will be accorded con- fidential treatment, as provided in § 0.459(g) and § 0.461, until the Commis- sion acts on any timely applications for review of an order denying a re- quest for confidentiality, and until a court acts on any timely motion for stay of such an order denying confiden- tial treatment.
(h) If the request for confidentiality is granted, the status of the materials is the same as that of materials listed in § 0.457. Any person wishing to inspect them may submit a request for inspec- tion under § 0.461.
(i) Third party owners of materials submitted to the Commission by an- other party may participate in the pro- ceeding resolving the confidentiality of the materials.
§ 0.460 Requests for inspection of records which are routinely avail- able for public inspection.
(a) Sections 0.453 and 0.455 list those Commission records which are rou- tinely available for public inspection and the places at which those records may be inspected. Subject to the limi- tations set out in this section, a person
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who wants to inspect such records need only appear at the specified location and ask to see the records. Many such records also are available through the Commission’s Web site, located at http://www.fcc.gov and the Commis- sion’s electronic reading room, located on its Web site at http://www.fcc.gov/ foia/e-room.html. Commission docu- ments listed in § 0.416 and § 0.445 are published in the FCC Record, and many such documents or summaries thereof are also published in the FEDERAL REG- ISTER.
(b) A person who wishes to inspect the records must appear at the speci- fied location during the office hours of the Commission and must inspect the records at that location. (Procedures governing requests for copies are set out in § 0.465.) However, arrangements may be made in advance, by telephone or by correspondence, to make the records available for inspection on a particular date, and there are many circumstances in which such advance arrangements will save inconvenience. If the request is for a large number of documents, for example, a delay in col- lecting them is predictable. Current records may be in use by the staff when the request is made. Older records may have been forwarded to another loca- tion for storage.
(c) The records in question must be reasonably described by the person re- questing them so as to permit their lo- cation by staff personnel. The informa- tion needed to locate the records will vary, depending on the records re- quested. Advice concerning the kind of information needed to locate par- ticular records will be furnished in ad- vance 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 pro- ducing 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 di- rected to submit or confirm the request in writing in appropriate cir- cumstances.
(e)(1) Written requests shall be di- rected to the Commission’s copy con-
tractor pursuant to the procedures set forth in § 0.465. Requests shall be cap- tioned ‘‘Request For Inspection Of Records,’’ shall be dated, shall list the mailing address, telephone number (if any) of the person making the request, and the e-mail address (if any) and for each document requested, shall set out all information known to the person making the request which would be helpful in identifying and locating the document. Written requests shall, in addition, specify the maximum search fee the person making the request is prepared to pay (see § 0.467).
(2) Written requests shall be deliv- ered or mailed directly to the Commis- sion’s copy contractor (see § 0.465(a)).
(f) When a written request is received by the copy contractor, it will be date- stamped.
(g) All requests limited to records listed in § 0.453 and § 0.455 will be grant- ed, subject to paragraph (k) of this sec- tion. Requests for records listed in those sections shall not be combined with requests for other records.
(h) The records will be produced for inspection at the earliest possible time.
(i) Records shall be inspected within 7 days after notice is given that they have been located and are available for inspection. After that period, they will be returned to storage and additional charges may be imposed for again pro- ducing them.
(j) In addition to the other require- ments 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 communica- tions media for dissemination to the general public;
(iii) For determining or establishing the credit rating of any individual; or
(iv) For use, directly or indirectly, in the solicitation of money for any polit- ical, 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:
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(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 re- quested; and
(iii) That such person is aware of the prohibitions on the obtaining or use of the report. Further, any such applica- tion for inspection shall be made avail- able to the public throughout the pe- riod during which the report itself is made available to the public.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 397; 18 U.S.C. 207(j))
§ 0.461 Requests for inspection of ma- terials not routinely available for public inspection.
Any person desiring to inspect Com- mission records that are not listed in § 0.453 or § 0.455 shall file a request for inspection meeting the requirements of this section. The FOIA Public Liaison is available to assist persons seeking records under this section. See § 0.441(a).
(a)(1) Records include: (i) Any information that would be an
agency record subject to the require- ments of the Freedom of Information Act when maintained by the Commis- sion in any format, including an elec- tronic format; and
(ii) Any information maintained for the Commission by an entity under Government contract, for purposes of records management.
(2) The records in question must be reasonably described by the person re- questing them, so as to permit their lo- cation by staff personnel with a reason- able amount of effort. Whenever pos- sible, a request should include specific information about each record sought, such as the title or name, author, re- cipient, and subject matter of the record. Requests should also specify the date or time period for the records sought. The custodian of records sought may contact the requester to obtain further information about the records sought to assist in locating them.
(3) The person requesting records under this section may specify the form or format of the records to be pro- duced provided that the records may be
made readily reproducible in the re- quested form or format.
(b)(1) Requests shall be captioned ‘‘Freedom of Information Act Re- quest,’’ shall be dated, shall list the telephone number (if any), street ad- dress, and e-mail address (if any) of the person making the request, and should reasonably describe, for each document requested (see § 0.461(a)(1)), all informa- tion known to the person making the request that would be helpful in identi- fying and locating the document.
(2) The request shall, in addition, specify the maximum search fee the person making the request is prepared to pay or a request for waiver or reduc- tion of fees if the requester is eligible (see § 0.470(e)). By filing a FOIA re- quest, the requester agrees to pay all applicable fees charged under § 0.467, unless the person making the request seeks a waiver of fees (see § 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 list- ed in § 0.457 or if they have been with- held from inspection under § 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 state- ment need accompany the request, but the custodian of the records may re- quire the submission of such a state- ment if he or she determines that the materials in question may lawfully be withheld from inspection.
(d)(1) Requests shall be (i) Delivered or mailed to the Man-
aging Director, FCC, 445—12th Street, SW., Room 1–A836, Washington, DC 20554;
(ii) Sent by e-mail to foia@fcc.gov; (iii) Filed electronically though the
Internet at http://www.fcc.gov/foia/ #reqform; or
(iv) Sent by facsimile to (202) 418–2826 or (202) 418–0521. If the request is filed by mail or facsimile, an original and two copies of the request shall be sub- mitted. If the request is enclosed in an envelope, the envelope shall be marked, ‘‘Freedom of Information Act Request.’’
(2) For purposes of this section, the custodian of the records is the Chief of the Bureau or Office where the records
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are located. The Chief of the Bureau or Office may designate an appropriate person to act on a FOIA request.
(3) If the request is for materials sub- mitted to the Commission by third par- ties and not open to routine public in- spection under § 0.457(d), § 0.459, or an- other Commission rule or order, or if a request for confidentiality is pending pursuant to § 0.459, or if the custodian of records has reason to believe that the information may contain confiden- tial commercial information, one copy of the request will be provided by the custodian of the records (see § 0.461(e)) to the person who originally submitted the materials to the Commission. If there are many persons who originally submitted the records and are entitled to notice under this paragraph, the custodian of records may use a public notice to notify the submitters of the request for inspection. The submitter or submitters will be given ten cal- endar days to respond to the FOIA re- quest. See § 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 § 0.459). This re- sponse shall be served on the party seeking to inspect the records. The re- quester may submit a reply within ten business 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 dis- closure of the information.
NOTE TO PARAGRAPH (d)(3): Under the ex parte rules, § 1.1206(a)(7) of this chapter, a proceeding involving a FOIA request is a per- mit-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 con- stitute 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 as- signed to the Freedom of Information Act (FOIA) Control Office, where it will be date-stamped and assigned to the appropriate custodian of the records. A FOIA request is then considered prop-
erly received. This will occur no later than ten calendar days after the re- quest is first received by the agency.
(2)(i) Except for the purpose of mak- ing a determination regarding expe- dited 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 re- quest;
(B) Until clarification with the re- quester of issues regarding fee assess- ment occurs, including:
(1) While there is an unresolved fee waiver issue pending under § 0.470(e), unless the requester has provided a written statement agreeing to pay some or all of the fees pending the out- come of the waiver question;
(2) Following the denial of a fee waiv- er, unless the requester had provided a written statement agreeing to pay the fees if the fee waiver was denied;
(3) Where advance payment is re- quired pursuant to § 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 in- spection of records under § 0.461(e)(2)(i)(A). Such request must be made no later than ten calendar days after a request is properly received by the custodian of records under § 0.461(e)(1).
(3) The FOIA Control Office will send an acknowledgement to the requester notifying the requester of the control number assigned to the request, the due date of the response, and the tele- phone 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 re- quest via e-mail at foia@fcc.gov.
(4) Multiple FOIA requests by the same or different FOIA requesters may be consolidated for disposition. See also § 0.470(b)(2).
(f) Requests for inspection of records will be acted on as follows by the cus- todian of the records.
(1) If the Commission is prohibited from disclosing the records in question, the request for inspection will be de- nied with a statement setting forth the specific grounds for denial.
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(2)(i) If records in the possession of the Commission are the property of an- other agency, the request will be re- ferred 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 re- quester will be so informed by the FOIA Control Officer and will be di- rected to the correct agency or depart- ment.
(3) If it is determined that the Com- mission does not have authority to withhold the records from public in- spection, the request will be granted.
(4) If it is determined that the Com- mission does have authority to with- hold the records from public inspec- tion, the considerations favoring dis- closure and non-disclosure will be weighed in light of the facts presented, and the request will be granted, either conditionally or unconditionally, or denied.
(5) If there is a statutory basis for withholding part of a document from inspection, that part will be deleted and the remainder will be made avail- able for inspection. Records disclosed in part shall be marked or annotated to show the amount of information de- leted unless doing so would harm an in- terest protected by an applicable ex- emption. The location of the informa- tion deleted and the exemption under which the deletion is made also shall be indicated on the record, if tech- nically feasible.
(6) In locating and recovering records responsive to an FOIA request, only those records within the Commission’s possession and control as of the date of its receipt of the request shall be con- sidered.
(g)(1) The custodian of the records will make every effort to act on the re- quest within twenty business days after it is received and date-stamped by the FOIA Control Office.However, if a request for clarification has been made under § 0.461(e)(2)(i)(A) or an issue is outstanding regarding the payment of fees for processing the FOIA request is pending under § 0.461(e)(2)(i)(B), the counting of time will start upon resolu- tion of these requests. If it is not pos- sible to locate the records and to deter-
mine whether they should be made available for inspection within twenty business days, the custodian may, in any of the following circumstances, ex- tend the time for action by up to ten business days:
(i) It is necessary to search for and collect the requested records from field facilities or other establishments that are separate from the office processing the request.
(ii) It is necessary to search for, col- lect and appropriately examine a volu- minous amount of separate and dis- tinct 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 re- quest, or among two or more compo- nents of the Commission having sub- stantial subject matter interest there- in.
(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 cus- todian 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 determina- tion within the extended period, the person or persons who made the re- quest will be provided an opportunity to limit the scope of the request so that it may be processed within the ex- tended time limit, or an opportunity to arrange an alternative time frame for processing the request or a modified re- quest, and asked to consent to an ex- tension or further extension. If the re- quester agrees to an extension, the cus- todian of the records will confirm the agreement in a letter or e-mail speci- fying the length of the agreed-upon ex- tension. If he or she does not agree to an extension, the request will be de- nied, 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 man- dated by the Freedom of Information Act, 5 U.S.C. 552. In that event, the cus- todian will continue to search for and/ or assess the records and will advise the person who made the request of further developments; but that person may file an application for review by
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the Commission. When action is taken by the custodian of the records, writ- ten notice of the action will be given. Records will be made available with the written notice of action or as soon thereafter as is feasible.
(3) If the custodian of the records grants a request for inspection of records submitted to the Commission in confidence under § 0.457(d), § 0.459, or some other Commission rule or order, the custodian of the records will give the submitter written notice of the de- cision and of the submitter’s right to seek review pursuant to § 0.461(i).
(h)(1) Requesters who seek expedited processing of FOIA requests shall sub- mit such requests, along with their FOIA requests, to the Managing Direc- tor, as described in § 0.461(d). If the re- quest is enclosed in an envelope, the envelope shall be marked ‘‘Request for Expedited Proceeding—FOIA Request.’’ An original and two copies of the re- quest for expedition shall be submitted, but only one copy is necessary if sub- mitted by e-mail or by the Internet. When the request is received by the Managing Director, it, and the accom- panying FOIA request, will be assigned to the FOIA Control Office, where it will be date-stamped and assigned to the custodian of records.
(2) Expedited processing shall be granted to a requester demonstrating a compelling need that is certified by the requester to be true and correct to the best of his or her knowledge and belief.
(3) For purposes of this section, com- pelling need means—
(i) That failure to obtain requested records on an expedited basis could rea- sonably be expected to pose an immi- nent threat to the life or physical safe- ty of an individual; or
(ii) With respect to a request made by a person primarily engaged in dissemi- nating information, there is an ur- gency 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 cal- endar 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 proc- essing is denied, the person seeking ex- pedited processing may file an applica- tion for review within five business days after the date of the written de- nial. The application for review and the envelope containing it (if any) shall be captioned ‘‘Review of FOIA Expedited Proceeding Request.’’ The application for review shall be delivered or mailed to the General Counsel. (For general procedures relating to applications for review, see § 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 § 0.457(d), § 0.459, or another Commission rule or order is granted in whole or in part, an applica- tion for review may be filed by the per- son who submitted the records to the Commission, by a third party owner of the records or by a person with a per- sonal 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 re- view and the envelope containing it (if any) shall be captioned ‘‘Review of Freedom of Information Action.’’ The application for review shall be filed within ten business days after the date of the written ruling, shall be delivered or mailed to the General Counsel, and shall be served on the person who filed the request for inspection of records and any other parties to the pro- ceeding. The person who filed the re- quest for inspection of records may re- spond to the application for review within ten business days after it is filed.
(2) The first day to be counted in computing the time period for filing the application for review is the day after the date of the written ruling. If an application for review is not filed within this period, the records will be produced for inspection.
(3) If an application for review is de- nied, the person filing the application
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for review will be notified in writing and advised of his or her rights.
(4) If an application for review filed by the person who submitted, owns, or has a personal privacy interest in the records to the Commission is denied, or if the records are made available on re- view 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 ac- tion. 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 re- view of an initial action on a request for inspection of records, a fee deter- mination (see § 0.467 through § 0.470), or a fee reduction or waiver decision (see § 0.470(e)) may be filed only by the per- son who made the request. The applica- tion shall be filed within 30 calendar days after the date of the written rul- ing by the custodian of records. The ap- plication for review and the envelope (if any) shall be captioned, ‘‘Review of Freedom of Information Action.’’ The application shall be delivered or mailed to the General Counsel. If the pro- ceeding involves records subject to confidential treatment under § 0.457 or § 0.459, or involves a person with an in- terest as described in § 0.461(i), the ap- plication for review shall be served on such persons. That person may file a response within ten business days after the application for review is filed. If the records are made available for re- view, the person who submitted them to the Commission will be afforded ten business days after the date of the written ruling to seek a judicial stay. See paragraph (i) of this section. The first day to be counted in computing the time period for filing the applica- tion for review or seeking a judicial stay is the day after the date of the written ruling.
NOTE TO PARAGRAPHS (i) AND (j): The Gen- eral Counsel may review applications for re- view with the custodian of records and at- tempt to informally resolve outstanding issues with the consent of the requester. For
general procedures relating to applications for review, see § 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 ex- tent time has not been extended under paragraphs (g)(1)(i), (ii), or (iii) of § 0.461(g) of this section, the Commis- sion may extend the time for acting on the application for review up to ten business days. (The total period of ex- tensions 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, col- lect and appropriately examine a volu- minous amount of separate and dis- tinct records which are demanded in a single request; or
(C) It is necessary to consult with an- other agency having a substantial in- terest in the determination of the re- quest or among two or more compo- nents of the Commission having sub- stantial subject matter interest there- in.
(ii) If these circumstances are not present, the person who made the re- quest may be asked to consent to an extension or further extension. If the requester or person who made the re- quest agrees to an extension, the Gen- eral Counsel will confirm the agree- ment in a letter specifying the length of the agreed-upon extension. If the re- questor or person who made the re- quest 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 re- quest of further developments; but that person may file a complaint in an ap- propriate United States district court.
(2) The Commission may at its dis- cretion or upon request consolidate for consideration related applications for review filed under § 0.461(i) or § 0.461(j).
(l)(1) Subject to the application for review and judicial stay provisions of
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paragraphs (i) and (j) of this section, if the request is granted, the records will be produced for inspection at the ear- liest possible time.
(2) If a request for inspection of records becomes the subject of an ac- tion for judicial review before the cus- todian of records has acted on the re- quest, or before the Commission has acted on an application for review, the Commission may continue to consider the request for production of records.
(m) Staff orders and letters ruling on requests for inspection are signed by the official (or officials) who give final approval of their contents. Decisions of the Commission ruling on applications for review will set forth the names of the Commissioners participating in the decision.
(n) Records shall be inspected within seven days after notice is given that they have been located and are avail- able for inspection. After that period, they will be returned to storage, and additional charges may be imposed for again producing them.
§ 0.463 Disclosure of Commission records and information in legal proceedings in which the Commis- sion is a non-party.
(a) This section sets forth procedures to be followed with respect to the pro- duction 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 per- son’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 de- mand), 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 Direc- tor, will thereupon issue such instruc- tions as he or she may deem advisable consistent with this subpart.
(c) A party in a court or administra- tive 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 an- ticipated scope and duration of the tes- timony), 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 § 0.460 or § 0.461 of the Com- mission’s rules), and any other infor- mation that may be relevant to the Commission’s consideration of the re- quest 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 Com- mission personnel, the General Coun- sel, 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 Com- mission’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 pur- poses;
(4) The extent to which the time of employees for conducting official busi- ness would be compromised;
(5) Whether the public might mis- construe variances between personal opinions of employees and Commission policy;
(6) Whether the request or demand demonstrates that the records or testi- mony sought are relevant and material to the underlying proceeding, unavail- able 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 re- quests would have a cumulative effect
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on the expenditure of Commission re- sources;
(8) Whether the requestor has agreed to pay search and review fees as set forth in § 0.467 of this subpart;
(9) Whether disclosure of the records or the testimony sought would other- wise be inappropriate under the cir- cumstances; and
(10) Any other factor that is appro- priate.
(e) Among those demands and re- quests 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, Ex- ecutive Order, rule, or regulation;
(2) The integrity of the administra- tive 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 de- mand arose;
(4) Disclosure of the records, includ- ing release in camera, or the testimony, is not appropriate or required under the relevant substantive law con- cerning privilege;
(5) Disclosure of the records, except when in camera and necessary to assert a claim of privilege, or of the testi- mony, would reveal information prop- erly 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 pro- ceedings, compromise constitutional rights, reveal the identity of an intel- ligence source or confidential inform- ant, or disclose trade secrets or simi- larly confidential commercial or finan- cial information.
(f) The General Counsel, following consultation with the Managing Direc- tor and any relevant Commission Bu- reau 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 re- ceived 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 de- mand for records of the Commission or testimony regarding the records or ac- tivities of the Commission shall promptly notify the General Counsel so that the General Counsel may take ap- propriate steps to protect the Commis- sion’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))
§ 0.465 Request for copies of materials which are available, or made avail- able, for public inspection.
(a) The Commission awards a con- tract 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, ad- dress, telephone number, and schedule of fees for the current copy contractor are published at the time of contract award of renewal in a public notice and periodically thereafter. Current information is available at http:// www.fcc.gov/foia and http://www.fcc.gov/cgb. Questions regarding this information should be directed to the Reference Information Center of the Consumer and Governmental Affairs Bureau at 202–418–0270.
(b) Audio or video recordings or tran- scripts of Commission proceedings are available to the public through the Commission’s current copy contractor. In some cases, only some of these for- mats 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 Commis- sion records or to retrieve whatever in- formation may be desired. Coin-oper- ated 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
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it serves the regulatory or financial in- terests of the U.S. Government, the Commission will make and furnish cop- ies of its records free of charge. In other circumstances, however, if it should be necessary for the Commis- sion 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 ad- dition to charges for staff time as pro- vided in § 0.467. For copies prepared with other media, such as computer tapes, microfiche, videotape, the charge will be the actual direct cost in- cluding operator time. Requests for copying should be accompanied by a statement specifying the maximum copying fee the person making the re- quest is prepared to pay. If the Com- mission 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 in- formation can be considered as primarily benefiting the general public.’’ 5 U.S.C. 552(a)(4)(A). A request for a waiver or reduc- tion of fees will be decided by the General Counsel as set forth in § 0.470(e).
(3) Certified Documents. Copies of doc- uments which are available or made available, for inspection under § 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 doc- uments, the number of copies desired, and the date on which they will be re- quired. The request shall allow a rea- sonable time for the preparation and certification of copies. The fee for pre- paring copies shall be the same as that charged by the Commission as de- scribed in § 0.465(c)(2). The fee for cer- tification shall be $10 for each docu- ment.
(d)(1) Computer maintained data- bases produced by the Commission and available to the public may be obtained
from the FCC’s Web site at http:// www.fcc.gov or if unavailable on the Commission’s Web site, from the copy contractor.
NOTE TO PARAGRAPH (d)(1): The Commission awards a contract to provide the public with access to FCC databases from the copy con- tractor. See note to paragraph (a) of this sec- tion.
(2) Copies of computer generated data stored as paper printouts or electronic media and available to the public may also be obtained from the Commis- sion’s copy contractor (see paragraph (a) of this section).
(3) Copies of computer source pro- grams and associated documentation produced by the Commission and avail- able to the public may be obtained from the Office of the Managing Direc- tor.
(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 § 0.411 through § 0.420), nor does it apply to application forms or information bulletins, which are prepared for the use and informa- tion of the public and are available upon request (see § 0.421 and § 0.423) or on the Commission’s Web site, http:// www.fcc.gov/formpage.html.
(f) Anyone requesting copies of docu- ments pursuant to this section may ei- ther come in person to the Commission (see § 0.461) or request that the copy contractor fulfill the request. If a re- quest goes directly to the contractor, the requester will be charged by the contractor pursuant to the price list set forth in the latest contract.
§ 0.466 Definitions.
(a) For the purpose of § 0.467 and § 0.468, the following definitions shall apply:
(1) The term direct costs means those expenditures which the Commission ac- tually incurs in searching for and du- plicating (and in case of commercial requesters, reviewing) documents to re- spond to a FOIA request. Direct costs include the salary of the employee per- forming the work (the basic rate of pay for the employee plus twenty percent of that rate to cover benefits), and the
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cost of operating duplicating machin- ery. Not included in direct costs are overhead expenses, such as costs of space, and heating or lighting the facil- ity in which the records are stored.
(2) The term search includes all time spent looking for material that is re- sponsive 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 mate- rial is exempt from disclosure (see paragraph (a)(3) of this section).
(3) The term review refers to the proc- ess 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 dis- closure. It also includes processing any documents for disclosure, e.g., per- forming such functions that are nec- essary to excise them or otherwise pre- pare them for release. Review does not include time spent resolving general legal or policy issues regarding the ap- plication 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 deter- mining whether a requester properly falls within this category, the Commis- sion shall determine the use to which a requester will put the documents re- quested. Where the Commission has reasonable cause to question the use to which a requester will put the docu- ments sought, or where that use is not clear from the request itself, the Com- mission shall seek additional clarifica- tion before assigning the request to a specific category. The dissemination of records by a representation of the news media (see § 0.466(a)(7)) shall not be considered to be for a commercial use.
(5) The term educational institution re- fers to a preschool, a public or private elementary or secondary school, an in- stitution of graduate higher education, an institution of professional education and an institution of vocational edu- cation, 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 oper- ated solely for the purpose of con- ducting 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 dis- tributes that work to an audience. In this clause, the term news means infor- mation that is about current events or that would be of current interest to the public. Examples of news-media enti- ties 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-in- clusive. Moreover, as methods of news delivery evolve (for example, the adop- tion of electronic dissemination of newspapers through telecommuni- cations 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 actu- ally employed by the entity. A publica- tion contract would present a solid basis for such an expectation; the Com- mission 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 defini- tions in paragraphs (a)(4) through (a)(7) of this paragraph.
(b) [Reserved]
§ 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, allow- able direct costs of searching for and reviewing records requested under § 0.460 or § 0.461, unless such fees are re- duced or waived pursuant to § 0.470. The
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fee is based on the pay grade level of the FCC’s employee(s) who conduct(s) the search or review, or the actual hourly rate of FCC contractors or other non-FCC personnel who conduct a search.
NOTE TO PARAGRAPH (a)(1): The fees for FCC employees will be modified periodically to correspond with modifications in the rate of pay approved by Congress and any such modifications will be announced by public notice and will be posted on the Commis- sion’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 and include 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 Com- mission fails to locate responsive records or if any records located are de- termined to be exempt from disclosure.
(c) The Commission shall charge only for the initial review, i.e., the review undertaken initially when the Commis- sion analyzes the applicability of a spe- cific exemption to a particular record. The Commission shall not charge for review at the appeal level of an exemp- tion already applied. However, records or portions of records withheld in full under an exemption that is subse- quently determined not to apply may be reviewed again to determine the ap- plicability of other exemptions not pre- viously considered. The costs of such a subsequent review, under these cir- cumstances, are properly assessable.
(d) The fee charged will not exceed an amount based on the time typically re- quired to locate records of the kind re- quested.
(e)(1) If the Commission estimates that search charges are likely to ex- ceed 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 re- quester the opportunity to confer with Commission personnel with the object of revising or clarifying the request. See § 0.465(c)(2) and § 470(d).
(2) The time for processing a request for inspection shall be tolled while con-
ferring with the requester about his or her willingness to pay the fees required to process the request. See § 0.461(e).
(f) When the search has been com- pleted, 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 Finan- cial Management Division, Office of Managing Director, or as otherwise di- rected by the Commission.
(h) Records shall be inspected within seven days after notice is given that they have been located and are avail- able for inspection. See § 0.461(n). After that period, they will be returned to storage, and additional charges may be imposed for again producing them.
§ 0.468 Interest. Interest shall be charged those re-
questers who fail to pay the fees charged. The agency will begin assess- ing interest charges on the amount billed starting on the 31st day fol- lowing the day on which the billing was sent. The date on which the pay- ment is received by the agency will de- termine whether and how much inter- est is due. The interest shall be set at the rate prescribed in 31 U.S.C. 3717.
§ 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 re- quester 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 re- quester of the estimated cost and ob- tain satisfactory assurance of full pay- ment. Notification that fees may ex- ceed $250.00 is not, however, a pre- requisite 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 re- quire the requester to pay the full amount owed plus any applicable inter- est as provided in § 0.468, and to make an advance payment of the full amount
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Federal Communications Commission § 0.470
of the estimated fee before the Com- mission begins to process a new request or a pending request from that re- quester.
(c) When the Commission acts under paragraph (a) of this section, the ad- ministrative time limits prescribed in §§ 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 § 0.461(g)(1)(i) through (iii) and § 0.461(k)(1)(i) through (iii)) will begin only after the agency has re- ceived the fee payments described in this section. See §§ 0.461(e)(2)(ii) and 0.467(e)(2).
§ 0.470 Assessment of fees.
(a)(1) Commercial use requesters. (i) When the Commission receives a re- quest for documents for commercial use, it will assess charges that recover the full direct cost of searching for, re- viewing and duplicating the records sought pursuant to §§ 0.466 and 0.467, above.
(ii) Commercial use requesters shall not be assessed search fees if the Com- mission fails to comply with the time limits under § 0.461(g)(1), if no unusual or exceptional circumstances (§ 0.461(g)(1)(i) through (iii)) apply to the processing of the request.
(2) Educational and non-commercial sci- entific institution requesters and request- ers who are representatives of the news media. (i) The Commission shall pro- vide documents to requesters in these categories for the cost of reproduction only, pursuant to § 0.465 above, exclud- ing reproduction charges for the first 100 pages, provided however, that re- questers who are representatives of the news media shall be entitled to a re- duced assessment of charges only when the request is for the purpose of dis- tributing information.
(ii) Educational requesters or re- questers who are representatives of the news media shall not be assessed fees for the cost of reproduction if the Com- mission fails to comply with the time limits under § 0.461(g)(1), if no unusual or exceptional circumstances (§ 0.461(g)(1)(i) through (iii)) apply to the processing of the request.
(3) All other requesters. (i) The Com- mission shall charge requesters who do not fit into any of the categories above fees which cover the full, reasonable di- rect cost of searching for and reproduc- ing records that are responsive to the request, pursuant to § 0.465 and § 0.467, except that the first 100 pages of repro- duction 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 § 0.461(g)(1), if no unusual or ex- ceptional circumstances (§ 0.461(g)(1)(i) through (iii)) apply to the processing of the request.
(b)(1) The 100 page restriction on as- sessment of reproduction fees in para- graphs (a)(2) and (a)(3) of this section refers to 100 paper copies of a standard size, which will normally be ‘‘81⁄2 x 11’’ or ‘‘11 x 14,’’ or microfiche containing the equivalent of 100 pages or 100 pages of computer printout.
(2) When the agency reasonably be- lieves that a requester or group of re- questers is attempting to segregate a request into a series of separate indi- vidual requests for the purpose of evad- ing the assessment of fees, the agency will aggregate any such requests and assess charges accordingly.
(c) When a requester believes he or she is entitled to a reduced fee assess- ment pursuant to paragraphs (a)(2) and (a)(3) of this section, or a waiver pursu- ant to paragraph (e) of this section, the requester must include, in his or her original FOIA request, a statement ex- plaining with specificity, the reasons demonstrating that he or she qualifies for a reduced fee or a fee waiver. In- cluded in this statement should be a certification that the information will not be used to further the commercial interests of the requester.
NOTE TO PARAGRAPH (c): Anyone requesting a reduced fee or a fee waiver must submit the request directly to the Commission and not to the contractor who will provide docu- ments only at the contract price.
(d) If the Commission reasonably be- lieves that a commercial interest ex- ists, based on the information provided pursuant to paragraph (c) of this sec- tion, the requester shall be so notified and given an additional ten business
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days to provide further information to justify receiving a reduced fee. See § 0.467(e)(2). During this time period, the materials will be available for in- spection to the extent that the time period exceeds the time period for re- sponding to FOIA requests, as appro- priate.
(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 in- terest 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 repeat- ing 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 in- terest 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 re- quested records concerns the oper- ations 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 re- quested information will contribute to public understanding as opposed to the individual understanding of the re- quester or a narrow segment of inter- ested 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 com- mercial 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 com- parison with the public interest in dis- closure, that disclosure is primarily in the commercial interest of the re- quester.
(4) This request for fee reduction or waiver must accompany the initial re- quest for records and will be decided
under the same procedures used for record requests.
(5) If no fees or de minimis fees would result from processing a FOIA request and a fee waiver or reduction has been sought, the General Counsel will not reach a determination on the waiver or reduction request.
(f) Whenever the total fee calculated under this section is $15 or less, no fee will be charged.
(g) Review of initial fee determina- tions under § 0.467 through § 0.470 and initial fee reduction or waiver deter- minations under § 0.470(e) may be sought under § 0.461(j).
PLACES FOR MAKING SUBMITTALS OR RE- QUESTS, FOR FILING APPLICATIONS, AND FOR TAKING EXAMINATIONS
§ 0.471 Miscellaneous submittals or re- quests.
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]
§ 0.473 Reports of violations.
Reports of violations of the Commu- nications Act or of the Commission’s rules and regulations may be sub- mitted to the Commission in Wash- ington or to any field office.
[32 FR 10578, July 19, 1967]
§ 0.475 Applications for employment.
Persons who wish to apply for em- ployment should communicate with the Associate Managing Director-Per- sonnel 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]
§ 0.481 Place of filing applications for radio authorizations.
For locations for filing applications, and appropriate fees, see §§ 1.1102 through 1.1107 of this chapter.
[69 FR 41130, July 7, 2004]
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§ 0.482 Application for waiver of wire- less radio service rules.
All requests for waiver of the rules (see § 1.925 of this chapter) governing the Wireless Radio Services (see § 1.907 of this chapter) that require a fee (see § 1.1102 of this chapter) shall be sub- mitted via the Universal Licensing System or to the U.S. Bank, St. Louis, Missouri at the address set forth in § 1.1102. Waiver requests that do not re- quire a fee should be submitted via the Universal Licensing System or to: Fed- eral Communications Commission, 1270 Fairfield Road, Gettysburg, Pennsyl- vania 17325–7245. Waiver requests at- tached to applications must be sub- mitted in accordance with § 0.401(b) or § 0.401(c) of the rules.
[63 FR 68919, Dec. 14, 1998, as amended at 73 FR 9018, Feb. 19, 2008]
§ 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. De- tailed information about application forms, filing procedures, and places to file applications for commercial radio operator licenses is contained in the bulletin ‘‘Commercial Radio Operator Licenses and Permits.’’ This bulletin is available from any Commission field office or the FCC, Washington, DC 20554.
[47 FR 53378, Nov. 26, 1982]
§ 0.484 Amateur radio operator exami- nations.
Generally, examinations for amateur radio operation licenses shall be ad- ministered at locations and times spec- ified by volunteer examiners. (See § 97.509). When the FCC conducts exami- nations for amateur radio operator li- censes, they shall take place at loca- tions and times designated by the FCC.
[58 FR 13021, Mar. 9, 1993]
§ 0.485 Commercial radio operator ex- aminations.
Generally, written and telegraphy ex- aminations for commercial radio oper- ator licenses shall be conducted at lo-
cations and times specified by commer- cial operator license examination man- agers. (See § 13.209 of this chapter). When the FCC conducts these examina- tions, they shall take place at loca- tions and times specified by the FCC.
[58 FR 9124, Feb. 19, 1993]
§ 0.489 Applications for ship radio in- spection and periodical survey.
Applications for ship radio inspection or for periodical survey shall be for- warded to the radio district office near- est the desired port of inspection or place of survey.
[28 FR 12413, Nov. 22, 1963. Redesignated at 32 FR 10578, July 19, 1967]
§ 0.491 Application for exemption from compulsory ship radio require- ments.
Applications for exemption filed under the provisions of sections 352(b) or 383 of the Communications Act; Reg- ulation 4, chapter I of the Safety Con- vention; Regulation 5, chapter IV of the Safety Convention; or Article IX of the Great Lakes Agreement, must be filed as a waiver request using the pro- cedures specified in § 0.482 of this part. Emergency requests must be filed via the Universal Licensing System or at the Federal Communications Commis- sion, Office of the Secretary.
[71 FR 15618, Mar. 29, 2006]
§ 0.493 Non-radio common carrier ap- plications.
All such applications shall be filed at the Commission’s offices in Wash- ington, DC.
[28 FR 12413, Nov. 22, 1963. Redesignated at 32 FR 10578, July 19, 1967]
Subpart D—Mandatory Declas- sification of National Security Information
AUTHORITY: Secs. 4(i), 303(r), Communica- tions Act of 1934, as amended (47 U.S.C. 154(i) and 303(r)).
SOURCE: 47 FR 53377, Nov. 26, 1982, unless otherwise noted.
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§ 0.501 General.
Executive Order 12356 requires that information relating to national secu- rity be protected against unauthorized disclosure as long as required by na- tional security considerations. The Order also provides that all informa- tion 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.
§ 0.502 Purpose.
This subpart prescribes the proce- dures to be followed in submitting re- quests, processing such requests, ap- peals taken from denials of declas- sification requests and fees and charges.
§ 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 par- ticularity to enable Commission per- sonnel to identify the documents con- taining that information and be rea- sonable in scope.
(b) When the request is for informa- tion originally classified by the Com- mission, 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, to- gether with a copy of the record, to the originating agency. The transmittal may contain a recommendation for ac- tion.
§ 0.504 Processing requests for declas- sification.
(a) Responses to mandatory declas- sification review requests shall be gov- erned by the amount of search and re- view time required to process the re- quest. A final determination shall be made within one year from the date of receipt of the request, except in un- usual circumstances.
(b) Upon a determination by the bu- reau or office that the requested mate- rial originally classified by the Com- mission no longer warrants protection, it shall be declassified and made avail- able to the requester, unless with- holding is otherwise authorized under law.
(c) If the information may not be de- classified or released in whole or in part, the requester shall be notified as to the reasons for the denial, given no- tice of the right to appeal the denial to the Classification Review Committee, and given notice that such an appeal must be filed within 60 days of the date of denial in order to be considered.
(d) The Commission’s Classification Review Committee, consisting of the Managing Director (Chairman), the General Counsel or his designee, and the Chief, Internal Review and Secu- rity Division, shall have authority to act, within 30 days, upon all appeals re- garding denials of requests for manda- tory declassification of Commission- originated classifications. The Com- mittee 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 contin- ued 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.
§ 0.505 Fees and charges.
(a) The Commission has designated a contractor to make copies of Commis- sion records and offer them for sale (See § 0.465).
(b) An hourly fee is charged for re- covery of the direct costs of searching for requested documents (See § 0.466).
§ 0.506 FOIA and Privacy Act requests.
Requests for declassification that are submitted under the provisions of the Freedom of Information Act, as amend- ed, (See § 0.461), of the Privacy Act of 1974, (See § 0.554) shall be processed in accordance with the provisions of those Acts.
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Subpart E—Privacy Act Regulations
AUTHORITY: Secs. 4, 303, 49 Stat. as amend- ed, 1066, 1082 (47 U.S.C. 154, 303).
SOURCE: 40 FR 44512, Sept. 26, 1975, unless otherwise noted.
§ 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 indi- vidual or by some other personal iden- tifier.
(b) In this subpart: (1) Individual means a citizen of the
United States or an alien lawfully ad- mitted for permanent residence;
(2) Record means any item, collection or grouping of information about an in- dividual that is maintained by the Commission, including but not limited to, such individual’s education, finan- cial 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 Com- mission from which information is re- trievable by the name of the individual or by some identifying number, sym- bol, or other identifying particular as- signed 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 com- patible with the purpose for which it was collected;
(5) System Manager means the Com- mission 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]
§ 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 sys- tem;
(b) The categories of individuals on whom records are maintained in the system;
(c) The categories of records main- tained 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, reten- tion, 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 ac- cess can be gained to any record per- taining to that individual contained in a system of records, and the procedure for correcting or contesting its con- tents; and
(i) The categories of sources of records in the system.
(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))
[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13368, Apr. 4, 1984]
§ 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
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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 main-
tained; (d) The proposed routine use(s); and (e) The categories of recipients for
each proposed routine use.
§ 0.554 Procedures for requests per- taining 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 § 0.555(b), will disclose the substance of such information to that individual. In order to properly request notification or access to record infor- mation, reference must be made to the Notice described in § 0.552. A table of contents, which is alphabetized by bu- reau or office, precedes the system de- scriptions 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 re- quired of all individuals making re- quests pursuant to paragraph (a) of this section in order to assure that dis- closure 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 secu- rity 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 state- ment 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 con- stitute cause in and of itself, for denial of a request.
(2) All requests for record informa- tion 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 identifica- tion cannot be made on the basis of other information submitted, the re- questor will be required to sign an identity statement and stipulate that knowingly or willfully seeking or ob- taining access to records about another person under false pretense is punish- able by a fine of up to $5,000.
(3) If positive identification cannot be made on the basis of the informa- tion submitted, and if data in the record is so sensitive that unauthorized access could cause harm or embarrass- ment to the individual to whom the record pertains, the Commission re- serves the right to deny access to the record pending the production of addi- tional more satisfactory evidence of identity.
NOTE: The Commission will require verification of identity only where it has de- termined that knowledge of the existence of record information or its substance is not subject to the public disclosure requirements of the Freedom of Information Act, 5 U.S.C. 552, as amended.
(c) All requests for notification of the existence of record information or for access to such information shall be de- livered to the business address of the system manager responsible for the system of records in question, except that requests relating to official per- sonnel records shall be addressed to the Associate Managing Director—Per- sonnel Management. Such addresses can be found in the FEDERAL REGISTER Notice described in § 0.552.
(d) A written acknowledgement of re- ceipt of a request for notification and/
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Federal Communications Commission § 0.555
or access will be provided within 10 days (excluding Saturdays, Sundays, and legal public holidays) to the indi- vidual making the request. Such an ac- knowledgement may, if necessary, re- quest any additional information need- ed to locate a record. A search of all systems of records identified in the in- dividual’s request will be made to de- termine 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 re- quest will be processed and the indi- vidual 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 Cen- ters, 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 sepa- rate 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]
§ 0.555 Disclosure of record informa- tion 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 per- son inspection at the system location; by transfer of the record to a nearer lo- cation; 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, indi- viduals 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 ap- pointment must be changed. Verification of identity is required as in § 0.554(b)(1) before access will be granted an individual appearing in per- son. Individuals may be accompanied by a person of his or her own choosing when reviewing a record. However, in such cases, a written statement au- thorizing discussion of their record in the presence of a Commission rep- resentative having physical custody of the records.
(2) Individuals may request that a record be transferred to a Commission field office or installation in the vicin- ity of his or her home and that access be granted at that location. The ad- dresses of Commission field offices are listed in § 0.121. A request to transfer records must specify the exact location where the records should be sent and a telephone number to call when the in- formation is available for review at the field location. Paragraph (a)(1) of this section regarding personal appoint- ments, verification of identity accom- panying persons, and disclosure of original records applies equally to this paragraph.
(3) Individuals may request that cop- ies of records be sent directly to them. In such cases, individuals must verify their identity as § 0.554(b)(2) and pro- vide an accurate return address. Records shall be sent only to that ad- dress.
(b) The disclosure of record informa- tion under this section is subject to the following limitations:
(1) Records containing medical infor- mation 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 med- ical doctor, access to such record infor- mation 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 indi- vidual.
(2) Classified material, investigative material compiled for law enforcement purposes, investigatory material com- piled solely for determining suitability
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47 CFR Ch. I (10–1–10 Edition)§ 0.556
for Federal employment or access to classified information, and certain testing or examination material shall be removed from the records to the ex- tent 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 sub- paragraph.
(c) No fee will be imposed if the num- ber of pages of records requested is 25 or less. Requests involving more than 25 pages shall be submitted to the du- plicating contractor (see § 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 ac- tion 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 ei- ther:
(1) Seek administrative review of the adverse determination. Such a request shall be in writing and should be ad- dressed to the system manager who made the initial decision. In addition, the request for review shall state spe- cifically 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]
§ 0.556 Request to correct or amend records.
(a) An individual may request the amendment of information contained in their record. Except as otherwise provided in this paragraph, the request to amend should be submitted in writ- ing to the system manager responsible for the records. Requests to amend the official personnel records of active FCC employees should be submitted to the Associate Managing Director—Human Resources Management, 445 12th Street, SW., Washington, D.C. 20554. Requests to amend official personnel
records of former FCC employees should be sent to the Assistant Direc- tor for Work Force Information, Com- pliance and Investigations Group, Of- fice of Personnel Management, 1900 E Street, NW., Washington, D.C. 20415. Any request to amend should contain as a minimum:
(1) The identity verification informa- tion required by § 0.554(b)(2) and the in- formation needed to locate the record as required by § 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 ac- knowledgement may, if necessary, re- quest any additional information need- ed to make a determination. There will be no acknowledgement if the request can be reviewed, processed, and the in- dividual notified of compliance or de- nial 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—Per- sonnel Management, shall (normally within 30 days) take one of the fol- lowing actions regarding a request to amend:
(1) If the system manager agrees that an amendment to the record is war- ranted, the system manager shall:
(i) So advise the individual in writ- ing;
(ii) Correct the record in compliance with the individual’s request; and
(iii) If an accounting of disclosures has been made, advise all previous re- cipients 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;
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Federal Communications Commission § 0.557
(ii) Advise the individual that further administrative review of the initial de- cision by the full Commission may be sought pursuant to the procedures set forth in § 0.557. (In cases where the re- quest to amend involves official per- sonnel records, review is available ex- clusively from the Assistant Director for Work Force Information, Compli- ance and Investigations Group, Office of Personnel Management, Washington, DC 20415; and
(iii) Inform the individual of the pro- cedures for requesting Commission re- view pursuant to § 0.557.
(d) In reviewing a record in response to a request to amend, the system manager shall assess the accuracy, rel- evance, timeliness, or completeness of the record in light of each data ele- ment placed into controversy and the use of the record in making decisions that could possibly affect the indi- vidual. 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 ac- complish 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]
§ 0.557 Administrative review of an ini- tial 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 ad- dressed 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 Inves- tigations Group, Office of Personnel Management, Washington, DC 20415. Any request for administrative review must:
(1) Clearly identify the questions pre- sented for review (e.g., whether the record information in question is, in
fact, accurate; whether information subject to a request to delete is rel- evant 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 re- view set out in § 0.556(d). It may seek such additional information as is nec- essary to make its determination. Final administrative review shall be completed not later than 30 days (ex- cluding Saturdays, Sundays and legal public holidays) from the date on which the individual requests such re- view unless the Chairman determines that a fair and equitable review cannot be made within the 30 day period. In such event, the individual will be in- formed 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 Commis- sion will proceed in accordance with § 0.556(c)(1) (i) through (iii).
(d) If after the review, the Commis- sion 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 con- cise statement of the reasons for dis- agreeing 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 to- gether with, at the Commission’s dis- cretion, 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
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47 CFR Ch. I (10–1–10 Edition)§ 0.558
an accounting of such disclosures is maintained; and
(4) Advise the individual that judicial review of the Commisison’s decision not to amend the record in any district court of the United States is available.
(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))
[40 FR 44512, Sept. 26, 1975, as amended at 45 FR 39850, June 12, 1980; 49 FR 13369, Apr. 4, 1984]
§ 0.558 Advice and assistance. Individuals who have questions re-
garding the procedures contained in this subpart for gaining access to a particular system of records or for con- testing the contents of a record, either administratively or judicially, should write or call the Privacy Liaison Offi- cer at the following address:
Federal Communications Commission, Office of General Counsel, 445 12th Street, SW., Washington, DC 20554.
Individuals who request clarification of the Notice described in § 0.552 or who have questions concerning the charac- terization of specific systems of records as set forth therein, should write or call the Privacy Liaison Offi- cer at the following address:
Federal Communications Commission, Per- formance Evaluation and Records Manage- ment, Office of the Managing Director, 445 12th Street, SW., Washington, DC 20554
(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))
[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13369, Apr. 4, 1984; 65 FR 58466, Sept. 29, 2000]
§ 0.559 Disclosure of disputed informa- tion to persons other than the indi- vidual to whom it pertains.
If the Commission determines not to amend a record consistent with an in- dividual’s request, and if the individual files a statement of disagreement pur- suant to § 0.557(d)(2), the Commission shall clearly annotate the record so that the disputed portion becomes ap- parent to anyone who may subse- quently have access to, use or disclose the record. A copy of the individual’s statement of disagreement shall ac- company any subsequent disclosure of
the record. In addition, the Commis- sion may include a brief summary of its reasons for not amending the record when disclosing the record. Such state- ments become part of the individual’s record for granting access, but are not subject to the amendment procedures of § 0.556.
§ 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.
§ 0.561 Exemptions.
The following systems of records are totally or partially exempt from sub- sections (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 §§ 0.554 through 0.557 of this subpart:
(a) System name. Radio Operator Records—FCC/FOB–1. Parts of this sys- tem of records are exempt pursuant to Section (k)(2) of the Act because they contain investigatory material com- piled solely for law enforcement pur- poses.
(b) System name. Violators File (records kept on individuals who have been subjects of FCC field enforcement actions)—FCC/FOB–2. Parts of this sys- tem of records are EXEMPT because they are maintained as a protective service for individuals described in sec- tion 3056 of title 18, and because they are necessary for Commission employ- ees 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 main- tained for law enforcement purposes.
(d) System name. Licensees or Unli- censed Persons Operating Radio Equip- ment 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.
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Federal Communications Commission § 0.603
(e) System name. Personnel Investiga- tion Records—FCC/Central–6. Parts of these systems of records are exempt be- cause they emobdy investigatory mate- rial pursuant to sections 3(k)(2) and 3(k)(5) of the Act as applicable.
(f) System name. Criminal Investiga- tive Files—FCC/OIG–1. Compiled for the purpose of criminal investigations. This system of records is exempt pur- suant to section (j)(2) of the Act be- cause the records contain investigatory material compiled for criminal law en- forcement purposes.
(g) System name. General Investiga- tive Files—FCC/OIG–2. Compiled for law enforcement purposes. This system of records is exempt pursuant to sec- tion (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 amend- ed, 1066, 1082; (47 U.S.C. 154, 303).
SOURCE: 42 FR 12867, Mar. 7, 1977, unless otherwise noted.
§ 0.601 Definitions. For purposes of this section: (a) The term agency means: (1) The Commission, (2) A board of Commissioners (see
§ 0.212), (3) The Telecommunications Com-
mittee (see § 0.215), and (4) Any other group of Commissioners
hereafter established by the Commis- sion on a continuing or ad hoc basis and authorized to act on behalf of the Commission.
(b) The term meeting means the delib- erations among a quorum of the Com- mission, a Board of Commissioners, or a quorum of a committee of Commis- sioners, where such deliberations deter- mine or result in the joint conduct or disposition of official agency business, except that the term does not include deliberations to decide whether to an- nounce a meeting with less than seven
days notice, or whether a meeting should be open or closed. (The term in- cludes conference telephone calls, but does not include the separate consider- ation of Commission business by Com- missioners.) For purposes of this sub- part 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]
§ 0.602 Open meetings.
(a) All meetings shall be conducted in accordance with the provisions of this subpart.
