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   Home Page > Executive Branch > Code of Federal Regulations > Electronic Code
   of Federal Regulations

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                e-CFR Data is current as of October 1, 2007

   Title 47: Telecommunication

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PART 1—PRACTICE AND PROCEDURE
   ___________________________________

   Section Contents
   
             Subpart A—General Rules of Practice and Procedure

   General
   § 1.1   Proceedings before the Commission.
   § 1.2   Declaratory rulings.
   § 1.3   Suspension, amendment, or waiver of rules.
   § 1.4   Computation of time.
   § 1.5   Mailing address furnished by licensee.
   § 1.6   Availability of station logs and records for Commission inspection.
   § 1.7   Documents are filed upon receipt.
   § 1.8   Withdrawal of papers.
   § 1.10   Transcript of testimony; copies of documents submitted.
   § 1.12   Notice to attorneys of Commission documents.
   § 1.13   Filing of petitions for review and notices of appeals of Commission
   orders.
   § 1.14   Citation of Commission documents.
   § 1.16   Unsworn  declarations  under  penalty  of  perjury in lieu of
   affidavits.
   § 1.17   Truthful and accurate statements to the Commission.
   § 1.18   Administrative Dispute Resolution.
   § 1.19   Use of metric units required.
   Parties, Practitioners, and Witnesses
   § 1.21   Parties.
   § 1.22   Authority for representation.
   § 1.23   Persons who may be admitted to practice.
   § 1.24   Censure, suspension, or disbarment of attorneys.
   § 1.25   [Reserved]
   § 1.26   Appearances.
   § 1.27   Witnesses; right to counsel.
   §§ 1.28-1.29   [Reserved]
   Pleadings, Briefs, and Other Papers
   § 1.41   Informal requests for Commission action.
   § 1.42   Applications, reports, complaints; cross-reference.
   § 1.43   Requests for stay; cross-reference.
   § 1.44   Separate pleadings for different requests.
   § 1.45   Pleadings; filing periods.
   § 1.46   Motions for extension of time.
   § 1.47   Service of documents and proof of service.
   § 1.48   Length of pleadings.
   § 1.49   Specifications as to pleadings and documents.
   § 1.50   Specifications as to briefs.
   § 1.51   Number of copies of pleadings, briefs and other papers.
   § 1.52   Subscription and verification.
   § 1.53   Separate pleadings for petitions for forbearance.
   General Application Procedures
   § 1.61   Procedures for handling applications requiring special aeronautical
   study.
   § 1.62   Operation pending action on renewal application.
   § 1.65   Substantial and significant changes in information furnished by
   applicants to the Commission.
   § 1.68   Action on application for license to cover construction permit.
   § 1.77   Detailed application procedures; cross references.
   Miscellaneous Proceedings
   § 1.80   Forfeiture proceedings.
   § 1.83   Applications for radio operator licenses.
   § 1.85   Suspension of operator licenses.
   § 1.87   Modification of license or construction permit on motion of the
   Commission.
   § 1.88   Predesignation pleading procedure.
   § 1.89   Notice of violations.
   § 1.91   Revocation and/or cease and desist proceedings; hearings.
   § 1.92   Revocation and/or cease and desist proceedings; after waiver of
   hearing.
   § 1.93   Consent orders.
   § 1.94   Consent order procedures.
   § 1.95   Violation of consent orders.
   Reconsideration and Review of Actions Taken by the Commission and Pursuant
   to Delegated Authority; Effective Dates and Finality Dates of Actions
   § 1.101   General provisions.
   § 1.102   Effective dates of actions taken pursuant to delegated authority.
   § 1.103   Effective dates of Commission actions; finality of Commission
   actions.
   § 1.104   Preserving  the  right  of review; deferred consideration of
   application for review.
   § 1.106   Petitions for reconsideration.
   § 1.108   Reconsideration on Commission's own motion.
   § 1.110   Partial grants; rejection and designation for hearing.
   § 1.113   Action modified or set aside by person, panel, or board.
   § 1.115   Application for review of action taken pursuant to delegated
   authority.
   § 1.117   Review on motion of the Commission.
   § 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; consideration of communications.
   § 1.227   Consolidations.
   § 1.229   Motions to enlarge, change, or delete issues.
   Presiding Officer
   § 1.241   Designation of presiding officer.
   § 1.243   Authority of presiding officer.
   § 1.244   Designation of a settlement judge.
   § 1.245   Disqualification of presiding officer.
   Prehearing Procedures
   § 1.246   Admission of facts and genuineness of documents.
   § 1.248   Prehearing conferences; hearing conferences.
   § 1.249   Prehearing statement.
   Hearing and Intermediate Decision
   § 1.250   Discovery and preservation of evidence; cross-reference.
   § 1.251   Summary decision.
   § 1.253   Time and place of hearing.
   § 1.254   Nature of the hearing; burden of proof.
   § 1.255   Order of procedure.
   § 1.258   Closing of the hearing.
   § 1.260   Certification of transcript.
   § 1.261   Corrections to transcript.
   § 1.263   Proposed findings and conclusions.
   § 1.264   Contents of findings of fact and conclusions.
   § 1.267   Initial and recommended decisions.
   Review Proceedings
   § 1.271   Delegation of review function.
   § 1.273   Waiver of initial or recommended decision.
   § 1.274   Certification of the record to the Commission for initial or final
   decision.
   § 1.276   Appeal and review of initial decision.
   § 1.277   Exceptions; oral arguments.
   § 1.279   Limitation of matters to be reviewed.
   § 1.282   Final decision of the Commission.
   Interlocutory Actions in