(b) Except as provided in § 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 en- gaging 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 plead- ings 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, com- ments or observations made during the course of open meetings do not them- selves constitute action of the Com- mission. Comments made by Commis- sioners 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]
§ 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 dis- closed to the public under § 0.605 may be withheld, if the agency determines
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47 CFR Ch. I (10–1–10 Edition)§ 0.605
that an open meeting or the disclosure of such information is likely to:
(a) Disclose matters that: (1) Are spe- cifically authorized under criteria es- tablished by executive order to be kept secret in the interest of national de- fense or foreign policy, and (2) are in fact properly classified pursuant to such executive order (see § 0.457(a));
(b) Relate solely to the internal per- sonnel rules and practices of an agency (see § 0.457(b));
(c) Disclose matters specifically ex- empted from disclosure, by statute (other than the Freedom of Informa- tion Act, 5 U.S.C. 552). Provided, That such statute (1) requires that the mat- ters be withheld from the public in such a manner as to leave no discretion on the issue, or (2) establishes par- ticular criteria for withholding or re- fers to particular types of matters to be withheld (see § 0.457(c));
(d) Disclose trade secrets and com- mercial or financial information ob- tained from a person and privileged or confidential (see § 0.457(d));
(e) Involve accusing any person of a crime or formally censuring any per- son;
(f) Disclose information of a personal nature where disclosure would con- stitute a clearly unwarranted invasion of personal privacy (see § 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 pro- ceedings, (2) deprive a person of a right to a fair trial or an impartial adjudica- tion, (3) constitute an unwarranted in- vasion 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 investiga- tion, or by an agency conducting a law- ful national security intelligence in- vestigation, confidential information furnished only by the confidential source, (5) disclose investigative tech- niques and procedures, or (6) endanger the life or physical safety of law en- forcement personnel;
(h) Disclose information contained in or related to examination, operating,
or condition reports prepared by, on be- half of, or for the use of an agency re- sponsible for the regulation or super- vision of financial institutions;
(i) Disclose information the pre- mature disclosure of which would be likely to significantly frustrate imple- mentation 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 pro- ceeding, an action in a foreign court or international tribunal, or an arbitra- tion, or the initiation, conduct, or dis- position by the agency of a particular case of formal agency adjudication pur- suant to the procedures specified in 5 U.S.C. 554 or otherwise involving a de- termination on the record after oppor- tunity for hearing.
§ 0.605 Procedures for announcing meetings.
(a) Notice of all open and closed meetings will be given.
(b) The meeting notice will be sub- mitted for publication in the FEDERAL REGISTER on or before the date on which the announcement is made. Cop- ies will be available in the Press and News Media Division on the day the an- nouncement 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 des- ignated to respond to requests for in- formation 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
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Federal Communications Commission § 0.606
(or is not) a legal basis for closing the meeting to the public. Following ac- tion by the General Counsel, the mat- ter may be referred to the agency for a vote on the question of closing the meeting (See § 0.606).
(d)(1) If the question of closing a meeting is considered by the agency but no vote is taken, the agency will, at least one week prior to the meeting, announce in writing the time, place and subject matter of the meeting, that it is to be open to the public, and the name and phone number of the Chief, Press and News Media Division.
(2) If a vote is taken, the agency will, in the same announcement and within one day after the vote, make public the vote of each participating Commis- sioner.
(3) If the vote is to close the meeting, the agency will also, in that announce- ment, set out a full written expla- nation of its action, including the ap- plicable provision(s) of § 0.603, and a list of persons expected to attend the meet- ing, including Commission personnel, together with their affiliations. The Commissioners, their assistants, the General Counsel, the Executive Direc- tor, the Chief, Press and News Media Division, and the Secretary are ex- pected to attend all Commission meet- ings. 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 in- formation usually included, if and to the extent that it finds that disclosure would be likely to have any of the con- sequences listed in § 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 meet- ing, or before that announcement, the agency will issue the announcement at the earliest practicable time. In addi- tion to other information, the an- nouncement will contain the vote of each member of the agency who par- ticipated in the decision to give less than seven days notice, and the par- ticular reason for that decision.
(f) If, after announcement of a meet- ing, 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 deter- mination to open or close a meeting is changed, the agency will publicly an- nounce 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 an- nouncement of the change was pos- sible.
(47 U.S.C. 154, 155, 303)
[42 FR 12867, Mar. 7, 1977, as amended at 44 FR 12425, Mar. 7, 1979; 44 FR 70472, Dec. 7, 1979; 64 FE 2150, Jan. 13, 1999]
§ 0.606 Procedures for closing a meet- ing to the public.
(a) For every meeting closed under § 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 § 0.603. The staff of the agency will refer the matter to the General Counsel for cer- tification before it is referred to the agency for a vote on closing the meet- ing. Certifications will be retained in a public file in the Office of the Sec- retary.
(b) The agency will vote on the ques- tion of closing a meeting.
(1) If a member of the agency re- quests 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 § 0.603 (e), (f) or (g), or if any person requests that a closed meeting be opened, and a mem- ber 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 at- tention of the Secretary—in person or by telephone. It will be helpful if copies of the request are furnished to the
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47 CFR Ch. I (10–1–10 Edition)§ 0.607
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 § 0.603 only by vote of a majority of the entire membership of the agency. The vote of each partici- pating Commissioner will be recorded. No Commissioner may vote by proxy.
(d) A separate vote will be taken be- fore 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 in- volves the same particular matters and is scheduled to be held no later than 30 days after the first meeting in the se- ries.
(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 deter- mination 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 agen- cy business so requires and that no ear- lier announcement of the change was possible.
[42 FR 12867, Mar. 7, 1977, as amended at 71 FR 15618, Mar. 29, 2006]
§ 0.607 Transcript, recording or min- utes; availability to the public.
(a) The agency will maintain a com- plete transcript or electronic recording adequate to record fully the pro- ceedings of each meeting closed to the public, except that in a meeting closed pursuant to paragraph (h) or (j) of § 0.603, the agency may maintain min- utes in lieu of a transcript or record- ing. Such minutes shall fully and clear- ly describe all matters discussed and shall provide a full and accurate sum- mary of any actions taken, and the reasons therefor, including a descrip- tion of each of the views expressed on any item and the record of any roll call vote. All documents considered in con- nection with any item will be identi- fied in the minutes.
(b) A public file of transcripts (or minutes) of closed meetings will be
maintained in the Office of the Sec- retary. The transcript of a meeting will be placed in that file if, after the meet- ing, the responsible Bureau or Office Chief determines, in light of the discus- sion, that the meeting could have been open to the public or that the reason for withholding information con- cerning the matters discussed no longer pertains. Transcripts placed in the public file are available for inspec- tion under § 0.460. Other transcripts, and separable portions thereof which do not contain information properly withheld under § 0.603, may be made available for inspection under § 0.461. When a transcript, or portion thereof, is made available for inspection under § 0.461, it will be placed in the public file. Copies of transcripts may be ob- tained from the duplicating contractor pursuant to § 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 ap- pear in the notice of the meeting. Pur- suant to § 0.465(c)(3), the Commission will make copies of the transcript available directly, free of charge, if it serves the financial or regulatory in- terests 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 partici- pated in the discussion. These state- ments 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]
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Subpart G—Intergovernmental Communication
SOURCE: 66 FR 8091, Jan. 29, 2001, unless otherwise noted.
§ 0.701 Intergovernmental Advisory Committee.
(a) Purpose and term of operations. The Intergovernmental Advisory Com- mittee (IAC) is established to facilitate intergovernmental communication be- tween 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 mis- sion for a period of two years from that date. At his discretion, the Chairman of the Federal Communications Com- mission may extend the IAC’s term of operations for an additional two years, for which new members will be ap- pointed 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 fol- low, the procedures set forth in the Federal Advisory Committee Act. 5 U.S.C., App. 2 (1988).
(b) Membership. The IAC will be com- posed of the following 15 members (or their designated employees): Four elected municipal officials (city may- ors and city council members); two elected county officials (county com- missioners 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 mem- bers through an application process initiated by a Public Notice, and will select a Chairman and a Vice Chairman to lead the IAC. The Chairman of the Commission will also appoint members to fill any vacancies and may replace an IAC member, at his discretion, using the appointment process. Mem- bers of the IAC are responsible for trav- el and other incidental expenses in- curred 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 at- tend a minimum of fifty percent of the IAC’s yearly meetings and may be re- moved by the Chairman of the IAC for failure to comply with this require- ment.
(d) Participation in IAC meetings. Par- ticipation at IAC meetings will be lim- ited to IAC members or employees des- ignated by IAC members to act on their behalf. Members unable to attend an IAC meeting should notify the IAC Chairman a reasonable time in advance of the meeting and provide the name of the employee designated on their be- half. With the exception of Commission staff and individuals or groups having business before the IAC, no other per- sons may attend or participate in an IAC meeting.
(e) Commission support and oversight. The Chairman of the Commission, or Commissioner designated by the Chair- man for such purpose, will serve as a li- aison between the IAC and the Com- mission and provide general oversight for its activities. The IAC will also communicate directly with the Chief, Consumer & Governmental Affairs Bu- reau, concerning logistical assistance and staff support, and such other mat- ters as are warranted.
[68 FR 52519, Sept. 4, 2003]
PART 1—PRACTICE AND PROCEDURE
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 docu-
ments submitted. 1.12 Notice to attorneys of Commission doc-
uments.
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1.13 Filing of petitions for review and no- tices 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 prac-
tice. 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 ac- tion.
1.42 Applications, reports, complaints; cross-reference.
1.43 Requests for stay; cross-reference. 1.44 Separate pleadings for different re-
quests. 1.45 Pleadings; filing periods. 1.46 Motions for extension of time. 1.47 Service of documents and proof of serv-
ice. 1.48 Length of pleadings. 1.49 Specifications as to pleadings and docu-
ments. 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 for-
bearance. 1.54 Petitions for forbearance must be com-
plete as filed. 1.55 Public notice of petitions for forbear-
ance. 1.56 Motions for summary denial of peti-
tions for forbearance. 1.57 Circulation and voting of petitions for
forbearance. 1.58 Forbearance petition quiet period pro-
hibition. 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 li-
censes. 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 pro-
ceedings; hearings. 1.92 Revocation and/or cease and desist pro-
ceedings; 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 pursu-
ant to delegated authority. 1.103 Effective dates of Commission actions;
finality of Commission actions. 1.104 Preserving the right of review; de-
ferred consideration of application for re- view.
1.106 Petitions for reconsideration. 1.108 Reconsideration on Commission’s own
motion. 1.110 Partial grants; rejection and designa-
tion for hearing. 1.113 Action modified or set aside by person,
panel, or board. 1.115 Application for review of action taken
pursuant to delegated authority. 1.117 Review on motion of the Commission. 1.120 Protests of grants without hearing.
Subpart B—Hearing Proceedings
GENERAL
1.201 Scope. 1.202 Official reporter; transcript. 1.203 The record. 1.204 Pleadings; definition. 1.205 Continuances and extensions. 1.207 Interlocutory matters, reconsideration
and review; cross references. 1.209 Identification of responsible officer in
caption to pleading. 1.211 Service.
PARTICIPANTS AND ISSUES
1.221 Notice of hearing; appearances. 1.223 Petitions to intervene. 1.224 Motion to proceed in forma pauperis. 1.225 Participation by non-parties; consider-
ation of communications.
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1.227 Consolidations. 1.229 Motions to enlarge, change, or delete
issues.
PRESIDING OFFICER
1.241 Designation of presiding officer. 1.243 Authority of presiding officer. 1.244 Designation of a settlement judge. 1.245 Disqualification of presiding officer.
PREHEARING PROCEDURES
1.246 Admission of facts and genuineness of documents.
1.248 Prehearing conferences; hearing con- ferences.
1.249 Prehearing statement.
HEARING AND INTERMEDIATE DECISION
1.250 Discovery and preservation of evi- dence; cross-reference.
1.251 Summary decision. 1.253 Time and place of hearing. 1.254 Nature of the hearing; burden of proof. 1.255 Order of procedure. 1.258 Closing of the hearing. 1.260 Certification of transcript. 1.261 Corrections to transcript. 1.263 Proposed findings and conclusions. 1.264 Contents of findings of fact and con-
clusions. 1.267 Initial and recommended decisions.
REVIEW PROCEEDINGS
1.271 Delegation of review function. 1.273 Waiver of initial or recommended deci-
sion. 1.274 Certification of the record to the Com-
mission for initial or final decision. 1.276 Appeal and review of initial decision. 1.277 Exceptions; oral arguments. 1.279 Limitation of matters to be reviewed. 1.282 Final decision of the Commission.
INTERLOCUTORY ACTIONS IN HEARING PROCEEDINGS
1.291 General provisions. 1.294 Oppositions and replies. 1.296 Service. 1.297 Oral argument. 1.298 Rulings; time for action.
APPEAL AND RECONSIDERATION OF PRESIDING OFFICER’S RULING
1.301 Appeal from presiding officer’s inter- locutory ruling; effective date of ruling.
1.302 Appeal from presiding officer’s final ruling; effective date of ruling.
THE DISCOVERY AND PRESERVATION OF EVIDENCE
1.311 General. 1.313 Protective orders. 1.315 Depositions upon oral examination—
notice and preliminary procedure.
1.316 Depositions upon written interrog- atories—notice and preliminary proce- dure.
1.318 The taking of depositions. 1.319 Objections to the taking of deposi-
tions. 1.321 Use of depositions at the hearing. 1.323 Interrogatories to parties. 1.325 Discovery and production of docu-
ments 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 ma-
terial. 1.355 Documents in foreign language. 1.356 Copies of exhibits. 1.357 Mechanical reproductions as evidence. 1.358 Tariffs as evidence. 1.359 Proof of official record; authentication
of copy. 1.360 Proof of lack of record. 1.361 Other proof of official record. 1.362 Production of statements. 1.363 Introduction of statistical data. 1.364 Testimony by speakerphone.
Subpart C—Rulemaking Proceedings
GENERAL
1.399 Scope. 1.400 Definitions.
PETITIONS AND RELATED PLEADINGS
1.401 Petitions for rulemaking. 1.403 Notice and availability. 1.405 Responses to petitions; replies. 1.407 Action on petitions.
RULEMAKING PROCEEDINGS
1.411 Commencement of rulemaking pro- ceedings.
1.412 Notice of proposed rulemaking. 1.413 Content of notice. 1.415 Comments and replies. 1.419 Form of comments and replies; num-
ber of copies. 1.420 Additional procedures in proceedings
for amendment of the FM or TV Tables of Allotments, or for amendment of cer- tain FM assignments.
1.421 Further notice of rulemaking.
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1.423 Oral argument and other proceedings. 1.425 Commission action. 1.427 Effective date of rules. 1.429 Petition for reconsideration.
INQUIRIES
1.430 Proceedings on a notice of inquiry.
Subpart D—Broadcast Applications and Proceedings
1.502 Emergency Broadcast Authorizations.
GENERAL FILING REQUIREMENTS
1.511 Applications required. 1.512 Where to file; number of copies. 1.513 Who may sign applications. 1.514 Content of applications. 1.516 Specification of facilities. 1.517 Contingent applications. 1.518 Inconsistent or conflicting applica-
tions. 1.519 Repetitious applications. 1.520 Multiple applications. 1.522 Amendment of applications. 1.525 Agreements between parties for
amendment or dismissal of, or failure to prosecute, broadcast applications.
1.526 Records to be maintained locally for public inspection by commercial appli- cants, permittees and licensees.
1.527 Records to be maintained locally for public inspection by noncommercial edu- cational applicants, permittees and li- censees.
1.531 Formal and informal applications. 1.533 Application forms for authority to
construct a new station or make changes in an existing station.
1.534 Application for extension of construc- tion permit or for construction permit to replace expired construction permit.
1.536 Application for license to cover con- struction permit.
1.538 Application for modification of li- cense.
1.539 Application for renewal of license. 1.540 Application for voluntary assignment
or transfer of control. 1.541 Application for involuntary assign-
ment of license or transfer of control. 1.542 Application for temporary authoriza-
tion. 1.543 Application for renewal or modifica-
tion of special service authorization. 1.544 Application for broadcast station to
conduct field strength measurements and for experimental operation.
1.545 Application for permit to deliver pro- grams to foreign countries.
1.546 Application to determine operating power by direct measurement of antenna power.
1.549 Requests for extension of authority to operate without required monitors, indi- cating instruments, and EBS Attention Signal devices.
1.550 Requests for new or modified call sign assignments.
1.561 Staff consideration of applications which receive action by the Commission.
1.562 Staff consideration of applications which do not require action by the Com- mission.
1.564 Acceptance of applications. 1.566 Defective applications. 1.568 Dismissal of applications. 1.570 AM broadcast station applications in-
volving other North American countries. 1.571 Processing AM broadcast station ap-
plications. 1.572 Processing TV broadcast and trans-
lator station applications. 1.573 Processing FM broadcast and trans-
lator station applications. 1.574 Processing of international broadcast
station applications. 1.578 Amendments to applications for re-
newal, assignment or transfer of control. 1.580 Local public notice of filing of broad-
cast applications. 1.584 Petitions to deny. 1.587 Procedure for filing informal applica-
tions. 1.591 Grants without hearing. 1.592 Conditional grant. 1.593 Designation for hearing. 1.594 Local public notice of designation for
hearing. 1.597 Procedures on transfer and assignment
applications. 1.598 Period of construction. 1.599 Forfeiture of construction permit. 1.601 Simultaneous modification and re-
newal of license. 1.603 Special waiver procedure relative to
applications. 1.605 Retention of applications in hearing
status after designation for hearing. 1.612 Annual employment report. 1.613 Filing of contracts. 1.615 Ownership reports.
Subpart E—Complaints, Applications, Tar- iffs, 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; for-
mal complaints relating back to the fil- ing dates of informal complaints.
1.719 Informal complaints filed pursuant to section 258.
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FORMAL COMPLAINTS
1.720 General pleading requirements. 1.721 Format and content of complaints. 1.722 Damages. 1.723 Joinder of complainants and causes of
action. 1.724 Answers. 1.725 Cross-complaints and counterclaims. 1.726 Replies. 1.727 Motions. 1.728 Formal complaints not stating a cause
of action; defective pleadings. 1.729 Discovery. 1.730 The Enforcement Bureau’s Acceler-
ated Docket. 1.731 Confidentiality of information pro-
duced or exchanged by the parties. 1.732 Other required written submissions. 1.733 Status conference. 1.734 Specifications as to pleadings, briefs,
and other documents; subscription. 1.735 Copies; service; separate filings
against multiple defendants. 1.736 Complaints filed pursuant to 47 U.S.C.
271(d)(6)(B).
APPLICATIONS
1.741 Scope. 1.742 Place of filing, fees, and number of
copies. 1.743 Who may sign applications. 1.744 Amendments. 1.745 Additional statements. 1.746 Defective applications. 1.747 Inconsistent or conflicting applica-
tions. 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 impair-
ment 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 permis-
sion. 1.773 Petitions for suspension or rejection of
new tariff filings. 1.774 Pricing flexibility.
CONTRACTS, REPORTS, AND REQUESTS REQUIRED TO BE FILED BY CARRIERS
1.781 Requests for extension of filing time.
CONTRACTS
1.783 Filing.
FINANCIAL AND ACCOUNTING REPORTS AND REQUESTS
1.785 Annual financial reports. 1.786 [Reserved] 1.787 Reports of proposed changes in depre-
ciation rates. 1.788 Reports regarding pensions and bene-
fits. 1.789 Reports regarding division of inter-
national telegraph communication charges.
1.790 Reports relating to traffic by inter- national 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 author- ity to supplement facilities or to provide temporary or emergency service.
1.803 Reports relating to reduction in tem- porary experimental service.
1.805 Reports relating to service by carriers engaged in public radio service oper- ations.
MISCELLANEOUS REPORTS
1.811 Reports regarding amendments to charters, by-laws and partnership agree- ments of carriers engaged in domestic public radio services.
1.814 Reports regarding free service ren- dered the Government for national de- fense.
1.815 Reports of annual employment.
GRANTS BY RANDOM SELECTION
1.821 Scope. 1.822 General selection procedures. 1.824 Random selection procedures for Mul-
tichannel Multipoint Distribution Serv- ice and Multipoint Distribution Service H-Channel stations.
Subpart F—Wireless Radio Services Applications and Proceedings
SCOPE AND AUTHORITY
1.901 Basis and purpose. 1.902 Scope. 1.903 Authorization required. 1.907 Definitions.
APPLICATION REQUIREMENTS AND PROCEDURES
1.911 Station files. 1.913 Application and notification forms;
electronic and manual filing. 1.915 General application requirements. 1.917 Who may sign applications. 1.919 Ownership information.
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1.923 Content of applications. 1.924 Quiet zones. 1.925 Waivers. 1.926 Application processing; initial proce-
dures. 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 au-
thority. 1.933 Public notices. 1.934 Defective applications and dismissal. 1.935 Agreements to dismiss applications,
amendments or pleadings. 1.937 Repetitious or conflicting applica-
tions. 1.939 Petitions to deny. 1.945 License grants. 1.946 Construction and coverage require-
ments. 1.947 Modification of licenses. 1.948 Assignment of authorization or trans-
fer of control, notification of consumma- tion.
1.949 Application for renewal of license. 1.951 Duty to respond to official commu-
nications. 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 ele-
vation.
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 tele- communications services.
1.1103 Schedule of charges for equipment ap- proval, 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 com- petition services.
1.1106 Schedule of charges for applications and other filings for the enforcement services.
1.1107 Schedule of charges for applications and other filings for the international services.
1.1108 Schedule of charges for applications and other filings for the international telecommunication services.
1.1109 Schedule of charges for applications and other filings for the Homeland serv- ices.
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 pay-
ments. 1.1119 Petitions and applications for review. 1.1120 Error claims. 1.1121 Billing procedures. 1.1151 Authority to prescribe and collect
regulatory fees. 1.1152 Schedule of annual regulatory fees
and filing locations for wireless radio services.
1.1153 Schedule of annual regulatory fees and filing locations for mass media serv- ices.
1.1154 Schedule of annual regulatory charges and filing locations for common carrier services.
1.1155 Schedule of regulatory fees and filing locations for cable television services.
1.1156 Schedule of regulatory fees and filing locations for international services.
1.1157 Payment of charges for regulatory fees.
1.1158 Form of payment for regulatory. 1.1159 Filing locations and receipts for regu-
latory fees. 1.1160 Refunds of regulatory fees. 1.1161 Conditional license grants and dele-
gated authorizations. 1.1162 General exemptions from regulatory
fees. 1.1163 Adjustments to regulatory fees. 1.1164 Penalties for late or insufficient regu-
latory fee payments. 1.1165 Payment by cashier’s check for regu-
latory 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 serv- ices and products.
1.1182 Schedule of fees for products and services provided by the Commission in connection with competitive bidding pro- cedures.
Subpart H—Ex Parte Communications
GENERAL
1.1200 Introduction. 1.1202 Definitions.
SUNSHINE PERIOD PROHIBITION
1.1203 Sunshine period prohibition.
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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 presen- tations.
PROCEDURES FOR HANDLING OF PROHIBITED EX PARTE PRESENTATIONS
1.1212 Procedures for handling of prohibited ex parte presentations.
1.1214 Disclosure of information concerning violations of this subpart.
SANCTIONS
1.1216 Sanctions.
Subpart I—Procedures Implementing the National Environmental Policy Act of 1969
1.1301 Basis and purpose. 1.1302 Cross-reference; Regulations of the
Council on Environmental Quality. 1.1303 Scope. 1.1304 Information and assistance. 1.1305 Actions which normally will have a
significant impact upon the environ- ment, for which Environmental Impact Statements must be prepared.
1.1306 Actions which are categorically ex- cluded from environmental processing.
1.1307 Actions that may have a significant environmental effect, for which Environ- mental Assessments (EAs) must be pre- pared.
1.1308 Consideration of environmental as- sessments (EAs); findings of no signifi- cant impact.
1.1309 Application amendments. 1.1310 Radiofrequency radiation exposure
limits. 1.1311 Environmental information to be in-
cluded in the environmental assessment (EA).
1.1312 Facilities for which no preconstruction authorization is re- quired.
1.1313 Objections. 1.1314 Environmental impact statements
(EISs). 1.1315 The Draft Environmental Impact
Statement (DEIS); Comments. 1.1317 The Final Environmental Impact
Statement (FEIS). 1.1319 Consideration of the environmental
impact statements.
Subpart J—Pole Attachment Complaint Procedures
1.1401 Purpose. 1.1402 Definitions. 1.1403 Duty to provide access; modifica-
tions; notice of removal, increase or modification; petition for temporary stay; and cable operator notice.
1.1404 Complaint. 1.1405 File numbers. 1.1406 Dismissal of complaints. 1.1407 Response and reply. 1.1408 Number of copies and form of plead-
ings. 1.1409 Commission consideration of the
complaint. 1.1410 Remedies. 1.1411 Meetings and hearings. 1.1412 Enforcement. 1.1413 Forfeiture. 1.1414 State certification. 1.1415 Other orders. 1.1416 Imputation of rates; modification
costs. 1.1417 Allocation of Unusable Space Costs. 1.1418 Use of presumptions in calculating
the space factor.
Subpart K—Implementation of the Equal Access to Justice Act (EAJA) in Agen- cy Proceedings
GENERAL PROVISIONS
1.1501 Purpose of these rules. 1.1502 When the EAJA applies. 1.1503 Proceedings covered. 1.1504 Eligibility of applicants. 1.1505 Standards for awards. 1.1506 Allowable fees and expenses. 1.1507 Rulemaking on maximum rates for
attorney fees. 1.1508 Awards against other agencies.
INFORMATION REQUIRED FROM APPLICANTS
1.1511 Contents of application. 1.1512 Net worth exhibit. 1.1513 Documentation of fees and expenses. 1.1514 When an application may be filed.
PROCEDURES FOR CONSIDERING APPLICATIONS
1.1521 Filing and service of documents. 1.1522 Answer to application. 1.1523 Reply. 1.1524 Comments by other parties. 1.1525 Settlement. 1.1526 Further proceedings. 1.1527 Decision. 1.1528 Commission review. 1.1529 Judicial review. 1.1530 Payment of award.
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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 Nondiscrimina- tion on the Basis of Disability In Pro- grams 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 Ac- cessibility Handbook.
1.1810 Review of compliance. 1.1811 Notice. 1.1830 General prohibitions against dis-
crimination. 1.1840 Employment. 1.1849 Program accessibility: Discrimina-
tion prohibited. 1.1850 Program accessibility: Existing fa-
cilities. 1.1851 Building accessibility: New construc-
tion 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 for-
feiture 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 REPORT- ING AGENCIES—CONTRACTING FOR COLLEC- TION
1.1911 Demand for payment. 1.1912 Collection by administrative offset. 1.1913 Administrative offset against
amounts payable from Civil Service Re- tirement and Disability Fund.
1.1914 Collection in installments. 1.1915 Exploration of compromise. 1.1916 Suspending or terminating collection
action. 1.1917 Referrals to the Department of Jus-
tice 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 re-
covery 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 In- ternal Revenue Service.
1.1951 Offset against tax refunds. 1.1952 Use and disclosure of mailing address-
es.
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 infor-
mation. 1.2003 Applications affected.
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Federal Communications Commission Pt. 1
Subpart Q—Competitive Bidding Proceedings
GENERAL PROCEDURES
1.2101 Purpose. 1.2102 Eligibility of applications for com-
petitive bidding. 1.2103 Competitive bidding design options. 1.2104 Competitive bidding mechanisms. 1.2105 Bidding application and certification
procedures; prohibition of certain com- munications.
1.2106 Submission of upfront payments. 1.2107 Submission of down payment and fil-
ing 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: un-
just enrichment. 1.2112 Ownership disclosure requirements
for applications. 1.2113 Construction prior to grant of appli-
cation. 1.2114 Reporting of eligibility event.
Subpart R—Implementation of Section 4(g)(3) of the Communications Act: Procedures Governing Acceptance of Unconditional Gifts, Donations and Be- quests
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 re-
quirements.
Subpart S—Preemption of Restrictions That ‘‘Impair’’ the Ability To Receive Tele- vision Broadcast Signals, Direct Broad- cast Satellite Services, or Multichannel Multipoint Distribution Services or the Ability To Receive or Transmit Fixed Wireless Communications Signals
1.4000 Restrictions impairing reception of television broadcast signals, direct broadcast satellite services or multi- channel multipoint distribution services.
Subpart T—Exempt Telecommunications Companies
1.5000 Purpose. 1.5001 Definitions. 1.5002 Contents of application and procedure
for filing. 1.5003 Effect of filing. 1.5004 Commission action.
1.5005 Notification of Commission action to the Securities and Exchange Commis- sion.
1.5006 Procedure for notifying Commission of material change in facts.
1.5007 Comments.
Subpart U—Implementation of Section 325(e) of the Communications Act: Procedures Governing Complaints Filed by Television Broadcast Stations Against Satellite Carriers for Retrans- mission Without Consent
1.6000 Purpose. 1.6001 Retransmission consent complaint
procedures. 1.6002 Form and content. 1.6003 Service requirements. 1.6004 Answers. 1.6005 Exclusive defenses. 1.6006 Counting of violations. 1.6007 Burden of proof. 1.6008 Determinations. 1.6009 Relief. 1.6010 Reporting of remedial measures. 1.6011 Effective date. 1.6012 Sunset provisions.
Subpart V—Implementation of Section 706 of the Telecommunications Act of 1996; Commission Collection of Ad- vanced Telecommunications Capa- bility Data
1.7000 Purpose. 1.7001 Scope and content of filed reports. 1.7002 Frequency of reports.
Subpart W—FCC Registration Number
1.8001 FCC Registration Number (FRN). 1.8002 Obtaining an FRN. 1.8003 Providing the FRN in commission fil-
ings. 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 spec- trum leasing arrangements.
1.9020 Spectrum manager leasing arrange- ments.
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.
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1.9045 Requirements for spectrum leasing arrangements entered into by licensees participating in the installment payment program.
1.9047 Special provisions relating to leases of educational broadband service spec- trum.
1.9048 Special provisions relating to spec- trum leasing arrangements involving li- censees in the Public Safety Radio Serv- ices.
1.9050 Who may sign spectrum leasing noti- fications and applications.
1.9055 Assignment of file numbers to spec- trum leasing notifications and applica- tions.
1.9060 Amendments, waivers, and dismissals affecting spectrum leasing notifications and applications.
1.9080 Private commons.
Subpart Y—International Bureau Filing System
1.10000 What is the purpose of these rules? 1.10001 Definitions. 1.10002 What happens if the rules conflict? 1.10003 When can I start operating? 1.10004 What am I allowed to do if I am ap-
proved? 1.10005 What is IBFS? 1.10006 Is electronic filing mandatory? 1.10007 What applications can I file elec-
tronically? 1.10008 What are IBFS file numbers? 1.10009 What are the steps for electronic fil-
ing? 1.10010 Do I need to send paper copies with
my electronic applications? 1.10011 Who may sign applications? 1.10012 When can I file on IBFS? 1.10013 How do I check the status of my ap-
plication 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 infor-
mation? 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 proce-
dures and Commission review. 1.20006 Assistance capability requirements.
1.20007 Additional assistance capability re- quirements for wireline, cellular, and PCS telecommunications carriers.
1.20008 Penalties. APPENDIX A TO PART 1—A PLAN OF COOPERA-
TIVE PROCEDURE IN MATTERS AND CASES UNDER THE PROVISIONS OF SECTION 410 OF THE COMMUNICATIONS ACT OF 1934
APPENDIX B TO PART 1—NATIONWIDE PRO- GRAMMATIC AGREEMENT FOR THE COLLOCA- TION OF WIRELESS ANTENNAS
APPENDIX C TO PART 1—NATIONWIDE PRO- GRAMMATIC AGREEMENT REGARDING THE SECTION 106 NATIONAL HISTORIC PRESER- VATION ACT REVIEW PROCESS
AUTHORITY: 15 U.S.C. 79 et seq.; 47 U.S.C. 151, 154(i), 154(j), 155, 157, 225, 303(r), and 309.
EDITORIAL NOTE: Nomenclature changes to part 1 appear at 63 FR 54077, Oct. 8, 1998.
Subpart A—General Rules of Practice and Procedure
SOURCE: 28 FR 12415, Nov. 22, 1963, unless otherwise noted.
GENERAL
§ 1.1 Proceedings before the Commis- sion.
The Commission may on its own mo- tion or petition of any interested party hold such proceedings as it may deem necessary from time to time in connec- tion with the investigation of any mat- ter which it has power to investigate under the law, or for the purpose of ob- taining information necessary or help- ful 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 pur- poses of such proceedings.
(Sec. 403, 48 Stat. 1094; 47 U.S.C. 403)
§ 1.2 Declaratory rulings. The Commission may, in accordance
with section 5(d) of the Administrative Procedure Act, on motion or on its own motion issue a declaratory ruling ter- minating a controversy or removing uncertainty.
(5 U.S.C. 554)
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Federal Communications Commission § 1.4
§ 1.3 Suspension, amendment, or waiv- er 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 Commis- sion, subject to the provisions of the Administrative Procedure Act and the provisions of this chapter. Any provi- sion 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.
§ 1.4 Computation of time. (a) Purpose. The purpose of this rule
section is to detail the method for com- puting the amount of time within which persons or entities must act in response to deadlines established by the Commission. It also applies to com- putation of time for seeking both re- consideration and judicial review of Commission decisions.
(b) General Rule—Computation of Be- ginning 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 mem- bers of the Commission or its staff pur- suant to delegated authority is the day after the day on which public notice of that action is given. See § 1.4(b) (1)–(5) of this section. Unless otherwise pro- vided, all Rules measuring time from the date of the issuance of a Commis- sion document entitled ‘‘Public No- tice’’ shall be calculated in accordance with this section. See § 1.4(b)(4) of this section for a description of the ‘‘Public Notice’’ document. Unless otherwise provided in § 1.4 (g) and (h) of this sec- tion, 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 § 1.4(e)(1) of this section for defini- tion of ‘‘holiday.’’
(1) For all documents in notice and comment and non-notice and comment rulemaking proceedings required by the Administrative Procedure Act, 5 U.S.C. 552, 553, to be published in the
FEDERAL REGISTER, including sum- maries 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 § 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 Wednes- day, 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 docu- ment 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 fil- ing 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 peti- tion’s filing in the FEDERAL REGISTER. Pub- lic notice of the filing of a petition for recon- sideration is published in the FEDERAL REG- ISTER on Wednesday, June 10, 1987. For pur- poses 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, op- positions 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 re- lease 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 no- tice of this decision is given on Friday, April 3, 1987. Saturday, April 4, 1987, is the first day to be counted in computing filing peri- ods.
(3) For rule makings of particular ap- plicability, if the rule making docu- ment 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 FED- ERAL REGISTER publication date. If the decision fails to specify FEDERAL REG- ISTER publication, the date of public notice will commence on the release date, even if the document is subse- quently published in the FEDERAL REG- ISTER. See Declaratory Ruling, 51 FR 23059 (June 25, 1986).
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Example 4: An order establishing an inves- tigation 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 no- tice is Friday, April 10, 1987. If this decision does not specify FEDERAL REGISTER publica- tion, 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 docu- ment is not to be released by the Com- mission, but a descriptive document entitled ‘‘Public Notice’’ describing the action is released, the date on which the descriptive ‘‘Public Notice’’ is re- leased.
Example 5: At a public meeting the Com- mission considers an uncontested applica- tion to transfer control of a broadcast sta- tion. 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 re- leased. 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 re- leased on Wednesday, September 2, 1987; pub- lic notice of these petitions is given on Sep- tember 2, 1987. The first day to be counted in computing filing times is Thursday, Sep- tember 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 per- sons affected by the action.
Example 7: A Bureau grants a license to an applicant, or issues a waiver for non-con- forming operation to an existing licensee, and no ‘‘Public Notice’’ announcing the ac- tion is released. The date of public notice commences on the day appearing on the li- cense mailed to the applicant or appearing on the face of the letter granting the waiver mailed to the licensee.
(c) General Rule—Computation of Be- ginning Date When Action is Initiated by Act, Event or Default. Commission pro- cedures frequently require the com- putation of a period of time where the period begins with the occurrence of an act, event or default and terminates a specific number of days thereafter. Un-
less otherwise provided, the first day to be counted when a period of time be- gins 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 § 21.39(d) re- quires the filing of an application requesting consent to involuntary assignment or con- trol 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 § 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 § 21.39(d).
(d) General Rule—Computation of Ter- minal Date. Unless otherwise provided, when computing a period of time the last day of such period of time is in- cluded in the computation, and any ac- tion required must be taken on or be- fore that day.
Example 9: Paragraph 1.4(b)(1) of this sec- tion provides that ‘‘public notice’’ in a no- tice and comment rule making proceeding begins on the day of FEDERAL REGISTER pub- lication. Paragraph 1.4(b) of this section pro- vides that the first day to be counted in com- puting a terminal date is the ‘‘day after the day’’ on which public notice occurs. There- fore, 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 FED- ERAL REGISTER publication. Accordingly, if the FEDERAL REGISTER document is pub- lished on Thursday, July 23, 1987, public no- tice is given on Thursday, July 23, and the first day to be counted in computing a 20 day period is Friday, July 24, 1987. The 20th day or terminal date upon which action must be taken is Wednesday, August 12, 1987.
(e) Definitions for purposes of this section:
(1) The term holiday means Saturday, Sunday, officially recognized Federal legal holidays and any other day on which the Commission’s offices are closed and not reopened prior to 5:30 p.m. For example, a regularly sched- uled Commission business day may be- come a holiday if its offices are closed prior to 5:30 p.m. due to adverse weath- er, emergency or other closing.
NOTE: As of August 1987, officially recog- nized Federal legal holidays are New Year’s Day, January 1; Martin Luther King’s Birth- day, third Monday in January; Washington’s
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Federal Communications Commission § 1.4
Birthday, third Monday in February; Memo- rial Day, last Monday in May; Independence Day, July 4; Labor Day, first Monday in Sep- tember; Columbus Day, second Monday in October; Veterans Day, November 11; Thanksgiving Day, fourth Thursday in No- vember; 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 Wash- ington, 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 de- termination of a ‘‘holiday’’ will apply only to the specific Commission location(s) des- ignated as on ‘‘holiday’’ on that particular day.
(2) The term business day means all days, including days when the Commis- sion opens later than the time specified in Rule § 0.403, which are not ‘‘holi- days’’ 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 docu- ment with the Commission. It does not include any additional days allowed for filing any document pursuant to para- graphs (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 au- thorized by this section have been made.
(f) Except as provided in § 0.401(b) of this chapter, all petitions, pleadings, tariffs or other documents not required to be accompanied by a fee and which are hand-delivered must be tendered for filing in complete form, as directed by the Rules, with the Office of the Secretary before 7 p.m., at 445 12th Street, SW., Washington, DC 20554. The Secretary will determine whether a tendered document meets the pre-7:00 p.m. deadline. Documents filed elec- tronically pursuant to § 1.49(f) must be received by the Commission’s elec- tronic filing system before midnight. Applications, attachments and plead- ings filed electronically in the Uni- versal Licensing System (ULS) pursu- ant to § 1.939(b) must be received before midnight on the filing date. Media Bu- reau applications and reports filed electronically pursuant to § 73.3500 of
this chapter must be received by the electronic filing system before mid- night on the filing date.
(g) Unless otherwise provided (e.g., §§ 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 op- position 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 be- cause 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 docu- ment is in fact served by mail (see § 1.47(f)), and the filing period for a re- sponse is 10 days or less, an additional 3 days (excluding holidays) will be al- lowed to all parties in the proceeding for filing a response. This paragraph (h) shall not apply to documents filed pur- suant to § 1.89, § 1.120(d), § 1.315(b) or § 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 op- position be served on the person seeking re- consideration. 47 CFR 1.106(g). If the opposi- tion is served on the party seeking reconsid- eration by mail and the opposition is filed with the Commission on Monday, November 9, 1987, the first day to be counted is Tues- day, November 10, 1987 (the day after the day on which the event occurred, § 1.4(c)), and the seventh day is Monday, November 16. An ad- ditional 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
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paragraph (g) computation before the paragraph (h) computation.
Example 13: Section 1.45(b) requires the fil- ing of replies to oppositions within five days after the time for filing oppositions has ex- pired. 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, § 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 ap- plied to add three days for mailing (exclud- ing 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. § 76.1502(e) of this chapter) if, after making all the computations provided for in this section, the filing date falls on a holiday, the document shall be filed on the next business day. See paragraph (e)(1) of this section.
Example 14: The filing date falls on Friday, December 25, 1987. The document is required to be filed on the next business day, which is Monday, December 28, 1987.
(k) Where specific provisions of part 1 conflict with this section, those spe- cific provisions of part 1 are control- ling. See, e.g.,§§ 1.45(d), 1.773(a)(3) and 1.773(b)(2). Additionally, where § 76.1502(e) of this chapter conflicts with this section, those specific provi- sions of § 76.1502 are controlling. See e.g. 47 CFR 76.1502(e).
[52 FR 49159, Dec. 30, 1987; 53 FR 44196, Nov. 2, 1988, as amended at 56 FR 40567, 40568, Aug. 15, 1991; 58 FR 17529, Apr. 5, 1993; 61 FR 11749, Mar. 22, 1996; 62 FR 26238, May 13, 1997; 63 FR 24124, May 1, 1998; 64 FR 27201, May 19, 1999; 64 FR 60725, Nov. 8, 1999; 65 FR 46109, July 27, 2000; 67 FR 13223, Mar. 21, 2002; 71 FR 15618, Mar. 29, 2006; 74 FR 68544, Dec. 28, 2009]
§ 1.5 Mailing address furnished by li- censee.
(a) Each licensee shall furnish the Commission with an address to be used by the Commission in serving docu- ments or directing correspondence to that licensee. Unless any licensee ad- vises the Commission to the contrary,
the address contained in the licensee’s most recent application will be used by the Commission for this purpose.
(b) The licensee is responsible for making any arrangements which may be necessary in his particular cir- cumstances 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.
§ 1.6 Availability of station logs and records for Commission inspection.
(a) Station records and logs shall be made available for inspection or dupli- cation at the request of the Commis- sion or its representative. Such logs or records may be removed from the li- censee’s possession by a Commission representative or, upon request, shall be mailed by the licensee to the Com- mission by either registered mail, re- turn receipt requested, or certified mail, return receipt requested. The re- turn receipt shall be retained by the li- censee as part of the station records until such records or logs are returned to the licensee. A receipt shall be fur- nished when the logs or records are re- moved from the licensee’s possession by a Commission representative and this receipt shall be retained by the li- censee 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 li- censee. The provisions of this rule shall apply solely to those station logs and records which are required to be main- tained by the provisions of this chap- ter.
(b) Where records or logs are main- tained as the official records of a rec- ognized 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 re- moved 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
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Federal Communications Commission § 1.13
that such records will be released to the Federal Communications Commis- sion.
§ 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 Commis- sion’s staff acting on delegated author- ity, pleadings and other documents are considered to be filed with the Com- mission upon their receipt at the loca- tion designated by the Commission.
[60 FR 16055, Mar. 29, 1995]
§ 1.8 Withdrawal of papers.
The granting of a request to dismiss or withdraw an application or a plead- ing does not authorize the removal of such application or pleading from the Commission’s records.
§ 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 sub- mitted 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 respon- sible for furnishing the copies.
[29 FR 14406, Oct. 20, 1964]
§ 1.12 Notice to attorneys of Commis- sion 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 writ- ten communication pertaining to that matter issued by the Commission and which is required or permitted to be furnished to the person will be commu- nicated to the attorney, or to one of such attorneys if more than one is des- ignated. If direct communication with the party is appropriate, a copy of such communication will be mailed to the attorney.
[29 FR 14406, Oct. 20, 1964]
§ 1.13 Filing of petitions for review and notices of appeals of Commis- sion orders.
(a)(1) This section pertains to each party filing a petition for review in any United States court of appeals of a Commission Order, pursuant to section 402(a) of the Communications Act, 47 U.S.C. 402(a), and 28 U.S.C. 2342(l), that wishes to avail itself of procedures es- tablished for selection of a court in the case of multiple appeals, pursuant to 28 U.S.C. 2112(a). Each such party shall, within ten days after the issuance of that order, file with the General Coun- sel in the Office of General Counsel, Room 8–A741, 445 12th Street, SW., Washington, DC 20554, a copy of its pe- tition for review as filed and date- stamped by the court of appeals within which it was filed. Such copies of peti- tions for review must be filed by 5:30 p.m. Eastern Time on the tenth day of the filing period. A stamp indicating the time and date received by the Of- fice of General Counsel will constitute proof of filing. Upon receipt of any cop- ies of petitions for review, the Commis- sion shall follow the procedures estab- lished in section 28 U.S.C. 2112(a) to de- termine the court in which to file the record in that case.
(2) Computation of time of the ten- day period for filing copies of petitions for review of a Commission order shall be governed by 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 no- tice as defined in § 1.4(b) of the Com- mission’s Rules, 47 CFR 1.4(b).
(b) Copies of notices of appeals filed pursuant to 47 U.S.C. 402(b) shall be served upon the General Counsel.
NOTE: For administrative efficiency, the Commission requests that any petitioner seeking judicial review of Commission ac- tions pursuant to 47 U.S.C. 402(a) serve a copy of its petition on the General Counsel regardless of whether it wishes to avail itself of the procedures for multiple appeals set forth in 47 U.S.C. 2112(a).
[54 FR 12453, Mar. 27, 1989, as amended at 65 FR 14476, Mar. 17, 2000; 71 FR 6381, Feb. 8, 2006]
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47 CFR Ch. I (10–1–10 Edition)§ 1.14
§ 1.14 Citation of Commission docu- ments.
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 num- ber and year, in that order (e.g., 1 FCC Rcd. 1 (1986). Older documents may continue to be cited to the FCC Re- ports, first or second series, if they were printed in the Reports (e.g., 1 FCC 2d 1 (1965)).
[51 FR 45890, Dec. 23, 1986]
§ 1.16 Unsworn declarations under penalty of perjury in lieu of affida- vits.
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, es- tablished or proved by a written sworn declaration, verification, certificate, statement, oath or affidavit by the per- son making the same, may be sup- ported, evidenced, established or proved by the unsworn declaration, certification, verification, or state- ment 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 re- quired to be taken before a specified of- ficial other than a notary public. Such declaration shall be subscribed by the declarant as true under penalty of per- jury, 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]
§ 1.17 Truthful and accurate state- ments to the Commission.
(a) In any investigatory or adjudica- tory matter within the Commission’s jurisdiction (including, but not limited to, any informal adjudication or infor- mal 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 informa- tion that is necessary to prevent any material factual statement that is made from being incorrect or mis- leading; and
(2) In any written statement of fact, provide material factual information that is incorrect or omit material in- formation that is necessary to prevent any material factual statement that is made from being incorrect or mis- leading without a reasonable basis for believing that any such material fac- tual statement is correct and not mis- leading.
(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 au- thorization, whether by application or by blanket authorization or other rule;
(3) Any person performing without Commission authorization an activity that requires Commission authoriza- tion;
(4) Any person that has received a ci- tation or a letter of inquiry from the Commission or its staff, or is otherwise the subject of a Commission or staff in- vestigation, including an informal in- vestigation;
(5) In a proceeding to amend the FM or Television Table of Allotments, any person filing an expression of interest; and
(6) To the extent not already covered in this paragraph (b), any cable oper- ator or common carrier.
[68 FR 15098, Mar. 28, 2003]
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§ 1.18 Administrative Dispute Resolu- tion.
(a) The Commission has adopted an initial policy statement that supports and encourages the use of alternative dispute resolution procedures in its ad- ministrative proceedings and pro- ceedings in which the Commission is a party, including the use of regulatory negotiation in Commission rulemaking matters, as authorized under the Ad- ministrative Dispute Resolution Act and Negotiated Rulemaking Act.
(b) In accordance with the Commis- sion’s policy to encourage the fullest possible use of alternative dispute reso- lution procedures in its administrative proceedings, procedures contained in the Administrative Dispute Resolution Act, including the provisions dealing with confidentiality, shall also be ap- plied in Commission alternative dis- pute 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]
§ 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 re- quirement; except, however, that the use of metric paper sizes is not cur- rently 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 sub- mitted in English units.
[58 FR 44893, Aug. 25, 1993]
PARTIES, PRACTITIONERS, AND WITNESSES
§ 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 pro- ceeding (as defined in the Administra- tive Procedure Act) without the neces- sity of being so named in the order des- ignating the proceeding for hearing.
(c) When, in any proceeding, a plead- ing is filed on behalf of either the Gen- eral Counsel or the Chief Engineer, he shall thereafter be deemed a party to the proceeding.
(d) Except as otherwise expressly pro- vided in this chapter, a duly authorized corporate officer or employee may act for the corporation in any matter which has not been designated for an evidentiary hearing and, in the discre- tion of the presiding officer, may ap- pear and be heard on behalf of the cor- poration in an evidentiary hearing pro- ceeding.
[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]
§ 1.22 Authority for representation.
Any person, in a representative ca- pacity, transacting business with the Commission, may be required to show his authority to act in such capacity.
§ 1.23 Persons who may be admitted to practice.
(a) Any person who is a member in good standing of the bar of the Su- preme Court of the United States or of the highest court of any state, terri- tory 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, en- joins, 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 act- ing in a representative capacity ap- pears 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 au- thorized and qualified to represent the particular party in whose behalf he acts. Further proof of authority to act in a representative capacity may be re- quired.
[28 FR 12415, Nov. 22, 1963, as amended at 57 FR 38285, Aug. 24, 1992]
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§ 1.24 Censure, suspension, or disbar- ment of attorneys.
(a) The Commission may censure, suspend, or disbar any person who has practiced, is practicing or holding him- self out as entitled to practice before it if it finds that such person:
(1) Does not possess the qualifica- tions required by § 1.23;
(2) Has failed to conform to standards of ethical conduct required of practi- tioners at the bar of any court of which he is a member;
(3) Is lacking in character or profes- sional 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 Terri- tories 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 Com- mission against such practitioner, and he or she shall be afforded an oppor- tunity 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, terri- tory, or the District of Columbia which demonstrates that an attorney prac- ticing 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, with- out any preliminary hearing, enter an order temporarily suspending the at- torney from practice before it pending final disposition of a disciplinary pro- ceeding brought pursuant to § 1.24(a)(2), which shall afford such attorney an op- portunity 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 im- posed against such attorney by the Commission.
(d) Allegations of attorney mis- conduct in Commission proceedings shall be referred under seal to the Of- fice 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 attor- ney’s conduct only if necessary to re- solve questions concerning an appli- cant and may not reach any conclu- sions regarding the ethical ramifica- tions 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 Commis- sion’s administrative process, includ- ing but not limited to one or more of the following:
(1) Recommending to the Commis- sion the institution of a proceeding under paragraph (a) of this section;
(2) Referring the matter to the appro- priate 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]
§ 1.25 [Reserved]
§ 1.26 Appearances. Rules relating to appearances are set
forth in §§ 1.87, 1.91, 1.221, and 1.703.
§ 1.27 Witnesses; right to counsel. Any individual compelled to appear
in person in any Commission pro- ceeding may be accompanied, rep- resented, and advised by counsel as provided in this section. (Regulations as to persons seeking voluntarily to ap- pear and give evidence are set forth in § 1.225.)
(a) Counsel may advise his client in confidence, either upon his own initia- tive or that of the witness, before, dur- ing, and after the conclusion of the proceeding.
(b) Counsel for the witness will be permitted to make objections on the record, and to state briefly the basis for such objections, in connection with any examination of his client.
(c) At the conclusion of the examina- tion of his client, counsel may ask clarifying questions if in the judgment
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Federal Communications Commission § 1.45
of the presiding officer such ques- tioning is necessary or desirable in order to avoid ambiguity or incom- pleteness in the responses previously given.
(d) Except as provided by paragraph (c) of this section, counsel for the wit- ness may not examine or cross-examine any witness, or offer documentary evi- dence, unless authorized by the Com- mission to do so.
(5 U.S.C. 555)
[29 FR 12775, Sept. 10, 1964]
§§ 1.28–1.29 [Reserved]
PLEADINGS, BRIEFS, AND OTHER PAPERS
§ 1.41 Informal requests for Commis- sion 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 § 1.904 of this part, such requests may also be sent electronically, via the ULS.
[28 FR 12415, Nov. 22, 1963, as amended at 63 FR 68919, Dec. 14, 1998]
§ 1.42 Applications, reports, com- plaints; cross-reference.
(a) Rules governing applications and reports are contained in subparts D, E, and F of this part.
(b) Special rules governing com- plaints against common carriers aris- ing under the Communications Act are set forth in subpart E of this part.
(c) Rules governing the FCC Reg- istration 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]
§ 1.43 Requests for stay; cross-ref- erence.
General rules relating to requests for stay of any order or decision are set
forth in §§ 1.41, 1.44(e), 1.45 (d) and (e), and 1.298(a). See also §§ 1.102, 1.106(n), and 1.115(h).
§ 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 per- son or persons acting pursuant to dele- gated 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 dele- gated 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 re- turned without consideration to the person who filed the pleading.
(e) Any request to stay the effective- ness 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 sub- part B of part 0 of this chapter. Matters acted on by the hearing examiner are set forth in § 0.341.
§ 1.45 Pleadings; filing periods. Except as otherwise provided in this
chapter, pleadings in Commission pro- ceedings shall be filed in accordance with the provisions of this section. Pleadings associated with licenses, ap- plications, waivers and other docu- ments in the Wireless Radio Services may be filed via the ULS.
(a) Petitions. Petitions to deny may be filed pursuant to § 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 opposi- tions within 5 days after the time for
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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 in- dividual oppositions shall not be filed.
(d) Requests for temporary relief; short- er filing periods. Oppositions to a re- quest for stay of any order or to a re- quest 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 § 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 plead- ings. As a matter of discretion, the Commission may rule ex parte upon re- quests for continuances and extensions of time, requests for permission to file pleadings in excess of the length pre- scribed 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, §§ 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]
§ 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 rule- making 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 situ- ations, 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 Com- mission 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]
§ 1.47 Service of documents and proof of service.
(a) Where the Commission or any per- son 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 provi- sions in this chapter to the contrary) be made in accordance with the provi- sions of this section.
(b) Where any person is required to serve any document filed with the Commission, service shall be made by that person or by his representative on or before the day on which the docu- ment 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 pro- ceeding. The filing of a document with the Commission does not constitute service upon Commission counsel.
(d) Except in formal complaint pro- ceedings against common carriers under §§ 1.720 through 1.736, documents may be served upon a party, his attor- ney, or other duly constituted agent by delivering a copy or by mailing a copy to the last known address. See § 1.736. Documents that are required to be served must be served in paper form, even if documents are filed in elec- tronic form with the Commission, un- less the party to be served agrees to ac- cept service in some other form.
(e) Delivery of a copy pursuant to this section means handing it to the party, his attorney, or other duly con- stituted agent; or leaving it with the clerk or other person in charge of the
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office of the person being served; or, if there is no one in charge of such office, leaving it in a conspicuous place there- in; or, if such office is closed or the per- son 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 there- in.
(f) Service by mail is complete upon mailing.
(g) Proof of service, as provided in this section, shall be filed before action is taken. The proof of service shall show the time and manner of service, and may be by written acknowledge- ment of service, by certificate of the person effecting the service, or by other proof satisfactory to the Com- mission. Failure to make proof of serv- ice will not affect the validity of the service. The Commission may allow the proof to be amended or supplied at any time, unless to do so would result in material prejudice to a party.
(h) Every common carrier and inter- connected VoIP provider, as defined in § 54.5 of this chapter, that is subject to the Communications Act of 1934, as amended, shall designate an agent in the District of Columbia, and may des- ignate additional agents if it so choos- es, upon whom service of all notices, process, orders, decisions, and require- ments of the Commission may be made for and on behalf of such carrier or interconnected VoIP provider in any proceeding before the Commission. Such designation shall include, for both the carrier or interconnected VoIP provider and its designated agents, a name, business address, tele- phone or voicemail number, facsimile number, and, if available, Internet e- mail address. Such carrier or inter- connected VoIP provider shall addi- tionally list any other names by which it is known or under which it does busi- ness, and, if the carrier or inter- connected VoIP provider is an affili- ated company, the parent, holding, or management company. Within thirty (30) days of the commencement of pro- vision of service, such carrier or inter- connected VoIP provider shall file such information with the Chief of the En- forcement Bureau’s Market Disputes Resolution Division. Such carriers and interconnected VoIP providers may file
a hard copy of the relevant portion of the Telecommunications Reporting Worksheet, as delineated by the Com- mission in the FEDERAL REGISTER, to satisfy this requirement. Each Tele- communications Reporting Worksheet filed annually by a common carrier or interconnected VoIP provider must contain a name, business address, tele- phone or voicemail number, facsimile number, and, if available, Internet e- mail address for its designated agents, regardless of whether such information has been revised since the previous fil- ing. Carriers and interconnected VoIP providers must notify the Commission within one week of any changes in their designation information by filing revised portions of the Telecommuni- cations 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 or interconnected VoIP provider by leav- ing a copy thereof with such designated agent at his office or usual place of res- idence. If such carrier or inter- connected VoIP provider fails to des- ignate such an agent, service of any no- tice or other process in any proceeding before the Commission, or of any order, decision, or requirement of the Com- mission, 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]
EFFECTIVE DATE NOTE: At 71 FR 38796, July 10, 2006, § 1.47(h) was amended. This section contains information collection and record- keeping requirements and will not become effective until approval has been given by the Office of Management and Budget.
§ 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
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47 CFR Ch. I (10–1–10 Edition)§ 1.49
length of the pleading. If other mate- rials are submitted with a pleading, they will be counted in determining its length; and if the length of the plead- ings, 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 pre- scribed by the provisions of this chap- ter 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 § 1.4.) If a timely request is made, the pleading need not be filed earlier than 2 business days after the Commission acts upon the request.
[41 FR 14871, Apr. 8, 1976, and 49 FR 40169, Oct. 15, 1984]
§ 1.49 Specifications as to pleadings and documents.
(a) All pleadings and documents filed in paper form in any Commission pro- ceeding shall be typewritten or pre- pared by mechanical processing meth- ods, and shall be filed on A4 (21 cm. × 29.7 cm.) or on 81⁄2 × 11 inch (21.6 cm. × 27.9 cm.) paper with the margins set so that the printed material does not ex- ceed 6 1⁄2 × 91⁄2 inches (16.5 cm. × 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 larg- er in height, with at least 1⁄16 of an inch (0.158 cm.) between each line of text. Counsel are cautioned against employ- ing extended single spaced passages or excessive footnotes to evade prescribed pleading lengths. If single-spaced pas- sages or footnotes are used in this manner the pleading will, at the discre- tion of the Commission, either be re- jected as unacceptable for filing or dis- missed with leave to be refiled in prop- er 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 doc- ument, 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 con- densation 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 sum- mary 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 in- terrogatories, 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 docu- ment or pleading submitted to the Commission.
(e) Petitions, pleadings, and other documents associated with licensing matters in the Wireless Radio Services
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Federal Communications Commission § 1.51
may be filed electronically in ULS. See § 22.6 for specifications.
(f)(1) In the following types of pro- ceedings, all pleadings, including per- missible ex parte submissions, notices of ex parte presentations, comments, reply comments, and petitions for re- consideration and replies thereto, may be filed in electronic format:
(i) General rulemaking proceedings other than broadcast allotment pro- ceedings;
(ii) Notice of inquiry proceedings; (iii) Petition for rulemaking pro-
ceedings (except broadcast allotment proceedings); and
(iv) Petition for forbearance pro- ceedings.
(2) For purposes of paragraphs (b) and (c) of this section, and any prescribed pleading lengths, the length of any doc- ument filed in electronic form shall be equal to the length of the document if printed out and formatted according to the specifications of paragraph (a) of this section, or shall be no more that 250 words per page.
NOTE: The table of contents and the sum- mary pages shall not be included in com- plying with any page limitation require- ments 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]
§ 1.50 Specifications as to briefs. The Commission’s preference is for
briefs that are either typewritten, pre- pared by other mechanical processing methods, or, in the case of matters in the Wireless Radio Services, composed electronically and sent via ULS. Print- ed briefs will be accepted only if spe- cifically requested by the Commission. Typewritten, mechanically produced, or electronically transmitted briefs must conform to all of the applicable specifications for pleadings and docu- ments set forth in § 1.49.
[63 FR 68920, Dec. 14, 1998]
§ 1.51 Number of copies of pleadings, briefs and other papers.
Except as otherwise specifically pro- vided in the Commission’s rules and regulations, the number of copies of
pleadings, briefs, and other papers to be filed is as follows:
(a) In hearing proceedings, the fol- lowing number of copies shall be filed:
(1) If the paper filed relates to a mat- ter to be acted upon by the presiding officer or the Chief Administrative Law Judge, an original and 6 copies shall be filed.
(2) If the paper filed relates to mat- ters to be acted on by the Commission, an original and 14 copies shall be filed.
(3) If more than one person presided (is presiding) at the hearing an addi- tional copy shall be filed for each such additional person.
(b) In rulemaking proceedings which have not been designated for hearing, see section 1.419 of this chapter.
(c) In matters other than rule mak- ing and hearing cases, the following number of copies shall be filed:
(1) If the paper filed relates to mat- ters to be acted on by the Commission, an original and 4 copies shall be filed. If the matter relates to Part 22 of the rules, see § 22.6.
(2) If the paper filed related to mat- ters to be acted on by staff officials under delegated authority, an original and 4 copies shall be filed. If the matter relates to Part 22 of the rules, see § 22.6.
(d) Where statute or regulation pro- vides for service by the Commission of papers filed with the Commission, an additional copy of such papers shall be filed for each person to be served.
(e) The parties to any proceeding may, on notice, be required to file addi- tional copies of any or all filings made in that proceeding.
(f) For application and licensing mat- ters involving the Wireless Radio Serv- ices, pleadings, briefs or other docu- ments may be filed electronically in ULS, or if filed manually, one original and one copy of a pleading, brief or other document must be filed.
(g) Participants that file pleadings, briefs or other documents electroni- cally in ULS need only submit one copy, so long as the submission con- forms to any procedural or filing re- quirements established for formal elec- tronic comments. (see § 1.49)
(h) Pleadings, briefs or other docu- ments filed electronically in ULS by a party represented by an attorney shall include the name, street address, and
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47 CFR Ch. I (10–1–10 Edition)§ 1.52
telephone number of at least one attor- ney of record. Parties not represented by an attorney that file electronically in ULS shall provide their name, street address, and telephone number.
(Secs. 4, 303, 48 Stat., as amended, 1066, 1082; (47 U.S.C. 154, 303))
[40 FR 48136, Oct. 14, 1975, as amended at 41 FR 50399, Nov. 16, 1976; 45 FR 64190, Sept. 29, 1980; 45 FR 79486, Dec. 1, 1980; 50 FR 26567, June 27, 1985; 54 FR 29037, July 11, 1989; 54 FR 31032, July 26, 1989; 62 FR 4170, Jan. 29, 1997; 63 FR 24125, May 1, 1998; 63 FR 68920, Dec. 14, 1998]
§ 1.52 Subscription and verification. The original of all petitions, motions,
pleadings, briefs, and other documents filed by any party represented by coun- sel shall be signed by at least one at- torney of record in his individual name, whose address shall be stated. A party who is not represented by an at- torney shall sign and verify the docu- ment and state his address. Either the original document, the electronic re- production 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 fac- simile 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 re- view. If pursuant to § 1.429(h) a docu- ment is filed electronically, a signa- ture will be considered any symbol exe- cuted or adopted by the party with the intent that such symbol be a signature, including symbols formed by com- puter-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 affi- davit. The signature or electronic re- production thereof by an attorney con- stitutes a certificate by him that he has read the document; that to the best of his knowledge, information, and be- lief 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 de- feat the purpose of this section, or an electronic reproduction does not con-
tain a facsimile signature, it may be stricken as sham and false, and the matter may proceed as though the doc- ument had not been filed. An attorney may be subjected to appropriate dis- ciplinary action, pursuant to § 1.24, for a willful violation of this section or if scandalous or indecent matter is in- serted.
[63 FR 24125, May 1, 1998, as amended at 63 FR 68920, Dec. 14, 1998]
FORBEARANCE PROCEEDINGS
§ 1.53 Separate pleadings for petitions for forbearance.
In order to be considered as a peti- tion 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 plead- ing 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 there- in.
[65 FR 7460, Feb. 15, 2000]
§ 1.54 Petitions for forbearance must be complete as filed.
(a) Description of relief sought. Peti- tions 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 forbear- ance 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 for- bearance must contain facts and argu- ments which, if true and persuasive, are sufficient to meet each of the stat- utory criteria for forbearance.
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Federal Communications Commission § 1.56
(1) A petition for forbearance must specify how each of the statutory cri- teria is met with regard to each statu- tory 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 iden- tify:
(i) The nature of the data or informa- tion.
(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 pos- sessing 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 po- sition regarding, relief that is identical to, or comparable to, the relief sought in the forbearance petition. Alter- natively, the petition must declare that the petitioner has not, in a pend- ing proceeding, requested or otherwise taken a position on the relief sought.
(d) Filing requirements. Petitions for forbearance shall comply with the fil- ing requirements in § 1.49.
(1) Petitions for forbearance shall be e-mailed to forbearance@fcc.gov 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 ca- pable of being manipulated to allow meaningful analysis.
(e) Contents. Petitions for forbear- ance shall include:
(1) A plain, concise, written summary statement of the relief sought.
(2) A full statement of the peti- tioner’s prima facie case for relief.
(3) Appendices that list: (i) The scope of relief sought as re-
quired in § 1.54(a); (ii) All supporting data upon which
the petition intends to rely, including a market analysis; and
(iii) Any supporting statements or af- fidavits.
(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 argu- ments introduced by commenters or opponents.
(2) By permission of the Commission.
[74 FR 39227, Aug. 6, 2009]
EFFECTIVE DATE NOTE: At 74 FR 39227, Aug. 6, 2009, § 1.54 was added. This section contains information collection and recordkeeping re- quirements and will not become effective until approval has been given by the Office of Management and Budget.
§ 1.55 Public notice of petitions for for- bearance.
(a) Filing a petition for forbearance initiates the statutory time limit for consideration of the petition.
(b) The Commission will issue a pub- lic notice when it receives a properly filed petition for forbearance. The no- tice 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 sub- jects 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]
§ 1.56 Motions for summary denial of petitions for forbearance.
(a) Opponents of a petition for for- bearance 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 peti- tioner, cannot meet the statutory cri- teria for forbearance.
(b) A motion for summary denial may not be filed later than the due date for comments and oppositions an- nounced in the public notice.
(c) Oppositions to motions for sum- mary denial may not be filed later than the due date for reply comments an- nounced in the public notice.
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47 CFR Ch. I (10–1–10 Edition)§ 1.57
(d) No reply may be filed to an oppo- sition to a motion for summary denial.
[74 FR 39227, Aug. 6, 2009]
§ 1.57 Circulation and voting of peti- tions for forbearance.
(a) If a petition for forbearance in- cludes novel questions of fact, law or policy which cannot be resolved under outstanding precedents and decisions, the Chairman will circulate a draft order no later than 28 days prior to the statutory deadline, unless all Commis- sioners agree to a shorter period.
(b) The Commission will vote on any circulated order resolving a forbear- ance 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]
§ 1.58 Forbearance petition quiet pe- riod prohibition.
The prohibition in § 1.1203(a) on con- tacts with decisionmakers concerning matters listed in the Sunshine Agenda shall also apply to a petition for for- bearance for a period of 14 days prior to the statutory deadline under 47 U.S.C. 160(c) or as announced by the Commis- sion.
[74 FR 39227, Aug. 6, 2009]
§ 1.59 Withdrawal or narrowing of pe- titions for forbearance.
(a) A petitioner may withdraw or narrow a petition for forbearance with- out approval of the Commission by fil- ing a notice of full or partial with- drawal 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 for- bearance may be withdrawn, or nar- rowed 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
§ 1.61 Procedures for handling applica- tions requiring special aeronautical study.
(a) Antenna Structure Registration is conducted by the Wireless Tele- communications 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 Tele- communications Bureau using FCC Form 854.
(2) If an Environmental Assessment is required under § 1.1307, the Bureau will address the environmental con- cerns prior to processing the registra- tion.
(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 dis- approved.
(4) If the owner of the antenna struc- ture cannot file FCC Form 854 because it is subject to a denial of Federal ben- efits under the Anti-Drug Abuse Act of 1988, 21 U.S.C. 862, the first licensee au- thorized to locate on the structure must register the structure using FCC Form 854, and provide a copy of the An- tenna Structure Registration (FCC Form 854R) to the owner. The owner re- mains responsible for providing a copy of FCC Form 854R to all tenant licens- ees on the structure and for posting the registration number as required by § 17.4(g) of this chapter.
(5) Upon receipt of FCC Form 854, and attached final FAA determination of ‘‘no hazard,’’ the Bureau prescribes an- tenna structure painting and/or light- ing specifications or other conditions in accordance with the FAA airspace recommendation and returns a com- pleted 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 Commis- sion authorization for which it is re- sponsible to ensure compliance with FAA notification procedures as well as Commission Antenna Structure Reg- istration as follows:
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Federal Communications Commission § 1.62
(1) If Antenna Structure Registration is required, the operating Bureau re- views the application for the Antenna Structure Registration Number and proceeds as follows:
(i) If the application contains the An- tenna Structure Registration Number or if the applicant seeks a Cellular or PCS system authorization, the oper- ating Bureau processes the application.
(ii) If the application does not con- tain the Antenna Structure Registra- tion Number, but the structure owner has already filed FCC Form 854, the op- erating Bureau places the application on hold until Registration can be con- firmed, so long as the owner exhibits due diligence in filing.
(iii) If the application does not con- tain the Antenna Structure Registra- tion Number, and the structure owner has not filed FCC Form 854, the oper- ating 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 com- munity or communities (see § 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 commu- nities will not be accepted for filing unless:
(1) It is proposed to locate the an- tenna structure in a designated an- tenna farm area, or
(2) It is accompanied by a statement from the Federal Aviation Administra- tion that the proposed structure will not constitute a menace to air naviga- tion, 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 con- cerning the height of radio and television an- tenna towers: ‘‘We have concluded that this objective can best be achieved by adopting the following policy: Applications for antenna towers high- er than 2,000 feet above ground will be pre-
sumed to be inconsistent with the public in- terest, 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 ap- plicable FAA procedures, and full Commis- sion 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]
§ 1.62 Operation pending action on re- newal application.
(a)(1) Where there is pending before the Commission at the time of expira- tion of license any proper and timely application for renewal of license with respect to any activity of a continuing nature, in accordance with the provi- sions of section 9(b) of the Administra- tive Procedure Act, such license shall continue in effect without further ac- tion by the Commission until such time as the Commission shall make a final determination with respect to the renewal application. No operation by any licensee under this section shall be construed as a finding by the Commis- sion that the operation will serve the public interest, convenience, or neces- sity, nor shall such operation in any way affect or limit the action of the Commission with respect to any pend- ing application or proceeding.
(2) A licensee operating by virtue of this paragraph shall, after the date of expiration specified in the license, post, in addition to the original li- cense, 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 sub- mitted by the licensee, or in services other than broadcast and common car- rier, a statement certifying that the li- censee has mailed or filed a renewal ap- plication, specifying the date of mail- ing or filing.
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47 CFR Ch. I (10–1–10 Edition)§ 1.65
(b) Where there is pending before the Commission at the time of expiration of license any proper and timely appli- cation 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 li- cense pending determination of such application. No such temporary exten- sion shall be construed as a finding by the Commission that the operation of any radio station thereunder will serve the public interest, convenience, or ne- cessity 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 author- ization, all licenses issued by the Com- mission shall be deemed to be related to an activity of a continuing nature.
(5 U.S.C. 558)
§ 1.65 Substantial and significant changes in information furnished by applicants to the Commission.
(a) Each applicant is responsible for the continuing accuracy and complete- ness of information furnished in a pending application or in Commission proceedings involving a pending appli- cation. 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 pos- sible and in any event within 30 days, unless good cause is shown, amend or request the amendment of the applica- tion so as to furnish such additional or corrected information as may be appro- priate. 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 sig- nificance 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 state- ment furnishing such additional or cor- rected information as may be appro- priate, which shall be served upon par- ties of record in accordance with § 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 applica- tion is ‘‘pending’’ before the Commis- sion from the time it is accepted for filing by the Commission until a Com- mission grant or denial of the applica- tion is no longer subject to reconsider- ation 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 §§ 1.2105(b), 73.5002 and 73.3522 of this chapter re- garding the modification of their appli- cations.
(c) All broadcast permittees and li- censees must report annually to the Commission any adverse finding or ad- verse final action taken by any court or administrative body that involves conduct bearing on the permittee’s or licensee’s character qualifications and that would be reportable in connection with an application for renewal as re- flected 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 appli- cation is required to be filed, except that licensees owning multiple stations with different anniversary dates need file only one report per year on the an- niversary 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 knowl- edgeable of any such reportable adju- dicated misconduct.
NOTE: The terms adverse finding and adverse final action as used in paragraph (c) of this section include adjudications made by an ul- timate 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 re- view has expired under the relevant proce- dural rules. The pendency of an appeal of an adverse finding or adverse final action does
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Federal Communications Commission § 1.80
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]
§ 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 para- graph (a) of this section, the Commis- sion will designate the application for hearing upon specified issues.
(Sec. 319, 48 Stat. 1089, as amended; 47 U.S.C. 319)
§ 1.77 Detailed application procedures; cross references.
The application procedures set forth in §§ 1.61 through 1.68 are general in na- ture. 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 sub- part W of this part). More detailed pro- cedures are set forth in this chapter as follows:
(a) Rules governing applications for authorizations in the Broadcast Radio Services are set forth in subpart D of this part.
(b) Rules governing applications for authorizations in the Common Carrier Radio Services are set forth in subpart E of this part.
(c) Rules governing applications for authorizations in the Private Radio Services are set forth in subpart F of this part.
(d) Rules governing applications for authorizations in the Experimental
Radio Services (other than broadcast) are set forth in part 5 of this chapter.
(e) Rules governing applications for authorizations in the Domestic Public Radio Services are set forth in part 21 of this chapter.
(f) Rules governing applications for authorizations in the Industrial, Sci- entific, 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 micro- wave 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]
MISCELLANEOUS PROCEEDINGS
§ 1.80 Forfeiture proceedings.
(a) Persons against whom and viola- tions for which a forfeiture may be as- sessed. A forfeiture penalty may be as- sessed 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 au- thorization 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, conven- tion, or other agreement to which the United States is a party and which is binding on the United States;
(3) Violated any provision of section 317(c) or 508(a) of the Communications Act; or
(4) Violated any provision of section 1304, 1343, or 1464 of Title 18, United States Code.
A forfeiture penalty assessed under this section is in addition to any other
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penalty provided for by the Commu- nications Act, except that the pen- alties provided for in paragraphs (b)(1), (b)(2) and (b)(3) of this section shall not apply to conduct which is subject to a forfeiture penalty under sections 202(c), 203(e), 205(b), 214(d), 219(b), 220(d), 223(b), 362(a), 362(b), 386(a), 386(b), 503(b), 506, and 634 of the Communica- tions Act. The remaining provisions of this section are applicable to such con- duct.
(b) Limits on the amount of forfeiture assessed. (1) If the violator is a broad- cast station licensee or permittee, a cable television operator, or an appli- cant for any broadcast or cable tele- vision operator license, permit, certifi- cate, or other instrument of authoriza- tion issued by the Commission, except as otherwise noted in this paragraph, the forfeiture penalty under this sec- tion shall not exceed $37,500 for each violation or each day of a continuing violation, except that the amount as- sessed for any continuing violation shall not exceed a total of $375,000 for any single act or failure to act de- scribed in paragraph (a) of this section. There is no limit on forfeiture assess- ments for EEO violations by cable op- erators that occur after notification by the Commission of a potential viola- tion. See section 634(f)(2) of the Com- munications Act. Notwithstanding the foregoing in this section, if the violator is a broadcast station licensee or per- mittee or an applicant for any broad- cast license, permit, certificate, or other instrument of authorization issued by the Commission, and if the violator is determined by the Commis- sion to have broadcast obscene, inde- cent, or profane material, the for- feiture penalty under this section shall not exceed $325,000 for each violation or each day of a continuing violation, ex- cept that the amount assessed for any continuing violation shall not exceed a total of $3,000,000 for any single act or failure to act described in paragraph (a) of this section.
(2) If the violator is a common car- rier subject to the provisions of the Communications Act or an applicant for any common carrier license, per- mit, certificate, or other instrument of authorization issued by the Commis- sion, the amount of any forfeiture pen-
alty determined under this section shall not exceed $150,000 for each viola- tion or each day of a continuing viola- tion, except that the amount assessed for any continuing violation shall not exceed a total of $1,500,000 for any sin- gle act or failure to act described in paragraph (a) of this section.
(3) In any case not covered in para- graphs (b)(1) or (b)(2) of this section, the amount of any forfeiture penalty determined under this section shall not exceed $16,000 for each violation or each day of a continuing violation, ex- cept that the amount assessed for any continuing violation shall not exceed a total of $112,500 for any single act or failure to act described in paragraph (a) of this section.
(4) Factors considered in determining the amount of the forfeiture penalty. In determining the amount of the for- feiture penalty, the Commission or its designee will take into account the na- ture, circumstances, extent and grav- ity of the violations and, with respect to the violator, the degree of culpa- bility, any history of prior offenses, ability to pay, and such other matters as justice may require.
NOTE TO PARAGRAPH (b)(4):
GUIDELINES FOR ASSESSING FORFEITURES
The Commission and its staff may use these guidelines in particular cases. The Commission and its staff retain the discre- tion to issue a higher or lower forfeiture than provided in the guidelines, to issue no forfeiture at all, or to apply alternative or additional sanctions as permitted by the statute. The forfeiture ceiling per violation or per day for a continuing violation stated in section 503 of the Communications Act and the Commission’s rules are described in § 1.80(b)(5)(iii). These statutory maxima be- came effective September 2, 2008. Forfeitures issued under other sections of the Act are dealt with separately in section III of this note.
Section I. Base Amounts for Section 503 Forfeitures
Forfeitures ViolationAmount
Misrepresentation/lack of candor ............................ (1) Construction and/or operation without an instru-
ment of authorization for the service ................... $10,000 Failure to comply with prescribed lighting and/or
marking ................................................................ 10,000 Violation of public file rules ..................................... 10,000
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Forfeitures ViolationAmount
Violation of political rules: reasonable access, low- est unit charge, equal opportunity, and discrimi- nation ................................................................... 9,000
Unauthorized substantial transfer of control ........... 8,000 Violation of children’s television commercialization
or programming requirements ............................. 8,000 Violations of rules relating to distress and safety
frequencies ........................................................... 8,000 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 equip-
ment ..................................................................... 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 coordina-
tion ....................................................................... 4,000 Construction or operation at unauthorized location 4,000 Violation of requirements pertaining to broad-
casting of lotteries or contests ............................. 4,000 Violation of transmitter control and metering re-
quirements ........................................................... 3,000 Failure to file required forms or information ............ 3,000 Failure to make required measurements or con-
duct required monitoring ...................................... 2,000 Failure to provide station ID .................................... 1,000 Unauthorized pro forma transfer of control ............. 1,000 Failure to maintain required records ....................... 1,000
1 Statutory Maximum for each Service.
Violations Unique to the Service
Violation Services affected Amount
Unauthorized conver- sion of long distance telephone service.
Common Carrier ........... $40,000
Violation of operator services requirements.
Common Carrier ........... 7,000
Violation of pay-per-call requirements.
Common Carrier ........... 7,000
Failure to implement rate reduction or re- fund order.
Cable ............................ 7,500
Violation of cable pro- gram access rules.
Cable ............................ 7,500
Violation of cable leased access rules.
Cable ............................ 7,500
Violation of cable cross- ownership rules.
Cable ............................ 7,500
Violation of cable broad- cast carriage rules.
Cable ............................ 7,500
Violation of pole attach- ment rules.
Cable ............................ 7,500
Failure to maintain di- rectional pattern with- in prescribed param- eters.
Broadcast ..................... 7,000
Violation of main studio rule.
Broadcast ..................... 7,000
Violation of broadcast hoax rule.
Broadcast ..................... 7,000
AM tower fencing .......... Broadcast ..................... 7,000
Violation Services affected Amount
Broadcasting telephone conversations without authorization.
Broadcast ..................... 4,000
Violation of enhanced underwriting require- ments.
Broadcast ..................... 2,000
Section II. Adjustment Criteria for Section 503 Forfeitures
Upward Adjustment Criteria
(1) Egregious misconduct. (2) Ability to pay/relative disincentive. (3) Intentional violation. (4) Substantial harm. (5) Prior violations of any FCC require-
ments. (6) Substantial economic gain. (7) Repeated or continuous violation.
Downward Adjustment Criteria
(1) Minor violation. (2) Good faith or voluntary disclosure. (3) History of overall compliance. (4) Inability to pay.
Section III. Non-Section 503 Forfeitures That Are Affected by the Downward Adjustment Factors
Unlike section 503 of the Act, which estab- lishes maximum forfeiture amounts, other sections of the Act, with one exception, state prescribed amounts of forfeitures for viola- tions of the relevant section. These amounts are then subject to mitigation or remission under section 504 of the Act. The one excep- tion is section 223 of the Act, which provides a maximum forfeiture per day. For conven- ience, the Commission will treat this amount as if it were a prescribed base amount, subject to downward adjustments. The following amounts are adjusted for infla- tion pursuant to the Debt Collection Im- provement Act of 1996 (DCIA), 28 U.S.C. 2461. These non-section 503 forfeitures may be ad- justed downward using the ‘‘Downward Ad- justment Criteria’’ shown for section 503 for- feitures in section II of this note.
Violation Statutory amount ($)
Sec. 202(c) Common Carrier Dis- crimination.
9,600, 530/day.
Sec. 203(e) Common Carrier Tariffs 9,600, 530/day. Sec. 205(b) Common Carrier Pre-
scriptions. 18,200.
Sec. 214(d) Common Carrier Line Extensions.
1,320/day.
Sec. 219(b) Common Carrier Re- ports.
1,320.
Sec. 220(d) Common Carrier Records & Accounts.
9,600/day.
Sec. 223(b) Dial-a-Porn ..................... 75,000/day. Sec. 364(a) Forfeitures (Ships) ......... 7,500 (owner). Sec. 364(b) Forfeitures (Ships) ......... 1,100 (vessel master). Sec. 386(a) Forfeitures (Ships) ......... 7,500/day (owner). Sec. 386(b) Forfeitures (Ships) ......... 1,100 (vessel master).
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Violation Statutory amount ($)
Sec. 634 Cable EEO ......................... 650/day.
(5) Inflation adjustments to the max- imum forfeiture amount. (i) Pursuant to the Debt Collection Improvement Act of 1996, Public Law 104–134 (110 Stat. 1321–358), which amends the Federal Civil Monetary Penalty Inflation Ad- justment Act of 1990, Public Law 101– 410 (104 Stat. 890; 28 U.S.C. 2461 note), the statutory maximum amount of a forfeiture penalty assessed under this section shall be adjusted for inflation at least once every four years using the method specified in the statute. This is to be done by determining the ‘cost-of- living adjustment’, which is the per- centage (if any) by which the CPI for June of the preceding year exceeds the CPI for June of the year the forfeiture amount was last set or adjusted. The inflation adjustment is determined by multiplying the cost-of-living adjust- ment by the statutory maximum amount. Round off this result using the rules in paragraph (b)(5)(ii) of this sec- tion. Add the rounded result to the statutory maximum forfeiture penalty amount. The sum is the statutory max- imum amount, adjusted for inflation.
(ii) The rounding rules are as follows: (A) Round increase to the nearest
multiple of $10 if the penalty is from $0 to $100;
(B) Round increase to the nearest multiple of $100 if the penalty is from $101 to $1,000;
(C) Round increase to the nearest multiple of $1,000 if the penalty is from $1,001 to $10,000;
(D) Round increase to the nearest multiple of $5,000 if the penalty is from $10,001 to $100,000;
(E) Round increase to the nearest multiple of $10,000 if the penalty is from $100,001 to $200,000; or
(F) Round increase to the nearest multiple of $25,000 if the penalty is over $200,001.
(iii) The application of the inflation adjustments required by the DCIA, 28 U.S.C. 2461, results in the following ad- justed statutory maximum forfeitures authorized by the Communications Act:
U.S. code citation
Maximum penalty after
DCIA ad- justment ($)
47 U.S.C. 202(c) ................................................ 9,600 530
47 U.S.C. 203(e) ............................................... 9,600 530
47 U.S.C. 205(b) ............................................... 18,200 47 U.S.C. 214(d) ............................................... 1,320 47 U.S.C. 219(b) ............................................... 1,320 47 U.S.C. 220(d) ............................................... 9,600 47 U.S.C. 223(b) ............................................... 75,000 47 U.S.C. 362(a) ............................................... 7,500 47 U.S.C. 362(b) ............................................... 1,100 47 U.S.C. 386(a) ............................................... 7,500 47 U.S.C. 386(b) ............................................... 1,100 47 U.S.C. 503(b)(2)(A) ...................................... 37,500
375,000 47 U.S.C. 503(b)(2)(B) ...................................... 150,000
1,500,000 47 U.S.C. 503(b)(2)(C) ...................................... 325,000
3,000,000 47 U.S.C. 503(b)(2)(D) ...................................... 16,000
112,500 47 U.S.C. 507(a) ............................................... 750 47 U.S.C. 507(b) ............................................... 110 47 U.S.C. 554 .................................................... 650
(c) Limits on the time when a pro- ceeding may be initiated. (1) In the case of a broadcast station, no forfeiture penalty shall be imposed if the viola- tion 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 para- graph, ‘‘date of commencement of the current license term’’ means the date of commencement of the last term of license for which the licensee has been granted a license by the Commission. A separate license term shall not be deemed to have commenced as a result of continuing a license in effect under section 307(c) pending decision on an application for renewal of the license.
(2) In the case of a forfeiture imposed against a carrier under sections 202(c), 203(e), and 220(d), no forfeiture will be imposed if the violation occurred more than 5 years prior to the issuance of a notice of apparent liability.
(3) In all other cases, no penalty shall be imposed if the violation occurred more than 1 year prior to the date on which the appropriate notice is issued.
(d) Preliminary procedure in some cases; citations. No forfeiture penalty shall be imposed upon any person under this section, if such person does not hold a license, permit, certificate, or other
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Federal Communications Commission § 1.80
authorization issued by the Commis- sion, and if such person is not an appli- cant 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 recit- ing 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 de- scribed in the citation. However, a for- feiture penalty may be imposed, if such person is engaged in (and the violation relates to) activities for which a li- cense, permit, certificate, or other au- thorization is required or if such per- son 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 re- ceived notice of the obligations im- posed by section 303(q) from the Com- mission 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 ci- tation without issuance of an addi- tional citation.
(e) Alternative procedures. In the dis- cretion of the Commission, a forfeiture proceeding may be initiated either: (1) By issuing a notice of apparent liabil- ity, in accordance with paragraph (f) of this section, or (2) a notice of oppor- tunity for hearing, in accordance with paragraph (g).
(f) Notice of apparent liability. Before imposing a forfeiture penalty under the provisions of this paragraph, the Com- mission or its designee will issue a written notice of apparent liability.
(1) Content of notice. The notice of ap- parent liability will:
(i) Identify each specific provision, term, or condition of any act, rule, reg- ulation, order, treaty, convention, or other agreement, license, permit, cer- tificate, 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 respond- ent 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 appar- ent forfeiture penalty.
(2) Delivery. The notice of apparent li- ability will be sent to the respondent, by certified mail, at his last known ad- dress (see § 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 for- feiture penalty should not be imposed or should be reduced, or to pay the for- feiture. Any showing as to why the for- feiture should not be imposed or should be reduced shall include a detailed fac- tual statement and such documenta- tion 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 li- ability, the Commission, upon consid- ering all relevant information avail- able 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 for- feiture must be paid.
(5) Judicial enforcement of forfeiture order. If the forfeiture is not paid, the case will be referred to the Department of Justice for collection under section 504(a) of the Communications Act.
(g) Notice of opportunity for hearing. The procedures set out in this para- graph will ordinarily be followed only when a hearing is being held for some reason other than the assessment of a forfeiture (such as, to determine whether a renewal application should be granted) and a forfeiture is to be considered as an alternative or in addi- tion to any other Commission action. However, these procedures may be fol- lowed whenever the Commission, in its discretion, determines that they will better serve the ends of justice.
(1) Before imposing a forfeiture pen- alty under the provisions of this para- graph, the Commission will issue a no- tice of opportunity for hearing. The
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hearing will be a full evidentiary hear- ing before an administrative law judge, conducted under procedures set out in subpart B of this part, including proce- dures for appeal and review of initial decisions. A final Commission order as- sessing a forfeiture under the provi- sions of this paragraph is subject to ju- dicial review under section 402(a) of the Communications Act.
(2) If, after a forfeiture penalty is im- posed 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 col- lection. In an action to recover the for- feiture, the validity and appropriate- ness of the order imposing the for- feiture are not subject to review.
(3) Where the possible assessment of a forfeiture is an issue in a hearing case to determine which pending appli- cation should be granted, and the ap- plicant facing a potential forfeiture is dismissed pursuant to a settlement agreement or otherwise, and the pre- siding judge has not made a determina- tion on the forfeiture issue, the order of dismissal shall be forwarded to the attention of the full Commission. Within the time provided by § 1.117, the Commission may, on its own motion, proceed with a determination of wheth- er a forfeiture against the dismissing applicant is warranted. If the Commis- sion so proceeds, it will provide the ap- plicant with a reasonable opportunity to respond to the forfeiture issue (see paragraph (f)(3) of this section) and make a determination under the proce- dures outlined in paragraph (f) of this section.
(h) Payment. The forfeiture should be paid by check or money order drawn to the order of the Federal Communica- tions Commission. The Commission does not accept responsibility for cash payments sent through the mails. The check or money order should be mailed to: Federal Communications Commis- sion, P.O. Box 979088, St. Louis, MO 63197–9000.
(i) Remission and mitigation. In its dis- cretion, the Commission, or its des- ignee, may remit or reduce any for- feiture imposed under this section. After issuance of a forfeiture order, any request that it do so shall be sub-
mitted as a petition for reconsideration pursuant to § 1.106.
(j) Effective date. Amendments to paragraph (b) of this section imple- menting Pub. L. No. 101–239 are effec- tive December 19, 1989.
[43 FR 49308, Oct. 23, 1978, as amended at 48 FR 15631, Apr. 12, 1983; 50 FR 40855, Oct. 7, 1985; 55 FR 25605, June 22, 1990; 56 FR 25638, June 5, 1991; 57 FR 23161, June 2, 1992; 57 FR 47006, Oct. 14, 1992; 57 FR 48333, Oct. 23, 1992; 58 FR 6896, Feb. 3, 1993; 58 FR 27473, May 10, 1993; 62 FR 4918, Feb. 3, 1997; 62 FR 43475, Aug. 14, 1997; 63 FR 26992, May 15, 1998; 65 FR 60868, Oct. 13, 2000; 69 FR 47789, Aug. 6, 2004; 72 FR 33914, June 20, 2007; 73 FR 9018, Feb. 19, 2008; 73 FR 44664, July 31, 2008]
§ 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. De- tailed 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]
§ 1.85 Suspension of operator licenses. Whenever grounds exist for suspen-
sion of an operator license, as provided in § 303(m) of the Communications Act, the Chief of the Wireless Telecommuni- cations Bureau, with respect to ama- teur and commercial radio operator li- censes, may issue an order suspending the operator license. No order of sus- pension 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 oper- ator licensee, who may make written application to the Commission at any time within the said 15 days for a hear- ing upon such order. The notice to the operator licensee shall not be effective until actually received by him, and from that time he shall have 15 days in which to mail the said application. In
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Federal Communications Commission § 1.87
the event that physical conditions pre- vent mailing of the application before the expiration of the 15-day period, the application shall then be mailed as soon as possible thereafter, accom- panied by a satisfactory explanation of the delay. Upon receipt by the Commis- sion of such application for hearing, said order of suspension shall be des- ignated for hearing by the Chief, Wire- less Telecommunications Bureau and said suspension shall be held in abey- ance until the conclusion of the hear- ing. Upon the conclusion of said hear- ing, the Commission may affirm, mod- ify, or revoke said order of suspension. If the license is ordered suspended, the operator shall send his operator license to the Licensing and Technical Anal- ysis Branch, Public Safety and Private Wireless Division, Wireless Tele- communications Bureau, in Wash- ington, DC, on or before the effective date of the order, or, if the effective date has passed at the time notice is received, the license shall be sent to the Commission forthwith.
[63 FR 68920, Dec. 14, 1998]
§ 1.87 Modification of license or con- struction permit on motion of the Commission.
(a) Whenever it appears that a sta- tion 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 li- censee or permittee at least thirty days to protest such proposed order of modification, except that, where safety of life or property is involved, the Com- mission may by order provide a shorter period of time.
(b) The notification required in para- graph (a) of this section may be effec- tuated by a notice of proposed rule making in regard to a modification or addition of an FM or television channel to the Table of Allotments (§§ 73.202 and 73.504) or Table of Assignments (§ 73.606). The Commission shall send a copy of any such notice of proposed rule making to the affected licensee or permittee by certified mail, return re- ceipt requested.
(c) Any other licensee or permittee who believes that its license or permit would be modified by the proposed ac-
tion may also protest the proposed ac- tion before its effective date.
(d) Any protest filed pursuant to this section shall be subject to the require- ments of section 309 of the Communica- tions Act of 1934, as amended, for peti- tions to deny.
(e) In any case where a hearing is conducted pursuant to the provisions of this section, both the burden of pro- ceeding with the introduction of evi- dence 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 per- mit of a person filing a protest pursu- ant to paragraph (c) of this section, such burdens shall be as described by the Commission.
(f) In order to utilize the right to a hearing and the opportunity to appear and give evidence upon the issues spec- ified in any hearing order, the licensee or permittee, in person or by attorney, shall, within the period of time as may be specified in the hearing order, file with the Commission a written state- ment stating that he or she will appear at the hearing and present evidence on the matters specified in the hearing order.
(g) The right to file a protest or have a hearing shall, unless good cause is shown in a petition to be filed not later than 5 days before the lapse of time specified in paragraph (a) or (f) of this section, be deemed waived:
(1) In case of failure to timely file the protest as required by paragraph (a) of this section or a written statement as required by paragraph (f) of this sec- tion.
(2) In case of filing a written state- ment 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 li- censee 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 ques- tion of fact concerning the proposed
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modification in his protest, the Com- mission may, on its own motion, des- ignate the proposed modification for hearing in accordance with this sec- tion.
(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 modi- fication, and shall be served on the li- censee or permittee.
[52 FR 22654, June 15, 1987]
§ 1.88 Predesignation pleading proce- dure.
In cases where an investigation is being conducted by the Commission in connection with the operation of a broadcast station or a pending applica- tion for renewal of a broadcast license, the licensee may file a written state- ment to the Commission setting forth its views regarding the matters under investigation; the staff, in its discre- tion, may in writing, advise such li- censee of the general nature of the in- vestigation, and advise the licensee of its opportunity to submit such a state- ment to the staff. Any filing by the li- censee will be forwarded to the Com- mission 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 § 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]
§ 1.89 Notice of violations. (a) Except in cases of willfulness or
those in which public health, interest, or safety requires otherwise, any per- son who holds a license, permit or other authorization appearing to have violated any provision of the Commu- nications Act or any provision of this chapter will, before revocation, suspen- sion, 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 No- tice of Violation may be combined with
a Notice of Apparent Liability to Mon- etary Forfeiture. In such event, not- withstanding the Notice of Violation, the provisions of § 1.80 apply and not those of § 1.89.
(b) Within 10 days from receipt of no- tice or such other period as may be specified, the recipient shall send a written answer, in duplicate, directly to the Commission office originating the official notice. If an answer cannot be sent or an acknowledgment cannot be made within such 10-day period by reason of illness or other unavoidable circumstance, acknowledgment and an- swer shall be made at the earliest prac- ticable date with a satisfactory expla- nation of the delay.
(c) The answer to each notice shall be complete in itself and shall not be ab- breviated by reference to other com- munications or answers to other no- tices. In every instance the answer shall contain a statement of action taken to correct the condition or omis- sion 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 transmit- ting apparatus and any new apparatus is to be installed, the answer shall state the date such apparatus was or- dered, the name of the manufacturer, and the promised date of delivery. If the installation of such apparatus re- quires 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 iden- tification 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 op- eration of the transmitter, the name and license number of the operator in charge (where applicable) shall be given.
[48 FR 24890, June 3, 1983]
§ 1.91 Revocation and/or cease and de- sist proceedings; hearings.
(a) If it appears that a station license or construction permit should be re- voked 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 revoca- tion and/or a cease and desist order, as
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the facts may warrant, should not be issued.
(b) An order to show cause why an order of revocation and/or a cease and desist order should not be issued will contain a statement of the matters with respect to which the Commission is inquiring and will call upon the per- son to whom it is directed (the re- spondent) to appear before the Com- mission at a hearing, at a time and place stated in the order, but not less than thirty days after the receipt of such order, and given evidence upon the matters specified in the order to show cause. However, if safety of life or property is involved, the order to show cause may specify a hearing date less than thirty days from the receipt of such order.
(c) To avail himself of such oppor- tunity for hearing, the respondent, per- sonally or by his attorney, shall file with the Commission, within thirty days of the service of the order or such shorter period as may be specified therein, a written appearance stating that he will appear at the hearing and present evidence on the matters speci- fied in the order. The Commission in its discretion may accept a late ap- pearance. However, an appearance ten- dered after the specified time has ex- pired will not be accepted unless ac- companied by a petition stating with particularity the facts and reasons re- lied on to justify such late filing. Such petition for acceptance of late appear- ance will be granted only if the Com- mission determines that the facts and reasons stated therein constitute good cause for failure to file on time.
(d) Hearings on the matters specified in such orders to show cause shall ac- cord with the practice and procedure prescribed in this subpart and subpart B of this part, with the following ex- ceptions: (1) In all such revocation and/ or cease and desist hearings, the bur- den of proceeding with the introduc- tion 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 cir- cumstances of the proceeding require expedition, a time less than that pre- scribed in §§ 1.276 and 1.277 within which the initial decision in the proceeding shall become effective, exceptions to
such initial decision must be filed, par- ties must file requests for oral argu- ment, and parties must file notice of intention to participate in oral argu- ment.
(e) Correction of or promise to cor- rect the conditions or matters com- plained of in a show cause order shall not preclude the issuance of a cease and desist order. Corrections or prom- ises to correct the conditions or mat- ters complained of, and the past record of the licensee, may, however, be con- sidered in determining whether a rev- ocation 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 ef- fective 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)
§ 1.92 Revocation and/or cease and de- sist proceedings; after waiver of hearing.
(a) After the issuance of an order to show cause, pursuant to § 1.91, calling upon a person to appear at a hearing before the Commission, the occurrence of any one of the following events or circumstances will constitute a waiver of such hearing and the proceeding thereafter will be conducted in accord- ance with the provisions of this sec- tion.
(1) The respondent fails to file a timely written appearance as pre- scribed in § 1.91(c) indicating that he will appear at a hearing and present evidence on the matters specified in the order.
(2) The respondent, having filed a timely written appearance as pre- scribed in § 1.91(c), fails in fact to ap- pear in person or by his attorney at the time and place of the duly scheduled hearing.
(3) The respondent files with the Commission, within the time specified for a written appearance in § 1.91(c), a written statement expressly waiving his rights to a hearing.
(b) When a hearing is waived under the provisions of paragraph (a) (1) or (3)
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of this section, a written statement signed by the respondent denying or seeking to mitigate or justify the cir- cumstances or conduct complained of in the order to show cause may be sub- mitted within the time specified in § 1.91(c). The Commission in its discre- tion may accept a late statement. How- ever, a statement tendered after the specified time has expired will not be accepted unless accompanied by a peti- tion stating with particularity the facts and reasons relied on to justify such late filing. Such petitions for ac- ceptance of a late statement will be granted only if the Commission deter- mines that the facts and reasons stated therein constitute good cause for fail- ure to file on time.
(c) Whenever a hearing is waived by the occurrence of any of the events or circumstances listed in paragraph (a) of this section, the Chief Administra- tive Law Judge (or the presiding officer if one has been designated) shall, at the earliest practicable date, issue an order reciting the events or circumstances constituting a waiver of hearing, ter- minating the hearing proceeding, and certifying the case to the Commission. Such order shall be served upon the re- spondent.
(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 pro- ceedings as may be warranted, if a rev- ocation 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 pro- ceeding. 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 pre- clude the issuance of a cease and desist order. Corrections or promises to cor- rect the conditions or matters com- plained of, and the past record of the li-
censee, may, however, be considered in determining whether a revocation and/ or a cease and desist order should be issued.
(Sec. 312, 48 Stat. 1086, as amended; 47 U.S.C. 312)
[28 FR 12415, Nov. 22, 1963, as amended at 29 FR 6443, May 16, 1964; 37 FR 19372, Sept. 20, 1972]
§ 1.93 Consent orders. (a) As used in this subpart, a ‘‘con-
sent order’’ is a formal decree accept- ing 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 dis- posing of all issues on which the pro- ceeding was designated for hearing. The order is issued by the officer des- ignated to preside at the hearing or (if no officer has been designated) by the Chief Administrative Law Judge.
(b) Where the interests of timely en- forcement or compliance, the nature of the proceeding, and the public interest permit, the Commission, by its oper- ating Bureaus, may negotiate a con- sent order with a party to secure future compliance with the law in exchange for prompt disposition of a matter sub- ject 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]
§ 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 initi- ated the presiding officer shall be noti- fied. Parties shall be prepared at the initial prehearing conference to state whether they are at that time willing to enter negotiations. See § 1.248(c)(7). If either party is unwilling to enter ne- gotiations, the hearing proceeding
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shall proceed. If the parties agree to enter negotiations, they will be af- forded an appropriate opportunity to negotiate before the hearing is com- menced.
(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 re- jection 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 viola- tion of law, rules or policy (see 18 U.S.C. 6002); and
(7) A draft order for signature of the presiding officer resolving by consent, and for the future, all issues specified in the designation order.
(d) If agreement is reached, it shall be submitted to the presiding officer or Chief Administrative Law Judge, as the case may be, who shall either sign the order, reject the agreement, or sug- gest to the parties that negotiations continue on such portion of the agree- ment as he considers unsatisfactory or on matters not reached in the agree- ment. If he rejects the agreement, the hearing shall proceed. If he suggests further negotiations, the hearing will proceed or negotiations will continue, depending on the wishes of parties to the agreement. If he signs the consent order, he shall close the record.
(e) Any party to the proceeding who has not joined in any agreement which is reached may appeal the consent
order under § 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 agree- ment. If the party whose possible viola- tions are issues in the proceeding with- draws 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 deci- sion after designation for hearing.
(g) Consent orders, pleadings relating thereto, and Commission orders with respect thereto shall be served on par- ties to the proceeding. Public notice will be given of orders issued by an ad- ministrative law judge, the Chief Ad- ministrative Law Judge, or the Com- mission. Negotiating papers constitute work product, are available to parties participating in negotiations, but are not routinely available for public in- spection.
[41 FR 14871, Apr. 8, 1976]
§ 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 result- ing in the consent order if all of the issues in that proceeding had been de- cided 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
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imposed shall be the only issues consid- ered in a proceeding concerning such an alleged violation.
[41 FR 14871, Apr. 8, 1976]
RECONSIDERATION AND REVIEW OF AC- TIONS TAKEN BY THE COMMISSION AND PURSUANT TO DELEGATED AUTHORITY; EFFECTIVE DATES AND FINALITY DATES OF ACTIONS
§ 1.101 General provisions. Under section 5(c) of the Communica-
tions Act of 1934, as amended, the Com- mission 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 gen- eral terms the basic categories of dele- gations which are made by the Com- mission. Subpart B of part 0 of this chapter sets forth all delegations which have been made by rule. Sections 1.102 through 1.120 set forth procedural rules governing reconsideration and review of actions taken pursuant to authority delegated under section 5(c) of the Communications Act, and reconsider- ation of actions taken by the Commis- sion. As used in §§ 1.102 through 1.117, the term designated authority means any person, panel, or board which has been authorized by rule or order to ex- ercise authority under section 5(c) of the Communications Act.
[28 FR 12415, Nov. 22, 1963, as amended at 62 FR 4170, Jan. 29, 1997]
§ 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 commis- sioners 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 dis- posing of the petition.
(3) If an application for review of such final decision is filed, or if the Commission on its own motion orders the record of the proceeding before it for review, the effect of the decision is
stayed until the Commission’s review of the proceeding has been completed.
(b) Non-hearing and interlocutory ac- tions. (1) Non-hearing or interlocutory actions taken pursuant to delegated authority shall, unless otherwise or- dered 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 no- tice announcing the action in question.
(2) If a petition for reconsideration of a non-hearing action is filed, the des- ignated authority may in its discretion stay the effect of its action pending disposition of the petition for reconsid- eration. Petitions for reconsideration of interlocutory actions will not be en- tertained.
(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 Commis- sion may in its discretion stay the ef- fect of any such action until its review of the matters at issue has been com- pleted.
[28 FR 12415, Nov. 22, 1963, as amended at 62 FR 4170, Jan. 29, 1997]
§ 1.103 Effective dates of Commission actions; finality of Commission ac- tions.
(a) Unless otherwise specified by law or Commission rule (e.g. §§ 1.102 and 1.427), the effective date of any Com- mission action shall be the date of pub- lic notice of such action as that latter date is defined in § 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 determina- tions 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
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notice as defined in § 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]
§ 1.104 Preserving the right of review; deferred consideration of applica- tion for review.
(a) The provisions of this section apply to all final actions taken pursu- ant to delegated authority, including final actions taken by members of the Commission’s staff on nonhearing mat- ters. They do not apply to interlocu- tory actions of the Chief Administra- tive Law Judge in hearing proceedings, or to hearing designation orders issued under delegated authority. See §§ 0.351, 1.106(a) and 1.115(e).
(b) Any person desiring Commission consideration of a final action taken pursuant to delegated authority shall file either a petition for reconsider- ation 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 § 1.4(b) of these rules. The petition for reconsideration will be acted on by the designated authority or referred by such authority to the Commission: Provided, That a petition for reconsideration of an order desig- nating a matter for hearing will in all cases be referred to the Commission. The application for review will in all cases be acted upon by the Commis- sion.
NOTE: In those cases where the Commission does not intend to release a document con- taining the full text of its action, it will state that fact in the public notice announc- ing its action.
(c) If in any matter one party files a petition for reconsideration and a sec- ond party files an application for re- view, the Commission will withhold ac- tion on the application for review until final action has been taken on the peti- tion for reconsideration.
(d) Any person who has filed a peti- tion for reconsideration may file an ap- plication for review within 30 days from the date of public notice of such action, as that date is defined in § 1.4(b) of these rules. If a petition for recon- sideration has been filed, any person who has filed an application for review
may: (1) Withdraw his application for review, or (2) substitute an amended application therefor.
NOTE: In those cases where the Commission does not intend to release a document con- taining the full text of its action, it will state that fact in the public notice announc- ing its action.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[28 FR 12415, Nov. 22, 1963, as amended at 41 FR 14871, Apr. 8, 1976; 44 FR 60294, Oct. 19, 1979; 46 FR 18556, Mar. 25, 1981; 62 FR 4170, Jan. 29, 1997]
§ 1.106 Petitions for reconsideration. (a)(1) Petitions requesting reconsid-
eration of a final Commission action will be acted on by the Commission. Petitions requesting reconsideration of other final actions taken pursuant to delegated authority will be acted on by the designated authority or referred by such authority to the Commission. A petition for reconsideration of an order designating a case for hearing will be entertained if, and insofar as, the peti- tion relates to an adverse ruling with respect to petitioner’s participation in the proceeding. Petitions for reconsid- eration of other interlocutory actions will not be entertained. (For provisions governing reconsideration of Commis- sion action in notice and comment rule making proceedings, see § 1.429. This § 1.106 does not govern reconsideration of such actions.)
(2) Within the period allowed for fil- ing a petition for reconsideration, any party to the proceeding may request the presiding officer to certify to the Commission the question as to wheth- er, on policy in effect at the time of designation or adopted since designa- tion, 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, §§ 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 ad- versely affected by any action taken by
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the Commission or by the designated authority, may file a petition request- ing reconsideration of the action taken. If the petition is filed by a per- son who is not a party to the pro- ceeding, it shall state with particu- larity the manner in which the per- son’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 cir- cumstances is present:
(i) The petition relies on facts which relate to events which have occurred or circumstances which have changed since the last opportunity to present such matters; or
(ii) The petition relies on facts un- known to petitioner until after his last opportunity to present such matters which could not, through the exercise of ordinary diligence, have been learned prior to such opportunity.
(3) A petition for reconsideration of an order denying an application for re- view which fails to rely on new facts or changed circumstances may be dis- missed by the staff as repetitious.
(c) A petition for reconsideration which relies on facts not previously presented to the Commission or to the designated authority may be granted only under the following cir- cumstances:
(1) The facts fall within one or more of the categories set forth in § 1.106(b)(2); or
(2) The Commission or the designated authority determines that consider- ation of the facts relied on is required in the public interest.
(d)(1) The petition shall state with particularity the respects in which pe- titioner believes the action taken by the Commission or the designated au- thority should be changed. The peti- tion shall state specifically the form or relief sought and, subject to this re- quirement, may contain alternative re- quests.
(2) The petition for reconsideration shall also, where appropriate, cite the findings of fact and/or conclusions of law which petitioner believes to be er-
roneous, and shall state with particu- larity the respects in which he believes such findings and conclusions should be changed. The petition may request that additional findings of fact and conclusions of law be made.
(e) Where a petition for reconsider- ation is based upon a claim of elec- trical interference, under appropriate rules in this chapter, to an existing station or a station for which a con- struction 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 affi- davit shall show, either by following the procedures set forth in this chapter for determining interference in the ab- sence 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 § 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 ex- piration 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 re- consideration shall be filed within 10 days after the petition is filed, and shall be served upon petitioner and par- ties to the proceeding. Oppositions shall not exceed 25 double spaced type- written pages.
(h) Petitioner may reply to opposi- tions 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 ex- ceed 10 double spaced typewritten pages, and shall be limited to matters raised in the opposition.
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(i) Petitions for reconsideration, op- positions, and replies shall conform to the requirements of §§ 1.49, 1.51, and 1.52 and shall be submitted to the Sec- retary, Federal Communications Com- mission, Washington, D.C., 20554.
(j) The Commission or designated au- thority may grant the petition for re- consideration in whole or in part or may deny the petition. Its order will contain a concise statement of the rea- sons 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 ac- tion within 90 days after the petition is filed.
(k)(1) If the Commission or the des- ignated 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 re- hearing, 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 comple- tion of such further proceedings, the Commission or designated authority may affirm, reverse, or modify its original order, or it may set aside the order and remand the matter for such further proceedings, including rehear- ing, 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 reconsider- ation be considered a modification of the original order. A petition for recon- sideration of an order which has been previously denied on reconsideration may be dismissed by the staff as repeti- tious.
NOTE: For purposes of this section, the word ‘‘order’’ refers to that portion of its ac- tion wherein the Commission announces its
judgment. This should be distinguished from the ‘‘memorandum opinion’’ or other mate- rial which often accompany and explain the order.
(l) No evidence other than newly dis- covered evidence, evidence which has become available only since the origi- nal taking of evidence, or evidence which the Commission or the des- ignated authority believes should have been taken in the original proceeding shall be taken on any rehearing or- dered pursuant to the provisions of this section.
(m) The filing of a petition for recon- sideration is not a condition precedent to judicial review of any action taken by the Commission or by the des- ignated 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 af- forded no opportunity to pass. (See § 1.115(c).) Persons in those categories who meet the requirements of this sec- tion may qualify to seek judicial re- view by filing a petition for reconsider- ation.
(n) Without special order of the Com- mission, the filing of a petition for re- consideration shall not excuse any per- son from complying with or obeying any decision, order, or requirement of the Commission, or operate in any manner to stay or postpone the en- forcement thereof. However, upon good cause shown, the Commission will stay the effectiveness of its order or re- quirement pending a decision on the petition for reconsideration. (This paragraph applies only to actions of the Commission en banc. For provi- sions applicable to actions under dele- gated authority, see § 1.102.)
(o) Petitions for reconsideration of li- censing actions, as well as oppositions and replies thereto, that are filed with respect to the Wireless Radio Services, may be filed electronically via ULS.
(Secs. 4, 303, 307, 405, 48 Stat., as amended, 1066, 1082, 1083, 1095; 47 U.S.C. 154, 303, 307, 405)
[28 FR 12415, Nov. 22, 1963, as amended at 37 FR 7507, Apr. 15, 1972; 41 FR 1287, Jan. 7, 1976; 44 FR 60294, Oct. 19, 1979; 46 FR 18556, Mar. 25, 1981; 62 FR 4170, Jan. 29, 1997; 63 FR 68920, Dec. 14, 1998]
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§ 1.108 Reconsideration on Commis- sion’s own motion.
The Commission may, on its own mo- tion, set aside any action made or taken by it within 30 days from the date of public notice of such action, as that date is defined in § 1.4(b) of these rules.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[28 FR 12415, Nov. 22, 1963, as amended at 46 FR 18556, Mar. 25, 1981]
§ 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 condi- tions other than those requested, or subject to any interference that may result to a station if designated appli- cation 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 re- ceipt 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.
§ 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 pur- suant to delegated authority, the per- son, 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 au- thority has been served on the person affected, the person, panel, or board which imposed the sanction may mod- ify or set it aside on its own motion.
(c) Petitions for reconsideration and applications for review shall be di- rected 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 ac- tion is given or notice of the modified
sanction is served on the person af- fected.
§ 1.115 Application for review of action taken pursuant to delegated au- thority.
(a) Any person aggrieved by any ac- tion taken pursuant to delegated au- thority may file an application re- questing review of that action by the Commission. Any person filing an ap- plication for review who has not pre- viously participated in the proceeding shall include with his application a statement describing with particu- larity the manner in which he is ag- grieved by the action taken and show- ing good reason why it was not possible for him to participate in the earlier stages of the proceeding. Any applica- tion 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 ques- tions presented for review with ref- erence, where appropriate, to the find- ings of fact or conclusions of law.
(2) Except as provided in paragraph (b)(5) of this section, the application for review shall specify with particu- larity, from among the following, the factor(s) which warrant Commission consideration of the questions pre- sented:
(i) The action taken pursuant to dele- gated authority is in conflict with stat- ute, regulation, case precedent, or es- tablished 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 im- portant 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 des- ignated authority should be changed.
(4) The application for review shall state the form of relief sought and, subject to this requirement, may con- tain alternative requests.
(c) No application for review will be granted if it relies on questions of fact
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or law upon which the designated au- thority has been afforded no oppor- tunity to pass.
NOTE: Subject to the requirements of § 1.106, new questions of fact or law may be presented to the designated authority in a petition for reconsideration.
(d) Except as provided in paragraph (e) of this section, the application for review and any supplemental thereto shall be filed within 30 days of public notice of such action, as that date is defined in section 1.4(b). Opposition to the application shall be filed within 15 days after the application for review is filed. Except as provided in paragraph (e)(3) of this section, replies to opposi- tions shall be filed within 10 days after the opposition is filed and shall be lim- ited to matters raised in the opposi- tion.
(e)(1) Applications for review of in- terlocutory rulings made by the Chief Administrative Law Judge (see § 0.351) shall be deferred until the time when exceptions are filed unless the Chief Judge certifies the matter to the Com- mission for review. A matter shall be certified to the Commission only if the Chief Judge determines that it presents a new or novel question of law or pol- icy and that the ruling is such that error would be likely to require remand should the appeal be deferred and raised as an exception. The request to certify the matter to the Commission shall be filed within 5 days after the ruling is made. The application for re- view shall be filed within 5 days after the order certifying the matter to the Commission is released or such ruling is made. Oppositions shall be filed within 5 days after the application is filed. Replies to oppositions shall be filed only if they are requested by the Commission. Replies (if allowed) shall be filed within 5 days after they are re- quested. A ruling certifying or not cer- tifying a matter to the Commission is final: Provided, however, That the Com- mission may, on its own motion, dis- miss the application for review on the ground that objections to the ruling should be deferred and raised as an ex- ception.
(2) The failure to file an application for review of an interlocutory ruling made by the Chief Administrative Law Judge or the denial of such application
by the Commission, shall not preclude any party entitled to file exceptions to the initial decision from requesting re- view of the ruling at the time when ex- ceptions are filed. Such requests will be considered in the same manner as exceptions are considered.
(3) Applications for review of a hear- ing designation order issued under del- egated authority shall be deferred until exceptions to the initial decision in the case are filed, unless the presiding Ad- ministrative Law Judge certifies such an application for review to the Com- mission. A matter shall be certified to the Commission only if the presiding Administrative Law Judge determines that the matter involves a controlling question of law as to which there is substantial ground for difference of opinion and that immediate consider- ation of the question would materially expedite the ultimate resolution of the litigation. A ruling refusing to certify a matter to the Commission is not ap- pealable. In addition, the Commission may dismiss, without stating reasons, an application for review that has been certified, and direct that the objections to the hearing designation order be de- ferred and raised when exceptions in the initial decision in the case are filed. A request to certify a matter to the Commission shall be filed with the presiding Administrative Law Judge within 5 days after the designation order is released. Any application for review authorized by the Administra- tive Law Judge shall be filed within 5 days after the order certifying the mat- ter 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 with- in 5 days after they are requested.
(4) Applications for review of final staff decisions issued on delegated au- thority in formal complaint pro- ceedings on the Enforcement Bureau’s Accelerated Docket (see, e.g., § 1.730) shall be filed within 15 days of public notice of the decision, as that date is defined in § 1.4(b). These applications for review oppositions and replies in Accelerated Docket proceedings shall
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be served on parties to the proceeding by hand or facsimile transmission.
(f) Applications for review, opposi- tions, and replies shall conform to the requirements of §§ 1.49, 1.51, and 1.52, and shall be submitted to the Sec- retary, Federal Communications Com- mission, Washington, DC 20554. Except as provided below, applications for re- view and oppositions thereto shall not exceed 25 double-space typewritten pages. Applications for review of inter- locutory actions in hearing proceedings (including designation orders) and op- positions thereto shall not exceed 5 double-spaced typewritten pages. When permitted (see paragraph (e)(3) of this section), reply pleadings shall not ex- ceed 5 double-spaced typewritten pages. The application for review shall be served upon the parties to the pro- ceeding. Oppositions to the application for review shall be served on the person seeking review and on parties to the proceeding. When permitted (see para- graph (e)(3) of this section), replies to the opposition(s) to the application for review shall be served on the person(s) opposing the application for review and on parties to the proceeding.
(g) The Commission may grant the application for review in whole or in part, or it may deny the application with or without specifying reasons therefor. A petition requesting recon- sideration of a ruling which denies an application for review will be enter- tained only if one or more of the fol- lowing circumstances is present:
(1) The petition relies on facts which related to events which have occurred or circumstances which have changed since the last opportunity to present such matters; or
(2) The petition relies on facts un- known 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 des- ignated authority for reconsideration in accordance with its instructions, and, if an evidentiary hearing has been
held, the remand may be to the per- son(s) who conducted the hearing; or
(iii) Order such other proceedings, in- cluding briefs and oral argument, as may be necessary or appropriate.
(2) In the event the Commission or- ders further proceedings, it may stay the effect of the order from which re- view is sought. (See § 1.102.) Following the completion of such further pro- ceedings 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 reconsider- ation in accordance with its instruc- tions. If an evidentiary hearing has been held, the Commission may re- mand the matter to the person(s) who conducted the hearing for rehearing on such issues and in accordance with such instructions as may be appro- priate.
NOTE: For purposes of this section, the word ‘‘order’’ refers to that portion of its ac- tion wherein the Commission announces its judgment. This should be distinguished from the ‘‘memorandum opinion’’ or other mate- rial 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 sub- ject to the same provisions with re- spect 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 pursu- ant to delegated authority.
(j) No evidence other than newly dis- covered evidence, evidence which has become available only since the origi- nal taking of evidence, or evidence which the Commission believes should have been taken in the original pro- ceeding shall be taken on any rehear- ing ordered pursuant to the provisions of this section.
(k) The filing of an application for re- view shall be a condition precedent to
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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]
§ 1.117 Review on motion of the Com- mission.
(a) Within 40 days after public notice is given of any action taken pursuant to delegated authority, the Commis- sion 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 pro- cedure, the Commission may either af- firm, reverse, modify, or set aside the action taken, or remand the proceeding to the designated authority for recon- sideration in accordance with its in- structions. If an evidentiary hearing has been held, the Commission may re- mand the proceeding to the person(s) who conducted the hearing for rehear- ing on such issues and in accordance with such instructions as may be ap- propriate. An order of the Commission which reverses or modifies the action taken pursuant to delegated authority, or remands the matter for further pro- ceedings, is subject to the same provi- sions with respect to reconsideration as an original action of the Commis- sion.
§ 1.120 Protests of grants without hearing.
(a) The provisions of this section shall not be applicable to any applica- tion: (1) Filed on or after December 12, 1960; (2) filed before December 12, 1960, but substantially amended (as defined in the applicable provisions of this chapter) on or after that date; or (3) filed before December 12, 1960, and not thereafter substantially amended, but with respect to which the rules in this
chapter provide an opportunity for pe- titions to deny to be filed under section 309 of the Communications Act, as amended. See §§ 1.580 and 1.962.
(b) Where any instrument of author- ization for a radio station, other than a license pursuant to a construction per- mit, has been granted without a hear- ing, any party in interest may file a protest directed to such grant and re- quest a hearing on the application granted. Such protest shall be signed by the protestant and subscribed to under oath. Such protest must be filed with the Commission within 30 days after release of the document con- taining the full text of such action, or in case such a document is not re- leased, after release of a ‘‘Public No- tice’’ announcing the action in ques- tion and must separately set forth:
(1) Such allegations of fact as will show the protestant to be a party in in- terest, i.e., a person aggrieved or whose interests are adversely affected by the Commission’s authorization, protest of which is sought. Each such allegation of fact shall be separately stated.
(2) Facts indicating the reasons why the grant was improperly made or would otherwise not be in the public interest. Each such reason shall be sep- arately stated, and facts in support thereof shall be specified in detail and shall not include general non-specific conclusory arguments and allegations.
(3) The specific issues upon which protestant wishes a hearing to be held, which issues must relate directly to a matter specified with particularity as part of paragraph (b)(2) of this section.
(c) Arguments and citations of au- thority may be set forth in a brief ac- companying the protest but must be excluded from the protest itself.
(d) Oppositions to protests and briefs in support thereof shall contain all ma- terial, including that pertinent to the determination referred to in paragraph (i) of this section, deemed appropriate to the Commission’s resolution of the protest. Such oppositions and sup- porting briefs must be filed within 10 days after the filing of such protest, and any replies to such oppositions must be filed within 5 days after the filing of the oppositions.
(e) Protests, oppositions, and replies shall be filed with the Commission in
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original and 14 copies and shall be ac- companied by proof of service upon the grantee or the protestant, as the case may be, and/or their respective attor- neys.
(f) The Commission may upon consid- eration of a protest direct either the protestant or grantee or both to sub- mit further statements of fact under oath relating to the matters raised in the protest.
(g) Within 30 days from the date of the filing of the protest, the Commis- sion will enter findings as to whether such protest meets the requirements set forth in paragraphs (b) (1) and (2) of this section. If the Commission finds that one of these requirements is not met, it will dismiss the protest. If the Commission finds that these require- ments are met, it will designate the ap- plication in question for hearing. As to issues which the Commission believes present no grounds for setting aside the grant, even if the facts alleged were to be proven, the Commission may des- ignate such issues for oral argument only. The other issues will be des- ignated for evidentiary hearing except that the Commission may redraft the issues in accordance with the facts or substantive matters alleged in the pro- test and may also specify such addi- tional issues as it deems desirable. In any evidentiary hearing subsequently held upon issues specified by the Com- mission, upon its own initiative or adopted by it, both the burden of pro- ceeding with the introduction of evi- dence and the burden of proof shall be upon the grantee. With respect to issues resulting from facts set forth in the protest and not adopted or speci- fied by the Commission on its own mo- tion, both the burden of proceeding with the introduction of evidence and the burden of proof shall be upon the protestant.
(h) The procedure in such protest hearing shall be governed by the provi- sions of subpart B of this part, except as otherwise provided in this section.
(i) Pending hearing and decision, the effective date of the Commission’s ac- tion to which protest is made shall be postponed to the effective date of the Commission’s decision after hearing, unless the authorization involved is necessary to the maintenance or con-
duct of an existing service or unless the Commission affirmatively finds that the public interest requires that the grant remain in effect, in which event the Commission shall authorize the applicant to utilize the facilities or authorization in question pending the Commission’s decision after hearing.
(Sec. 7, 66 Stat. 715, as amended. See, in par- ticular, sec. 4 (a) and (d), 74 Stat. 889, 892; 47 U.S.C. 309)
[28 FR 12415, Nov. 22, 1963, as amended at 28 FR 14503, Dec. 31, 1963]
Subpart B—Hearing Proceedings
SOURCE: 28 FR 12425, Nov. 22, 1963, unless otherwise noted.
GENERAL
§ 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 Commis- sion hearing.
NOTE: For special provisions relating to AM broadcast station applications involving other North American countries see § 73.3570.
[28 FR 12425, Nov. 22, 1963, as amended at 51 FR 32088, Sept. 9, 1986]
§ 1.202 Official reporter; transcript. The Commission will designate from
time to time an official reporter for the recording and transcribing of hear- ing proceedings. The transcript of the testimony taken, or argument had, at any hearing will not be furnished by the Commission, but will be open to in- spection under § 0.453(a)(1) of this chap- ter. Copies of such transcript, if de- sired, may be obtained from the official reporter upon payment of the charges therefor.
(5 U.S.C. 556)
[32 FR 20861, Dec. 28, 1967]
§ 1.203 The record. The transcript of testimony and ex-
hibits, together with all papers and re- quests filed in the proceeding, shall
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constitute the exclusive record for de- cision. Where any decision rests on of- ficial notice of a material fact not ap- pearing in the record, any party shall on timely request be afforded an oppor- tunity to show the contrary.
(5 U.S.C. 556)
§ 1.204 Pleadings; definition.
As used in this subpart, the term pleading means any written notice, mo- tion, petition, request, opposition, reply, brief, proposed findings, excep- tions, memorandum of law, or other paper filed with the Commission in a hearing proceeding. It does not include exhibits or documents offered in evi- dence. See § 1.356.
[29 FR 8219, June 30, 1964]
§ 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 of- ficer upon motion for good cause shown, unless the time for performance or filing is limited by statute.
§ 1.207 Interlocutory matters, recon- sideration and review; cross ref- erences.
(a) Rules governing interlocutory pleadings in hearing proceedings are set forth in §§ 1.291 through 1.298.
(b) Rules governing appeal from rul- ings made by the presiding officer are set forth as §§ 1.301 and 1.302.
(c) Rules governing the reconsider- ation and review of actions taken pur- suant to delegated authority, and the reconsideration of actions taken by the Commission, are set forth in §§ 1.101 through 1.120.
[28 FR 12425, Nov. 22, 1963, as amended at 29 FR 6443, May 16, 1964; 36 FR 19439, Oct. 6, 1971]
§ 1.209 Identification of responsible of- ficer in caption to pleading.
Each pleading filed in a hearing pro- ceeding shall indicate in its caption whether it is to be acted upon by the Commission, the Chief Administrative Law Judge, or the presiding officer. If
it is to be acted upon by the presiding officer, he shall be identified by name.
[29 FR 8219, June 30, 1964, as amended at 37 FR 19372, Sept. 20, 1972; 62 FR 4171, Jan. 29, 1997]
§ 1.211 Service. Except as otherwise expressly pro-
vided 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 rep- resented by counsel, then upon such party. All such papers shall be accom- panied by proof of service. For provi- sions governing the manner of service, see § 1.47.
[29 FR 8219, June 30, 1964]
PARTICIPANTS AND ISSUES
§ 1.221 Notice of hearing; appearances. (a) Upon designation of an applica-
tion 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 au- thority and jurisdiction under which the hearing is to be held.
(b) The order designating an applica- tion for hearing is mailed to the appli- cant by the Reference Information Cen- ter of the Consumer and Governmental Affairs Bureau and this order or a sum- mary thereof is published in the FED- ERAL REGISTER. Reasonable notice of hearing will be given to the parties in all proceedings; and, whenever pos- sible, the Commission will give at least 60 days notice of comparative hearings.
(c) In order to avail himself of the op- portunity to be heard, the applicant, in person or by his attorney, shall, within 20 days of the mailing of the notice of designation for hearing by the Ref- erence Information Center of the Con- sumer and Governmental Affairs Bu- reau, file with the Commission, in trip- licate, a written appearance stating
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that he will appear of the date fixed for hearing and present evidence on the issues specified in the order. Where an applicant fails to file such a written appearance within the time specified, or has not filed prior to the expiration of that time a petition to dismiss with- out prejudice, or a petition to accept, for good cause shown, such written ap- pearance beyond expiration of said 20 days, the application will be dismissed with prejudice for failure to prosecute.
(d) The Commission will on its own motion name as parties to the hearing any person found to be a party in inter- est.
(e) In order to avail himself of the op- portunity to be heard, any person named as a party pursuant to para- graph (d) of this section shall, within 20 days of the mailing of the notice of his designation as a party, file with the Commission, in person or by attorney, a written appearance in triplicate, stating that he will appear at the hear- ing. Any person so named who fails to file this written statement within the time specified, shall, unless good cause for such failure is shown, forfeit his hearing rights.
(f)(1) A fee must accompany each written appearance filed with the Com- mission in certain cases designated for hearing. See subpart G, part 1 for the amount due. Except as provided in paragraph (g) of this section, the fee must accompany each written appear- ance at the time of its filing and must be in conformance with the require- ments of subpart G of the rules. A writ- ten appearance that does not contain the proper fee, or is not accompanied by a deferral request as per § 1.1115 of the rules, shall be dismissed and re- turned to the applicant by the fee proc- essing staff. The presiding judge will be notified of this action and may dismiss the applicant with prejudice for failure to prosecute if the written appearance is not resubmitted with the correct fee within the original 20 day filing period.
NOTE: If the parties file a settlement agree- ment prior to filing the Notice of Appearance or simultaneously with it, the hearing fee need not accompany the Notice of Appear- ance. In filing the Notice of Appearance, the applicant should clearly indicate that a set- tlement agreement has been filed. (The fact that there are ongoing negotiations that may lead to a settlement does not affect the
requirement to pay the fee.) If a settlement agreement is not effectuated, the Presiding Judge will require immediate payment of the fee.
(2) When a fee is required to accom- pany a written appearance as described in paragraph (f)(1) of this section, the written appearance must also contain FCC Registration Number (FRN) in conformance with subpart W of this part. The presiding judge will notify the party filing the appearance of the omitted FRN and dismiss the applicant with prejudice for failure to prosecute if the written appearance is not resub- mitted with the FRN within ten (10) business days of the date of notifica- tion.
(g) In comparative broadcast pro- ceedings involving applicants for new facilities, where the hearing fee was paid before designation of the applica- tions for hearing as required by the Public Notice described at § 73.3571(c), § 73.3572(d), or § 73.3573(g) of this chap- ter, a hearing fee payment should not be made with the filing of the Notice of Appearance.
(5 U.S.C. 554. Sec. 309, 48 Stat. 1085, as amend- ed; 47 U.S.C. 309)
[28 12424, Nov. 22, 1963, as amended at 51 FR 19347, May 29, 1986; 52 FR 5288, Feb. 20, 1987; 55 FR 19154, May 8, 1990; 56 FR 25638, June 5, 1991; 64 FR 60725, Nov. 8, 1999; 66 FR 47895, Sept. 14, 2001; 67 FR 13223, Mar. 21, 2002]
§ 1.223 Petitions to intervene.
(a) Where, in cases involving applica- tions for construction permits and sta- tion licenses, or modifications or re- newals thereof, the Commission has failed to notify and name as a party to the hearing any person who qualifies as a party in interest, such person may acquire the status of a party by filing, under oath and not more than 30 days after the publication in the FEDERAL REGISTER of the hearing issues or any substantial amendment thereto, a peti- tion for intervention showing the basis of its interest. Where such person’s in- terest is based upon a claim that a grant of the application would cause objectionable interference under appli- cable provisions of this chapter to such person as a licensee or permittee of an existing or authorized station, the peti- tion to intervene must be accompanied
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Federal Communications Commission § 1.224
by an affidavit of a qualified radio en- gineer which shall show, either by fol- lowing the procedures prescribed in this chapter for determining inter- ference in the absence of measure- ments or by actual measurements made in accordance with the methods prescribed in this chapter, the extent of such interference. Where the per- son’s status as a party in interest is es- tablished, the petition to intervene will be granted.
(b) Any other person desiring to par- ticipate as a party in any hearing may file a petition for leave to intervene not later than 30 days after the publi- cation in the FEDERAL REGISTER of the full text or a summary of the order des- ignating an application for hearing or any substantial amendment thereto. The petition must set forth the inter- est of petitioner in the proceedings, must show how such petitioner’s par- ticipation will assist the Commission in the determination of the issues in question, must set forth any proposed issues in addition to those already des- ignated for hearing, and must be ac- companied by the affidavit of a person with knowledge as to the facts set forth in the petition. The presiding of- ficer, in his discretion, may grant or deny such petition or may permit intervention by such persons limited to a particular stage of the proceeding.
(c) Any person desiring to file a peti- tion for leave to intervene later than 30 days after the publication in the FED- ERAL REGISTER of the full text or a summary of the order designating an application for hearing or any substan- tial amendment thereto shall set forth the interest of petitioner in the pro- ceeding, show how such petitioner’s participation will assist the Commis- sion in the determination of the issues in question, must set forth any pro- posed issues in addition to those al- ready designated for hearing, and must set forth reasons why it was not pos- sible to file a petition within the time prescribed by paragraphs (a) and (b) of this section. Such petition shall be ac- companied by the affidavit of a person with knowledge of the facts set forth in the petition, and where petitioner claims that a grant of the application would cause objectionable interference under applicable provisions of this
chapter, the petition to intervene must be accompanied by the affidavit of a qualified radio engineer showing the extent of such alleged interference ac- cording to the methods prescribed in paragraph (a) of this section. If, in the opinion of the presiding officer, good cause is shown for the delay in filing, he may in his discretion grant such pe- tition or may permit intervention lim- ited to particular issues or to a par- ticular stage of the proceeding.
(Sec. 309, 48 Stat. 1085, as amended; 47 U.S.C. 309)
[28 FR 12425, Nov. 22, 1963, as amended at 29 FR 7821, June 19, 1964; 41 FR 14872, Apr. 8, 1976; 51 FR 19347, May 29, 1986]
§ 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 enti- ty, an association or other similar group, if the moving party is either of the following:
(1) A respondent in a revocation pro- ceeding, or a renewal applicant, who cannot carry on his livelihood without the radio license at stake in the pro- ceeding; or
(2) An intervenor in a hearing pro- ceeding who is in a position to intro- duce testimony which is of probable decisional significance, on a matter of substantial public interest importance, which cannot, or apparently will not, be introduced by other parties to the proceeding, and who is not seeking per- sonal financial gain.
(b) In the case of a licensee, the mo- tion to proceed in forma pauperis shall contain specific allegations of fact suf- ficient 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 litiga- tion 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 there- of. The information submitted shall de- tail the income and assets of the indi- vidual and his financial obligations and responsibilities, and shall contain an estimate of the cost of participation in
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the proceeding. Personal financial in- formation may be submitted to the presiding officer in confidence.
(c)(1) In the case of an individual in- tervenor, 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 dedi- cated financial resources to sustain his participation which are reasonable in light of his personal resources and other demands upon them but are inad- equate for effective participation in the proceeding. Such allegations of fact shall be supported by affidavit of a person or persons with personal knowl- edge thereof. The information sub- mitted shall detail the income and as- sets of the individual and his imme- diate family and his financial obliga- tions and responsibilities, and shall contain an estimate of the cost of par- ticipation. Personal financial informa- tion 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 allega- tions of fact sufficient to show that the moving party is eligible under para- graph (a) of this section and that it cannot pay the expenses of litigation and still be able to carry out the ac- tivities 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 per- sonal knowledge thereof. The informa- tion submitted shall include a copy of the corporate charter or other docu- ments that describe the activities and purposes of the organization; a current balance sheet and profit and loss state- ment; facts showing, under all the cir- cumstances, that it would not be rea- sonable to expect added resources of in- dividuals composing the group to be pooled to meet the expenses of partici- pating in the proceeding; and an esti- mate of the cost of participation. Per- sonal financial information pertaining to members of the group may be sub- mitted to the presiding officer in con- fidence.
(d) If the motion is granted, the pre- siding 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 finan- cial 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]
§ 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 mat- ter is designated for hearing. In the case of requests bearing more than one signature, notice of hearing will be given to the person first signing unless the request indicates that such notice should be sent to someone other than such person.
(b) No person shall be precluded from giving any relevant, material, and competent testimony at a hearing be- cause he lacks a sufficient interest to justify his intervention as a party in the matter.
(c) When a hearing is held, no com- munication will be considered in deter- mining the merits of any matter unless it has been received into evidence. The admissibility of any communication shall be governed by the applicable rules of evidence, and no communica- tion shall be admissible on the basis of a stipulation unless Commission coun- sel as well as counsel for all of the par- ties shall join in such stipulation.
§ 1.227 Consolidations. (a) The Commission, upon motion or
upon its own motion, will, where such action will best conduce to the proper dispatch of business and to the ends of justice, consolidate for hearing:
(1) Any cases which involve the same applicant or involve substantially the same issues, or
(2) Any applications which present conflicting claims, except where a ran- dom selection process is used.
(b)(1) In broadcast cases, except as provided in paragraph (b)(5) of this sec- tion, and except as otherwise provided in § 1.1601, et seq., no application will be consolidated for hearing with a pre- viously filed application or applica- tions unless such application, or such
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application as amended, if amended so as to require a new file number, is sub- stantially complete and tendered for filing by the close of business on the day preceding the day designated by Public Notice as the day any one of the previously filed applications is avail- able and ready for processing.
(2) In other than broadcast, common carrier, and safety and special radio services cases, any application that is mutually exclusive with another appli- cation or applications already des- ignated for hearing will be consoli- dated for hearing with such other ap- plication or applications only if the later application in question has been filed within 5 days after public notice has been given in the FEDERAL REG- ISTER of the Commission’s order which first designated for hearing the prior application or applications with which such application is in conflict.
(3) Common carrier cases: (i) General rule. Where an application is mutually exclusive with a previously filed appli- cation, the second application will be entitled to comparative consideration with the first or entitled to be included in a random selection process, only if the second has been properly filed at least one day before the Commission takes action on the first application. Specifically, the later filed application must have been received by the Com- mission, in a condition acceptable for filing, before the close of business on the day prior to the grant date or des- ignation date of the earlier filed appli- cation.
(ii) Domestic public fixed and public mobile. See Rule § 21.31 of this chapter for the requirements as to mutually ex- clusive applications. See also Rule § 21.23 of this chapter for the require- ments as to amendments of applica- tions.
(iii) Public coast stations (Maritime mo- bile service). See paragraph (b)(4) of this section.
(4) This paragraph applies when mu- tually exclusive applications subject to section 309(b) of the Communications Act and not subject to competitive bid- ding procedures pursuant to § 1.2102 of this chapter are filed in the Private Radio Services, or when there are more such applications for initial licenses than can be accommodated on avail-
able frequencies. Except for applica- tions filed under part 101, subparts H and O, Private Operational Fixed Microwave Service, and applications for high seas public coast stations (see §§ 80.122(b)(1) (first sentence), 80.357, 80.361, 80.363(a)(2), 80.371(a), (b), and (d), and § 80.374 of this chapter) mutual ex- clusivity will occur if the later applica- tion or applications are received by the Commission’s offices in Gettysburg, PA (or St. Louis, Missouri for applications requiring the fees set forth at part 1, subpart G of the rules) in a condition acceptable for filing within 30 days after the release date of public notice listing the first prior filed application (with which subsequent applications are in conflict) as having been accepted for filing or within such other period as specified by the Commission. For appli- cations in the Private Operational Fixed Microwave Service, mutual ex- clusivity will occur if two or more ac- ceptable applications that are in con- flict are filed on the same day. Applica- tions for high seas public coast sta- tions will be processed on a first come, first served basis, with the first accept- able application cutting off the filing rights of subsequent, conflicting appli- cations. Applications for high seas pub- lic coast stations received on the same day will be treated as simultaneously filed and, if granting more than one would result in harmful interference, must be resolved through settlement or technical amendment.
(5) Any mutually exclusive applica- tion filed after the date prescribed in paragraph (b)(1), (b)(2), (b)(3), or (b)(4) of this section will be dismissed with- out prejudice and will be eligible for re- filing only after a final decision is ren- dered by the Commission with respect to the prior application or applications or after such application or applica- tions are dismissed or removed from the hearing docket.
(6) An application which is mutually exclusive with an application for re- newal of license of a broadcast station filed on or before May 1, 1995 will be designated for comparative hearing with such license renewal application
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if it is substantially complete and ten- dered for filing no later than the date prescribed in § 73.3516(e).
[28 FR 12425, Nov. 22, 1963, as amended at 34 FR 7966, May 21, 1969; 37 FR 13983, July 15, 1972; 38 FR 26202, Sept. 19, 1973; 48 FR 27200, June 13, 1983; 48 FR 34039, July 27, 1983; 52 FR 10229, Mar. 31, 1987; 55 FR 46008, Oct. 31, 1990; 55 FR 46513, Nov. 5, 1990; 61 FR 18291, Apr. 25, 1996; 67 FR 34851, May 16, 2002; 67 FR 48563, July 25, 2002; 73 FR 9018, Feb. 19, 2008]
§ 1.229 Motions to enlarge, change, or delete issues.
(a) A motion to enlarge, change or delete the issues may be filed by any party to a hearing. Except as provided for in paragraph (b) of this section, such motions must be filed within 15 days after the full text or a summary of the order designating the case for hearing has been published in the FED- ERAL REGISTER.
(b)(1) In comparative broadcast pro- ceedings involving applicants for only new facilities, such motions shall be filed within 30 days of the release of the designation order, except that per- sons not named as parties to the pro- ceeding in the designation order may file such motions with their petitions to intervene up to 30 days after publi- cation of the full text or a summary of the designation order in the FEDERAL REGISTER. (See § 1.223 of this part).
(2) In comparative broadcast pro- ceedings involving renewal applicants, such motions shall be filed within 30 days after publication of the full text or a summary of the designation order in the FEDERAL REGISTER.
(3) Any person desiring to file a mo- tion to modify the issues after the ex- piration of periods specified in para- graphs (a), (b)(1), and (b)(2), of this sec- tion, 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 sec- tion, the motion will be granted only if good cause is shown for the delay in fil- ing. 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 mo- tion demonstrates that it raises a ques- tion of probable decisional significance and such substantial public interest importance as to warrant consider- ation 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 al- legations 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 nec- essarily be construed as an admission of any fact or argument contained in a pleading.
(e) In comparative broadcast pro- ceedings involving applicants for only new facilities, in addition to the show- ing with respect to the requested issue modification described in paragraph (d) of this section, the party requesting the enlargement of issues against an applicant in the proceeding shall iden- tify those documents the moving party wishes to have produced and any other discovery procedures the moving party wishes to employ in the event the re- quested issue is added to the pro- ceeding.
(1) In the event the motion to enlarge issues is granted, the Commission or delegated authority acting on the mo- tion will also rule on the additional discovery requests, and, if granted, such additional discovery will be scheduled to be completed within 30 days of the action on the motion.
(2) The moving party may file supple- mental discovery requests on the basis of information provided in responsive pleadings or discovered as a result of initial discovery on the enlarged issue. The grant or denial of any such supple- mental requests and the timing of the completion of such supplemental dis- covery are subject to the discretion of the presiding judge.
(3) The 30-day time limit for comple- tion of discovery on enlarged issues shall not apply where the persons sub- ject to such additional discovery are not parties to the proceeding. In such case, additional time will be required to afford such persons adequate notice
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Federal Communications Commission § 1.244
of the discovery procedures being em- ployed.
(f) In any case in which the presiding judge or the Commission grants a mo- tion to enlarge the issues to inquire into allegations that an applicant made misrepresentations to the Com- mission or engaged in other mis- conduct 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 appli- cant may be liable for a forfeiture of up to the maximum statutory amount. See 47 U.S.C. 503(b)(2)(A).
[41 FR 14872, Apr. 8, 1976, as amended at 44 FR 34947, June 18, 1979; 51 FR 19347, May 29, 1986; 56 FR 792, Jan. 9, 1991; 56 FR 25639, June 5, 1991; 62 FR 4171, Jan. 29, 1997]
PRESIDING OFFICER
§ 1.241 Designation of presiding offi- cer.
(a) Hearings will be conducted by the Commission, by one or more commis- sioners, or by a law judge designated pursuant to section 11 of the Adminis- trative Procedure Act. If a presiding of- ficer becomes unavailable to the Com- mission prior to the taking of testi- mony another presiding officer will be designated.
(b) Unless the Commission deter- mines that due and timely execution of its functions requires otherwise, pre- siding officers shall be designated, and notice thereof released to the public, at least 10 days prior to the date set for hearing.
(5 U.S.C. 556)
§ 1.243 Authority of presiding officer. From the time he is designated to
preside until issuance of his decision or the transfer of the proceeding to the Commission or to another presiding of- ficer the presiding officer shall have such authority as is vested in him by law and by the provisions of this chap- ter, including authority to:
(a) Administer oaths and affirma- tions;
(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 hear- ing, 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 ar- gument with respect to any question of law upon which he is required to rule during the course of the hearing;
(h) Hold conferences for the settle- ment or simplification of the issues by consent of the parties;
(i) Dispose of procedural requests or similar matters, as provided for in § 0.341 of this chapter;
(j) Take actions and make decisions in conformity with the Administrative Procedure Act;
(k) Act on motions to enlarge, mod- ify or delete the hearing issues; and
(l) Act on motions to proceed in forma pauperis pursuant to § 1.224.
(5 U.S.C. 556)
[28 FR 12425, Nov. 22, 1963, as amended at 41 FR 53022, Dec. 3, 1976]
§ 1.244 Designation of a settlement judge.
(a) In broadcast comparative cases involving applicants for only new fa- cilities, the applicants may request the appointment of a settlement judge to facilitate the resolution of the case by settlement.
(b) Where all applicants in the case agree that such procedures may be ben- eficial, such requests may be filed with the presiding judge no later than 15 days prior to the date scheduled by the presiding judge for the commencement of hearings. The presiding judge shall suspend the procedural dates in the case and forward the request to the Chief Administrative Law Judge for ac- tion.
(c) If, in the discretion of the Chief Administrative Law Judge, it appears that the appointment of a settlement judge will facilitate the settlement of the case, the Chief Judge will appoint a ‘‘neutral’’ as defined in 5 U.S.C. 581 and 583(a) to act as the settlement judge.
(1) The parties may request the ap- pointment of a settlement judge of
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their own choosing so long as that per- son is a ‘‘neutral’’ as defined in 5 U.S.C. 581.
(2) The appointment of a settlement judge in a particular case is subject to the approval of all the applicants in the proceeding. See 5 U.S.C. 583(b).
(3) The Commission’s Administrative Law Judges are eligible to act as set- tlement judges, except that an Admin- istrative Law Judge will not be ap- pointed as a settlement judge in any case in which the Administrative Law Judge also acts as the presiding officer.
(4) Other members of the Commis- sion’s staff who qualify as neutrals may be appointed as settlement judges, except that staff members whose duties include drafting, review, and/or rec- ommendations in adjudicatory matters pending before the Commission shall not be appointed as settlement judges.
(d) The settlement judge shall have the authority to require applicants to submit their Standardized Integration Statements and/or their written direct cases for review. The settlement judge may also meet with the applicants and/ or their counsel, individually and/or at joint conferences, to discuss their cases and the cases of their competitors. All such meetings will be off-the-record, and the settlement judge may express an opinion as to the relative compara- tive standing of the applicants and rec- ommend possible means to resolve the proceeding by settlement. The pro- ceedings before the settlement judge shall be subject to the confidentiality provisions of 5 U.S.C. 574. Moreover, no statements, offers of settlement, rep- resentations or concessions of the par- ties or opinions expressed by the settle- ment judge will be admissible as evi- dence in any Commission licensing pro- ceeding.
[56 FR 793, Jan. 9, 1991, as amended at 62 FR 4171, Jan. 29, 1997]
§ 1.245 Disqualification of presiding of- ficer.
(a) In the event that a presiding offi- cer deems himself disqualified and de- sires to withdraw from the case, he shall notify the Commission of his withdrawal at least 7 days prior to the date set for hearing.
(b) Any party may request the pre- siding officer to withdraw on the
grounds of personal bias or other dis- qualification.
(1) The person seeking disqualifica- tion shall file with the presiding officer an affidavit setting forth in detail the facts alleged to constitute grounds for disqualification. Such affidavit shall be filed not later than 5 days before the commencement of the hearing unless, for good cause shown, additional time is necessary.
(2) The presiding officer may file a response to the affidavit; and if he be- lieves himself not disqualified, shall so rule and proceed with the hearing.
(3) The person seeking disqualifica- tion may appeal a ruling of disquali- fication, and, in that event, shall do so at the time the ruling is made. Unless an appeal of the ruling is filed at this time, the right to request withdrawal of the presiding officer shall be deemed waived.
(4) If an appeal of the ruling is filed, the presiding officer shall certify the question, together with the affidavit and any response filed in connection therewith, to the Commission. The hearing shall be suspended pending a ruling on the question by the Commis- sion.
(5) The Commission may rule on the question without hearing, or it may re- quire testimony or argument on the issues raised.
(6) The affidavit, response, testimony or argument thereon, and the Commis- sion’s decision shall be part of the record in the case.
(5 U.S.C. 556)
[28 FR 12425, Nov. 22, 1963, as amended at 55 FR 36641, Sept. 6, 1990; 62 FR 4171, Jan. 29, 1997]
PREHEARING PROCEDURES
§ 1.246 Admission of facts and genuine- ness of documents.
(a) Within 20 days after the time for filing a notice of appearance has ex- pired; or within 20 days after the re- lease of an order adding parties to the proceeding (see §§ 1.223 and 1.227) or changing the issues (see § 1.229); or within such shorter or longer time as the presiding officer may allow on mo- tion or notice, a party may serve upon any other party a written request for the admission by the latter of the
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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 des- ignated in the request, not less than 10 days after service thereof, or within such shorter or longer time as the pre- siding officer may allow on motion or notice, the party to whom the request is directed serves upon the party re- questing 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 re- mainder of the request shall be an- swered within the period designated in the request. A denial shall fairly meet the substance of the requested admis- sion, and when good faith requires that a party deny only a part or a qualifica- tion of a matter of which an admission is requested, he shall specify so much of it as is true and deny only the re- mainder.
(c) A copy of the request and of any answer shall be served by the party fil- ing on all other parties to the pro- ceeding and upon the presiding officer.
(d) Written objections to the re- quested admissions may be ruled upon by the presiding officer without addi- tional pleadings.
[33 FR 463, Jan. 12, 1968, as amended at 35 FR 17333, Nov. 11, 1970]
§ 1.248 Prehearing conferences; hear- ing conferences.
(a) The Commission, on its own ini- tiative or at the request of any party, may direct the parties or their attor- neys to appear at a specified time and place for a conference prior to a hear- ing, or to submit suggestions in writ- ing, for the purpose of considering, among other things, the matters set forth in paragraph (c) of this section. The initial prehearing conference shall
be scheduled 30 days after the effective date of the order designating a case for hearing, unless good cause is shown for scheduling such conference at a later date.
(b)(1) The presiding officer (or the Commission or a panel of commis- sioners in a case over which it pre- sides), on his own initiative or at the request of any party, may direct the parties or their attorneys to appear at a specified time and place for a con- ference prior to or during the course of a hearing, or to submit suggestions in writing, for the purpose of considering any of the matters set forth in para- graph (c) of this section. The initial prehearing conference shall be sched- uled 30 days after the effective date of the order designating a case for hear- ing, unless good cause is shown for scheduling such conference at a later date.
(2) Except as circumstances other- wise require, the presiding officer shall allow a reasonable period prior to com- mencement of the hearing for the or- derly completion of all prehearing pro- cedures, including discovery, and for the submission and disposition of all prehearing motions. Where the cir- cumstances so warrant, the presiding officer shall, promptly after the hear- ing is ordered, call a preliminary pre- hearing conference, to inquire into the use of available procedures con- templated by the parties and the time required for their completion, to for- mulate a schedule for their completion, and to set a date for commencement of the hearing.
(c) In conferences held, or in sugges- tions submitted, pursuant to para- graphs (a) and (b) of this section, the following matters, among others, may be considered:
(1) The necessity or desirability of simplification, clarification, amplifi- cation, or limitation of the issues;
(2) The admission of facts and of the genuineness of documents (see § 1.246), and the possibility of stipulating with respect to facts;
(3) The procedure at the hearing; (4) The limitation of the number of
witnesses; (5) In cases arising under Title II of
the Communications Act, the necessity
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or desirability of amending the plead- ings and offers of settlement or pro- posals of adjustment; and
(6) In cases involving comparative broadcast applications:
(i) Narrowing the issues or the areas of inquiry and proof at the hearing;
(ii) [Reserved] (iii) Reports and letters relating to
surveys or contacts; (iv) Assumptions regarding the avail-
ability of equipment; (v) Network programming; (vi) Assumptions regarding the avail-
ability of networks proposed; (vii) Offers of letters in general; (viii) The method of handling evi-
dence relating to the past cooperation of existing stations owned and/or oper- ated by the applicants with organiza- tions in the area;
(ix) Proof of contracts, agreements, or understandings reduced to writing;
(x) Stipulations; (xi) Need for depositions; (xii) The numbering of exhibits; (xiii) The order or offer of proof with
relationship to docket number; (xiv) The date for the formal hearing;
and (xv) Such other matters as may expe-
dite the conduct of the hearing. (7) In proceedings in which consent
agreements may be negotiated (see § 1.93), the parties shall be prepared to state at the initial prehearing con- ference whether they are at that time willing to enter negotiations leading to a consent agreement.
(d) This paragraph applies to broad- cast proceedings only.
(1) At the prehearing conference pre- scribed by this section, the parties to the proceeding shall be prepared to dis- cuss the advisability of reducing any or all phases of their affirmative direct cases to written form.
(2) In hearings involving applications for new, improved and changed facili- ties and in comparative hearings in- volving only applications for new fa- cilities, where it appears that it will contribute significantly to the disposi- tion of the proceeding for the parties to submit all or any portion of their af- firmative direct cases in writing, the presiding officer may, in his discretion, require them to do so.
(3) In other broadcast proceedings, where it appears that it will contribute significantly to the disposition of the proceeding for the parties to submit all or any portion of their affirmative di- rect cases in writing, it is the policy of the Commission to encourage them to do so. However, the phase or phases of the proceeding to be submitted in writ- ing, the dates for the exchange of the written material, and other limitations upon the effect of adopting the written case procedure (such as whether mate- rial ruled out as incompetent may be restored by other competent testi- mony) is to be left to agreement of the parties as approved by the presiding of- ficer.
(4) In broadcast comparative cases in- volving applicants for only new facili- ties, oral testimony and cross examina- tion will be permitted only where, in the discretion of the presiding judge, material issues of decisional fact can- not be resolved without oral evi- dentiary hearing procedures or the public interest otherwise requires oral evidentiary proceedings.
(e) An official transcript of all con- ferences shall be made.
(f) The presiding officer may, upon the written request of a party or par- ties, approve the use of a speakerphone as a means of attendance at a pre- hearing conference if such use is found to conduce to the proper dispatch of business and the ends of justice.
[28 FR 12425, Nov. 22, 1963, as amended at 33 FR 463, Jan. 12, 1968; 36 FR 14133, July 30, 1971; 37 FR 7507, Apr. 15, 1972; 41 FR 14873, Apr. 8, 1976; 43 FR 33251, July 31, 1978; 56 FR 793, Jan. 9, 1991]
§ 1.249 Prehearing statement.
Immediately upon convening the for- mal hearing in any proceeding, the pre- siding officer shall enter upon the record a statement reciting all actions taken at the prehearing conferences, and incorporating into the record all of the stipulations and agreements of the parties which are approved by him, and any special rules which he may deem necessary to govern the course of the proceeding.
[28 FR 12425, Nov. 22, 1963. Redesignated at 33 FR 463, Jan. 12, 1968]
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Federal Communications Commission § 1.251
HEARING AND INTERMEDIATE DECISION
§ 1.250 Discovery and preservation of evidence; cross-reference.
For provisions relating to prehearing discovery and preservation of admis- sible evidence, see §§ 1.311 through 1.325.
[33 FR 463, Jan. 12, 1968]
§ 1.251 Summary decision. (a)(1) Any party to an adjudicatory
proceeding may move for summary de- cision of all or any of the issues set for hearing. The motion shall be filed at least 20 days prior to the date set for commencement of the hearing. The party filing the motion may not rest upon mere allegations or denials but must show, by affidavit or by other materials subject to consideration by the presiding officer, that there is no genuine issue of material fact for de- termination at the hearing.
(2) With the permission of the pre- siding officer, or upon his invitation, a motion for summary decision may be filed at any time before or after the commencement of the hearing. No ap- peal from an order granting or denying a request for permission to file a mo- tion for summary decision shall be al- lowed. If the presiding officer author- izes a motion for summary decision after the commencement of the hear- ing, proposed findings of fact and con- clusions of law on those issues which the moving party believes can be re- solved shall be attached to the motion, and any other party may file findings of fact and conclusions of law as an at- tachment to pleadings filed by him pursuant to paragraph (b) of this sec- tion.
(b) Within 14 days after a motion for summary decision is filed, any other party to the proceeding may file an op- position or a countermotion for sum- mary decision. A party opposing the motion may not rest upon mere allega- tions or denials but must show, by affi- davit or by other materials subject to consideration by the presiding officer, that there is a genuine issue of mate- rial fact for determination at the hear- ing, that he cannot, for good cause, present by affidavit or otherwise facts essential to justify his opposition, or that summary decision is otherwise in- appropriate.
(c) Affidavits shall be made on per- sonal knowledge, shall set forth such facts as would be admissible in evi- dence, and shall show affirmatively that the affiant is competent to testify to the matters stated therein.
(d) The presiding officer may, in his discretion, set the matter for argument and call for the submission of proposed findings, conclusions, briefs or memo- randa of law. The presiding officer, giv- ing appropriate weight to the nature of the proceeding, the issue or issues, the proof, and to the need for cross-exam- ination, may grant a motion for sum- mary decision to the extent that the pleadings, affidavits, materials ob- tained by discovery or otherwise, ad- missions, or matters officially noticed, show that there is no genuine issue as to any material fact and that a party is otherwise entitled to summary deci- sion. If it appears from the affidavits of a party opposing the motion that he cannot, for good cause shown, present by affidavit or otherwise facts essential to justify his opposition, the presiding officer may deny the motion, may order a continuance to permit affida- vits to be obtained or discovery to be had, or make such other order as is just.
(e) If all of the issues (or a dispositive issue) are determined on a motion for summary decision no hearing (or fur- ther hearing) will be held. The pre- siding officer will issue a Summary De- cision, which is subject to appeal or re- view in the same manner as an Initial Decision. See §§ 1.271 through 1.282. If some of the issues only (including no dispositive issue) are decided on a mo- tion for summary decision, or if the motion is denied, the presiding officer will issue a memorandum opinion and order, interlocutory in character, and the hearing will proceed on the remain- ing issues. Appeal from interlocutory rulings is governed by § 1.301.
(f) The presiding officer may take any action deemed necessary to assure that summary decision procedures are not abused. He may rule in advance of a motion that the proceeding is not ap- propriate for summary decision, and may take such other measures as are necessary to prevent any unwarranted delay.
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47 CFR Ch. I (10–1–10 Edition)§ 1.253
(1) Should it appear to the satisfac- tion of the presiding officer that a mo- tion for summary decision has been presented in bad faith or solely for the purpose of delay, or that such a motion is patently frivolous, he will enter a de- termination to that effect upon the record.
(2) If, on making such determination, the presiding officer concludes that the facts warrant disciplinary action against an attorney, he will certify the matter to the Commission with his findings and recommendations, for con- sideration under § 1.24.
(3) If, on making such determination, the presiding officer concludes that the facts warrant a finding of bad faith on the part of a party to the proceeding, he will certify the matter to the Com- mission, with his findings and rec- ommendations, for a determination as to whether the facts warrant addition of an issue as to the character quali- fications of that party.
[37 FR 7507, Apr. 15, 1972, as amended at 42 FR 56508, Oct. 26, 1977]
§ 1.253 Time and place of hearing. (a) The Commission will specify the
day on which and the place at which any hearing is to commence.
(b) The presiding officer will specify the days on which subsequent hearing sessions are to be held.
(c) If the Commission specifies that a hearing is to commence in the District of Columbia, it shall be moved there- from only by order of the Commission.
(d) If the Commission specifies that a hearing is to commence at a field loca- tion, all appropriate proceedings will be completed at such location before the hearing is moved therefrom. When such proceedings are completed, the presiding officer may move the hearing from the field location specified to an- other appropriate field location or to the District of Columbia.
§ 1.254 Nature of the hearing; burden of proof.
Any hearing upon an application shall be a full hearing in which the ap- plicant and all other parties in interest shall be permitted to participate but in which both the burden of proceeding with the introduction of evidence upon any issue specified by the Commission,
as well as the burden of proof upon all such issues, shall be upon the applicant except as otherwise provided in the order of designation.
(Sec. 309, 48 Stat. 1085, as amended; 47 U.S.C. 309)
§ 1.255 Order of procedure.
(a) At hearings on a formal com- plaint or petition or in a proceeding for any instrument of authorization which the Commission is empowered to issue, the complainant, petitioner, or appli- cant, as the case may be, shall, unless the Commission otherwise orders, open and close. At hearings on protests, the protestant opens and closes the pro- ceedings in case the issues are not spe- cifically adopted by the Commission; otherwise the grantee does so. At hear- ings on orders to show cause, to cease and desist, to revoke or modify a sta- tion license under sections 312 and 316 of the Communications Act, or other like proceedings instituted by the Commission, the Commission shall open and close.
(b) At all hearings under Title II of the Communications Act, other than hearings on formal complaints, peti- tions, or applications, the respondent shall open and close unless otherwise specified by the Commission.
(c) In all other cases, the Commission or presiding officer shall designate the order of presentation. Intervenors shall follow the party in whose behalf inter- vention is made, and in all cases where the intervention is not in support of an original party, the Commission or pre- siding officer shall designate at what stage such intervenors shall be heard.
[28 FR 12425, Nov. 22, 1963, as amended at 33 FR 463, Jan. 12, 1968]
§ 1.258 Closing of the hearing.
The record of hearing shall be closed by an announcement to that effect at the hearing by the presiding officer when the taking of testimony has been concluded. In the discretion of the pre- siding officer, the record may be closed as of a future specified date in order to permit the admission into the record of exhibits to be prepared: Provided, The parties to the proceeding stipulate on
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Federal Communications Commission § 1.267
the record that they waive the oppor- tunity to cross-examine or present evi- dence with respect to such exhibits. The record in any hearing which has been adjourned may not be closed by such officer prior to the day on which the hearing is to resume, except upon 10 days’ notice to all parties to the pro- ceeding.
§ 1.260 Certification of transcript. After the close of the hearing, the
complete transcript of testimony, to- gether with all exhibits, shall be cer- tified as to identity by the presiding of- ficer and filed in the Office of the Sec- retary. Notice of such certification shall be served on all parties to the proceedings.
[71 FR 15618, Mar. 29, 2006]
§ 1.261 Corrections to transcript. At any time during the course of the
proceeding, or as directed by the pre- siding officer, but not later than 10 days after the date of notice of certifi- cation of the transcript, any party to the proceeding may file with the pre- siding officer a motion requesting the correction of the transcript, which mo- tion shall be accompanied by proof of service thereof upon all other parties to the proceeding. Within 5 days after the filing of such a motion, other par- ties may file a pleading in support of or in opposition to such motion. There- after, the presiding officer shall, by order, specify the corrections to be made in the transcript, and a copy of the order shall be served upon all par- ties and made a part of the record. The presiding officer, on his own initiative, may specify corrections to be made in the transcript on 5 days’ notice.
[40 FR 51441, Nov. 5, 1975]
§ 1.263 Proposed findings and conclu- sions.
(a) Each party to the proceeding may file proposed findings of fact and con- clusions, briefs, or memoranda of law: Provided, however, That the presiding officer may direct any party other than Commission counsel to file proposed findings of fact and conclusions, briefs, or memoranda of law. Such proposed findings of fact, conclusions, briefs, and memoranda of law shall be filed within
20 days after the record is closed, un- less additional time is allowed.
(b) All pleadings and other papers filed pursuant to this section shall be accompanied by proof of service there- of upon all other counsel in the pro- ceeding; if a party is not represented by counsel, proof of service upon such party shall be made.
(c) In the absence of a showing of good cause therefor, the failure to file proposed findings of fact, conclusions, briefs, or memoranda of law, when di- rected to do so, may be deemed a waiv- er of the right to participate further in the proceeding.
(5 U.S.C. 557)
§ 1.264 Contents of findings of fact and conclusions.
Proposed findings of fact shall be set forth in serially numbered paragraphs and shall set out in detail and with particularity all basic evidentiary facts developed on the record (with ap- propriate citations to the transcript of record or exhibit relied on for each evi- dentiary fact) supporting the conclu- sions proposed by the party filing same. Proposed conclusions shall be separately stated. Proposed findings of fact and conclusions submitted by a person other than an applicant may be limited to those issues in connection with the hearing which affect the in- terests of such person.
(5 U.S.C. 557)
§ 1.267 Initial and recommended deci- sions.
(a) Except as provided in this para- graph, in §§ 1.94, 1.251 and 1.274, or where the proceeding is terminated on motion (see § 1.302), the presiding offi- cer shall prepare an initial (or rec- ommended) decision, which shall be transmitted to the Secretary of the Commission. In the case of rate mak- ing proceedings conducted under sec- tions 201–205 of the Communications Act, the presumption shall be that the presiding officer shall prepare an ini- tial or recommended decision. The Sec- retary will make the decision public immediately and file it in the docket of the case.
(b) Each initial and recommended de- cision shall contain findings of fact and
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47 CFR Ch. I (10–1–10 Edition)§ 1.271
conclusions, as well as the reasons or basis therefor, upon all the material issues of fact, law, or discretion pre- sented on the record; each initial deci- sion shall also contain the appropriate rule or order, and the sanction, relief or denial thereof; and each rec- ommended decision shall contain rec- ommendations as to what disposition of the case should be made by the Com- mission. Each initial decision will show the date upon which it will be- come effective in accordance with the rules in this part in the absence of ex- ceptions, appeal, or review.
(c) The authority of the Presiding Of- ficer over the proceedings shall cease when he has filed his Initial or Rec- ommended Decision, or if it is a case in which he is to file no decision, when he has certified the case for decision: Pro- vided, however, That he shall retain limited jurisdiction over the pro- ceeding for the purpose of effecting cer- tification of the transcript and correc- tions to the transcript, as provided in §§ 1.260 and 1.261, respectively, and for the purpose of ruling initially on appli- cations for awards of fees and expenses under the Equal Access to Justice Act.
(Sec. 409, 48 Stat. 1096, as amended; 47 U.S.C. 409, 5 U.S.C. 557; secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083: 47 U.S.C. 154, 303, 307)
[28 FR 12425, Nov. 22, 1963, as amended at 41 FR 14873, Apr. 8, 1976; 47 FR 3786, Jan. 27, 1982]
REVIEW PROCEEDINGS
§ 1.271 Delegation of review function.
The Commission may direct, by order or rule, that its review function in a case or category of cases be performed by a commissioner, or a panel of com- missioners, in which event the commis- sioner or panel shall exercise the au- thority and perform the functions which would otherwise have been per- formed by the Commission under §§ 1.273 through 1.282.
NOTE: To provide for an orderly completion of cases, exceptions and related pleadings filed after March 1, 1996, shall be directed to the Commission and will not be acted upon by the Review Board.
[62 FR 4171, Jan. 29, 1997]
§ 1.273 Waiver of initial or rec- ommended decision.
At the conclusion of the hearing or within 20 days thereafter, all parties to the proceeding may agree to waive an initial or recommended decision, and may request that the Commission issue a final decision or order in the case. If the Commission has directed that its review function in the case be per- formed by a commissioner, a panel of commissioners, the request shall be di- rected to the appropriate review au- thority. The Commission or such re- view authority may in its discretion grant the request, in whole or in part, if such action will best conduce to the proper dispatch of business and to the ends of justice.
[28 FR 12425, Nov. 22, 1963, as amended at 62 FR 4171, Jan. 29, 1997]
§ 1.274 Certification of the record to the Commission for initial or final decision.
(a) Where the presiding officer is available to the Commission, and where the Commission finds upon the record that due and timely execution of its functions imperatively and un- avoidably so requires, the Commission may direct that the record in a pending proceeding be certified to it for initial or final decision. Unless the Commis- sion finds that due and timely execu- tion of its functions imperatively and unavoidably requires that no rec- ommended decision be issued, the pre- siding officer will prepare and file a recommended decision, which will be released with the Commission’s initial or final decision.
(b) Where the presiding officer be- comes unavailable to the Commission after the taking of testimony has been concluded, the Commission may direct that the record in a pending proceeding be certified to it for initial or final de- cision. In that event, the record shall be certified to the Commission by the Chief Administrative Law Judge.
(c)(1) Where the presiding officer be- comes unavailable to the Commission after the taking of evidence has com- menced but before it has been con- cluded, the Commission may order a rehearing before another presiding offi- cer designated in accordance with § 1.241.
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Federal Communications Commission § 1.276
(2) Upon a finding that due and time- ly execution of its functions impera- tively and unavoidably so requires, the Commission may (as an alternative) order that the hearing be continued by another presiding officer designated in accordance with § 1.241 or by the Com- mission itself. In that event, the officer continuing the hearing shall, upon completion of the hearing, certify the proceeding to the Commission for an initial or final decision. Unless the Commission finds upon the record that due and timely execution of its func- tions imperatively and unavoidably re- quires that no recommended decision be issued, the officer continuing the hearing shall prepare and file a rec- ommended decision to be released with the Commission’s initial or final deci- sion. If all the parties expressly con- sent, and if the Commission does not order otherwise, the officer continuing the hearing may prepare an initial de- cision.
(Sec. 409, 48 Stat. 1096, as amended; 47 U.S.C. 409)
§ 1.276 Appeal and review of initial de- cision.
(a)(1) Within 30 days after the date on which public release of the full text of an initial decision is made, or such other time as the Commission may specify, any of the parties may appeal to the Commission by filing exceptions to the initial decision, and such deci- sion shall not become effective and shall then be reviewed by the Commis- sion, whether or not such exceptions may thereafter be withdrawn. It is the Commission’s policy that extensions of time for filing exceptions shall not be routinely granted.
(2) Exceptions shall be consolidated with the argument in a supporting brief and shall not be submitted sepa- rately. As used in this subpart, the term exceptions means the document consolidating the exceptions and sup- porting brief. The brief shall contain (i) a table of contents, (ii) a table of cita- tions, (iii) a concise statement of the case, (iv) a statement of the questions of law presented, and (v) the argument, presenting clearly the points of fact and law relied upon in support of the position taken on each question, with
specific reference to the record and all legal or other materials relied on.
(b) The Commission may on its own initiative provide, by order adopted not later than 20 days after the time for fil- ing exceptions expires, that an initial decision shall not become final, and that it shall be further reviewed or considered by the Commission.
(c) In any case in which an initial de- cision is subject to review in accord- ance with paragraph (a) or (b) of this section, the Commission may, on its own initiative or upon appropriate re- quests by a party, take any one or more of the following actions:
(1) Hear oral argument on the excep- tions;
(2) Require the filing of briefs; (3) Prior to or after oral argument or
the filing of exceptions or briefs, re- open the record and/or remand the pro- ceedings to the presiding officer to take further testimony or evidence;
(4) Prior to or after oral argument or the filing of exceptions or briefs, re- mand the proceedings to the presiding officer to make further findings or con- clusions; and
(5) Prior to or after oral argument or the filing of exceptions or briefs, issue, or cause to be issued by the presiding officer, a supplemental initial decision.
(d) No initial decision shall become effective before 50 days after public re- lease of the full text thereof is made unless otherwise ordered by the Com- mission. The timely filing of excep- tions, the further review or consider- ation of an initial decision on the Com- mission’s initiative, or the taking of action by the Commission under para- graph (c) of this section shall stay the effectiveness of the initial decision until the Commission’s review thereof has been completed. If the effective date of an initial decision falls within any further time allowed for the filing of exceptions, it shall be postponed automatically until 30 days after time for filing exceptions has expired.
(e) If no exceptions are filed, and the Commission has not ordered the review of an initial decision on its initiative, or has not taken action under para- graph (c) of this section, the initial de- cision shall become effective, an appro- priate notation to that effect shall be entered in the docket of the case, and
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47 CFR Ch. I (10–1–10 Edition)§ 1.277
a ‘‘Public Notice’’ thereof shall be given by the Commission. The provi- sions of § 1.108 shall not apply to such public notices.
(f) When any party fails to file excep- tions within the specified time to an initial decision which proposes to deny its application, such party shall be deemed to have no interest in further prosecution of its application, and its application may be dismissed with prejudice for failure to prosecute.
(Sec. 40, 48 Stat. 1096, as amended; 47 U.S.C. 409)
[28 FR 12425, Nov. 22, 1963, as amended at 41 FR 14873, Apr. 8, 1976]
§ 1.277 Exceptions; oral arguments. (a) The consolidated supporting brief
and exceptions to the initial decision (see § 1.276(a)(2)), including rulings upon motions or objections, shall point out with particularity alleged material er- rors in the decision or ruling and shall contain specific references to the page or pages of the transcript of hearing, exhibit or order if any on which the ex- ception is based. Any objection not saved by exception filed pursuant to this section is waived.
(b) Within the period of time allowed in § 1.276(a) for the filing of exceptions, any party may file a brief in support of an initial decision, in whole or in part, which may contain exceptions and which shall be similar in form to the brief in support of exceptions (see § 1.276(a)(2)).
(c) Except by special permission, the consolidated brief and exceptions will not be accepted if the exceptions and argument exceed 25 double-spaced typewritten pages in length. (The table of contents and table of citations are not counted in the 25 page limit; how- ever, all other contents of and attach- ments to the brief are counted.) Within 10 days, or such other time as the Com- mission or delegated authority may specify, after the time for filing excep- tions has expired, any other party may file a reply brief, which shall not ex- ceed 25 double spaced typewritten pages and shall contain a table of con- tents and a table of citations. If excep- tions have been filed, any party may request oral argument not later than five days after the time for filing re- plies to the exceptions has expired. The
Commission or delegated authority, in its discretion, will grant oral argument by order only in cases where such oral presentations will assist in the resolu- tion of the issues presented. Within five days after release of an order des- ignating an initial decision for oral ar- gument, as provided in paragraph (d) of this section, any party who wishes to participate in oral argument shall file a written notice of intention to appear and participate in oral argument. Fail- ure to file a written notice shall con- stitute a waiver of the opportunity to participate.
(d) Each order scheduling a case for oral argument will contain the allot- ment of time for each party for oral ar- gument before the Commission. The Commission will grant, in its discre- tion, upon good cause shown, an exten- sion of such time upon petition by a party, which petition must be filed within 5 days after issuance of said order for oral argument.
(e) Within 10 days after a transcript of oral argument has been filed in the Office of the Secretary, any party who participated in the oral argument may file with the Commission a motion re- questing correction of the transcript, which motion shall be accompanied by proof of service thereof upon all other parties who participated in the oral ar- gument. Within 5 days after the filing of such a motion, other parties may file a pleading in support of or in oppo- sition to such motion. Thereafter, the officer who presided at the oral argu- ment shall, by order, specify the cor- rections to be made in the transcript, and a copy of the order shall be served upon all parties to the proceeding. The officer who presided at the oral argu- ment may, on his own initiative, by order, specify corrections to be made in the transcript on 5 days notice of the proposed corrections to all parties who participated in the oral argument.
(f) Any commissioner who is not present at oral argument and who is otherwise authorized to participate in a final decision may participate in
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Federal Communications Commission § 1.294
making that decision after reading the transcript of oral argument.
(Sec. 409, 48 Stat. 1096, as amended; 47 U.S.C. 409)
[28 FR 12425, Nov. 22, 1963, as amended at 41 FR 14873, Apr. 8, 1976; 41 FR 34259, Aug. 13, 1976; 44 FR 12426, Mar. 7, 1979; 56 FR 793, Jan. 9, 1991; 62 FR 4171, Jan. 29, 1997; 71 FR 15618, Mar. 29, 2006]
§ 1.279 Limitation of matters to be re- viewed.
Upon review of any initial decision, the Commission may, in its discretion, limit the issues to be reviewed to those findings and conclusions to which ex- ceptions have been filed, or to those findings and conclusions specified in the Commission’s order of review issued pursuant to § 1.276(b).
§ 1.282 Final decision of the Commis- sion.
(a) After opportunity has been af- forded for the filing of proposed find- ings of fact and conclusions, excep- tions, supporting statements, briefs, and for the holding of oral argument as provided in this subpart, the Commis- sion will issue a final decision in each case in which an initial decision has not become final.
(b) The final decision shall contain: (1) Findings of fact and conclusions,
as well as the reasons or basis therefor, upon all the material issues of fact, law or discretion presented on the record;
(2) Rulings on each relevant and ma- terial exception filed; the Commission will deny irrelevant exceptions, or those which are not of decisional sig- nificance, without a specific statement of reasons prescribed by paragraph (b)(1) of this section; and
(3) The appropriate rule or oder and the sanction, relief or denial thereof.
(Sec. 8(b), 60 Stat. 2422; 5 U.S.C. 1007(b))
[28 FR 12425, Nov. 22, 1963, as amended at 41 FR 14873, Apr. 8, 1976]
INTERLOCUTORY ACTIONS IN HEARING PROCEEDINGS
§ 1.291 General provisions. (a)(1) The Commission acts on peti-
tions to amend, modify, enlarge or de- lete the issues in hearing proceedings which involve rule making matters ex-
clusively. It also acts on interlocutory pleadings filed in matters or pro- ceedings which are before the Commis- sion.
(2) The Chief Administrative Law Judge acts on those interlocutory mat- ters listed in § 0.351 of this chapter.
(3) All other interlocutory matters in hearing proceedings are acted on by the presiding officer. See §§ 0.218 and 0.341 of this chapter.
(4) Each interlocutory pleading shall indicate in its caption whether the pleading is to be acted upon by the Commission, the Chief Administrative Law Judge, or the presiding officer. If the pleading is to be acted upon by the presiding officer, he shall be identified by name.
(b) All interlocutory pleadings shall be submitted in accordance with the provisions of §§ 1.4, 1.44, 1.47, 1.48, 1.49, and 1.52.
(c)(1) Procedural rules governing in- terlocutory pleadings are set forth in §§ 1.294–1.298.
(2) Rules governing appeal from, and reconsideration of, interlocutory rul- ings made by the presiding officer are set forth in §§ 1.301 and 1.303.
(3) Rules governing the review of in- terlocutory rulings made by the Chief Administrative Law Judge are set forth in §§ 1.101, 1.102(b), 1.115, and 1.117. Petitions requesting reconsideration of an interlocutory ruling made by the Commission, or the Chief Administra- tive Law Judge will not be entertained. See, however, § 1.113.
(d) No initial decision shall become effective under § 1.276(e) until all inter- locutory matters pending before the Commission in the proceeding at the time the initial decision is issued have been disposed of and the time allowed for appeal from interlocutory rulings of the presiding officer has expired.
(Secs. 4(i), 303(r) and 5(c)(1) of the Commu- nications Act of 1934, as amended; 47 CFR 0.61 and 0.283)
[29 FR 6443, May 16, 1964, as amended at 29 FR 12773, Sept. 10, 1964; 37 FR 19372, Sept. 20, 1972; 41 FR 14873, Apr. 8, 1976; 49 FR 4381, Feb. 6, 1984; 62 FR 4171, Jan. 29, 1997]
§ 1.294 Oppositions and replies. (a) Any party to a hearing may file
an opposition to an interlocutory re- quest filed in that proceeding.
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47 CFR Ch. I (10–1–10 Edition)§ 1.296
(b) Except as provided in paragraph (c) of this section, oppositions shall be filed within 4 days after the original pleading is filed, and replies to opposi- tions will not be entertained. See, how- ever, § 1.732.
(c) Oppositions to pleadings in the following categories shall be filed with- in 10 days after the pleading is filed. Replies to such oppositions shall be filed within 5 days after the opposition is filed, and shall be limited to matters raised in the opposition.
(1) Petitions to amend, modify, en- large, or delete the issues upon which the hearing was ordered.
(2) [Reserved] (3) Petitions by adverse parties re-
questing dismissal of an application. (4) Joint requests for approval of
agreements filed pursuant to § 1.525. (d) Additional pleadings may be filed
only if specifically requested or au- thorized by the person(s) who is to make the ruling.
[29 FR 6444, May 16, 1964, as amended at 39 FR 10909, Mar. 22, 1974]
§ 1.296 Service. No pleading filed pursuant to § 1.51 or
§ 1.294 will be considered unless it is ac- companied by proof of service upon the parties to the proceeding.
(Secs. 4(i), 303(r) and 5(c)(1) of the Commu- nications Act of 1934, as amended; 47 CFR 0.61 and 0.283)
[49 FR 4381, Feb. 6, 1984, as amended at 62 FR 4171, Jan. 29, 1997]
§ 1.297 Oral argument. Oral argument with respect to any
contested interlocutory matter will be held when, in the opinion of the per- son(s) who is to make the ruling, the ends of justice will be best served thereby. Timely notice will be given of the date, time, and place of any such oral argument.
[29 FR 6444, May 16, 1964]
§ 1.298 Rulings; time for action. (a) Unless it is found that irreparable
injury would thereby be caused one of the parties, or that the public interest requires otherwise, or unless all parties have consented to the contrary, consid- eration of interlocutory requests will be withheld until the time for filing op-
positions (and replies, if replies are al- lowed) has expired. As a matter of dis- cretion, however, requests for continu- ances and extensions of time, requests for permission to file pleadings in ex- cess of the length prescribed in this chapter, and requests for temporary re- lief may be ruled upon ex parte without waiting for the filing of responsive pleadings.
(b) In the discretion of the presiding officer, rulings on interlocutory mat- ters may be made orally at the hear- ing. The presiding officer may, in his discretion, state his reasons on the record or subsequently issue a written statement of the reasons for his ruling, either separately or as part of the ini- tial decision.
[28 FR 12425, Nov. 22, 1963, as amended at 29 FR 6444, May 16, 1964; 41 FR 14874, Apr. 8, 1976]
APPEAL AND RECONSIDERATION OF PRESIDING OFFICER’S RULING
§ 1.301 Appeal from presiding officer’s interlocutory ruling; effective date of ruling.
(a) Interlocutory rulings which are ap- pealable as a matter of right. Rulings listed in this paragraph are appealable as a matter of right. An appeal from such a ruling may not be deferred and raised as an exception to the initial de- cision.
(1) If the presiding officer’s ruling de- nies or terminates the right of any per- son to participate as a party to a hear- ing proceeding, such person, as a mat- ter of right, may file an appeal from that ruling.
(2) If the presiding officer’s ruling re- quires testimony or the production of documents, over objection based on a claim of privilege, the ruling on the claim of privilege is appealable as a matter of right.
(3) If the presiding officer’s ruling de- nies a motion to disqualify the pre- siding judge, the ruling is appealable as a matter of right.
(4) Rulings granting a joint request filed under § 1.525 without terminating the proceeding are appealable by any party as a matter of right.
(5) A ruling removing counsel from the hearing is appealable as a matter of right, by counsel on his own behalf or
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Federal Communications Commission § 1.302
by his client. (In the event of such rul- ing, the presiding officer will adjourn the hearing for such period as is rea- sonably necessary for the client to se- cure new counsel and for counsel to fa- miliarize himself with the case).
(b) Other interlocutory rulings. Except as provided in paragraph (a) of this sec- tion, appeals from interlocutory rul- ings of the presiding officer shall be filed only if allowed by the presiding officer. Any party desiring to file an appeal shall first file a request for per- mission to file appeal. The request shall be filed within 5 days after the order is released or (if no written order) after the ruling is made. Plead- ings responsive to the request shall be filed only if they are requested by the presiding officer. The request shall contain a showing that the appeal pre- sents a new or novel question of law or policy and that the ruling is such that error would be likely to require remand should the appeal be deferred and raised as an exception. The presiding officer shall determine whether the showing is such as to justify an inter- locutory appeal and, in accordance with his determination, will either allow or disallow the appeal or modify the ruling. If the presiding officer al- lows or disallows the appeal, his ruling is final: Provided, however, That the Commission may, on its own motion, dismiss an appeal allowed by the pre- siding officer on the ground that objec- tion to the ruling should be deferred and raised as an exception. In the dis- cretion of the presiding officer, the re- quest for permission to file appeal may be made orally, on the record of the proceeding. The request may be dis- posed of orally.
(1) If an appeal is not allowed, or is dismissed by the Commission, or if per- mission to file an appeal is not re- quested, objection to the ruling may be raised on review of the initial decision.
(2) If an appeal is allowed and is con- sidered on its merits, the disposition on appeal is final. Objection to the rul- ing or to the action on appeal may not be raised on review of the initial deci- sion.
(3) If the presiding officer modifies the ruling, any party adversely af- fected by the modified ruling may file a request for permission to file appeal,
pursuant to the provisions of this para- graph.
(c) Procedures, effective date. (1) Un- less the presiding officer orders other- wise, rulings made by him shall be ef- fective when the order is released or (if no written order) when the ruling is made. The Commission may stay the effect of any ruling which comes before it for consideration on appeal.
(2) Appeals filed under paragraph (a) of this section shall be filed within 5 days after the order is released or (if no written order) after the ruling is made. Appeals filed under paragraph (b) of this section shall be filed within 5 days after the appeal is allowed.
(3) The appeal shall conform with the specifications set out in § 1.49 and shall be subscribed and verified as provided in § 1.52.
(4) The appeal shall be served on par- ties to the proceeding (see §§ 1.47 and 1.211), and shall be filed with the Sec- retary, Federal Communications Com- mission, Washington, D.C. 20554.
(5) The appeal shall not exceed 5 dou- ble-spaced typewritten pages.
(6) Appeals are acted on by the Com- mission.
(7) Oppositions and replies shall be served and filed in the same manner as appeals and shall be served on appel- lant if he is not a party to the pro- ceeding. Oppositions shall be filed within 5 days after the appeal is filed. Replies shall not be permitted, unless the Commission specifically requests them. Oppositions shall not exceed 5 double-spaced typewritten pages. Re- plies shall not exceed 5 double-spaced typewritten pages.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[35 FR 17333, Nov. 11, 1970, as amended at 40 FR 39509, Aug. 28, 1975; 41 FR 14874, Apr. 8, 1976; 41 FR 28789, July 13, 1976; 46 FR 58682, Dec. 3, 1981; 55 FR 36641, Sept. 6, 1990; 62 FR 4171, Jan. 29, 1997]
§ 1.302 Appeal from presiding officer’s final ruling; effective date of ruling.
(a) If the presiding officer’s ruling terminates a hearing proceeding, any party to the proceeding, as a matter of right, may file an appeal from that rul- ing within 30 days after the ruling is released.
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47 CFR Ch. I (10–1–10 Edition)§ 1.311
(b) Any party who desires to preserve the right to appeal shall file a notice of appeal within 10 days after the ruling is released. If a notice of appeal is not filed within 10 days, the ruling shall be effective 30 days after the ruling is re- leased and within this period, may be reviewed by the Commission on its own motion. If an appeal is not filed fol- lowing notice of appeal, the ruling shall be effective 50 days after the day of its release and, within this period, may be reviewed by the Commission on its own motion. If an appeal is filed, or if the Commission reviews the ruling on its own motion, the effect of the rul- ing is further stayed pending the com- pletion of proceedings on appeal or re- view.
(c) The appeal shall conform with the specifications set out in § 1.49 and shall be subscribed and verified as provided in § 1.52.
(d) The appeal shall be served on par- ties to the proceeding (see §§ 1.47 and 1.211), and shall be filed with the Sec- retary, Federal Communications Com- mission, Washington, D.C. 20554.
(e) The appeal shall not exceed 25 double-spaced typewritten pages.
(f) The Commission will act on the appeal.
(g) Oppositions and replies shall be filed and served in the same manner as the appeal. Oppositions to an appeal shall be filed within 15 days after the appeal is filed. Replies to oppositions shall be filed within 10 days after the opposition is filed and shall be limited to matters raised in the oppositions. Oppositions shall not exceed 25 double- spaced typewritten pages. Replies shall not exceed 10 double-spaced type- written pages.
[35 FR 17333, Nov. 11, 1970, as amended at 36 FR 7423, Apr. 20, 1971; 62 FR 4171, Jan. 29, 1997]
THE DISCOVERY AND PRESERVATION OF EVIDENCE
AUTHORITY: Sections 1.311 through 1.325 are issued under secs. 4, 303, 409, 48 Stat., as amended, 1066, 1082, 1096; 47 U.S.C. 154, 303, 409, 5 U.S.C. 552.
§ 1.311 General. Sections 1.311 through 1.325 provide
for taking the deposition of any person
(including a party), for interrogatories to parties, and for orders to parties re- lating to the production of documents and things and for entry upon real property. These procedures may be used for the discovery of relevant facts, for the production and preservation of evidence for use at the hearing, or for both purposes.
(a) Applicability. For purposes of dis- covery, these proecdures may be used in any case of adjudication (as defined in the Administrative Procedure Act) which has been designated for hearing. For the preservation of evidence, they may be used in any case which has been designated for hearing and is con- ducted under the provisions of this sub- part (see § 1.201).
(b) Scope of examination. Persons and parties may be examined regarding any matter, not privileged, which is rel- evant to the hearing issues, including the existence, description, nature, cus- tody, condition and location of any books, documents, or other tangible things and the identity and location of persons having knowledge of relevant facts. It is not ground for objection to use of these procedures that the testi- mony will be inadmissible at the hear- ing if the testimony sought appears reasonably calculated to lead to the discovery of admissible evidence. The use of these procedures against the Commission is subject to the following additional limitations:
(1) The informer’s privilege shall en- compass information which may lead to the disclosure of an informer’s iden- tity.
(2) Commission personnel may not be questioned by deposition for the pur- poses of discovery except on special order of the Commission, but may be questioned by written interrogatories under § 1.323. Interrogatories shall be served on the appropriate Bureau Chief (see § 1.21(b)). They will be answered and signed by those personnel with knowledge of the facts. The answers will be served by the Secretary of the Commission upon parties to the pro- ceeding.
(3) Commission records are not sub- ject to discovery under § 1.325. The in- spection of Commission records is gov- erned by the Freedom of Information Act, as amended, and by §§ 0.451
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Federal Communications Commission § 1.313
through 0.467 of this chapter. Commis- sion employees may be questioned by written interrogatories regarding the existence, nature, description, custody, condition and location of Commission records, but may not be questioned concerning their contents unless the records are available (or are made available) for inspection under §§ 0.451 through 0.467. See § 0.451(b)(5) of this chapter.
(4) Subject to paragraphs (b) (1) through (3) of this section, Commission personnel may be questioned generally by written interrogatories regarding the existence, description, nature, cus- tody, condition and location of rel- evant documents and things and re- garding the identity and location of persons having knowledge of relevant facts, and may otherwise only be exam- ined regarding facts of the case as to which they have direct personal knowl- edge.
(c) Schedule for use of the procedures. (1) In comparative broadcast pro- ceedings involving applicants for only new facilities, discovery commences with the release of the hearing designa- tion order, and, in routine cases, the discovery phase of the proceeding will be conducted in a manner intended to conclude that portion of the case with- in 90 days of the release of the designa- tion order.
(2) In all other proceedings, except as provided by special order of the pre- siding officer, discovery may be initi- ated before or after the prehearing con- ference provided for in § 1.248 of this part.
(3) In all proceedings, the presiding officer may at any time order the par- ties or their attorneys to appear at a conference to consider the proper use of these procedures, the time to be al- lowed for such use, and/or to hear agrument and render a ruling on dis- putes that arise under these rules.
(d) Who shall act. Actions provided for in §§ 1.311 through 1.325 will, in most cases, be taken by the officer des- ignated to preside at the hearing (see § 1.241). If the proceeding, or a par- ticular matter to which the action re- lates, is before the Commission, a com- missioner or panel of commissioners, or the Chief Administrative Law Judge, the action will be taken by such
officer or body. The term presiding offi- cer, as used in §§ 1.311 through 1.325 shall be understood to refer to the ap- propriate officer or body. See §§ 0.341, 0.351, 0.365, and 1.271 of this chapter.
(e) Stipulations regarding the taking of depositions. If all of the parties so stipu- late in writing and if there is no inter- ference to the conduct of the pro- ceeding, depositions may be taken be- fore any person, at any time (subject to the limitation below) or place, upon any notice and in any manner, and when so taken may be used like other depositions. An original and one copy of the stipulation shall be filed with the Secretary of the Commission, and a copy of the stipulation shall be served on the presiding officer, at least 3 days before the scheduled taking of the dep- osition.
[33 FR 463, Jan. 12, 1968, as amended at 40 FR 39509, Aug. 28, 1975; 47 FR 51873, Nov. 18, 1982; 56 FR 794, Jan. 9, 1991; 62 FR 4171, Jan. 29, 1997]
§ 1.313 Protective orders. The use of the procedures set forth in
§§ 1.311 through 1.325 of this part is sub- ject to control by the presiding officer, who may issue any order consistent with the provisions of those sections which is appropriate and just for the purpose of protecting parties and depo- nents or of providing for the proper conduct of the proceeding. Whenever doing so would be conducive to the effi- cient and expeditious conduct of the proceeding, the presiding officer may convene a conference to hear argument and issue a ruling on any disputes that may arise under these rules. The rul- ing, whether written or delivered on the record at a conference, may specify any measures, including the following to assure proper conduct of the pro- ceeding or to protect any party or de- ponent from annoyance, expense, embarassment or oppression:
(a) That depositions shall not be taken or that interrogatories shall not be answered.
(b) That certain matters shall not be inquired into.
(c) That the scope of the examination or interrogatories shall be limited to certain matters.
(d) That depositions may be taken only at some designated time or place,
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47 CFR Ch. I (10–1–10 Edition)§ 1.315
or before an officer, other than that stated in the notice.
(e) That depositions may be taken only by written interrogatories or only upon oral examination.
(f) That, after being sealed, the depo- sition shall be opened only by order of the presiding officer.
[33 FR 463, Jan. 12, 1968, as amended at 56 FR 794, Jan. 9, 1991]
§ 1.315 Depositions upon oral examina- tion—notice and preliminary proce- dure.
(a) Notice. A party to a hearing pro- ceeding desiring to take the deposition of any person upon oral examination shall give a minimum of 21 days notice in writing to every other party, to the person to be examined, and to the pre- siding officer. An original and three copies of the notice shall be filed with the Secretary of the Commission. Re- lated pleadings shall be served and filed in the same manner. The notice shall contain the following informa- tion:
(1) The name and address of each per- son to be examined, if known, and if the name is not known, a general de- scription sufficient to identify him or the particular class or group to which he belongs.
(2) The time and place for taking the deposition of each person to be exam- ined, and the name or descriptive title and address of the officer before whom the deposition is to be taken.
(3) The matters upon which each per- son will be examined. See § 1.319.
(b) Responsive pleadings. (1) Within 7 days after service of the notice to take depositions, a motion opposing the tak- ing of depositions may be filed by any party to the proceeding or by the per- son to be examined. See § 1.319(a).
(2) Within 14 days after service of the notice to take depositions, a response to the opposition motion may be filed by any party to the proceeding.
(3) Additional pleadings should not be filed and will not be considered.
(4) The computation of time provi- sions set forth in § 1.4(g) shall not apply to pleadings filed under the provisions of this paragraph.
(c) Protective order. On an opposition motion filed under paragraph (b) of this section, or on his own motion, the pre-
siding officer may issue a protective order. See § 1.313. A protective order issued by the presiding officer on his own motion may be issued at any time prior to the date specified in the notice for the taking of depositions.
(d) Authority to take depositions. (1) If an opposition motion is not filed with- in 7 days after service of the notice to take depositions, and if the presiding officer does not on his own motion issue a protective order prior to the time specified in the notice for the tak- ing of depositions, the depositions de- scribed in the notice may be taken. An order for the taking of depositions is not required.
(2) If an opposition motion is filed, the depositions described in the notice shall not be taken until the presiding officer has acted on that motion. If the presiding officer authorizes the taking of depositions, he may specify a time, place or officer for taking them dif- ferent from that specified in the notice to take depositions.
(3) If the presiding officer issues a protective order, the depositions de- scribed in the notice may be taken (if at all) only in accordance with the pro- visions of that order.
(e) Broadcast comparative proceedings involving applicants for only new facili- ties. In these cases, the 21-day advance notice provision of paragraph (a) of this section shall be inapplicable to depositions of active and passive own- ers of applicants in the proceeding. All applicants in such proceedings should be prepared to make their active and passive owners available for deposi- tions during the period commencing with the deadline for filing notices of appearance and ending 90 days after the release of the designation order, if such depositions are requested by a party to the proceeding. All such depo- sitions will be conducted in Wash- ington, DC or in the community of li- cense of the proposed station, at the deponent’s option, unless all parties agree to some other location.
[33 FR 10571, July 25, 1968, as amended at 56 FR 794, Jan. 9, 1991]
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Federal Communications Commission § 1.318
§ 1.316 Depositions upon written inter- rogatories—notice and preliminary procedure.
(a) Service of interrogatories; notice. A party to the hearing proceeding desir- ing to take the deposition of any per- son upon written interrogatories shall serve the interrogatories upon every other party and shall give a minimum of 35 days notice in writing to every other party and to the person to be ex- amined. An original and three copies of the interrogatories and the notice (and of all related pleadings) shall be filed with the Secretary of the Commission. A copy of the interrogatories and the notice (and of all related pleadings) shall be served on the presiding officer. The notice shall contain the following information:
(1) The name and address of each per- son to be examined, if known, and if the name is not known, a general de- scription sufficient to identify him or the particular class or group to which he belongs.
(2) The time and place for taking the deposition of each person to be exam- ined, and the name or descriptive title and address of the officer before whom the deposition is to be taken.
(3) The matters upon which each per- son will be examined. See § 1.319.
(b) Additional interrogatories. Within 7 days after the filing and service of the original interrogatories, any other party to the proceeding may, in the same manner, file and serve additional interrogatories to be asked of the same witness at the same time and place, with notice to the witness of any addi- tional matters upon which he will be examined.
(c) Cross interrogatories. Within 14 days after the filing and service of the original interrogatories, any party to the proceeding may, in the same man- ner, file and serve cross interrog- atories, which shall be limited to mat- ters raised in the original or in the ad- ditional interrogatories.
(d) Responsive pleadings. (1) Within 21 days after service of the original inter- rogatories, any party to the proceeding may move to limit or suppress any original, additional or cross interrog- atory, and the person to be examined may file a motion opposing the taking of depositions. See § 1.319(a).
(2) Within 28 days after service of the original interrogatories, a response to a motion to limit or suppress any in- terrogatory or to a motion opposing the taking of depositions may be filed by any party to the proceeding.
(3) Additional pleadings should not be filed and will not be considered.
(e) Protective order. On a motion to limit or suppress or an opposition mo- tion filed under paragraph (d) of this section, or on his own motion, the pre- siding officer may issue a protective order. See § 1.313. A protective order issued by the presiding officer on his own motion may be issued at any time prior to the date specified in the notice for the taking of depositions.
(f) Authority to take depositions. (1) If an opposition motion is not filed with- in 21 days after service of the notice to take depositions, and if the presiding officer does not on his own motion issue a protective order prior to the time specified in the notice for the tak- ing of depositions, the depositions de- scribed in the notice may be taken. An order for the taking of depositions is not required.
(2) If an opposition motion is filed, the depositions described in the notice shall not be taken until the presiding officer has acted on that motion. If the presiding officer authorizes the taking of depositions, he may specify a time, place or officer for taking them dif- ferent from that specified in the notice to take depositions.
(3) If the presiding officer issues a protective order, the depositions de- scribed in the notice may be taken (if at all) only in accordance with the pro- visions of that order.
NOTE: The computation of time provisions of § 1.4(g) shall not apply to interrogatories and pleadings filed under the provisions of this section.
[33 FR 10571, July 25, 1968]
§ 1.318 The taking of depositions. (a) Persons before whom depositions
may be taken. Depositions shall be taken before any judge of any court of the United States; any U.S. Commis- sioner; any clerk of a district court; any chancellor, justice or judge of a su- preme or superior court; the mayor or chief magistrate of a city; any judge of a county court, or court of common
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47 CFR Ch. I (10–1–10 Edition)§ 1.319
pleas of any of the United States; any notary public, not being of counsel or attorney to any party, nor interested in the event of the proceeding; or pre- siding officers, as provided in § 1.243.
(b) Attendance of witnesses. The at- tendance of witnesses at the taking of depositions may be compelled by the use of subpena as provided in §§ 1.331 through 1.340.
(c) Oath; transcript. The officer before whom the deposition is to be taken shall administer an oath or affirmation to the witness and shall personally, or by someone acting under his direction and in his presence record the testi- mony of the witness. The testimony may be taken stenographically or, upon approval by the presiding officer, testimony may be taken through the use of telephonically or electronically recorded methods, including videotape. In the event these latter methods are used for the deposition, the parties may agree to the waiver of the provi- sions of paragraphs (e) and (f) as appro- priate and as approved by the presiding officer.
(d) Examination. (1) In the taking of depositions upon oral examination, the parties may proceed with examination and cross-examination of deponents as permitted at the hearing. In lieu of participating in the oral examination, parties served with the notice to take depositions may transmit written in- terrogatories to the officer designated in the notice, who shall propound them to the witness and record the answers verbatim.
(2) In the taking of depositions upon written interrogatories, the party who served the original interrogatories shall transmit copies of all interrog- atories to the officer designated in the notice, who shall propound them to the witness and record the answers ver- batim.
(e) Submission of deposition to witness; changes; signing. When the testimony is fully transcribed, the deposition of each witness shall be submitted to him for examination and shall be read to or by him, unless such examination and reading are waiver by the witness and by the parties. Any changes in form or substance which the witness desires to make shall be entered upon the deposi- tion by the officer with a statement of
the reasons given by the witness for making them. The deposition shall then be signed by the witness, unless the parties by stipulation waive the signing, or the witness is ill, cannot be found, or refuses to sign. If the deposi- tion is not signed by the witness, the officer shall sign it and state on the record the fact of the waiver, the ill- ness or absence of the witness, or of his refusal to sign, together with the rea- son (if any) given therefor; and the dep- osition may then be used as fully as though signed, unless upon a motion to suppress, the presiding officer holds that the reason given for the refusal to sign requires rejection of the deposi- tion in whole or in part.
(f) Certification of deposition and filing by officer; copies. The officer shall cer- tify on the deposition that the witness was duly sworn by him, that the depo- sition is a true record of the testimony given by the witness, and that said offi- cer is not of counsel or attorney to ei- ther of the parties, nor interested in the event of the proceeding or inves- tigation. He shall then securely seal the deposition in an envelope endorsed with the title of the action and marked ‘‘Deposition of (here insert name of witness)’’ and shall promptly send the original and two copies of the deposi- tion and of all exhibits, together with the notice and any interrogatories re- ceived by him, by certified mail to the Secretary of the Commission.
[33 FR 463, Jan. 12, 1968, as amended at 47 FR 51873, Nov. 18, 1982]
§ 1.319 Objections to the taking of depositions.
(a) Objections to be made by motion prior to the taking of depositions. If there is objection to the substance of any in- terrogatory or to examination on any matter clearly covered by the notice to take depositions, the objection shall be made in a motion opposing the taking of depositions or in a motion to limit or suppress the interrogatory as pro- vided in §§ 1.315(b) and 1.316(d) and shall not be made at the taking of the depo- sition.
(b) Objections to be made at the taking of depositions. Errors and irregularities occurring at the oral examination in the manner of taking the deposition, in the form of the questions or answers,
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in the oath or affirmation, or in the conduct of parties, and errors of any kind which might be obviated, re- moved, or cured if promptly presented, are waived unless reasonable objection thereto is made at the taking of the deposition. If such objection is made, counsel shall, if possible, agree upon the measures required to obviate, re- move, or cure such errors. The meas- ures agreed upon shall be taken. If agreement cannot be reached, the ob- jection shall be noted on the deposition by the officer taking it, and the testi- mony objected to shall be taken sub- ject to the objection.
(c) Additional objections which may be made at the taking of depositions. Objec- tion may be made at the taking of depositions on the ground of relevancy or privilege, if the notice to take depo- sitions does not clearly indicate that the witness is to be examined on the matters to which the objection relates. See paragraph (a) of this section. Ob- jection may also be made on the ground that the examination is being conducted in such manner as to unrea- sonably annoy, embarrass, or oppress a deponent or party.
(1) When there is objection to a line of questioning, as permitted by this paragraph, counsel shall, if possible, reach agreement among themselves re- garding the proper limits of the exam- ination.
(2) If counsel cannot agree on the proper limits of the examination the taking of depositions shall continue on matters not objected to and counsel shall, within 24 hours, either jointly or individually, telegraph statements of their positions to the presiding officer, together with the telephone numbers at which they and the officer taking the depositions can be reached, or shall otherwise jointly confer with the pre- siding officer. If individual statements are submitted, copies shall be provided to all counsel participating in the tak- ing of depositions.
(3) The presiding officer shall promptly rule upon the question pre- sented or take such other action as may be appropriate under § 1.313, and shall give notice of his ruling, by tele- phone, to counsel who submitted state- ments and to the officer taking the
depositions. The presiding officer shall thereafter reduce his ruling to writing.
(4) The taking of depositions shall continue in accordance with the pre- siding officer’s ruling. Such rulings are not subject to appeal.
[33 FR 463, Jan. 12, 1968]
§ 1.321 Use of depositions at the hear- ing.
(a) No inference concerning the ad- missibility of a deposition in evidence shall be drawn because of favorable ac- tion on the notice to take depositions.
(b) Except as provided in this para- graph and in § 1.319, objection may be made at the hearing to receiving in evidence any deposition or part thereof for any reason which would require the exclusion of the evidence if the witness were then present and testifying.
(1) Objections to the competency of a witness, or the competency, relevancy or materiality of testimony are waived by failure to make them before or dur- ing the taking of depositions if (and only if) the ground of the objection is one which might have been obviated or removed if presented at that time.
(2) Objection on the ground of privi- lege is waived by failure to make it be- fore or during the taking of deposi- tions.
(c) A party shall not be deemed to make a person his own witness for any purpose by taking his deposition. The introduction in evidence of the deposi- tion or any part thereof for any pur- pose other than that of contradicting or impeaching the deponent makes the deponent the witness of the party in- troducing the deposition, but this shall not apply to the use by an adverse party of a deposition as described in paragraph (d)(2) of this section. At the hearing any party may rebut any rel- evant evidence contained in a deposi- tion whether introduced by him or by any other party.
(d) At the hearing (or in a pleading), any part or all of a deposition, so far as admissible, may be used against any party who was present or represented at the taking of the deposition or who had due notice thereof, in accordance with any one of the following provi- sions:
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(1) Any deposition may be used by any party for the purpose of contra- dicting or impeaching the testimony of deponent as a witness.
(2) The deposition of a party or of any one who at the time of taking the deposition was an officer, director, or managing agent of a public or private corporation, partnership or association which is a party may be used by an ad- verse party for any purpose.
(3) To the extent that the affirmative direct case of a party is made in writ- ing pursuant to § 1.248(d), the deposi- tion of any witness, whether or not a party, may be used by any party for any purpose, provided the witness is made available for cross-examination. In all cases, the deposition of a wit- ness, whether or not a party, may be used by any party for any purpose if the presiding officer finds: (i) That the witness is dead; or (ii) that the witness is out of the United States, unless it appears that the absence of the witness was procured by the party offering the deposition; or (iii) that the witness is unable to attend or testify because of age, sickness, infirmity, or imprison- ment; or (iv) upon application and no- tice, that such exceptional cir- cumstances exist as to make it desir- able in the interest of justice and with due regard to the importance of pre- senting the testimony of witnesses orally in open hearing, to allow the deposition to be used.
(4) If only part of a deposition is of- fered in evidence by a party, an adverse party may require him to introduce all of it which is relevant to the part in- troduced, and any party may introduce any other parts.
(5) Substitution of parties does not affect the right to use depositions pre- viously taken; and, when an action in any hearing has been dismissed and an- other action involving the same sub- ject matter is afterward brought be- tween the same parties or their rep- resentatives or successors in interest, all depositions lawfully taken and duly filed in the former action may be used in the latter as if originally taken therefor.
[33 FR 463, Jan. 12, 1968, as amended at 41 FR 14874, Apr. 8, 1976]
§ 1.323 Interrogatories to parties. (a) Interrogatories. Any party may
serve upon any other party written in- terrogatories to be answered in writing by the party served or, if the party served is a public or private corpora- tion or a partnership or association, by any officer or agent, who shall furnish such information as is available to the party. A copy of the interrogatories shall be served upon all parties to the proceeding. An original and three cop- ies of the interrogatories, answers, and all related pleadings shall be filed with the Secretary of the Commission. A copy of the interrogatories, answers and all related pleadings shall be served on the presiding officer.
(1) Except as otherwise provided in a protective order, the number of inter- rogatories or sets of interrogatories is not limited.
(2) Except as provided in such an order, interrogatories may be served after a deposition has been taken, and a deposition may be sought after inter- rogatories have been answered.
(b) Answers and objections. Each inter- rogatory shall be answered separately and fully in writing under oath or affir- mation, unless it is objected to, in which event the reasons for objection shall be stated in lieu of an answer. The answers shall be signed by the per- son making them, and the objections by the attorney making them. The party upon whom the interrogatories were served shall serve a copy of the answers and objections upon all parties to the proceeding within 14 days after service of the interrogatories, or with- in such shorter or longer period as the presiding officer may allow. Answers may be used in the same manner as depositions of a party (see § 1.321(d)).
(c) Motion to compel an answer. Any party to the proceeding may, within 7 days, move for an order with respect to any objection or other failure to an- swer an interrogatory. For purposes of this paragraph, an evasive or incom- plete answer is a failure to answer; and if the motion is based on the assertion that the answer is evasive or incom- plete, it shall contain a statement as to the scope and detail of an answer which would be considered responsive and complete. The party upon whom the interrogatories were served may
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file a response within 7 days after the motion is filed, to which he may ap- pend an answer or an amended answer. Additional pleadings should not be sub- mitted and will not be considered.
(d) Action by the presiding officer. If the presiding officer determines that an objection is not justified, he shall order that the answer be served. If an interrogatory has not been answered, the presiding officer may rule that the right to object has been waived and may order that an answer be served. If an answer does not comply fully with the requirements of this section, the presiding officer may order that an amended answer be served, may specify the scope and detail of the matters to be covered by the amended answer, and may specify any appropriate proce- dural consequences (including adverse findings of fact and dismissal with prej- udice) which will follow from the fail- ure to make a full and responsive an- swer. If a full and responsive answer is not made, the presiding officer may issue an order invoking any of the pro- cedural consequences specified in the order to compel an answer.
(e) Appeal. As order to compel an an- swer is not subject to appeal.
[33 FR 10572, July 25, 1968, as amended at 35 FR 17334, Nov. 11, 1970]
§ 1.325 Discovery and production of documents and things for inspec- tion, copying, or photographing.
(a) A party to a Commission pro- ceeding may request any other party except the Commission to produce and permit inspection and copying or photographing, by or on behalf of the requesting party, of any designated documents, papers, books, accounts, letters, photographs, objects, or tan- gible things which constitute or con- tain evidence within the scope of the examination permitted by § 1.311(b) of this part and which are in his posses- sion, custody, or control or to permit entry upon designated land or other property in his possession or control for purposes of inspecting, measuring, surveying, or photographing the prop- erty or any designated object or oper- ation thereon within the scope of the examination permitted by § 1.311(b) of this part.
(1) Such requests need not be filed with the presiding officer, but copies of the request shall be served on all other parties to the proceeding.
(2) The party against whom the re- quest was made must, within 10 days, comply with the request or object to the request, claiming a privilege or raising other proper objections. If the request is not complied with in whole or in part, the requesting party may file a motion to compel production of documents or access to property with the presiding officer. A motion to com- pel must be accompanied by a copy of the original request and the responding party’s objection or claim of privilege. Motions to compel must be filed within five business days of the objection or claim of privilege.
(3) In resolving any disputes involv- ing the production of documents or ac- cess to property, the presiding officer may direct that the materials objected to be presented to him for in camera in- spection.
(b) Any party seeking the production of Commission records should proceed under § 0.460 or § 0.461 of this chapter. See §§ 0.451 through 0.467.
(c) In comparative broadcast pro- ceedings involving applicants for only new facilities, all applicants will serve the materials listed in the Standard Document Production Order and the Standardized Integration Statement on all other parties in the case that have filed Notices of Appearance. The ex- change of these materials must be ac- complished within five days after the date established for filing notices of appearance (see § 1.221).
(1) Standard Document Production Order. The following documents must be produced or objected to on grounds of privilege (Unless otherwise directed by the presiding officer, copies of these documents should not be filed with the presiding officer):
(i) All formation and organizational documents, including articles of incor- poration, by laws, partnership agree- ments, voting rights, proxies, and any amendments to the foregoing docu- ments;
(ii) All minutes of meetings relating to the application;
(iii) All documents relating to the rights or plans of persons or entities to
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purchase an interest in the applicant or of current owners to alineate their interests;
(iv) All documents relating to pledges, mortgages, security interests, or other encumbrances of any kind with respect to the applicant;
(v) All bank letters and other financ- ing documents with the dollar amounts unexpurgated;
(vi) All documents relating to the ap- plicant’s proposed transmitter site;
(vii) All documents relating to com- munications by proposed integrated principals with respect to their pro- posed participation in the management of the station and the disposition of their current employment;
(viii) All documents relating to prior integration pledges made by principals who propose to be integrated into the management of the station at issue;
(ix) All documents relating to com- munications by and between principals of the applicant concerning the appli- cation, including communications be- tween active and passive principals;
(x) Representative documents relat- ing to enhancement credits and pref- erences sought by the applicant’s prin- cipals for local residence, civic partici- pation, past broadcast experience, mi- nority/female status, and the like;
(xi) All documents relating to com- mitments to divest other media inter- ests; and
(xii) All documents that identify or describe the principals who are respon- sible for completing the application, arranging financing, obtaining the ap- plicant’s transmitter site, publishing the required notices, establishing the local public inspection file, and retain- ing lawyers, engineers, and other pro- fessionals.
(2) Standardized Integration Statement. On the same day that documents are exchanged pursuant to the Standard- ized Document Production Order, the following information must also be provided by all applicants (Copies of this statement should be filed with the presiding officer and served on all par- ties to the proceeding that have filed Notices of Appearance):
(i) The ownership structure of the ap- plicant, i.e., whether it is a partner- ship, limited partnership, or a corpora-
tion (if a corporation, indicate whether it has voting and non-voting stock);
(ii) The ownership percentage of each owner;
(iii) The identity of the owners who will work at the proposed station, what titles and duties they will have, how many hours they will work per week, and how they will reconcile any cur- rent business interests or employment with that commitment to the station;
(iv) All other media interests held by the persons identified under paragraph (c)(2)(ii), of this section;
(v) Whether the integrated owners will claim credit for minority or fe- male ownership and if so, specifically on what basis;
(vi) Whether the integrated owners will claim credit for local residence and civic involvement in the city of li- cense or service area and if so, specifi- cally on what basis (including a de- tailed chronology of past residence and a description of civic activities and their duration);
(vii) Whether the integrated owners will claim credit for previous broadcast experience and if so, provide a detailed list of the stations they worked at, the titles and duties they had, and the years in which they were so employed; and
(viii) Whether the applicant will claim a daytimer preference and if so, specifically on what basis.
(3) Supplemental document production. Parties may request additional rel- evant documents, not called for in the Standard Document Production Order, at any time after the release of the des- ignation order. Supplemental requests for documents based on materials ex- changed pursuant to the Standardized Document Production Order and Standardized Integration Statement must be filed no later than ten days after those standardized exchanges. Other supplemental document requests must be filed no later than ten days after receipt of the information on which those requests are based. Supple- mental document requests will be han- dled under the procedures established in paragraph (a) of this section. To fa- cilitate the resolution of disputes con- cerning the production of documents, the presiding officer may convene a
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pre-hearing conference to hear argu- ment on and dispose of any such dis- putes.
[33 FR 463, Jan. 12, 1968, as amended at 40 FR 39509, Aug. 28, 1975; 56 FR 794, Jan. 9, 1991; 56 FR 25639, June 5, 1991]
SUBPENAS
AUTHORITY: Sections 1.331 and 1.333 through 1.340 are issued under sec. 409, 48 Stat. 1096; 47 U.S.C. 409.
§ 1.331 Who may sign and issue.
Subpenas requiring the attendance and testimony of witnesses, and sub- penas requiring the production of any books, papers, schedules of charges, contracts, agreements, and documents relating to any matter under investiga- tion or hearing, may be signed and issued as follows:
(a) Hearings before the Commission en banc, an individual commissioner, or a panel of commissioners: By any commissioner participating in the con- duct of the hearing.
(b) Hearings before an administrative law judge: By the administrative law judge or, in his absence, by the Chief Administrative Law Judge.
§ 1.333 Requests for issuance of sub- pena.
(a) Unless submitted on the record while a hearing is in progress, requests for a subpena ad testificandum shall be submitted in writing.
(b) Requests for a subpena duces tecum shall be submitted in writing, duly subscribed and verified, and shall specify with particularity the books, papers, and documents desired and the facts expected to be proved thereby. Where the subpena duces tecum request is directed to a nonparty to the pro- ceeding, the presiding officer may issue the same, upon request, without an ac- companying subpena to enforce a no- tice to take depositions, provided for in paragraph (e) of this section, where it appears that the testimony of said per- son is not required in connection with the subpena duces tecum.
(c) All requests for subpenas shall be supported by a showing of the general relevance and materiality of the evi- dence sought.
(d) Requests for subpenas shall be submitted in triplicate, but need not be served on the parties to the proceeding.
(e) Requests for issuance of a subpena ad testificandum to enforce a notice to take depositions shall be submitted in writing. Such requests may be sub- mitted with the notice or at a later date. The request shall not be granted until the period for the filing of mo- tions opposing the taking of deposi- tions has expired or, if a motion has been filed, until that motion has been acted on. Regardless of the time when the subpena request is submitted, it need not be accompanied by a showing that relevant and material evidence will be adduced, but merely that the person will be examined regarding a nonprivileged matter which is relevant to the hearing issues. The subpena re- quest may ask that a subpena duces tecum be contemporaneously issued commanding the person to whom it is directed to produce designated books, papers, documents, or tangible things which constitute or contain evidence relating to any of the matters within the scope of the examination permitted by § 1.311(b) but in that event the sub- pena request will be subject to the pro- visions of § 1.313 and paragraph (b) of this section.
(f) Requests for issuance of a subpena duces tecum to enforce an order for the production of documents and things for inspection and copying under § 1.325 may be submitted with the motion re- questing the issuance of such an order. Regardless of the time when the sub- pena request is submitted, it need not be accompanied by a showing that rel- evant and material evidence will be ad- duced, but merely that the documents and things to be examined contain non- privileged matter which is relevant to the subject matter of the proceeding.
[28 FR 12425, Nov. 22, 1963, as amended at 33 FR 466, Jan. 12, 1968; 47 FR 51873, Nov. 18, 1982]
§ 1.334 Motions to quash.
Any person against whom a subpena is directed may file a motion to quash or limit the subpena, setting forth the reasons why the subpena should not be complied with or why it should be lim- ited in scope.
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§ 1.335 Rulings. Prompt notice, including a brief
statement of the reasons therefor, will be given of the denial, in whole or in part, of a request for subpena or of a motion to quash.
§ 1.336 Service of subpenas. (a) A subpena may be served by a
United States marshal or his deputy, by Commission personnel, or by any person who is not a party to the pro- ceeding and is not less than 18 years of age.
(b) Service of a subpena upon the per- son named therein shall be made by ex- hibiting the original subpena to him, by reading the original subpena to him if he is unable to read, by delivering the duplicate subpena to him, and by tendering to him the fees for one day’s attendance at the proceeding to which he is summoned and the mileage al- lowed by law. If the subpena is issued on behalf of the United States or an of- ficer or agency thereof, attendance fees and mileage need not be tendered.
§ 1.337 Return of service. (a) If service of the subpena is made
by a person other than a United States marshal or his deputy such person shall make affidavit thereof, stating the date, time, and manner of service.
(b) In case of failure to make service, the reasons for the failure shall be stated on the original subpena by the person who attempted to make service.
(c) The original subpena, bearing or accompanied by the required return af- fidavit or statement, shall be returned forthwith to the Secretary of the Com- mission or, if so directed on the sub- pena, to the official before whom the person named in the subpena is re- quired to appear.
§ 1.338 Subpena forms. (a) Subpena forms, marked ‘‘Origi-
nal’’, ‘‘Duplicate’’, and ‘‘Triplicate’’, and bearing the Commission’s seal, may be obtained from the Commis- sion’s Dockets Division. These forms are to be completed and submitted with any request for issuance of a sub- pena.
(b) If the request for issuance of a subpena is granted, the ‘‘Original’’ and
‘‘Duplicate’’ copies of the subpena are returned to the person who submitted the request. The ‘‘Triplicate’’ copy is retained for the Commission’s files.
(c) The ‘‘Original’’ copy of the sub- pena includes a form for proof of serv- ice. This form is to be executed by the person who effects service and returned by him to the Secretary of the Com- mission or, if so directed on the sub- pena, to the official before whom the person named in the subpena is re- quired to appear.
(d) The ‘‘Duplicate’’ copy of the sub- pena shall be served upon the person named therein and retained by him. This copy should be presented in sup- port of any claim for witness fees or mileage allowances for testimony on behalf of the Commission.
§ 1.339 Witness fees.
Witnesses who are subpenaed and re- spond thereto are entitled to the same fees, including mileage, as are paid for like service in the courts of the United States. Fees shall be paid by the party at whose instance the testimony is taken.
§ 1.340 Attendance of witness; disobe- dience.
The attendance of witnesses and the production of documentary evidence may be required from any place in the United States at any designated place of hearing. In case of disobedience to a subpena, the Commission or any party to a proceeding before the Commission may invoke the aid of any court of the United States in requiring the attend- ance and testimony of witnesses and the production of documentary evi- dence.
EVIDENCE
§ 1.351 Rules of evidence.
Except as otherwise provided in this subpart, the rules of evidence gov- erning civil proceedings in matters not involving trial by jury in the courts of the United States shall govern formal hearings. Such rules may be relaxed if the ends of justice will be better served by so doing.
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§ 1.352 Cumulative evidence. The introduction of cumulative evi-
dence shall be avoided, and the number of witnesses that may be heard in be- half of a party on any issue may be limited.
§ 1.353 Further evidence during hear- ing.
At any stage of a hearing, the pre- siding officer may call for further evi- dence upon any issue and may require such evidence to be submitted by any party to the proceeding.
§ 1.354 Documents containing matter not material.
If material and relevant matter of- fered in evidence is embraced in a doc- ument containing other matter not material or relevant, and not intended to be put in evidence, such document will not be received, but the party of- fering the same shall present to other counsel, and to the presiding officer, the original document, together with true copies of such material and rel- evant matter taken therefrom, as it is desired to introduce. Upon presen- tation of such matter, material and relevant, in proper form, it may be re- ceived in evidence, and become a part of the record. Other counsel will be af- forded an opportunity to introduce in evidence, in like manner, other por- tions of such document if found to be material and relevant.
§ 1.355 Documents in foreign language. Every document, exhibit, or other
paper written in a language other than English, which shall be filed in any proceeding, or in response to any order, shall be filed in the language in which it is written together with an English translation thereof duly verified under oath to be a true translation. Each copy of every such document, exhibit, or other paper filed shall be accom- panied by a separate copy of the trans- lation.
§ 1.356 Copies of exhibits. No document or exhibit, or part
thereof, shall be received as, or admit- ted in, evidence unless offered in dupli- cate. In addition, when exhibits of a documentary character are to be of- fered in evidence, copies shall be fur-
nished to other counsel unless the pre- siding officer otherwise directs.
§ 1.357 Mechanical reproductions as evidence.
Unless offered for the sole purpose of attempting to prove or demonstrate sound effect, mechanical or physical reproductions of sound waves shall not be admitted in evidence. Any party de- siring to offer any matter alleged to be contained therein or thereupon shall have such matter typewritten on paper of the size prescribed by § 1.49, and the same shall be identified and offered in duplicate in the same manner as other exhibits.
§ 1.358 Tariffs as evidence. In case any matter contained in a
tariff schedule on file with the Com- mission is offered in evidence, such tar- iff schedule need not be produced or marked for identification, but the mat- ter so offered shall be specified with particularity (tariff and page number) in such manner as to be readily identi- fied, and may be received in evidence by reference subject to check with the original tariff schedules on file.
§ 1.359 Proof of official record; authen- tication of copy.
An official record or entry therein, when admissible for any purpose, may be evidenced by an official publication thereof or by a copy attested by the of- ficer having legal custody of the record, or by his deputy, and accom- panied with a certificate that such offi- cer has the custody. If the office in which the record is kept is within the United States or within a territory or insular possession subject to the do- minion of the United States, the cer- tificate may be made by the judge of a court of record of the district or polit- ical subdivision in which the record is kept, authenticated by the seal of the court, or may be made by any public officer having a seal of office having of- ficial duties in the district or political subdivision in which the record is kept, authenticated by the seal of his office. If the office in which the record is kept is in a foreign state or country, the certificate may be made by a secretary of embassy or legation, consul general, consul, vice consul, or consular agent,
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or by any officer in the foreign service of the United States stationed in the foreign state or country in which the record is kept, and authenticated by the seal of his office.
§ 1.360 Proof of lack of record. The absence of an official record or
entry of a specified tenor in an official record may be evidenced by a written statement signed by an officer, or by his deputy, who would have custody of the official record, if it existed, that after diligent search no record or entry of a specified tenor is found to exist in the records of his office, accompanied by a certificate as provided in § 1.359. Such statement and certificate are ad- missible as evidence that the records of his office contain no such record or entry.
§ 1.361 Other proof of official record. Sections 1.359 and 1.360 do not pre-
vent the proof of official records or of entry or lack of entry therein by any method authorized by any applicable statute or by the rules of evidence at common law.
§ 1.362 Production of statements. After a witness is called and has
given direct testimony in a hearing, and before he is excused, any party may move for the production of any statement of such witness, or part thereof, pertaining to his direct testi- mony, in possession of the party call- ing the witness, if such statement has been reduced to writing and signed or otherwise approved or adopted by the witness. Such motion shall be directed to the presiding officer. If the party de- clines to furnish the statement, the testimony of the witness pertaining to the requested statement shall be stricken.
[33 FR 466, Jan. 12, 1968]
§ 1.363 Introduction of statistical data. (a) All statistical studies, offered in
evidence in common carrier hearing proceedings, including but not limited to sample surveys, econometric anal- yses, and experiments, and those parts of other studies involving statistical methodology shall be described in a summary statement, with supple-
mentary details added in appendices so as to give a comprehensive delineation of the assumptions made, the study plan utilized and the procedures under- taken. In the case of sample surveys, there shall be a clear description of the survey design, including the definition of the universe under study, the sam- pling frame, and the sampling units; an explanation of the method of selecting the sample and the characteristics measured or counted. In the case of econometric investigations, the econo- metric model shall be completely de- scribed and the reasons given for each assumption and statistical specifica- tion. The effects on the final results of changes in the assumptions should be made clear. When alternative models and variables have been employed, a record shall be kept of these alter- native studies, so as to be available upon request. In the case of experi- mental analyses, a clear and complete description of the experimental design shall be set forth, including a specifica- tion of the controlled conditions and how the controls were realized. In addi- tion, the methods of making observa- tions and the adjustments, if any, to observed data shall be described. In the case of every kind of statistical study, the following items shall be set forth clearly: The formulas used for statis- tical estimates, standard errors and test statistics, the description of sta- tistical tests, plus all related computa- tions, computer programs and final re- sults. Summary descriptions of input data shall be submitted. Upon request, the actual input data shall be made available.
(b) In the case of all studies and anal- yses offered in evidence in common carrier hearing proceedings, other than the kinds described in paragraph (a) of this section, there shall be a clear statement of the study plan, all rel- evant assumptions and a description of the techniques of data collection, esti- mation and/or testing. In addition, there shall be a clear statement of the facts and judgments upon which con- clusions are based and a statement of the relative weights given to the var- ious factors in arriving at each conclu- sion, together with an indication of the
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alternative courses of action consid- ered. Lists of input data shall be made available upon request.
[35 FR 16254, Oct. 16, 1970]
§ 1.364 Testimony by speakerphone.
(a) If all parties to the proceeding consent and the presiding officer ap- proves, the testimony of a witness may be taken by speakerphone.
(b) Documents used by the witness shall be made available to counsel by the party calling the witness in ad- vance of the speakerphone testimony. The taking of testimony by speakerphone shall be subject to such other ground rules as the parties may agree upon.
[43 FR 33251, July 31, 1978]
Subpart C—Rulemaking Proceedings
AUTHORITY: 5 U.S.C. 553.
SOURCE: 28 FR 12432, Nov. 22, 1963, unless otherwise noted.
GENERAL
§ 1.399 Scope.
This subpart shall be applicable to notice and comment rulemakings pro- ceedings conducted under 5 U.S.C. 553, and shall have no application to formal rulemaking (or rate making) pro- ceedings unless the Commission directs that it shall govern the conduct of a particular proceeding.
[42 FR 25735, May 19, 1977]
§ 1.400 Definitions.
As used in this subpart, the term party refers to any person who partici- pates in a proceeding by the timely fil- ing of a petition for rule making, com- ments on a notice of proposed rule making, a petition for reconsideration, or responsive pleadings in the manner prescribed by this subpart. The term does not include those who submit let- ters, telegrams or other informal mate- rials.
[41 FR 1287, Jan. 7, 1976]
PETITIONS AND RELATED PLEADINGS
§ 1.401 Petitions for rulemaking. (a) Any interested person may peti-
tion for the issuance, amendment or re- peal of a rule or regulation.
(b) The petition for rule making shall conform to the requirements of §§ 1.49, 1.52, and 1.419(b) (or § 1.420(e), if applica- ble), and shall be submitted or ad- dressed to the Secretary, Federal Com- munications Commission, Washington, DC 20554, or may be submitted elec- tronically.
(c) The petition shall set forth the text or substance of the proposed rule, amendment, or rule to be repealed, to- gether with all facts, views, arguments and data deemed to support the action requested, and shall indicate how the interests of petitioner will be affected.
(d) Petitions for amendment of the FM Table of Assignments (§ 73.202 of this chapter) or the Television Table of Assignments (§ 73.606) shall be served by petitioner on any Commission li- censee or permittee whose channel as- signment would be changed by grant of the petition. The petition shall be ac- companied by a certificate of service on such licensees or permittees. Peti- tions to amend the FM Table of Allot- ments must be accompanied by the ap- propriate construction permit applica- tion and payment of the appropriate application filing fee.
(e) Petitions which are moot, pre- mature, repetitive, frivolous, or which plainly do not warrant consideration by the Commission may be denied or dismissed without prejudice to the pe- titioner.
[28 FR 12432, Nov. 22, 1963, as amended at 28 FR 14503, Dec. 31, 1963; 40 FR 53391, Nov. 18, 1975; 45 FR 42621, June 25, 1980; 63 FR 24125, May 1, 1998; 71 FR 76215, Dec. 20, 2006]
§ 1.403 Notice and availability. All petitions for rule making (other
than petitions to amend the FM, Tele- vision, and Air-Ground Tables of As- signments) meeting the requirements of § 1.401 will be given a file number and, promptly thereafter, a ‘‘Public Notice’’ will be issued (by means of a Commission release entitled ‘‘Petitions for Rule Making Filed’’) as to the peti- tion, file number, nature of the pro- posal, and date of filing, Petitions for
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rule making are available at the Com- mission’s Reference Information Cen- ter, 445 12th Street, SW, Washington, DC and may also be available elec- tronically over the Internet at http:// www.fcc.gov/.
[67 FR 13223, Mar. 21, 2002]
§ 1.405 Responses to petitions; replies.
Except for petitions to amend the FM Television or Air-Ground Tables of As- signments:
(a) Any interested person may file a statement in support of or in opposi- tion to a petition for rule making prior to Commission action on the petition but not later than 30 days after ‘‘Public Notice’’, as provided for in § 1.403, is given of the filing of such a petition. Such a statement shall be accompanied by proof of service upon the petitioner on or prior to the date of filing in con- formity with § 1.47 and shall conform in other aspects with the requirements of §§ 1.49, 1.52, and 1.419(b).
(b) Any interested person may file a reply to statements in support of or in opposition to a petition for rule mak- ing prior to Commission action on the petition but not later than 15 days after the filing of such a statement. Such a reply shall be accompanied by proof of service upon the party or par- ties filing the statement or statements to which the reply is directed on or prior to the date of filing in conformity with § 1.47 and shall conform in other aspects with the requirements of §§ 1.49, 1.52, and 1.419(b).
(c) No additional pleadings may be filed unless specifically requested by the Commission or authorized by it.
(d) The Commission may act on a pe- tition for rule making at any time after the deadline for the filing of re- plies to statements in support of or in opposition to the petition. Statements in support of or in opposition to a peti- tion for rule making, and replies there- to, shall not be filed after Commission action.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[28 FR 12413, Nov. 22, 1963, as amended at 28 FR 14503, Dec. 31, 1963; 45 FR 42621, June 25, 1980; 46 FR 60404, Dec. 9, 1981]
§ 1.407 Action on petitions. If the Commission determines that
the petition discloses sufficient reasons in support of the action requested to justify the institution of a rulemaking proceeding, and notice and public pro- cedure thereon are required or deemed desirable by the Commission, an appro- priate notice of proposed rule making will be issued. In those cases where no- tice and public procedure thereon are not required, the Commission may issue a final order amending the rules. In all other cases the petition for rule making will be denied and the peti- tioner will be notified of the Commis- sion’s action with the grounds therefor.
RULEMAKING PROCEEDINGS
§ 1.411 Commencement of rulemaking proceedings.
Rulemaking proceedings are com- menced by the Commission, either on it own motion or on the basis of a peti- tion for rulemaking. See §§ 1.401–1.407.
§ 1.412 Notice of proposed rulemaking. (a) Except as provided in paragraphs
(b) and (c) of this section, prior notice of proposed rulemaking will be given.
(1) Notice is ordinarily given by pub- lication of a ‘‘Notice of Proposed Rule Making’’ in the FEDERAL REGISTER. A summary of the full decision adopted by the Commission constitutes a ‘‘No- tice of Proposed Rulemaking’’ for pur- poses of FEDERAL REGISTER publica- tion.
(2) If all persons subject to the pro- posed rules are named, the proposal may (in lieu of publication) be person- ally served upon those persons.
(3) If all persons subject to the pro- posed rules are named and have actual notice of the proposal as a matter of law, further prior notice of proposed rulemaking is not required.
(b) Rule changes (including adoption, amendment, or repeal of a rule or rules) relating to the following matters will ordinarily be adopted without prior notice:
(1) Any military, naval, or foreign af- fairs function of the United States.
(2) Any matter relating to Commis- sion management or personnel or to public property, loans, grants, benefits, or contracts.
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(3) Interpretative rules. (4) General statements of policy. (5) Rules of Commission organiza-
tion, procedure, or practice. (c) Rule changes may in addition be
adopted without prior notice in any situation in which the Commission for good cause finds that notice and public procedure are impracticable, unneces- sary, or contrary to the public interest. The finding of good cause and a state- ment of the basis for that finding are in such situations published with the rule changes.
(d) In addition to the notice provi- sions of paragraph (a) of this section, the Commission, before prescribing any requirements as to accounts, records, or memoranda to be kept by carriers, will notify the appropriate State agen- cies having jurisdiction over any car- rier involved of the proposed require- ments.
[28 FR 12432, Nov. 22, 1963, as amended at 51 FR 7445, Mar. 4, 1986]
§ 1.413 Content of notice. A notice of the proposed issuance,
amendment, or repeal of a rule will in- clude the following:
(a) A statement of the time, nature and place of any public rulemaking proceeding to be held.
(b) Reference to the authority under which the issuance, amendment or re- peal of a rule is proposed.
(c) Either the terms or substance of the proposed rule or a description of the subjects and issues involved.
(d) The docket number assigned to the proceeding.
(e) A statement of the time for filing comments and replies thereto.
§ 1.415 Comments and replies. (a) After notice of proposed rule-
making is issued, the Commission will afford interested persons an oppor- tunity to participate in the rulemaking proceeding through submission of writ- ten data, views, or arguments, with or without opportunity to present the same orally in any manner.
(b) A reasonable time will be pro- vided for submission of comments in support of or in opposition to proposed rules, and the time provided will be specified in the notice of proposed rule- making.
(c) A reasonable time will be pro- vided for filing comments in reply to the original comments, and the time provided will be specified in the notice of proposed rulemaking.
(d) No additional comments may be filed unless specifically requested or authorized by the Commission.
NOTE: In some (but not all) rulemaking proceedings, interested persons may also communicate with the Commission and its staff on an ex parte basis, provided certain procedures are followed. See §§ 1.420 and 1.1200 et seq. See also ll FCC 2d ll (1980) (i.e., this order).
(e) For time limits for filing motions for extension of time for filing re- sponses to petitions for rulemaking, re- plies to such responses, comments filed in response to notices of proposed rule- making, replies to such comments, see § 1.46(b).
[28 FR 12432, Nov. 22, 1963, as amended at 42 FR 28888, June 6, 1977; 45 FR 45591, July 7, 1980; 52 FR 37460, Oct. 7, 1987]
§ 1.419 Form of comments and replies; number of copies.
(a) Comments, replies, and other doc- uments filed in a rulemaking pro- ceeding shall conform to the require- ments of § 1.49.
(b) An original and 4 copies of all comments, briefs and other documents filed in a rulemaking proceeding shall be furnished the Commission. The dis- tribution of such copies shall be as fol- lows: Secretary (original and 1) .................... 2 Bureau .................................................. 2 Reference Information Center .............. 1
Total ........................................... 5
Participants filing the required 5 cop- ies who also wish each Commissioner to have a personal copy of the com- ments may file an additional 5 copies. The distribution of such copies shall be as follows: Commissioners ..................................... 5 Secretary .............................................. 2 Bureau .................................................. 2 Reference Information Center .............. 1
Total ........................................... 10
However, members of the general public who wish to express their inter- est by participating informally in a rulemaking proceeding may do so by
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submitting an original and one copy of their comments, without regard to form, provided only that the Docket Number is specified in the heading. In- formal comments filed after close of the reply comment period, or, if on re- consideration, the reconsideration reply comment period, should be la- beled ‘‘ex parte’’ pursuant to section 1.1206(a) of this chapter. Letters sub- mitted to Commissioners or Commis- sion staff will be treated in the same way as informal comments, as set forth above. Also such informal participants who wish the responsible members of the staff and the Commissioners to have personal copies may file an addi- tional 7 copies. The distribution of such copies shall be as follows: Commissioners ..................................... 5 Secretary .............................................. 2 Bureau .................................................. 2
Total ........................................... 9
(c) Any person desiring to file iden- tical documents in more than one docketed rulemaking proceeding shall furnish the Commission two additional copies of any such document for each additional docket. This requirement does not apply if the proceedings have been consolidated.
(d) Participants that file comments and replies in electronic form need only submit one copy of those com- ments, so long as the submission con- forms to any procedural or filing re- quirements established for formal elec- tronic comments.
(e) Comments and replies and other documents filed in electronic form by a party represented by an attorney shall include the name and mailing address of at least one attorney of record. Par- ties not represented by an attorney that file comments and replies and other documents in electronic form shall provide their name and mailing address.
[28 FR 12432, Nov. 22, 1963, as amended at 41 FR 50399, Nov. 16, 1976; 50 FR 26567, June 27, 1985; 54 FR 29037, July 11, 1989; 63 FR 24125, May 1, 1998; 63 FR 56091, Oct. 21, 1998; 67 FR 13223, Mar. 21, 2002]
§ 1.420 Additional procedures in pro- ceedings for amendment of the FM or TV Tables of Allotments, or for amendment of certain FM assign- ments.
(a) Comments filed in proceedings for amendment of the FM Table of Allot- ments (§ 73.202 of this chapter) or the Television Table of Allotments (§ 73.606 of this chapter) which are initiated on a petition for rule making shall be served on petitioner by the person who files the comments.
(b) Reply comments filed in pro- ceedings for amendment of the FM or Television Tables of Allotments shall be served on the person(s) who filed the comments to which the reply is di- rected.
(c) Such comments and reply com- ments shall be accompanied by a cer- tificate of service.
(d) Counterproposals shall be ad- vanced in initial comments only and will not be considered if they are ad- vanced in reply comments.
(e) An original and 4 copies of all pe- titions for rulemaking, comments, reply comments, and other pleadings shall be filed with the Commission.
(f) Petitions for reconsideration and responsive pleadings shall be served on parties to the proceeding and on any li- censee or permittee whose authoriza- tion may be modified to specify oper- ation on a different channel, and shall be accompanied by a certificate of service.
(g) The Commission may modify the license or permit of a UHF TV station to a VHF channel in the same commu- nity in the course of the rule making proceeding to amend § 73.606(b), or it may modify the license or permit of an FM station to another class of channel through notice and comment proce- dures, if any of the following condi- tions are met:
(1) There is no other timely filed ex- pression of interest, or
(2) If another interest in the proposed channel is timely filed, an additional equivalent class of channel is also al- lotted, assigned or available for appli- cation.
NOTE TO PARAGRAPH (g): In certain situa- tions, a licensee or permittee may seek an
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adjacent, intermediate frequency or co-chan- nel upgrade by application. See § 73.203(b) of this chapter.
(h) Where licensees (or permittees) of television broadcast stations jointly petition to amend § 73.606(b) and to ex- change channels, and where one of the licensees (or permittees) operates on a commercial channel while the other operates on a reserved noncommercial educational channel within the same band, and the stations serve substan- tially the same market, then the Com- mission may amend § 73.606(b) and mod- ify the licenses (or permits) of the peti- tioners to specify operation on the ap- propriate channels upon a finding that such action will promote the public in- terest, convenience, and necessity.
NOTE 1 TO PARAGRAPH (h): Licensees and permittees operating Class A FM stations who seek to upgrade their facilities to Class B1, B, C3, C2, C1, or C on Channel 221, and whose proposed 1 mV/m signal contours would overlap the Grade B contour of a tele- vision station operating on Channel 6 must meet a particularly heavy burden by dem- onstrating that grants of their upgrade re- quests are in the public interest. In this re- gard, the Commission will examine the record in rule making proceedings to deter- mine the availability of existing and poten- tial non-commercial education service.
(i) In the course of the rule making proceeding to amend § 73.202(b) or § 73.606(b), the Commission may modify the license or permit of an FM or tele- vision broadcast station to specify a new community of license where the amended allotment would be mutually exclusive with the licensee’s or permit- tee’s present assignment.
(j) Whenever an expression of interest in applying for, constructing, and oper- ating a station has been filed in a pro- ceeding to amend the FM or TV Table of Allotments, and the filing party seeks to dismiss or withdraw the ex- pression of interest, either unilaterally or in exchange for financial consider- ation, that party must file with the Commission a request for approval of the dismissal or withdrawal, a copy of any written agreement related to the dismissal or withdrawal, and an affi- davit setting forth:
(1) A certification that neither the party withdrawing its interest nor its principals has received or will receive any money or other consideration in
excess of legitimate and prudent ex- penses in exchange for the dismissal or withdrawal of the expression of inter- est;
(2) The exact nature and amount of any consideration received or prom- ised;
(3) An itemized accounting of the ex- penses for which it seeks reimburse- ment; and
(4) The terms of any oral agreement related to the dismissal or withdrawal of the expression of interest.
(5) In addition, within 5 days of a par- ty’s request for approval, each remain- ing party to any written or oral agree- ment must submit an affidavit setting forth:
(i) A certification that neither it nor its principals has paid or will pay money or other consideration in excess of the legitimate and prudent expenses of the party withdrawing its expression of interest; and
(ii) The terms of any oral agreement relating to the dismissal or withdrawal of the expression of interest.
NOTE TO § 1.420: The reclassification of a Class C station in accordance with the proce- dure set forth in Note 4 to § 73.3573 may be initiated through the filing of an original pe- tition for amendment of the FM Table of Al- lotments. The Commission will notify the af- fected Class C station licensee of the pro- posed reclassification by issuing a notice of proposed rule making, except that where a triggering petition proposes an amendment or amendments to the FM Table of Allot- ments in addition to the proposed reclassi- fication, the Commission will issue an order to show cause as set forth in Note 4 to § 73.3573, and a notice of proposed rule mak- ing will be issued only after the reclassifica- tion issue is resolved. Triggering petitions will be dismissed upon the filing, rather than the grant, of an acceptable construction per- mit application to increase antenna height to at least 451 meters HAAT by a subject Class C station.
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[39 FR 44022, Dec. 20, 1974, as amended at 40 FR 53391, Nov. 18, 1975; 41 FR 1287, Jan. 7, 1976; 51 FR 15629, Apr. 25, 1986; 51 FR 20291, June 4, 1986; 52 FR 8260, Mar. 17, 1987; 52 FR 25866, July 9, 1987; 54 FR 16366, Apr. 24, 1989; 54 FR 26201, June 22, 1989; 55 FR 28914, July 16, 1990; 58 FR 38535, July 19, 1993; 59 FR 59503, Nov. 17, 1994; 61 FR 43472, Aug. 23, 1996; 65 FR 79776, Dec. 20, 2000; 71 FR 76215, Dec. 20, 2006]
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§ 1.421 Further notice of rulemaking. In any rulemaking proceeding where
the Commission deems it warranted, a further notice of proposed rulemaking will be issued with opportunity for par- ties of record and other interested per- sons to submit comments in con- formity with §§ 1.415 and 1.419.
§ 1.423 Oral argument and other pro- ceedings.
In any rulemaking where the Com- mission determines that an oral argu- ment, hearing or any other type of pro- ceeding is warranted, notice of the time, place and nature of such pro- ceeding will be published in the FED- ERAL REGISTER.
[58 FR 66300, Dec. 20, 1993]
§ 1.425 Commission action. The Commission will consider all rel-
evant comments and material of record before taking final action in a rule- making proceeding and will issue a de- cision incorporating its finding and a brief statement of the reasons therefor.
§ 1.427 Effective date of rules. (a) Any rule issued by the Commis-
sion will be made effective not less than 30 days from the time it is pub- lished in the FEDERAL REGISTER except as otherwise specified in paragraphs (b) and (c) of this section.
(b) For good cause found and pub- lished with the rule, any rule issued by the Commission may be made effective within less than 30 days from the time it is published in the FEDERAL REG- ISTER. Rules involving any military, naval or foreign affairs function of the United States; matters relating to agency management or personnel, pub- lic property, loans, grants, benefits or contracts; rules granting or recog- nizing exemption or relieving restric- tion; rules of organization, procedure or practice; or interpretative rules; and statements of policy may be made ef- fective without regard to the 30-day re- quirement.
(c) In cases of alterations by the Commission in the required manner or form of keeping accounts by carriers, notice will be served upon affected car- riers not less than 6 months prior to the effective date of such alterations.
§ 1.429 Petition for reconsideration. (a) Any interested person may peti-
tion for reconsideration of a final ac- tion in a proceeding conducted under this subpart (see §§ 1.407 and 1.425). Where the action was taken by the Commission, the petition will be acted on by the Commission. Where action was taken by a staff official under dele- gated authority, the petition may be acted on by the staff official or referred to the Commission for action.
NOTE: The staff has been authorized to act on rulemaking proceedings described in § 1.420 and is authorized to make editorial changes in the rules (see § 0.231(d)).
(b) A petition for reconsideration which relies on facts which have not previously been presented to the Com- mission will be granted only under the following circumstances:
(1) The facts relied on relate to events which have occurred or cir- cumstances which have changed since the last opportunity to present them to the Commission;
(2) The facts relied on were unknown to petitioner until after his last oppor- tunity to present them to the Commis- sion, and he could not through the ex- ercise of ordinary diligence have learned of the facts in question prior to such opportunity; or
(3) The Commission determines that consideration of the facts relied on is required in the public interest.
(c) The petition for reconsideration shall state with particularity the re- spects in which petitioner believes the action taken should be changed.
(d) The petition for reconsideration and any supplement thereto shall be filed within 30 days from the date of public notice of such action, as that date is defined in § 1.4(b). No supple- ment to a petition for reconsideration filed after expiration of the 30 day pe- riod will be considered, except upon leave granted pursuant to a separate pleading stating the grounds for ac- ceptance of the supplement. The peti- tion for reconsideration shall not ex- ceed 25 double-spaced typewritten pages. See also § 1.49(f).
(e) Except as provided in § 1.420(f), pe- titions for reconsideration need not be served on parties to the proceeding. (However, where the number of parties
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is relatively small, the Commission en- courages the service of petitions for re- consideration and other pleadings, and agreements among parties to exchange copies of pleadings. See also § 1.47(d) re- garding electronic service of docu- ments.) When a petition for reconsider- ation is timely filed in proper form, public notice of its filing is published in the FEDERAL REGISTER. The time for filing oppositions to the petition runs from the date of public notice. See § 1.4(b).
(f) Oppositions to a petition for re- consideration shall be filed within 15 days after the date of public notice of the petition’s filing and need be served only on the person who filed the peti- tion. See also § 1.49(d). Oppositions shall not exceed 25 double-spaced type- written pages. See § 1.49(f).
(g) Replies to an opposition shall be filed within 10 days after the time for filing oppositions has expired and need be served only on the person who filed the opposition. Replies shall not exceed 10 double-spaced typewritten pages. See also §§ 1.49(d) and 1.49(f).
(h) Petitions for reconsideration, op- positions and replies shall conform to the requirements of §§ 1.49 and 1.52, ex- cept that they need not be verified. Ex- cept as provided in § 1.420(e), an origi- nal and 11 copies shall be submitted to the Secretary, Federal Communica- tions Commission, Washington, D.C. 20554. Parties filing in electronic form need only submit one copy.
(i) The Commission may grant the petition for reconsideration in whole or in part or may deny the petition. Its order will contain a concise statement of the reasons for the action taken. Any order disposing of a petition for reconsideration which modifies rules adopted by the original order is, to the extent of such modification, subject to reconsideration in the same manner as the original order. Except in such cir- cumstance, a second petition for recon- sideration may be dismissed by the staff as repetitious.
(j) The filing of a petition for recon- sideration is not a condition precedent to judicial review of any action taken by the Commission, except where the person seeking such review was not a party to the proceeding resulting in the action or relies on questions of fact
or law upon which the Commission has been afforded no opportunity to pass. Subject to the provisions of paragraph (b) of this section, such a person may qualify to seek judicial review by filing a petition for reconsideration.
(k) Without special order of the Com- mission, the filing of a petition for re- consideration shall not excuse any per- son from complying with any rule or operate in any manner to stay or post- pone its enforcement. However, upon good cause shown, the Commission will stay the effective date of a rule pend- ing a decision on a petition for recon- sideration. See, however, § 1.420(f).
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, 307)
[41 FR 1287, Jan. 7, 1976, as amended at 44 FR 5436, Jan. 26, 1979; 46 FR 18556, Mar. 25, 1981; 52 FR 49161, Dec. 30, 1987; 63 FR 24126, May 1, 1998]
INQUIRIES
§ 1.430 Proceedings on a notice of in- quiry.
The provisions of this subpart also govern proceedings commenced by issuing a ‘‘Notice of Inquiry,’’ except that such proceedings do not result in the adoption of rules, and Notices of Inquiry are not required to be pub- lished in the FEDERAL REGISTER.
[51 FR 7445, Mar. 4, 1986]
Subpart D—Broadcast Applications and Proceedings
SOURCE: 44 FR 38483, July 2, 1979, unless otherwise noted.
§ 1.502 Emergency Broadcast Author- izations.
See § 73.913.
GENERAL FILING REQUIREMENTS
§ 1.511 Applications required.
See § 73.3511.
§ 1.512 Where to file; number of copies.
See § 73.3512.
§ 1.513 Who may sign applications.
See § 73.3513.
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§ 1.514 Content of applications.
See § 73.3514.
§ 1.516 Specification of facilities.
See § 73.3516.
§ 1.517 Contingent applications.
See § 73.3517.
§ 1.518 Inconsistent or conflicting ap- plications.
See § 73.3518.
§ 1.519 Repetitious applications.
See § 73.3519.
§ 1.520 Multiple applications. See § 73.3520.
§ 1.522 Amendment of applications. See § 73.3522.
§ 1.525 Agreements between parties for amendment or dismissal of, or fail- ure to prosecute, broadcast applica- tions.
See § 73.3525.
§ 1.526 Records to be maintained lo- cally for public inspection by com- mercial applicants, permittees and licensees.
See § 73.3526.
§ 1.527 Records to be maintained lo- cally for public inspection by non- commercial educational applicants, permittees and licensees.
See § 73.3527.
§ 1.531 Formal and informal applica- tions.
See § 73.3511.
§ 1.533 Application forms for authority to construct a new station or make changes in an existing station.
See § 73.3533.
§ 1.534 Application for extension of construction permit or for construc- tion permit to replace expired con- struction permit.
See § 73.3534.
§ 1.536 Application for license to cover construction permit.
See § 73.3536.
§ 1.538 Application for modification of license.
See § 73.3538.
§ 1.539 Application for renewal of li- cense.
See § 73.3539.
§ 1.540 Application for voluntary as- signment or transfer of control.
See § 73.3540.
§ 1.541 Application for involuntary as- signment of license or transfer of control.
See § 73.3541.
§ 1.542 Application for temporary au- thorization.
See § 73.3542.
§ 1.543 Application for renewal or modification of special service au- thorization.
See § 73.3543.
§ 1.544 Application for broadcast sta- tion to conduct field strength meas- urements and for experimental op- eration.
See §§ 73.157 and 73.1510.
§ 1.545 Application for permit to de- liver programs to foreign countries.
See § 73.3545.
§ 1.546 Application to determine oper- ating power by direct measurement of antenna power.
See § 73.45.
§ 1.549 Requests for extension of au- thority to operate without required monitors, indicating instruments, and EBS Attention Signal devices.
See § 73.3549.
§ 1.550 Requests for new or modified call sign assignments.
See § 73.3550.
§ 1.561 Staff consideration of applica- tions which receive action by the Commission.
See § 73.3561.
§ 1.562 Staff consideration of applica- tions which do not require action by the Commission.
See § 73.3562.
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§ 1.564 Acceptance of applications. See § 73.3564.
§ 1.566 Defective applications. See § 73.3566.
§ 1.568 Dismissal of applications. See § 73.3568.
§ 1.570 AM broadcast station applica- tions involving other North Amer- ican countries.
See § 73.3570.
§ 1.571 Processing AM broadcast sta- tion applications.
See § 73.3571.
§ 1.572 Processing TV broadcast and translator station applications.
See § 73.3572.
§ 1.573 Processing FM broadcast and translator station applications.
See § 73.3573.
§ 1.574 Processing of international broadcast station applications.
See § 73.3574.
§ 1.578 Amendments to applications for renewal, assignment or transfer of control.
See § 73.3578.
§ 1.580 Local public notice of filing of broadcast applications.
See § 73.3580.
§ 1.584 Petitions to deny. See § 73.3584.
§ 1.587 Procedure for filing informal applications.
See § 73.3587.
§ 1.591 Grants without hearing. See § 73.3591.
§ 1.592 Conditional grant. See § 73.3592.
§ 1.593 Designation for hearing. See § 73.3593.
§ 1.594 Local public notice of designa- tion for hearing.
See § 73.3594.
§ 1.597 Procedures on transfer and as- signment applications.
See § 73.3597.
§ 1.598 Period of construction. See § 73.3598.
§ 1.599 Forfeiture of construction per- mit.
See § 73.3599.
§ 1.601 Simultaneous modification and renewal of license.
See § 73.3601.
§ 1.603 Special waiver procedure rel- ative to applications.
See § 73.3603.
§ 1.605 Retention of applications in hearing status after designation for hearing.
See § 73.3605.
§ 1.612 Annual employment report. See § 73.3612.
§ 1.613 Filing of contracts. See § 73.3613.
§ 1.615 Ownership reports. See § 73.3615.
Subpart E—Complaints, Applica- tions, Tariffs, and Reports In- volving Common Carriers
SOURCE: 28 FR 12450, Nov. 22, 1963, unless otherwise noted.
GENERAL
§ 1.701 Show cause orders. (a) The Commission may commence
any proceeding within its jurisdiction against any common carrier by serving upon the carrier an order to show cause. The order shall contain a state- ment of the particulars and matters concerning which the Commission is inquiring and the reasons for such ac- tion, and will call upon the carrier to appear before the Commission at a place and time therein stated and give evidence upon the matters specified in the order.
(b) Any carrier upon whom an order has been served under this section shall
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file its answer within the time speci- fied in the order. Such answer shall specifically and completely respond to all allegations and matters contained in the show cause order.
(c) All papers filed by a carrier in a proceeding under this section shall conform with the specifications of §§ 1.49 and 1.50 and the subscription and verification requirements of § 1.52.
[28 FR 12450, Nov. 22, 1963, as amended at 36 FR 7423, Apr. 20, 1971]
§ 1.703 Appearances. (a) Hearings. Except as otherwise re-
quired by § 1.221 regarding application proceedings, by § 1.91 regarding pro- ceedings instituted under section 312 of the Communications Act of 1934, as amended, or by Commission order in any proceeding, no written statement indicating intent to appear need be filed in advance of actual appearance at any hearing by any person or his at- torney.
(b) Oral arguments. Within 5 days after release of an order designating an initial decision for oral argument or within such other time as may be spec- ified in the order, any party who wish- es to participate in the oral argument shall file a written statement indi- cating that he will appear and partici- pate. Within such time as may be spec- ified in an order designating any other matter for oral argument, any person wishing to participate in the oral argu- ment shall file a written statement to that effect setting forth the reasons for his interest in the matter. The Com- mission will advise him whether he may participate. (See § 1.277 for pen- alties for failure to file appearance statements in proceedings involving oral arguments on initial decisions.)
(c) Commission counsel. The require- ment of paragraph (b) of this section shall not apply to counsel representing the Commission or the Chief of the En- forcement Bureau.
[28 FR 12450, Nov. 22, 1963, as amended at 67 FR 13223, Mar. 21, 2002]
COMPLAINTS
§ 1.711 Formal or informal complaints. Complaints filed against carriers
under section 208 of the Communica-
tions Act may be either formal or in- formal.
INFORMAL COMPLAINTS
§ 1.716 Form.
An informal complaint shall be in writing and should contain: (a) The name, address and telephone number of the complaint, (b) the name of the car- rier against which the complaint is made, (c) a complete statement of the facts tending to show that such carrier did or omitted to do anything in con- travention of the Communications Act, and (d) the specific relief of satisfac- tion sought.
[51 FR 16039, Apr. 30, 1986]
§ 1.717 Procedure. The Commission will forward infor-
mal complaints to the appropriate car- rier for investigation. The carrier will, within such time as may be prescribed, advise the Commission in writing, with a copy to the complainant, of its satis- faction of the complaint or of its re- fusal or inability to do so. Where there are clear indications from the carrier’s report or from other communications with the parties that the complaint has been satisfied, the Commission may, in its discretion, consider a complaint proceeding to be closed, without re- sponse to the complainant. In all other cases, the Commission will contact the complainant regarding its review and disposition of the matters raised. If the complainant is not satisfied by the car- rier’s response and the Commission’s disposition, it may file a formal com- plaint in accordance with § 1.721 of this part.
[51 FR 16039, Apr. 30, 1986]
§ 1.718 Unsatisfied informal com- plaints; formal complaints relating back to the filing dates of informal complaints.
When an informal complaint has not been satisfied pursuant to § 1.717, the complainant may file a formal com- plaint with this Commission in the form specified in § 1.721. Such filing will be deemed to relate back to the filing date of the informal complaint: Pro- vided, That the formal complaint: (a) Is filed within 6 months from the date of
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the carrier’s report, (b) makes ref- erence to the date of the informal com- plaint, and (c) is based on the same cause of action as the informal com- plaint. If no formal complaint is filed within the 6-month period, the com- plainant will be deemed to have aban- doned the unsatisfied informal com- plaint.
[51 FR 16040, Apr. 30, 1986]
§ 1.719 Informal complaints filed pur- suant to section 258.
(a) Notwithstanding the require- ments of §§ 1.716 through 1.718, the fol- lowing procedures shall apply to com- plaints alleging that a carrier has vio- lated section 258 of the Communica- tions Act of 1934, as amended by the Telecommunications Act of 1996, by making an unauthorized change of a subscriber’s preferred carrier, as de- fined by § 64.1100(e) of this chapter.
(b) Form. The complaint shall be in writing, and should contain: The com- plainant’s name, address, telephone number and e-mail address (if the com- plainant has one); the name of both the allegedly unauthorized carrier, as de- fined by § 64.1100(d) of this chapter, and authorized carrier, as defined by § 64.1100(c) of this chapter; a complete statement of the facts (including any documentation) tending to show that such carrier engaged in an unauthor- ized change of the subscriber’s pre- ferred carrier; a statement of whether the complainant has paid any disputed charges to the allegedly unauthorized carrier; and the specific relief sought.
(c) Procedure. The Commission will resolve slamming complaints under the definitions and procedures established in §§ 64.1100 through 64.1190 of this chap- ter. The Commission will issue a writ- ten (or electronic) order informing the complainant, the unauthorized carrier, and the authorized carrier of its find- ing, and ordering the appropriate rem- edy, if any, as defined by §§ 64.1160 through 64.1170 of this chapter.
(d) Unsatisfied Informal Complaints Involving Unauthorized Changes of a Subscriber’s Preferred Carrier; Formal Complaints Relating Back to the Fil- ing Dates of Informal Complaints. If the complainant is unsatisfied with the resolution of a complaint under this section, the complainant may file a
formal complaint with the Commission in the form specified in § 1.721. Such fil- ing will be deemed to relate back to the filing date of the informal com- plaint filed under this section, so long as the informal complaint complied with the requirements of paragraph (b) of this section and provided that: The formal complaint is filed within 45 days from the date an order resolving the in- formal complaint filed under this sec- tion is mailed or delivered electroni- cally to the complainant; makes ref- erence to both the informal complaint number assigned to and the initial date of filing the informal complaint filed under this section; and is based on the same cause of action as the informal complaint filed under this section. If no formal complaint is filed within the 45–day period, the complainant will be deemed to have abandoned its right to bring a formal complaint regarding the cause of action at issue.
[65 FR 47690, Aug. 3, 2000]
FORMAL COMPLAINTS
§ 1.720 General pleading requirements. Formal complaint proceedings are
generally resolved on a written record consisting of a complaint, answer, and joint statement of stipulated facts, dis- puted facts and key legal issues, along with all associated affidavits, exhibits and other attachments. Commission proceedings may also require or permit other written submissions such as briefs, written interrogatories, and other supplementary documents or pleadings. Those formal complaint pro- ceedings handled on the Enforcement Bureau’s Accelerated Docket are sub- ject to pleading and procedural rules that differ in some respects from the general rules for formal complaint pro- ceedings.
(a) Pleadings must be clear, concise, and explicit. All matters concerning a claim, defense or requested remedy, in- cluding damages, should be pleaded fully and with specificity.
(b) Pleadings must contain facts which, if true, are sufficient to con- stitute a violation of the Act or Com- mission order or regulation, or a de- fense to such alleged violation.
(c) Facts must be supported by rel- evant documentation or affidavit.
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(d) Legal arguments must be sup- ported by appropriate judicial, Com- mission, or statutory authority.
(e) Opposing authorities must be dis- tinguished.
(f) Copies must be provided of all non-Commission authorities relied upon which are not routinely available in national reporting systems, such as unpublished decisions or slip opinions of courts or administrative agencies.
(g) Parties are responsible for the continuing accuracy and completeness of all information and supporting au- thority furnished in a pending com- plaint proceeding. Information sub- mitted, as well as relevant legal au- thorities, must be current and updated as necessary and in a timely manner at any time before a decision is rendered on the merits of the complaint.
(h) Specific reference shall be made to any tariff provision relied on in sup- port of a claim or defense. Copies of relevant tariffs or relevant portions of tariffs that are referred to or relied upon in a complaint, answer, or other pleading shall be appended to such complaint, answer, or other pleading.
(i) All statements purporting to sum- marize or explain Commission orders or policies must cite, in standard legal form, the Commission ruling upon which such statements are based.
(j) Pleadings shall identify the name, address, telephone number, and fac- simile transmission number for either the filing party’s attorney or, where a party is not represented by an attor- ney, the filing party.
[53 FR 11852, Apr. 11, 1988, as amended at 58 FR 25572, Apr. 27, 1993; 63 FR 1035, Jan. 7, 1998; 63 FR 41446, Aug. 4, 1998; 64 FR 60725, Nov. 8, 1999]
§ 1.721 Format and content of com- plaints.
(a) Subject to paragraph (e) of this section governing supplemental com- plaints filed pursuant to § 1.722, and paragraph (f) of this section governing Accelerated Docket proceedings, a for- mal complaint shall contain:
(1) The name of each complainant and defendant;
(2) The occupation, address and tele- phone number of each complainant and, to the extent known, each defend- ant;
(3) The name, address, and telephone number of complainant’s attorney, if represented by counsel;
(4) Citation to the section of the Communications Act and/or order and/ or regulation of the Commission al- leged to have been violated.
(5) A complete statement of facts which, if proven true, would constitute such a violation. All material facts must be supported, pursuant to the re- quirements of § 1.720(c) and paragraph (a)(11) of this section, by relevant affi- davits and documentation, including copies of relevant written agreements, offers, counter-offers, denials, or other related correspondence. The statement of facts shall include a detailed expla- nation of the manner and time period in which a defendant has allegedly vio- lated the Act, Commission order, or Commission rule in question, including a full identification or description of the communications, transmissions, services, or other carrier conduct com- plained of and the nature of any injury allegedly sustained by the complain- ant. Assertions based on information and belief are expressly prohibited un- less made in good faith and accom- panied by an affidavit explaining the basis for the plaintiff’s belief and why the complainant could not reasonably ascertain the facts from the defendant or any other source;
(6) Proposed findings of fact, conclu- sions of law, and legal analysis rel- evant to the claims and arguments set forth in the complaint;
(7) The relief sought, including recov- ery of damages and the amount of dam- ages claimed, if known;
(8) Certification that the complain- ant has, in good faith, discussed or at- tempted to discuss the possibility of settlement with each defendant prior to the filing of the formal complaint. Such certification shall include a statement that, prior to the filing of the complaint, the complainant mailed a certified letter outlining the allega- tions that form the basis of the com- plaint it anticipated filing with the Commission to the defendant carrier or one of the defendant’s registered agents for service of process that in- vited a response within a reasonable period of time and a brief summary of all additional steps taken to resolve
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the dispute prior to the filing of the formal complaint. If no additional steps were taken, such certificate shall state the reason(s) why the complain- ant believed such steps would be fruit- less;
(9) Whether a separate action has been filed with the Commission, any court, or other government agency that is based on the same claim or same set of facts, in whole or in part, or whether the complaint seeks pro- spective relief identical to the relief proposed or at issue in a notice-and- comment proceeding that is concur- rently before the Commission;
(10) An information designation con- taining:
(i) The name, address, and position of each individual believed to have first- hand knowledge of the facts alleged with particularity in the complaint, along with a description of the facts within any such individual’s knowl- edge;
(ii) A description of all documents, data compilations and tangible things in the complainant’s possession, cus- tody, or control, that are relevant to the facts alleged with particularity in the complaint. Such description shall include for each document:
(A) The date it was prepared, mailed, transmitted, or otherwise dissemi- nated;
(B) The author, preparer, or other source;
(C) The recipient(s) or intended re- cipient(s);
(D) Its physical location; and (E) A description of its relevance to
the matters contained in the com- plaint; and
(iii) A complete description of the manner in which the complainant iden- tified all persons with information and designated all documents, data com- pilations and tangible things as being relevant to the dispute, including, but not limited to, identifying the indi- vidual(s) that conducted the informa- tion search and the criteria used to identify such persons, documents, data compilations, tangible things, and in- formation;
(11) Copies of all affidavits, docu- ments, data compilations and tangible things in the complainant’s possession, custody, or control, upon which the
complainant relies or intends to rely to support the facts alleged and legal ar- guments made in the complaint;
(12) A completed Formal Complaint Intake Form;
(13) A declaration, under penalty of perjury, by the complainant or com- plainant’s counsel describing the amount, method, and date of the com- plainant’s payment of the filing fee re- quired under § 1.1106 and the complain- ant’s 10-digit FCC Registration Num- ber, if any;
(14) A certificate of service; and (15) A FCC Registration Number is
required under Part 1, Subpart W. Sub- mission of a complaint without the FCC Registration Number as required by Part 1, subpart W will result in dis- missal of the complaint.
(b) The following format may be used in cases to which it is applicable, with such modifications as the cir- cumstances may render necessary:
BEFORE THE FEDERAL COMMUNICATIONS COMMISSION, WASHINGTON, DC 20554
In the matter of
llllllllllllllllllllllll
Complainant,
v.
llllllllllllllllllllllll
Defendant.
File No. (To be inserted by the Enforcement Bureau)
Complaint
To: The Commission. The complainant (here insert full name of
each complainant and, if a corporation, the corporate title of such complainant) shows that:
1. (Here state occupation, post office ad- dress, and telephone number of each com- plainant).
2. (Here insert the name, occupation and, to the extent known, address and telephone number of defendants).
3. (Here insert fully and clearly the specific act or thing complained of, together with such facts as are necessary to give a full un- derstanding of the matter, including rel- evant legal and documentary support).
Wherefore, complainant asks (here state specifically the relief desired).
llllllllllllllllllllllll
(Date)
llllllllllllllllllllllll
(Name of each complainant)
llllllllllllllllllllllll
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(Name, address, and telephone number of at- torney, if any)
(c) Where the complaint is filed pur- suant to § 47 U.S.C. § 271(d)(6)(B), the complainant shall clearly indicate whether or not it is willing to waive the ninety-day resolution deadline con- tained within 47 U.S.C. 271(d)(6)(B), in accordance with the requirements of § 1.736.
(d) The complainant may petition the staff, pursuant to § 1.3, for a waiver of any of the requirements of this section. Such waiver may be granted for good cause shown.
(e) Supplemental complaints. (1) Sup- plemental complaints filed pursuant to § 1.722 shall conform to the require- ments set out in this section and § 1.720, except that the requirements in §§ 1.720(b), 1.721(a)(4), (a) (5), (a)(8), (9), (a)(12), and (a)(13) shall not apply to such supplemental complaints;
(2) In addition, supplemental com- plaints filed pursuant to § 1.722 shall contain a complete statement of facts which, if proven true, would support complainant’s calculation of damages for each category of damages for which recovery is sought. All material facts must be supported, pursuant to the re- quirements of § 1.720(c) and paragraph (a)(11) of this section, by relevant affi- davits and other documentation. The statement of facts shall include a de- tailed explanation of the matters relied upon, including a full identification or description of the communications, transmissions, services, or other mat- ters relevant to the calculation of dam- ages and the nature of any injury alleg- edly sustained by the complainant. As- sertions based on information and be- lief are expressly prohibited unless made in good faith and accompanied by an affidavit explaining the basis for the complainant’s belief and why the com- plainant could not reasonably ascer- tain the facts from the defendant or any other source;
(3) Supplemental complaints filed pursuant to § 1.722 shall contain a cer- tification that the complainant has, in good faith, discussed or attempted to discuss the possibility of settlement with respect to damages for which re- covery is sought with each defendant prior to the filing of the supplemental complaint. Such certification shall in-
clude a statement that, no later than 30 days after the release of the liability order, the complainant mailed a cer- tified letter to the primary individual who represented the defendant carrier during the initial complaint proceeding outlining the allegations that form the basis of the supplemental complaint it anticipates filing with the Commission and inviting a response from the car- rier within a reasonable period of time. The certification shall also contain a brief summary of all additional steps taken to resolve the dispute prior to the filing of the supplemental com- plaint. If no additional steps were taken, such certification shall state the reason(s) why the complainant be- lieved such steps would be fruitless.
(f) Complaints on the Accelerated Dock- et. For the purpose of this paragraph (e), the term document also shall in- clude data compilations and tangible things.
(1) Formal complaints that have been accepted onto the Accelerated Docket shall conform to the requirements set out in this section with the following listed exceptions:
(i) The requirement in § 1.720(c) and paragraphs (a)(5) and (a)(11) of this sec- tion that factual assertions be sup- ported by affidavit shall not apply to complaints on the Accelerated Docket. Nevertheless, allegations of material fact, whether based on personal knowl- edge or information and belief, that cannot be supported by documentation remain subject to the provisions of § 1.52.
(ii) Complaints on the Accelerated Docket are not required to include pro- posed findings of fact, conclusions of law, and legal analysis relevant to the claims and arguments set forth in the complaint, as required in paragraph (a)(6) of this section. Nevertheless, complaints on the Accelerated Docket shall fully set out the facts and legal theories on which the complainant premises its claims.
(iii) In light of the requirement for staff-supervised settlement negotia- tions in § 1.730(b), complaints on the Accelerated Docket are not required to include a certification that the com- plainant has discussed or attempted to discuss the possibility of settlement
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with each defendant, as required in paragraph (a)(8) of this section.
(iv) In light of the automatic docu- ment production required in § 1.729(i)(1), complaints on the Acceler- ated Docket are not required to include a description of all relevant documents in the complainant’s possession, cus- tody or control, as required in para- graph (a)(10)(ii) of this section.
(v) Complaints on the Accelerated Docket are not required to provide the description, required in paragraph (a)(10)(iii) of this section, of the man- ner in which the complainant identi- fied persons with knowledge of, and documents relevant to, the dispute.
(2) Formal complaints that have been accepted onto the Accelerated Docket will comply with the following require- ments in addition to those require- ments generally applicable in formal complaint proceedings:
(i) As required in § 1.729(i)(1), com- plaints on the Accelerated Docket shall be accompanied, when served on de- fendants, by copies of documents, with- in the complainant’s possession, cus- tody or control, that are likely to bear significantly on the issues raised in the complaint. Unless otherwise directed, these documents shall not be filed with the Commission.
(ii) Complaints on the Accelerated Docket will bear the following notation in bold typeface above the normal cap- tion on the first page: ‘‘Accelerated Docket Proceeding: Answer Due Within Ten Days of Service Date.’’
[53 FR 11853, Apr. 11, 1988, as amended at 63 FR 1035, Jan. 7, 1998; 63 FR 41446, Aug. 4, 1998; 64 FR 60725, Nov. 8, 1999; 66 FR 16616, Mar. 27, 2001; 66 FR 47895, Sept. 14, 2001; 69 FR 41130, July 7, 2004]
§ 1.722 Damages. (a) If a complainant wishes to recover
damages, the complaint must contain a clear and unequivocal request for dam- ages.
(b) If a complainant wishes a deter- mination of damages to be made in the same proceeding as the determinations of liability and prospective relief, the complaint must contain the allegations and information required by paragraph (h) of this section.
(c) Notwithstanding paragraph (b) of this section, in any proceeding to
which no statutory deadline applies, if the Commission decides that a deter- mination of damages would best be made in a proceeding that is separate from and subsequent to the proceeding in which the determinations of liabil- ity and prospective relief are made, the Commission may at any time order that the initial proceeding will deter- mine only liability and prospective re- lief, and that a separate, subsequent proceeding initiated in accordance with paragraph (e) of this section will determine damages.
(d) If a complainant wishes a deter- mination of damages to be made in a proceeding that is separate from and subsequent to the proceeding in which the determinations of liability and pro- spective relief are made, the complain- ant must:
(1) Comply with paragraph (a) of this section, and
(2) State clearly and unequivocally that the complainant wishes a deter- mination of damages to be made in a proceeding that is separate from and subsequent to the proceeding in which the determinations of liability and pro- spective relief will be made.
(e) If a complainant proceeds pursu- ant to paragraph (d) of this section, or if the Commission invokes its author- ity under paragraph (c) of this section, the complainant may initiate a sepa- rate proceeding to obtain a determina- tion of damages by filing a supple- mental complaint that complies with § 1.721(e) and paragraph (h) of this sec- tion within sixty days after public no- tice (as defined in § 1.4(b) of this chap- ter) of a decision that contains a find- ing of liability on the merits of the original complaint.
(f) If a complainant files a supple- mental complaint for damages in ac- cordance with paragraph (e) of this sec- tion, the supplemental complaint shall be deemed, for statutory limitations purposes, to relate back to the date of the original complaint.
(g) Where a complainant chooses to seek the recovery of damages upon a supplemental complaint in accordance with the requirements of paragraph (e) of this section, the Commission will re- solve the separate, preceding liability
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complaint within any applicable com- plaint resolution deadlines contained in the Act.
(h) In all cases in which recovery of damages is sought, it shall be the re- sponsibility of the complainant to in- clude, within either the complaint or supplemental complaint for damages filed in accordance with paragraph (e) of this section, either:
(1) A computation of each and every category of damages for which recov- ery is sought, along with an identifica- tion of all relevant documents and ma- terials or such other evidence to be used by the complainant to determine the amount of such damages; or
(2) An explanation of: (i) The information not in the posses-
sion of the complaining party that is necessary to develop a detailed com- putation of damages;
(ii) Why such information is unavail- able to the complaining party;
(iii) The factual basis the complain- ant has for believing that such evi- dence of; damages exists;
(iv) A detailed outline of the method- ology that would be used to create a computation of damages with such evi- dence.
(i) Where a complainant files a sup- plemental complaint for damages in accordance with paragraph (e) of this section, the following procedures may apply:
(1) Issues concerning the amount, if any, of damages may be either des- ignated by the Enforcement Bureau for hearing before, or, if the parties agree, submitted for mediation to, a Commis- sion Administrative Law Judge. Such Administrative Law Judge shall be chosen in the following manner:
(i) By agreement of the parties and the Chief Administrative Law Judge; or
(ii) In the absence of such agreement, the Chief Administrative Law Judge shall designate the Administrative Law Judge.
(2) The Commission may, in its dis- cretion, order the defendant either to post a bond for, or deposit into an in- terest bearing escrow account, a sum equal to the amount of damages which the Commission finds, upon prelimi- nary investigation, is likely to be or- dered after the issue of damages is
fully litigated, or some lesser sum which may be appropriate, provided the Commission finds that the grant of this relief is favored on balance upon con- sideration of the following factors:
(i) The complainant’s potential irrep- arable injury in the absence of such de- posit;
(ii) The extent to which damages can be accurately calculated;
(iii) The balance of the hardships be- tween the complainant and the defend- ant; and
(iv) Whether public interest consider- ations favor the posting of the bond or ordering of the deposit.
(3) The Commission may, in its dis- cretion, suspend ongoing damages pro- ceedings for fourteen days, to provide the parties with a time within which to pursue settlement negotiations and/or alternative dispute resolution proce- dures.
(4) The Commission may, in its dis- cretion, end adjudication of damages with a determination of the sufficiency of a damages computation method or formula. No such method or formula shall contain a provision to offset any claim of the defendant against the complainant. The parties shall nego- tiate in good faith to reach an agree- ment on the exact amount of damages pursuant to the Commission-mandated method or formula. Within thirty days of the release date of the damages order, parties shall submit jointly to the Commission either:
(i) A statement detailing the parties’ agreement as to the amount of dam- ages;
(ii) A statement that the parties are continuing to negotiate in good faith and a request that the parties be given an extension of time to continue nego- tiations; or
(iii) A statement detailing the bases for the continuing dispute and the rea- sons why no agreement can be reached.
(j) Except where otherwise indicated, the rules governing initial formal com- plaint proceedings govern supple- mental formal complaint proceedings, as well.
[66 FR 16616, Mar. 27, 2001]
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Federal Communications Commission § 1.724
§ 1.723 Joinder of complainants and causes of action.
(a) Two or more complainants may join in one complaint if their respec- tive causes of action are against the same defendant and concern substan- tially the same facts and alleged viola- tion of the Communications Act.
(b) Two or more grounds of complaint involving the same principle, subject, or statement of facts may be included in one complaint, but should be sepa- rately stated and numbered.
[53 FR 11853, Apr. 11, 1988]
§ 1.724 Answers.
(a) Subject to paragraph (k) of this section governing Accelerated Docket proceedings, any carrier upon which a copy of a formal complaint is served shall answer such complaint in the manner prescribed under this section within twenty days of service of the formal complaint by the complainant, unless otherwise directed by the Com- mission.
(b) The answer shall advise the com- plainant and the Commission fully and completely of the nature of any de- fense, and shall respond specifically to all material allegations of the com- plaint. Every effort shall be made to narrow the issues in the answer. The defendant shall state concisely its de- fense to each claim asserted, admit or deny the averments on which the com- plainant relies, and state in detail the basis for admitting or denying such averment. General denials are prohib- ited. Denials based on information and belief are expressly prohibited unless made in good faith and accompanied by an affidavit explaining the basis for the defendant’s belief and why the defend- ant could not reasonably ascertain the facts from the complainant or any other source. If the defendant is with- out knowledge or information suffi- cient to form a belief as to the truth of an averment, the defendant shall so state and this has the effect of a denial. When a defendant intends in good faith to deny only part of an averment, the defendant shall specify so much of it as is true and shall deny only the remain- der. The defendant may deny the alle- gations of the complaint as specific de-
nials of either designated averments or paragraphs.
(c) The answer shall contain proposed findings of fact, conclusions of law, and legal analysis relevant to the claims and arguments set forth in the answer.
(d) Averments in a complaint or sup- plemental complaint filed pursuant to § 1.722 are deemed to be admitted when not denied in the answer.
(e) Affirmative defenses to allega- tions contained in the complaint shall be specifically captioned as such and presented separately from any denials made in accordance with paragraph (c) of this section.
(f) The answer shall include an infor- mation designation containing:
(1) The name, address, and position of each individual believed to have first- hand knowledge of the facts alleged with particularity in the answer, along with a description of the facts within any such individual’s knowledge;
(2) A description of all documents, data compilations and tangible things in the defendant’s possession, custody, or control, that are relevant to the facts alleged with particularity in the answer. Such description shall include for each document:
(i) The date it was prepared, mailed, transmitted, or otherwise dissemi- nated;
(ii) The author, preparer, or other source;
(iii) The recipient(s) or intended re- cipient(s);
(iv) Its physical location; and (v) A description of its relevance to
the matters in dispute. (3) A complete description of the
manner in which the defendant identi- fied all persons with information and designated all documents, data com- pilations and tangible things as being relevant to the dispute, including, but not limited to, identifying the indi- vidual(s) that conducted the informa- tion search and the criteria used to identify such persons, documents, data compilations, tangible things, and in- formation;
(g) The answer shall attach copies of all affidavits, documents, data com- pilations and tangible things in the de- fendant’s possession, custody, or con- trol, upon which the defendant relies or
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intends to rely to support the facts al- leged and legal arguments made in the answer.
(h) The answer shall contain certifi- cation that the defendant has, in good faith, discussed or attempted to dis- cuss, the possibility of settlement with the complainant prior to the filing of the formal complaint. Such certifi- cation shall include a brief summary of all steps taken to resolve the dispute prior to the filing of the formal com- plaint. If no such steps were taken, such certificate shall state the rea- son(s) why the defendant believed such steps would be fruitless;
(i) Where the complaint is filed pur- suant to 47 U.S.C. 271(d)(6)(B), the de- fendant shall clearly indicate its will- ingness to waive the 90-day resolution deadline contained within 47 U.S.C. 271(d)(6)(B), in accordance with the re- quirements of § 1.736.
(j) The defendant may petition the staff, pursuant to § 1.3, for a waiver of any of the requirements of this section. Such waiver may be granted for good cause shown.
(k) Accelerated Docket Proceedings. For the purpose of this paragraph (k), the term document also shall include data compilations and tangible things.
(1) Any party named as a defendant in an Accelerated Docket formal com- plaint shall answer such complaint in the manner prescribed under this sec- tion within ten days of service of the complaint by the complainant, unless otherwise directed by the Commission. Except as set forth in this paragraph (k), answers in Accelerated Docket pro- ceedings shall comply with the require- ments of this section.
(2) The requirement in § 1.720(c) and paragraph (g) of this section that fac- tual assertions be supported by affi- davit shall not apply to answers in Ac- celerated Docket proceedings. Never- theless, allegations of material fact, whether based on personal knowledge or information and belief, that cannot be supported by documentation remain subject to the provisions of § 1.52.
(3) Answers on the Accelerated Dock- et are not required to include proposed findings of fact, conclusions of law, and legal analysis relevant to the defenses and arguments set forth in the answer, as required in paragraph (c) of this sec-
tion. Nevertheless, answers on the Ac- celerated Docket shall fully set out the facts and legal theories on which the defendant premises its defenses.
(4) In light of the requirement for staff-supervised settlement negotia- tions required in § 1.730(b), answers on the Accelerated Docket are not re- quired to include a certification that the defendant has discussed, or at- tempted to discuss, the possibility of settlement with the complainant, as required in paragraph (h) of this sec- tion.
(5) As required in § 1.729(i)(1), answers on the Accelerated Docket shall be ac- companied, when served on complain- ants, by copies of documents, within the defendant’s possession, custody or control, that are likely to bear signifi- cantly on the issues raised in the pro- ceeding. Unless otherwise directed, these documents shall not be filed with the Commission. In light of this auto- matic document production require- ment, answers on the Accelerated Docket are not required to include a description of all relevant documents in the defendant’s possession, custody or control, as required in paragraph (f)(2) of this section.
(6) Answers on the Accelerated Dock- et are not required to provide the de- scription, required in paragraph (f)(3) of this section, of the manner in which the defendant identified persons with knowledge of, and documents relevant to, the dispute.
(7) In Accelerated Docket pro- ceedings, the defendant, as required in § 1.729(i)(1), shall serve, contempora- neously with its answer, the complain- ant(s) with copies of documents, within the defendant’s possession, custody or control, that are likely to bear signifi- cantly on the issues raised in the com- plaint and/or the answer.
[53 FR 11853, Apr. 11, 1988, as amended at 58 FR 25572, Apr. 27, 1993; 63 FR 1037, Jan. 7, 1998; 63 FR 41446, Aug. 4, 1998; 66 FR 16617, Mar. 27, 2001]
§ 1.725 Cross-complaints and counter- claims.
Cross-complaints seeking any relief within the jurisdiction of the Commis- sion against any carrier that is a party (complainant or defendant) to that pro- ceeding are expressly prohibited. Any
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Federal Communications Commission § 1.726
claim that might otherwise meet the requirements of a cross-complaint may be filed as a separate complaint in ac- cordance with §§ 1.720 through 1.736. For purposes of this subpart, the term ‘‘cross-complaint’’ shall include coun- terclaims.
[63 FR 1037, Jan. 7, 1998]
§ 1.726 Replies.
(a) Subject to paragraph (g) of this section governing Accelerated Docket proceedings, within three days after service of an answer containing affirm- ative defenses presented in accordance with the requirements of § 1.724(e), a complainant may file and serve a reply containing statements of relevant, ma- terial facts and legal arguments that shall be responsive to only those spe- cific factual allegations and legal argu- ments made by the defendant in sup- port of its affirmative defenses. Replies which contain other allegations or ar- guments will not be accepted or consid- ered by the Commission.
(b) Failure to reply to an affirmative defense shall be deemed an admission of such affirmative defense and of any facts supporting such affirmative de- fense that are not specifically contra- dicted in the complaint.
(c) The reply shall contain proposed findings of fact, conclusions of law, and legal analysis relevant to the claims and arguments set forth in the reply.
(d) The reply shall include an infor- mation designation containing:
(1) The name, address and position of each individual believed to have first- hand knowledge about the facts alleged with particularity in the reply, along with a description of the facts within any such individual’s knowledge.
(2) A description of all documents, data compilations and tangible things in the complainant’s possession, cus- tody, or control that are relevant to the facts alleged with particularity in the reply. Such description shall in- clude for each document:
(i) The date prepared, mailed, trans- mitted, or otherwise disseminated;
(ii) The author, preparer, or other source;
(iii) The recipient(s) or intended re- cipient(s);
(iv) Its physical location; and
(v) A description of its relevance to the matters in dispute.
(3) A complete description of the manner in which the complainant iden- tified all persons with information and designated all documents, data com- pilations and tangible things as being relevant to the dispute, including, but not limited to, identifying the indi- vidual(s) that conducted the informa- tion search and the criteria used to identify such persons, documents, data compilations, tangible things, and in- formation;
(e) The reply shall attach copies of all affidavits, documents, data com- pilations and tangible things in the complainant’s possession, custody, or control upon which the complainant relies or intends to rely to support the facts alleged and legal arguments made in the reply.
(f) The complainant may petition the staff, pursuant to § 1.3, for a waiver of any of the requirements of this section. Such waiver may be granted for good cause shown.
(g) Accelerated Docket Proceedings. For the purpose of this paragraph (g), the term document also shall include data compilations and tangible things.
(1) The filing of a separate pleading to reply to affirmative defenses is not permitted in Accelerated Docket pro- ceedings. Complainants in such pro- ceedings may include, in the § 1.733(i)(4) pre-status-conference filing, those statements that otherwise would have been the subject of a reply.
(2) In Accelerated Docket pro- ceedings, the failure to reply, in the pre-status-conference filing, to an af- firmative defense shall be deemed an admission of such affirmative defense and of any facts supporting such af- firmative defense that are not specifi- cally contradicted in the complaint.
(3) If a complainant replies to an af- firmative defense in its § 1.733(i)(4), pre- status-conference filing, it shall in- clude in that filing the information, re- quired by paragraph (d)(1) of this sec- tion, identifying individuals with first- hand knowledge of the facts alleged in the reply.
(4) An Accelerated Docket complain- ant that replies to an affirmative de- fense in its § 1.733(i)(4), pre-status-con- ference filing also shall serve on the
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47 CFR Ch. I (10–1–10 Edition)§ 1.727
defendant, at the same time as that fil- ing, those documents in the complain- ant’s possession, custody or control that were not previously produced to the defendant and that are likely to bear significantly on the issues raised in the reply. Such a complainant is not required to comply with the remainder of the requirements in paragraphs (d) and (e) of this section.
[63 FR 1037, Jan. 7, 1998, as amended at 63 FR 41447, Aug. 4, 1998; 66 FR 16617, Mar. 27, 2001]
§ 1.727 Motions. (a) A request to the Commission for
an order shall be by written motion, stating with particularity the grounds and authority therefor, and setting forth the relief or order sought.
(b) All dispositive motions shall con- tain proposed findings of fact and con- clusions of law, with supporting legal analysis, relevant to the contents of the pleading. Motions to compel dis- covery must contain a certification by the moving party that a good faith at- tempt to resolve the dispute was made prior to filing the motion. All facts re- lied upon in motions must be supported by documentation or affidavits pursu- ant to the requirements of § 1.720(c), ex- cept for those facts of which official notice may be taken.
(c) The moving party shall provide a proposed order for adoption, which ap- propriately incorporates the basis therefor, including proposed findings of fact and conclusions of law relevant to the pleading. The proposed order shall be clearly marked as a ‘‘Proposed Order.’’ The proposed order shall be submitted both as a hard copy and on computer disk in accordance with the requirements of § 1.734(d). Where appro- priate, the proposed order format should conform to that of a reported FCC order.
(d) Oppositions to any motion shall be accompanied by a proposed order for adoption, which appropriately incor- porates the basis therefor, including proposed findings of fact and conclu- sions of law relevant to the pleading. The proposed order shall be clearly captioned as a ‘‘Proposed Order.’’ The proposed order shall be submitted both as a hard copy and on computer disk in accordance with the requirements of § 1.734(d). Where appropriate, the pro-
posed order format should conform to that of a reported FCC order.
(e) Oppositions to motions may be filed and served within five business days after the motion is filed and served and not after. Oppositions shall be limited to the specific issues and al- legations contained in such motion; when a motion is incorporated in an answer to a complaint, the opposition to such motion shall not address any issues presented in the answer that are not also specifically raised in the mo- tion. Failure to oppose any motion may constitute grounds for granting of the motion.
(f) No reply may be filed to an opposi- tion to a motion.
(g) Motions seeking an order that the allegations in the complaint be made more definite and certain are prohib- ited.
(h) Amendments or supplements to complaints to add new claims or re- quests for relief are prohibited. Parties are responsible, however, for the con- tinuing accuracy and completeness of all information and supporting author- ity furnished in a pending complaint proceeding as required under § 1.720(g).
[53 FR 11854, Apr. 11, 1988, as amended at 58 FR 25572, Apr. 27, 1993; 63 FR 1036, Jan. 7, 1998; 63 FR 41447, Aug. 4, 1998]
§ 1.728 Formal complaints not stating a cause of action; defective plead- ings.
(a) Any document purporting to be a formal complaint which does not state a cause of action under the Commu- nications Act will be dismissed. In such case, any amendment or supplement to such document will be considered a new filing which must be made within the statutory periods of limitations of actions contained in section 415 of the Communications Act.
(b) Any other pleading filed in a for- mal complaint proceeding not in con- formity with the requirements of the applicable rules in this part may be deemed defective. In such case the Commission may strike the pleading or request that specified defects be cor- rected and that proper pleadings be filed with the Commission and served on all parties within a prescribed time
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Federal Communications Commission § 1.729
as a condition to being made a part of the record in the proceeding.
[53 FR 11854, Apr. 11, 1988]
§ 1.729 Discovery. (a) Subject to paragraph (i) of this
section governing Accelerated Docket proceedings, a complainant may file with the Commission and serve on a de- fendant, concurrently with its com- plaint, a request for up to ten written interrogatories. A defendant may file with the Commission and serve on a complainant, during the period start- ing with the service of the complaint and ending with the service of its an- swer, a request for up to ten written in- terrogatories. A complainant may file with the Commission and serve on a de- fendant, within three calendar days of service of the defendant’s answer, a re- quest for up to five written interrog- atories. Subparts of any interrogatory will be counted as separate interrog- atories for purposes of compliance with this limit. Requests for interrogatories filed and served pursuant to this proce- dure may be used to seek discovery of any non-privileged matter that is rel- evant to the material facts in dispute in the pending proceeding, provided, however, that requests for interrog- atories filed and served by a complain- ant after service of the defendant’s an- swer shall be limited in scope to spe- cific factual allegations made by the defendant in support of its affirmative defenses. This procedure may not be employed for the purpose of delay, har- assment or obtaining information that is beyond the scope of permissible in- quiry related to the material facts in dispute in the pending proceeding.
(b) Requests for interrogatories filed and served pursuant to paragraph (a) of this section shall contain a listing of the interrogatories requested and an explanation of why the information sought in each interrogatory is both necessary to the resolution of the dis- pute and not available from any other source.
(c) A responding party shall file with the Commission and serve on the pro- pounding party any opposition and ob- jections to the requests for interrog- atories as follows:
(1) By the defendant, within ten cal- endar days of service of the requests
for interrogatories served simulta- neously with the complaint and within five calendar days of the requests for interrogatories served following serv- ice of the answer;
(2) By the complainant, within five calendar days of service of the requests for interrogatories; and
(3) In no event less than three cal- endar days prior to the initial status conference as provided for in § 1.733(a).
(d) Commission staff will consider the requests for interrogatories, prop- erly filed and served pursuant to para- graph (a) of this section, along with any objections or oppositions thereto, properly filed and served pursuant to paragraph (b) of this section, at the ini- tial status conference, as provided for in § 1.733(a)(5), and at that time deter- mine the interrogatories, if any, to which parties shall respond, and set the schedule of such response.
(e) The interrogatories ordered to be answered pursuant to paragraph (d) of this section are to be answered sepa- rately and fully in writing under oath or affirmation by the party served, or if such party is a public or private cor- poration or partnership or association, by any officer or agent who shall fur- nish such information as is available to the party. The answers shall be signed by the person making them. The an- swers shall be filed with the Commis- sion and served on the propounding party.
(f) A propounding party asserting that a responding party has provided an inadequate or insufficient response to Commission-ordered discovery re- quest may file a motion to compel within ten days of the service of such response, or as otherwise directed by Commission staff, pursuant to the re- quirements of § 1.727.
(g) The Commission may, in its dis- cretion, require parties to provide doc- uments to the Commission in a scanned or other electronic format that provides:
(1) Indexing by useful identifying in- formation about the documents; and
(2) Technology that allows staff to annotate the index so as to make the format an efficient means of reviewing the documents.
(h) The Commission may allow addi- tional discovery, including, but not
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limited to, document production, depo- sitions and/or additional interrog- atories. In its discretion, the Commis- sion may modify the scope, means and scheduling of discovery in light of the needs of a particular case and the re- quirements of applicable statutory deadlines.
(i) Discovery in Accelerated Docket pro- ceedings. (1) Each party to an Acceler- ated Docket proceeding shall serve, with its initial pleading and with any reply statements in the pre-status-con- ference filing (see § 1.726(g)(1)), copies of all documents in the possession, cus- tody or control of the party that are likely to bear significantly on any claim or defense. For the purpose of this paragraph (i), document also shall include data compilations and tangible things. A document is likely to bear significantly on a claim or defense if it:
(i) Appears likely to have an influ- ence on, or affect the outcome of, a claim or defense;
(ii) Reflects the relevant knowledge of persons who, if their potential testi- mony were known, might reasonably be expected to be deposed or called as a witness by any of the parties;
(iii) Is something that competent counsel would consider reasonably nec- essary to prepare, evaluate or try a claim or defense; or
(iv) Would not support the disclosing party’s contentions.
(2) In their § 1.733(i)(4) pre-status-con- ference filings, parties to Accelerated Docket proceedings may request the production of additional documents. In their § 1.733(i)(4) filings, parties may also seek leave to conduct a reasonable number of depositions, including depo- sitions of expert witnesses, if any. When requesting additional discovery, each party shall be prepared at the sta- tus conference to justify its requests by identifying the specific issue or issues on which it expects to obtain evidence from each request.
(3) Interrogatories shall not be rou- tinely granted in Accelerated Docket proceedings. A party to an Accelerated Docket proceeding that prefers inter- rogatories to the other forms of avail- able discovery, for reasons of conven- ience or expense, may seek leave in its § 1.733(i)(4) pre-status-conference filing
to propound a limited number of inter- rogatories.
(4) Expert Witnesses. (i) Any complainant in an Acceler-
ated Docket proceeding that intends to rely on expert testimony for a purpose other than to rebut a defendant’s ex- pert evidence, shall identify its expert witnesses in the information designa- tion required by § 1.721(a)(10)(i). In its § 1.721(a)(10)(i) information designation, such a complainant shall also provide its expert statement. For purposes of this paragraph (i)(4), an expert state- ment shall include a brief statement of the opinions to be expressed by the ex- pert, the basis and reasons therefor and any data or other information that the witness considered in forming her opin- ions.
(ii) Any defendant in an Accelerated Docket proceeding that intends to rely on expert testimony shall identify its expert witnesses in the information designation required by § 1.724(f)(1). Such a defendant shall provide its ex- pert statement with its § 1.733(i)(4), pre- status-conference filing.
(iii) Any complainant in an Acceler- ated Docket proceeding that intends to rely on previously undisclosed expert testimony to rebut any portion of the defendant’s case shall identify the ex- pert and provide the appropriate expert statement at the initial status con- ference.
(iv) Expert witnesses shall be subject to deposition in Accelerated Docket proceedings under the same rules and limitations applicable to fact wit- nesses.
[63 FR 1038, Jan. 7, 1998, as amended at 63 FR 41447, Aug. 4, 1998]
§ 1.730 The Enforcement Bureau’s Ac- celerated Docket.
(a) Parties to formal complaint pro- ceedings against common carriers within the responsibility of the En- forcement Bureau (see §§ 0.111, 0.311, 0.314 of this chapter) may request in- clusion on the Bureau’s Accelerated Docket. As set out in §§ 1.720 through 1.736, proceedings on the Accelerated Docket are subject to shorter pleading deadlines and certain other procedural rules that do not apply to other formal complaint proceedings before the En- forcement Bureau.
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(b) Any party that contemplates fil- ing a formal complaint may submit a request to the Chief of the Enforce- ment Bureau’s Market Disputes Reso- lution Division, either by phone or in writing, seeking inclusion of its com- plaint, once filed, on the Accelerated Docket. In appropriate cases, Commis- sion staff shall schedule and supervise pre-filing settlement negotiations be- tween the parties to the dispute. If the parties do not resolve their dispute and the matter is accepted for handling on the Accelerated Docket, the complain- ant shall file its complaint with a let- ter stating that it has gained admis- sion to the Accelerated Docket. When it files its complaint, such a complain- ant shall also serve a copy of its com- plaint on the Commission staff that su- pervised the pre-filing settlement dis- cussions.
(c) Within five days of receiving serv- ice of a complaint, any defendant in a formal complaint proceeding may sub- mit by facsimile or hand delivery, to the Chief of the Enforcement Bureau’s Market Disputes Resolution Division, a request seeking inclusion of its pro- ceeding on the Accelerated Docket. Such a defendant contemporaneously shall transmit, in the same manner, a copy of its request to all parties to the proceeding. A defendant submitting such a request shall file and serve its answer in compliance with the require- ments of § 1.724(k), except that the de- fendant shall not be required to serve with its answer the automatic docu- ment production required by §§ 1.724(k)(7) and 1.729(i)(1). In pro- ceedings accepted onto the Accelerated Docket at a defendant’s request, the Commission staff will conduct super- vised settlement discussions as appro- priate. After accepting such a pro- ceeding onto the Accelerated Docket, Commission staff will establish a schedule for the remainder of the pro- ceeding, including the parties’ § 1.729(i)(1) automatic production of documents.
(d) During the thirty days following the effective date of these rules, any party to a pending formal complaint proceeding in which an answer has been filed or is past due may seek ad- mission of the proceeding to the Accel- erated Docket by submitting a request
by facsimile or hand delivery to the Chief of the Enforcement Bureau’s Market Disputes Resolution Division, with facsimile copies to all other par- ties to the proceeding by the same mode of transmission. If a pending pro- ceeding is accepted onto the Acceler- ated Docket, Commission staff will conduct supervised settlement discus- sions if appropriate and establish a schedule for the remainder of the pro- ceeding, including the parties’ § 1.729(i)(1) automatic production of documents if necessary.
(e) In determining whether to admit a proceeding onto the Accelerated Docket, Commission staff may con- sider factors from the following, non- exclusive list:
(1) Whether it appears that the par- ties to the dispute have exhausted the reasonable opportunities for settle- ment during the staff-supervised settle- ment discussions.
(2) Whether the expedited resolution of a particular dispute or category of disputes appears likely to advance competition in the telecommuni- cations market.
(3) Whether the issues in the pro- ceeding appear suited for decision under the constraints of the Acceler- ated Docket. This factor may entail, inter alia, examination of the number of distinct issues raised in a proceeding, the likely complexity of the necessary discovery, and whether the complain- ant bifurcates any damages claims for decision in a separate proceeding. See § 1.722(b).
(4) Whether the complainant states a claim for violation of the Act, or Com- mission rule or order that falls within the Commission’s jurisdiction.
(5) Whether it appears that inclusion of a proceeding on the Accelerated Docket would be unfair to one party because of an overwhelming disparity in the parties’ resources.
(6) Such other factors as the Commis- sion staff, within its substantial discre- tion, may deem appropriate and condu- cive to the prompt and fair adjudica- tion of complaint proceedings.
(f) If it appears at any time that a proceeding on the Accelerated Docket is no longer appropriate for such treat- ment, Commission staff may remove
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47 CFR Ch. I (10–1–10 Edition)§ 1.730
the matter from the Accelerated Dock- et either on its own motion or at the request of any party.
(g) Minitrials. (1) In Accelerated Docket pro-
ceedings, the Commission may conduct a minitrial, or hearing-type pro- ceeding, as an alternative to requiring that parties submit briefs in support of their cases. Minitrials typically will take place between 40 and 45 days after the filing of the complaint. A Commis- sion Administrative Law Judge (‘‘ALJ’’) typically will preside at the minitrial, administer oaths to wit- nesses, and time the parties’ presen- tation of their cases. In consultation with the Commission staff, the ALJ will rule on objections or procedural issues that may arise during the course of the minitrial.
(2) Before a minitrial, each party will receive a specific time allotment in which it may present evidence and make argument during the minitrial. The ALJ or other Commission staff presiding at the minitrial will deduct from each party’s time allotment any time that the party spends presenting either evidence or argument during the proceeding. The presiding official shall have broad discretion in determining any time penalty or deduction for a party who appears to be intentionally delaying either the proceeding or the presentation of another party’s case. Within the limits imposed by its time allotment, a party may present evi- dence and argument in whatever man- ner or format it chooses, provided, however, that the submission of writ- ten testimony shall not be permitted.
(3) Three days before a minitrial, each party to a proceeding shall serve on all other parties a copy of all exhib- its that the party intends to introduce during the minitrial and a list of all witnesses, including expert witnesses, that the party may call during the minitrial. Service of this material shall be accomplished either by hand or by facsimile transmission. Objections to any exhibits or proposed witness tes- timony will be heard before the begin- ning of the minitrial.
(4) No party will be permitted to call as a witness in a minitrial, or other- wise offer evidence from, an individual in that party’s employ, unless the indi-
vidual appears on the party’s informa- tion designation (see §§ 1.721(a)(10)(i) or 1.724(f)(1)) with a general description of the issues on which she will offer evi- dence. No party will be permitted to present expert evidence unless the party has complied fully with the ex- pert-disclosure requirements of § 1.729(i)(4). The Commission may per- mit exceptions to the rules in this paragraph (g)(4) for good cause shown.
(5) Two days before the beginning of the minitrial, parties shall file pro- posed findings of fact and conclusions of law. These submissions shall not ex- ceed 40 pages per party. Within three days after the conclusion of the mini- trial, parties may submit revised pro- posed findings of fact and conclusions of law to meet evidence introduced or arguments raised at the minitrial. These submissions shall not exceed 20 pages per party.
(6) The parties shall arrange for the stenographic transcription of minitrial proceedings so that transcripts are available and filed with the Commis- sion no more than three days after the conclusion of the minitrial. Absent an agreement to the contrary, the cost of the transcript shall be shared equally between the parties to the proceeding.
(h) Applications for review of staff decisions issued on delegated authority in Accelerated Docket proceedings shall comply with the filing and serv- ice requirements in § 1.115(e)(4). In those Accelerated Docket proceedings which raise issues that may not be de- cided on delegated authority (see 47 U.S.C. 155(c)(1); 47 CFR 0.291(d)), the staff decision issued after the minitrial will be a recommended decision subject to adoption or modification by the Commission. Any party to the pro- ceeding that seeks modification of the recommended decision may do so by filing comments challenging the deci- sion within 15 days of its release by the Commission’s Office of Media Rela- tions. (Compare § 1.4(b)(2).) Opposition comments may be filed within 15 days of the comments challenging the deci- sion; reply comments may be filed 10 days thereafter and shall be limited to issues raised in the opposition com- ments.
(i) If no party files comments chal- lenging the recommended decision, the
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Federal Communications Commission § 1.732
Commission will issue its decision adopting or modifying the rec- ommended decision within 45 days of its release. If parties to the proceeding file comments to the recommended de- cision, the Commission will issue its decision adopting or modifying the rec- ommended decision within 30 days of the filing of the final comments.
[63 FR 41448, Aug. 4, 1998, as amended at 64 FR 60725, Nov. 8, 1999]
§ 1.731 Confidentiality of information produced or exchanged by the par- ties.
(a) Any materials generated in the course of a formal complaint pro- ceeding may be designated as propri- etary by that party if the party be- lieves in good faith that the materials fall within an exemption to disclosure contained in the Freedom of Informa- tion Act (FOIA), 5 U.S.C. 552(b) (1) through (9). Any party asserting con- fidentiality for such materials shall so indicate by clearly marking each page, or portion thereof, for which a propri- etary designation is claimed. If a pro- prietary designation is challenged, the party claiming confidentiality shall have the burden of demonstrating, by a preponderance of the evidence, that the material designated as proprietary falls under the standards for nondisclo- sure enunciated in the FOIA.
(b) Materials marked as proprietary may be disclosed solely to the fol- lowing persons, only for use in pros- ecuting or defending a party to the complaint action, and only to the ex- tent necessary to assist in the prosecu- tion or defense of the case:
(1) Counsel of record representing the parties in the complaint action and any support personnel employed by such attorneys;
(2) Officers or employees of the op- posing party who are named by the op- posing party as being directly involved in the prosecution or defense of the case;
(3) Consultants or expert witnesses retained by the parties;
(4) The Commission and its staff; and (5) Court reporters and stenographers
in accordance with the terms and con- ditions of this section.
(c) These individuals shall not dis- close information designated as propri-
etary to any person who is not author- ized under this section to receive such information, and shall not use the in- formation in any activity or function other than the prosecution or defense in the case before the Commission. Each individual who is provided access to the information shall sign a nota- rized statement affirmatively stating that the individual has personally re- viewed the Commission’s rules and un- derstands the limitations they impose on the signing party.
(d) No copies of materials marked proprietary may be made except copies to be used by persons designated in paragraph (b) of this section. Each party shall maintain a log recording the number of copies made of all pro- prietary material and the persons to whom the copies have been provided.
(e) Upon termination of a formal complaint proceeding, including all ap- peals and petitions, all originals and reproductions of any proprietary mate- rials, along with the log recording per- sons who received copies of such mate- rials, shall be provided to the pro- ducing party. In addition, upon final termination of the complaint pro- ceeding, any notes or other work prod- uct derived in whole or in part from the proprietary materials of an oppos- ing or third party shall be destroyed.
[58 FR 25573, Apr. 27, 1993, as amended at 63 FR 1039, Jan. 7, 1998]
§ 1.732 Other required written submis- sions.
(a) The Commission may, in its dis- cretion, or upon a party’s motion show- ing good cause, require the parties to file briefs summarizing the facts and issues presented in the pleadings and other record evidence.
(b) Unless otherwise directed by the Commission, all briefs shall include all legal and factual claims and defenses previously set forth in the complaint, answer, or any other pleading sub- mitted in the proceeding. Claims and defenses previously made but not re- flected in the briefs will be deemed abandoned. The Commission may, in its discretion, limit the scope of any briefs to certain subjects or issues. A party shall attach to its brief copies of all documents, data compilations, tan- gible things, and affidavits upon which
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47 CFR Ch. I (10–1–10 Edition)§ 1.733
such party relies or intends to rely to support the facts alleged and legal ar- guments made in its brief and such brief shall contain a full explanation of how each attachment is relevant to the issues and matters in dispute. All such attachments to a brief shall be docu- ments, data compilations or tangible things, or affidavits made by persons, that were identified by any party in its information designations filed pursu- ant to §§ 1.721(a)(10)(i), (a)(10)(ii), 1.724(f)(1), (f)(2), and 1.726(d)(1), (d)(2). Any other supporting documentation or affidavits that is attached to a brief must be accompanied by a full expla- nation of the relevance of such mate- rials and why such materials were not identified in the information designa- tions. These briefs shall contain the proposed findings of fact and conclu- sions of law which the filing party is urging the Commission to adopt, with specific citation to the record, and sup- porting relevant authority and anal- ysis.
(c) In cases in which discovery is not conducted, absent an order by the Com- mission that briefs be filed, parties may not submit briefs. If the Commis- sion does authorize the filing of briefs in cases in which discovery is not con- ducted, briefs shall be filed concur- rently by both the complainant and de- fendant at such time as designated by the Commission staff and in accord- ance with the provisions of this sec- tion.
(d) In cases in which discovery is con- ducted, briefs shall be filed concur- rently by both the complainant and de- fendant at such time designated by the Commission staff.
(e) Briefs containing information which is claimed by an opposing or third party to be proprietary under § 1.731 shall be submitted to the Com- mission in confidence pursuant to the requirements of § 0.459 of this chapter and clearly marked ‘‘Not for Public In- spection.’’ An edited version removing all proprietary data shall also be filed with the Commission for inclusion in the public file. Edited versions shall be filed within five days from the date the unedited brief is submitted, and served on opposing parties.
(f) Initial briefs shall be no longer than twenty-five pages. Reply briefs
shall be no longer than ten pages. Ei- ther on its own motion or upon proper motion by a party, the Commission staff may establish other page limits for briefs.
(g) The Commission may require the parties to submit any additional infor- mation it deems appropriate for a full, fair, and expeditious resolution of the proceeding, including affidavits and ex- hibits.
(h) The parties shall submit a joint statement of stipulated facts, disputed facts, and key legal issues no later than two business days prior to the ini- tial status conference, scheduled in ac- cordance with the provisions of § 1.733(a).
[53 FR 11855, Apr. 11, 1988. Redesignated and amended at 58 FR 25573, Apr. 27, 1993; 63 FR 1039, Jan. 7, 1998]
§ 1.733 Status conference.
(a) In any complaint proceeding, the Commission may, in its discretion, di- rect the attorneys and/or the parties to appear before it for a status con- ference. Unless otherwise ordered by the Commission, and with the excep- tion of Accelerated Docket pro- ceedings, governed by paragraph (i) of this section, an initial status con- ference shall take place, at the time and place designated by the Commis- sion staff, ten business days after the date the answer is due to be filed. A status conference may include discus- sion of:
(1) Simplification or narrowing of the issues;
(2) The necessity for or desirability of additional pleadings or evidentiary submissions;
(3) Obtaining admissions of fact or stipulations between the parties as to any or all of the matters in con- troversy;
(4) Settlement of all or some of the matters in controversy by agreement of the parties;
(5) Whether discovery is necessary and, if so, the scope, type and schedule for such discovery;
(6) The schedule for the remainder of the case and the dates for any further status conferences; and
(7) Such other matters that may aid in the disposition of the complaint.
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Federal Communications Commission § 1.733
(b)(1) Subject to paragraph (i) of this section governing Accelerated Docket proceedings, parties shall meet and confer prior to the initial status con- ference to discuss:
(i) Settlement prospects; (ii) Discovery; (iii) Issues in dispute; (iv) Schedules for pleadings; (v) Joint statement of stipulated
facts, disputed facts, and key legal issues; and
(vi) In a 47 U.S.C. 271(d)(6)(B) pro- ceeding, whether or not the parties agree to waive the 47 U.S.C. 271(d)(6)(B) 90-day resolution deadline.
(2) Subject to paragraph (i) of this section governing Accelerated Docket proceedings, parties shall submit a joint statement of all proposals agreed to and disputes remaining as a result of such meeting to Commission staff at least two business days prior to the scheduled initial status conference.
(c) In addition to the initial status conference referenced in paragraph (a) of this section, any party may also re- quest that a conference be held at any time after the complaint has been filed.
(d) During a status conference, the Commission staff may issue oral rul- ings pertaining to a variety of inter- locutory matters relevant to the con- duct of a formal complaint proceeding including, inter alia, procedural mat- ters, discovery, and the submission of briefs or other evidentiary materials.
(e) Parties may make, upon written notice to the Commission and all at- tending parties at least three business days prior to the status conference, an audio recording of the Commission staff’s summary of its oral rulings. Al- ternatively, upon agreement among all attending parties and written notice to the Commission at least three business days prior to the status conference, the parties may make an audio recording of, or use a stenographer to transcribe, the oral presentations and exchanges between and among the participating parties, insofar as such communica- tions are ‘‘on-the-record’’ as deter- mined by the Commission staff, as well as the Commission staff’s summary of its oral rulings. A complete transcript of any audio recording or stenographic transcription shall be filed with the
Commission as part of the record, pur- suant to the provisions of paragraph (f)(2) of this section. The parties shall make all necessary arrangements for the use of a stenographer and the cost of transcription, absent agreement to the contrary, will be shared equally by all parties that agree to make the record of the status conference.
(f) The parties in attendance, unless otherwise directed, shall either:
(1) Submit a joint proposed order me- morializing the oral rulings made dur- ing the conference to the Commission by 5:30 pm, Eastern Time, on the busi- ness day following the date of the sta- tus conference, or as otherwise directed by Commission staff. In the event the parties in attendance cannot reach agreement as to the rulings that were made, the joint proposed order shall in- clude the rulings on which the parties agree, and each party’s alternative pro- posed rulings for those rulings on which they cannot agree. Commission staff will review and make revisions, if necessary, prior to signing and filing the submission as part of the record. The proposed order shall be submitted both as hard copy and on computer disk in accordance with the require- ments of § 1.734(d); or
(2) Pursuant to the requirements of paragraph (e) of this section, submit to the Commission by 5:30 pm., Eastern Time, on the third business day fol- lowing the status conference or as oth- erwise directed by Commission staff ei- ther:
(i) A transcript of the audio record- ing of the Commission staff’s summary of its oral rulings;
(ii) A transcript of the audio record- ing of the oral presentations and ex- changes between and among the par- ticipating parties, insofar as such com- munications are ‘‘on-the-record’’ as de- termined by the Commission staff, and the Commission staff’s summary of its oral rulings; or
(iii) A stenographic transcript of the oral presentations and exchanges be- tween and among the participating parties, insofar as such communica- tions are ‘‘on-the-record’’ as deter- mined by the Commission staff, and the Commission staff’s summary of its oral rulings.
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47 CFR Ch. I (10–1–10 Edition)§ 1.734
(g) Status conferences will be sched- uled by the Commission staff at such time and place as it may designate to be conducted in person or by telephone conference call.
(h) The failure of any attorney or party, following reasonable notice, to appear at a scheduled conference will be deemed a waiver by that party and will not preclude the Commission staff from conferring with those parties and/ or counsel present.
(i) Accelerated Docket Proceedings. (1) In Accelerated Docket proceedings, the initial status conference will be held 10 days after the answer is due to be filed.
(2) Prior to the initial status con- ference, the parties shall confer, either in person or by telephone, about:
(i) Discovery to which they can agree;
(ii) Facts to which they can stipu- late; and
(iii) Factual and legal issues in dis- pute.
(3) Two days before the status con- ference, parties shall submit to Com- mission staff a joint statement of:
(i) The agreements that they have reached with respect to discovery;
(ii) The facts to which they have agreed to stipulate; and
(iii) The disputed facts or legal issues of which they can agree to a joint statement.
(4) Two days before the status con- ference, each party also shall submit to Commission staff a separate statement which shall include, as appropriate, the party’s statement of the disputed facts and legal issues presented by the com- plaint proceeding and any additional discovery that the party seeks. A com- plainant that wishes to reply to a de- fendant’s affirmative defense shall do so in its pre-status-conference filing. To the extent that this filing contains statements replying to an affirmative defense, the complainant shall include, and/or serve with the statement, the witness information and documents re- quired in § 1.726(g)(3)–(4). A defendant that intends to rely on expert evidence shall include its expert statement in its pre-status conference filing. (See § 1.729(i)(4)(ii).)
[53 FR 11855, Apr. 11, 1988. Redesignated and amended at 58 FR 25573, Apr. 27, 1993; 63 FR 1039, Jan. 7, 1998; 63 FR 41449, Aug. 4, 1998]
§ 1.734 Specifications as to pleadings, briefs, and other documents; sub- scription.
(a) All papers filed in any formal complaint proceeding must be drawn in conformity with the requirements of §§ 1.49 and 1.50.
(b) All averments of claims or de- fenses in complaints and answers shall be made in numbered paragraphs. The contents of each paragraph shall be limited as far as practicable to a state- ment of a single set of circumstances. Each claim founded on a separate transaction or occurrence and each af- firmative defense shall be separately stated to facilitate the clear presen- tation of the matters set forth.
(c) The original of all pleadings and other submissions filed by any party shall be signed by the party, or by the party’s attorney. The signing party shall include in the document his or her address, telephone number, fac- simile number and the date on which the document was signed. Copies should be conformed to the original. Unless specifically required by rule or statute, pleadings need not be verified. The signature of an attorney or party shall be a certificate that the attorney or party has read the pleading, motion, or other paper; that to the best of his or her knowledge, information, and be- lief formed after reasonable inquiry, it is well grounded in fact and is war- ranted by existing law or a good faith argument for the extension, modifica- tion, or reversal of existing law; and that it is not interposed solely for pur- poses of delay or for any other im- proper purpose.
(d) All proposed orders shall be sub- mitted both as hard copies and on com- puter disk formatted to be compatible with the Commission’s computer sys- tem and using the Commission’s cur- rent wordprocessing software. Each disk should be submitted in ‘‘read only’’ mode. Each disk should be clear- ly labelled with the party’s name, pro- ceeding, type of pleading, and date of submission. Each disk should be ac- companied by a cover letter. Parties who have submitted copies of tariffs or reports with their hard copies need not include such tariffs or reports on the disk. Upon showing of good cause, the
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Federal Communications Commission § 1.735
Commission may waive the require- ments of this paragraph.
[53 FR 11855, Apr. 11, 1988. Redesignated at 58 FR 25573, Apr. 27, 1993, as amended at 63 FR 1040, Jan. 7, 1998]
§ 1.735 Copies; service; separate filings against multiple defendants.
(a) Complaints may generally be brought against only one named car- rier; such actions may not be brought against multiple defendants unless the defendant carriers are commonly owned or controlled, are alleged to have acted in concert, are alleged to be jointly liable to complainant, or the complaint concerns common questions of law or fact. Complaints may, how- ever, be consolidated by the Commis- sion for disposition.
(b) The complainant shall file an original copy of the complaint, accom- panied by the correct fee, in accord- ance with part 1, subpart G (see § 1.1106) and, on the same day:
(1) File three copies of the complaint with the Office of the Commission Sec- retary;
(2) Serve two copies on the Market Disputes Resolution Division, Enforce- ment Bureau;
(3) If the complaint is filed against a carrier concerning matters within the responsibility of the International Bu- reau (see § 0.261 of this chapter), serve a copy on the Chief, Policy Division, International Bureau; and
(4) If a complaint is addressed against multiple defendants, pay a separate fee, in accordance with part 1, subpart G (see § 1.1106), and file three copies of the complaint with the Office of the Commission Secretary for each addi- tional defendant.
(c) Generally, a separate file is set up for each defendant. An original plus two copies shall be filed of all plead- ings and documents, other than the complaint, for each file number as- signed.
(d) The complainant shall serve the complaint by hand delivery on either the named defendant or one of the named defendant’s registered agents for service of process on the same date that the complaint is filed with the Commission in accordance with the re- quirements of paragraph (b) of this sec- tion.
(e) Upon receipt of the complaint by the Commission, the Commission shall promptly send, by facsimile trans- mission to each defendant named in the complaint, notice of the filing of the complaint. The Commission shall send, by regular U.S. mail delivery, to each defendant named in the com- plaint, a copy of the complaint. The Commission shall additionally send, by regular U.S. mail to all parties, a schedule detailing the date the answer will be due and the date, time and loca- tion of the initial status conference.
(f) All subsequent pleadings and briefs filed in any formal complaint proceeding, as well as all letters, docu- ments or other written submissions, shall be served by the filing party on the attorney of record for each party to the proceeding, or, where a party is not represented by an attorney, each party to the proceeding either by hand deliv- ery, overnight delivery, or by facsimile transmission followed by regular U.S. mail delivery, together with a proof of such service in accordance with the re- quirements of § 1.47(g). Service is deemed effective as follows:
(1) Service by hand delivery that is delivered to the office of the recipient by 5:30 pm, local time of the recipient, on a business day will be deemed served that day. Service by hand delivery that is delivered to the office of the recipi- ent after 5:30 pm, local time of the re- cipient, on a business day will be deemed served on the following busi- ness day;
(2) Service by overnight delivery will be deemed served the business day fol- lowing the day it is accepted for over- night delivery by a reputable overnight delivery service such as, or comparable to, the US Postal Service Express Mail, United Parcel Service or Federal Ex- press; or
(3) Service by facsimile transmission that is fully transmitted to the office of the recipient by 5:30 pm, local time of the recipient, on a business day will be deemed served that day. Service by facsimile transmission that is fully transmitted to the office of the recipi- ent after 5:30 pm, local time of the re- cipient, on a business day will be deemed served on the following busi- ness day.
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47 CFR Ch. I (10–1–10 Edition)§ 1.736
(g) Supplemental complaint pro- ceedings. Supplemental complaints filed pursuant to section 1.722 shall conform to the requirements set out in this section, except that the complain- ant need not submit a filing fee, and the complainant may effect service pursuant to paragraph (f) of this sec- tion rather than paragraph (d) of this section numerals.
[53 FR 11855, Apr. 11, 1988. Redesignated and amended at 58 FR 25573, 25574, Apr. 27, 1993, as amended at 63 FR 1040, Jan. 7, 1998; 64 FR 60726, Nov. 8, 1999; 66 FR 16617, Mar. 27, 2001; 67 FR 13223, Mar. 21, 2002; 69 FR 41130, July 7, 2004]
§ 1.736 Complaints filed pursuant to 47 U.S.C. 271(d)(6)(B).
(a) Where a complaint is filed pursu- ant to 47 U.S.C. 271(d)(6)(B), parties shall indicate whether they are willing to waive the ninety-day resolution deadline contained in 47 U.S.C. 271(d)(6)(B) in the following manner:
(1) The complainant shall so indicate in both the complaint itself and in the Formal Complaint Intake Form, and the defendant shall so indicate in its answer; or
(2) The parties shall indicate their agreement to waive the ninety-day res- olution deadline to the Commission staff at the initial status conference, to be held in accordance with § 1.733 of the rules.
(b) Requests for waiver of the ninety- day resolution deadline for complaints filed pursuant to 47 U.S.C. 271(d)(6)(B) will not be entertained by the Commis- sion staff subsequent to the initial sta- tus conference, absent a showing by the complainant and defendant that such waiver is in the public interest.
[63 FR 1041, Jan. 7, 1998]
APPLICATIONS
§ 1.741 Scope. The general rules relating to applica-
tions contained in §§ 1.742 through 1.748 apply to all applications filed by car- riers except those filed by public cor- respondence radio stations pursuant to parts 80, 87, and 101 of this chapter, and those filed by common carriers pursu- ant to part 25 of this chapter. Parts 21 and 101 of this chapter contain general rules applicable to applications filed
pursuant to these parts. For general rules applicable to applications filed pursuant to parts 80 and 87 of this chapter, see such parts and subpart F of this part. For rules applicable to ap- plications filed pursuant to part 25, see said part.
[61 FR 26670, May 28, 1996]
§ 1.742 Place of filing, fees, and num- ber of copies.
All applications which do not require a fee shall be filed at the Commission’s main office in Washington, DC., Atten- tion: Office of the Secretary. Hand-de- livered applications will be dated by the Secretary upon receipt (mailed ap- plications will be dated by the Mail Branch) and then forwarded to the Wireline Competition Bureau. All ap- plications accompanied by a fee pay- ment should be filed with the Commis- sion’s lockbox bank in accordance with § 1.1105, Schedule of Fees. The number of copies required for each application and the nonrefundable processing fees and any applicable regulatory fees (see subpart G of this part) which must ac- company each application in order to qualify it for acceptance for filing and consideration are set forth in the rules in this chapter relating to various types of applications. However, if any application is not of the type covered by this chapter, an original and two copies of each such application shall be submitted.
[59 FR 30998, June 16, 1994, as amended at 67 FR 13223, Mar. 21, 2002]
§ 1.743 Who may sign applications.
(a) Except as provided in paragraph (b) of this section, applications, amend- ments thereto, and related statements of fact required by the Commission must be signed by the applicant, if the applicant is an individual; by one of the partners, if the applicant is a part- nership; by an officer or duly author- ized employee, if the applicant is a cor- poration; or by a member who is an of- ficer, if the applicant is an unincor- porated association. Applications, amendments, and related statements of
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fact filed on behalf of eligible govern- ment entities such as states and terri- tories of the United States, their polit- ical subdivisions, the District of Co- lumbia, and units of local government, including incorporated municipalities, must be signed by a duly elected or ap- pointed official who is authorized to do so under the laws of the applicable ju- risdiction.
(b) Applications, amendments there- to, and related statements of fact re- quired by the Commission may be signed by the applicant’s attorney in case of the applicant’s physical dis- ability or of his absence from the United States. The attorney shall in that event separately set forth the rea- son why the application is not signed by the applicant. In addition, if any matter is stated on the basis of the at- torney’s belief only (rather than his knowledge), he shall separately set forth his reasons for believing that such statements are true.
(c) Only the original of applications, amendments, or related statements of fact need be signed; copies may be con- formed.
(d) Applications, amendments, and related statements of fact need not be signed under oath. Willful false state- ments made therein, however, are pun- ishable by fine and imprisonment, U.S. Code, Title 18, section 1001, and by ap- propriate administrative sanctions, in- cluding revocation of station license pursuant to section 312(a)(1) of the Communications Act of 1934, as amend- ed.
(e) ‘‘Signed,’’ as used in this section, means an original hand-written signa- ture, except that by public notice in the FEDERAL REGISTER the Wireline Competition Bureau may allow signa- ture by any symbol executed or adopt- ed by the applicant with the intent that such symbol be a signature, in- cluding symbols formed by computer- generated electronic impulses.
[28 FR 12450, Nov. 22, 1963, as amended at 53 FR 17193, May 16, 1988; 59 FR 59503, Nov. 17, 1994; 67 FR 13223, Mar. 21, 2002]
§ 1.744 Amendments. (a) Any application not designated
for hearing may be amended at any time by the filing of signed amend- ments in the same manner, and with
the same number of copies, as was the initial application. If a petition to deny (or to designate for hearing) has been filed, the amendment shall be served on the petitioner.
(b) After any application is des- ignated for hearing, requests to amend such application may be granted by the presiding officer upon good cause shown by petition, which petition shall be properly served upon all other par- ties to the proceeding.
(c) The applicant may at any time be ordered to amend his application so as to make it more definite and certain. Such order may be issued upon motion of the Commission (or the presiding of- ficer, if the application has been des- ignated for hearing) or upon petition of any interested person, which petition shall be properly served upon the appli- cant and, if the application has been designated for hearing, upon all parties to the hearing.
[29 FR 6444, May 16, 1964, and 31 FR 14394, Nov. 9, 1966]
§ 1.745 Additional statements.
The applicant may be required to submit such additional documents and written statements of fact, signed and verified (or affirmed), as in the judg- ment of the Commission (or the pre- siding officer, if the application has been designated for hearing) may be necessary. Any additional documents and written statements of fact required in connection with applications under Title II of the Communications Act need not be verified (or affirmed).
[29 FR 6444, May 16, 1964]
§ 1.746 Defective applications.
(a) Applications not in accordance with the applicable rules in this chap- ter may be deemed defective and re- turned by the Commission without ac- ceptance of such applications for filing and consideration. Such applications will be accepted for filing and consider- ation if accompanied by petition show- ing good cause for waiver of the rule with which the application does not conform.
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(b) The assignment of a file number, if any, to an application is for the ad- ministrative convenience of the Com- mission and does not indicate the ac- ceptance of the application for filing and consideration.
§ 1.747 Inconsistent or conflicting ap- plications.
When an application is pending or undecided, no inconsistent or con- flicting application filed by the same applicant, his successor or assignee, or on behalf or for the benefit of said ap- plicant, his successor, or assignee, will be considered by the Commission.
§ 1.748 Dismissal of applications. (a) Before designation for hearing. Any
application not designated for hearing may be dismissed without prejudice at any time upon request of the applicant. An applicant’s request for the return of an application that has been accepted for filing and consideration, but not designated for hearing, will be deemed a request for dismissal without preju- dice. The Commission may dismiss an application without prejudice before it has been designated for hearing when the applicant fails to comply or justify noncompliance with Commission re- quests for additional information in connection with such application.
(b) After designation for hearing. A re- quest to dismiss an application without prejudice after it has been designated for hearing shall be made by petition properly served upon all parties to the hearing and will be granted only for good cause shown. An application may be dismissed with prejudice after it has been designated for hearing when the applicant:
(1) Fails to comply with the require- ments of § 1.221(c);
(2) Otherwise fails to prosecute his application; or
(3) Fails to comply or justify non- compliance with Commission requests for additional information in connec- tion with such application.
[28 FR 12450, Nov. 22, 1963, as amended at 29 FR 6445, May 16, 1964]
§ 1.749 Action on application under delegated authority.
Certain applications do not require action by the Commission but, pursu-
ant to the delegated authority con- tained in subpart B of part 0 of this chapter, may be acted upon by the Chief of the Wireline Competition Bu- reau subject to reconsideration by the Commission.
[67 FR 13223, Mar. 21, 2002]
SPECIFIC TYPES OF APPLICATIONS UNDER TITLE II OF COMMUNICATIONS ACT
§ 1.761 Cross reference. Specific types of applications under
Title III of the Communications Act in- volving public correspondence radio stations are specified in parts 23, 80, 87, and 101 of this chapter.
[61 FR 26671, May 28, 1996]
§ 1.763 Construction, extension, acqui- sition or operation of lines.
(a) Applications under section 214 of the Communications Act for authority to construct a new line, extend any line, acquire or operate any line or ex- tension thereof, or to engage in trans- mission over or by means of such addi- tional or extended line, to furnish tem- porary or emergency service, or to sup- plement existing facilities shall be made in the form and manner, with the number of copies and accompanied by the fees specified in part 63 of this chapter.
(b) In cases under this section requir- ing a certificate, notice is given to and a copy of the application is filed with the Secretary of Defense, the Secretary of State (with respect to such applica- tions involving service to foreign points), and the Governor of each State involved. Hearing is held if any of these persons desires to be heard or if the Commission determines that a hearing should be held. Copies of applications for certificates are filed with the regu- latory agencies of the States involved.
[28 FR 12450, Nov. 22, 1963, as amended at 64 FR 39939, July 23, 1999]
§ 1.764 Discontinuance, reduction, or impairment of service.
(a) Applications under section 214 of the Communications Act for the au- thority to discontinue, reduce, or im- pair service to a community or part of a community or for the temporary, emergency, or partial discontinuance,
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reduction, or impairment of service shall be made in the form and manner, with the number of copies specified in part 63 of this chapter (see also subpart G, part 1 of this chapter). Posted and public notice shall be given the public as required by part 63 of this chapter.
(b) In cases under this section requir- ing a certificate, notice is given to and a copy of the application is filed with the Secretary of Defense, the Secretary of State (with respect to such applica- tions involving service to foreign points), and the Governor of each State involved. Hearing is held if any of these persons desires to be heard or if the Commission determines that a hearing should be held. Copies of all formal ap- plications under this section request- ing authorizations (including certifi- cates) are filed with the Secretary of Defense, the Secretary of State (with respect to such applications involving service to foreign points) and the Gov- ernor of each State involved. Copies of all applications under this section re- questing authorizations (including cer- tificates) are filed with the regulatory agencies of the States involved.
[28 FR 12450, Nov. 22, 1963, as amended at 52 FR 5289, Feb. 20, 1987]
§ 1.767 Cable landing licenses. (a) Applications for cable landing li-
censes under 47 U.S.C. 34–39 and Execu- tive Order No. 10530, dated May 10, 1954, should be filed in accordance with the provisions of that Executive Order. These applications should contain:
(1) The name, address and telephone number(s) of the applicant;
(2) The Government, State, or Terri- tory under the laws of which each cor- porate or partnership applicant is orga- nized;
(3) The name, title, post office ad- dress, and telephone number of the offi- cer and any other contact point, such as legal counsel, to whom correspond- ence concerning the application is to be addressed;
(4) A description of the submarine cable, including the type and number of channels and the capacity thereof;
(5) A specific description of the cable landing stations on the shore of the United States and in foreign countries where the cable will land. The descrip- tion shall include a map showing spe-
cific geographic coordinates, and may also include street addresses, of each landing station. The map must also specify the coordinates of any beach joint where those coordinates differ from the coordinates of the cable sta- tion. The applicant initially may file a general geographic description of the landing points; however, grant of the application will be conditioned on the Commission’s final approval of a more specific description of the landing points, including all information re- quired by this paragraph, to be filed by the applicant no later than ninety (90) days prior to construction. The Com- mission will give public notice of the filing of this description, and grant of the license will be considered final if the Commission does not notify the ap- plicant otherwise in writing no later than sixty (60) days after receipt of the specific description of the landing points, unless the Commission des- ignates a different time period;
(6) A statement as to whether the cable will be operated on a common carrier or non-common carrier basis;
(7) A list of the proposed owners of the cable system, including each U.S. cable landing station, their respective voting and ownership interests in each U.S. cable landing station, their re- spective voting interests in the wet link portion of the cable system, and their respective ownership interests by segment in the cable;
(8) For each applicant of the cable system, a certification as to whether the applicant is, or is affiliated with, a foreign carrier, including an entity that owns or controls a foreign cable landing station in any of the cable’s destination markets. Include the citi- zenship of each applicant and informa- tion and certifications required in §§ 63.18(h) through (k), and in § 63.18(o), of this chapter;
(9) A certification that the applicant accepts and will abide by the routine conditions specified in paragraph (g) of this section; and
(10) Any other information that may be necessary to enable the Commission to act on the application.
NOTE TO PARAGRAPH (a)(10): Applicants for cable landing licenses may be subject to the consistency certification requirements of the Coastal Zone Management Act, 16 U.S.C.
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1456, if they propose to conduct activities, in or outside of a coastal zone of a state with a federally-approved management plan, affect- ing any land or water use or natural resource of that state’s coastal zone. Before filing their applications for a license to construct and operate a submarine cable system or to modify the construction of a previously ap- proved submarine cable system, applicants must determine whether they are required to certify that their proposed activities will comply with the enforceable policies of a coastal state’s approved management pro- gram. In order to make this determination, applicants should consult National Oceanic Atmospheric Administration (NOAA) regula- tions, 15 CFR part 930, subpart D, and review the approved management programs of coastal states in the vicinity of the proposed landing station to verify that this type of ap- plication is not a listed federal license activ- ity requiring review and that no state has sought or received NOAA approval to review the application as an unlisted activity. If it is determined that any certification is re- quired, applicants shall consult the affected coastal state(s) (or designated state agen- cy(ies)) in determining the contents of any required consistency certification(s). Appli- cants may also consult the Office of Ocean and Coastal Management (OCRM) within NOAA for guidance. The cable landing li- cense application filed with the Commission shall include any consistency certification required by section 1456(c)(3)(A) for any af- fected coastal state(s). Upon documentation from the applicant, or notification from each affected coastal state, that the state has ei- ther concurred, or by its inaction, is conclu- sively presumed to have concurred with the applicant’s consistency certification, the Commission may take action on the applica- tion.
(11)(i) If applying for authority to as- sign or transfer control of an interest in a cable system, the applicant shall complete paragraphs (a)(1) through (a)(3) of this section for both the trans- feror/assignor and the transferee/as- signee. Only the transferee/assignee needs to complete paragraphs (a)(8) through (a)(9) of this section. At the beginning of the application, the appli- cant should also include a narrative of the means by which the transfer or as- signment will take place. The applica- tion shall also specify, on a segment specific basis, the percentage of voting and ownership interests being trans- ferred or assigned in the cable system, including in a U.S. cable landing sta- tion. The Commission reserves the right to request additional information as to the particulars of the transaction
to aid it in making its public interest determination.
(ii) In the event the transaction re- quiring an assignment or transfer of control application also requires the filing of a foreign carrier affiliation no- tification pursuant to § 1.768, the appli- cant shall reference in the application the foreign carrier affiliation notifica- tion and the date of its filing. See § 1.768. See also paragraph (g)(7) of this section (providing for post-transaction notification of pro forma assignments and transfers of control).
(iii) An assignee or transferee must notify the Commission no later than thirty (30) days after either consumma- tion of the assignment or transfer or a decision not to consummate the assign- ment or transfer. The notification shall identify the file numbers under which the initial license and the authoriza- tion of the assignment or transfer were granted.
(b) These applications are acted upon by the Commission after obtaining the approval of the Secretary of State and such assistance from any executive de- partment or establishment of the Gov- ernment as it may require.
(c) Original files relating to sub- marine cable landing licenses and ap- plications for licenses since June 30, 1934, are kept by the Commission. Such applications for licenses (including all documents and exhibits filed with and made a part thereof, with the exception of any maps showing the exact location of the submarine cable or cables to be licensed) and the licenses issued pursu- ant thereto, with the exception of such maps, shall, unless otherwise ordered by the Commission, be open to public inspection in the offices of the Com- mission in Washington, D.C.
(d) Original files relating to licenses and applications for licenses for the landing operation of cables prior to June 30, 1934, were kept by the Depart- ment of State, and such files prior to 1930 have been transferred to the Exec- utive and Foreign Affairs Branch of the General Records Office of the National Archives. Requests for inspection of these files should, however, be ad- dressed to the Federal Communica- tions Commission, Washington, D.C., 20554; and the Commission will obtain such files for a temporary period in
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order to permit inspection at the of- fices of the Commission.
(e) A separate application shall be filed with respect to each individual cable system for which a license is re- quested, or for which modification or amendment of a previous license is re- quested. The application fee for a non common-carrier cable landing license is payment type code BJT. Applicants for common carrier cable landing li- censes shall pay the fees for both a common carrier cable landing license (payment type code CXT) and overseas cable construction (payment type code BIT). There is no application fee for modification of a cable landing license, except that the fee for assignment or transfer of control of a cable landing li- cense is payment type code CUT. See § 1.1107(2) of this chapter.
(f) Applicants shall disclose to any interested member of the public, upon written request, accurate information concerning the location and timing for the construction of a submarine cable system authorized under this section. This disclosure shall be made within 30 days of receipt of the request.
(g) Routine conditions. Except as oth- erwise ordered by the Commission, the following rules apply to each licensee of a cable landing license granted on or after March 15, 2002:
(1) Grant of the cable landing license is subject to:
(i) All rules and regulations of the Federal Communications Commission;
(ii) Any treaties or conventions relat- ing to communications to which the United States is or may hereafter be- come a party; and
(iii) Any action by the Commission or the Congress of the United States rescinding, changing, modifying or amending any rights accruing to any person by grant of the license;
(2) The location of the cable system within the territorial waters of the United States of America, its terri- tories and possessions, and upon its shores shall be in conformity with plans approved by the Secretary of the Army. The cable shall be moved or shifted by the licensee at its expense upon request of the Secretary of the Army, whenever he or she considers such course necessary in the public in- terest, for reasons of national defense,
or for the maintenance and improve- ment of harbors for navigational pur- poses;
(3) The licensee shall at all times comply with any requirements of United States government authorities regarding the location and conceal- ment of the cable facilities, buildings, and apparatus for the purpose of pro- tecting and safeguarding the cables from injury or destruction by enemies of the United States of America;
(4) The licensee, or any person or company controlling it, controlled by it, or under direct or indirect common control with it, does not enjoy and shall not acquire any right to handle traffic to or from the United States, its territories or its possessions unless such service is authorized by the Com- mission pursuant to section 214 of the Communications Act, as amended;
(5)(i) The licensee shall be prohibited from agreeing to accept special conces- sions directly or indirectly from any foreign carrier, including any entity that owns or controls a foreign cable landing station, where the foreign car- rier possesses sufficient market power on the foreign end of the route to affect competition adversely in the U.S. mar- ket, and from agreeing to accept spe- cial concessions in the future.
(ii) For purposes of this section, a special concession is defined as an ex- clusive arrangement involving serv- ices, facilities, or functions on the for- eign end of a U.S. international route that are necessary to land, connect, or operate submarine cables, where the arrangement is not offered to similarly situated U.S. submarine cable owners, indefeasible-right-of-user holders, or lessors, and includes arrangements for the terms for acquisition, resale, lease, transfer and use of capacity on the cable; access to collocation space; the opportunity to provide or obtain backhaul capacity; access to technical network information; and interconnec- tion to the public switched tele- communications network.
NOTE TO PARAGRAPH (g)(5): Licensees may rely on the Commission’s list of foreign car- riers that do not qualify for the presumption that they lack market power in particular foreign points for purposes of determining which foreign carriers are the subject of the requirements of this section. The Commis- sion’s list of foreign carriers that do not
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qualify for the presumption that they lack market power is available from the Inter- national Bureau’s World Wide Web site at http://www.fcc.gov/ib.
(6) Except as provided in paragraph (g)(7) of this section, the cable landing license and rights granted in the li- cense shall not be transferred, as- signed, or disposed of, or disposed of in- directly by transfer of control of the li- censee, unless the Federal Communica- tions Commission gives prior consent in writing;
(7) A pro forma assignee or person or company that is the subject of a pro forma transfer of control of a cable landing license is not required to seek prior approval for the pro forma trans- action. A pro forma assignee or person or company that is the subject of a pro forma transfer of control must notify the Commission no later than thirty (30) days after the assignment or trans- fer of control is consummated. The no- tification must certify that the assign- ment or transfer of control was pro forma, as defined in § 63.24 of this chap- ter, and, together with all previous pro forma transactions, does not result in a change of the licensee’s ultimate con- trol. The licensee may file a single no- tification for an assignment or transfer of control of multiple licenses issued in the name of the licensee if each license is identified by the file number under which it was granted;
(8) Unless the licensee has notified the Commission in the application of the precise locations at which the cable will land, as required by paragraph (a)(5) of this section, the licensee shall notify the Commission no later than ninety (90) days prior to commencing construction at that landing location. The Commission will give public notice of the filing of each description, and grant of the cable landing license will be considered final with respect to that landing location unless the Commis- sion issues a notice to the contrary no later than sixty (60) days after receipt of the specific description. See para- graph (a)(5) of this section;
(9) The Commission reserves the right to require the licensee to file an environmental assessment should it de- termine that the landing of the cable at the specific locations and construc- tion of necessary cable landing stations
may significantly affect the environ- ment within the meaning of § 1.1307 im- plementing the National Environ- mental Policy Act of 1969. See § 1.1307(a) and (b). The cable landing license is subject to modification by the Com- mission under its review of any envi- ronmental assessment or environ- mental impact statement that it may require pursuant to its rules. See also § 1.1306 note 1 and § 1.1307(c) and (d);
(10) The Commission reserves the right, pursuant to section 2 of the Cable Landing License Act, 47 U.S.C. 35, Executive Order No. 10530 as amend- ed, and section 214 of the Communica- tions Act of 1934, as amended, 47 U.S.C. 214, to impose common carrier regula- tion or other regulation consistent with the Cable Landing License Act on the operations of the cable system if it finds that the public interest so re- quires;
(11) The licensee, or in the case of multiple licensees, the licensees collec- tively, shall maintain de jure and de facto control of the U.S. portion of the cable system, including the cable land- ing stations in the United States, suffi- cient to comply with the requirements of the Commission’s rules and any spe- cific conditions of the license;
(12) The licensee shall comply with the requirements of § 1.768;
(13) The cable landing license is rev- ocable by the Commission after due no- tice and opportunity for hearing pursu- ant to section 2 of the Cable Landing License Act, 47 U.S.C. 35, or for failure to comply with the terms of the license or with the Commission’s rules; and
(14) The licensee must notify the Commission within thirty (30) days of the date the cable is placed into serv- ice. The cable landing license shall ex- pire twenty-five (25) years from the in- service date, unless renewed or ex- tended upon proper application. Upon expiration, all rights granted under the license shall be terminated.
(h) Applicants/Licensees. Except as otherwise required by the Commission, the following entities, at a minimum, shall be applicants for, and licensees on, a cable landing license:
(1) Any entity that owns or controls a cable landing station in the United States; and
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(2) All other entities owning or con- trolling a five percent (5%) or greater interest in the cable system and using the U.S. points of the cable system.
(i) Processing of cable landing license applications. The Commission will take action upon an application eligible for streamlined processing, as specified in paragraph (k) of this section, within forty-five (45) days after release of the public notice announcing the applica- tion as acceptable for filing and eligi- ble for streamlined processing. If the Commission deems an application seeking streamlined processing accept- able for filing but ineligible for stream- lined processing, or if an applicant does not seek streamlined processing, the Commission will issue public notice in- dicating that the application is ineli- gible for streamlined processing. With- in ninety (90) days of the public notice, the Commission will take action upon the application or provide public notice that, because the application raises questions of extraordinary complexity, an additional 90-day period for review is needed. Each successive 90-day pe- riod may be so extended.
(j) Applications for streamlining. Each applicant seeking to use the stream- lined grant procedure specified in para- graph (i) of this section shall request streamlined processing in its applica- tion. Applications for streamlined processing shall include the informa- tion and certifications required by paragraph (k) of this section. On the date of filing with the Commission, the applicant shall also send a complete copy of the application, or any major amendments or other material filings regarding the application, to: U.S. Co- ordinator, EB/CIP, U.S. Department of State, 2201 C Street, NW., Washington, DC 20520–5818; Office of Chief Counsel/ NTIA, U.S. Department of Commerce, 14th St. and Constitution Ave., NW., Washington, DC 20230; and Defense In- formation Systems Agency, Code RGC, 701 S. Courthouse Road, Arlington, Va. 22204, and shall certify such service on a service list attached to the applica- tion or other filing.
(k) Eligibility for streamlining. Each applicant must demonstrate eligibility for streamlining by:
(1) Certifying that it is not a foreign carrier and it is not affiliated with a
foreign carrier in any of the cable’s destination markets;
(2) Demonstrating pursuant to § 63.12(c)(l)(i) through (iii) of this chap- ter that any such foreign carrier or af- filiated foreign carrier lacks market power; or
(3) Certifying that the destination market where the applicant is, or has an affiliation with, a foreign carrier is a World Trade Organization (WTO) Member and the applicant agrees to ac- cept and abide by the reporting re- quirements set out in paragraph (l) of this section. An application that in- cludes an applicant that is, or is affili- ated with, a carrier with market power in a cable’s non-WTO Member destina- tion country is not eligible for stream- lining.
(4) Certifying that for applications for a license to construct and operate a submarine cable system or to modify the construction of a pre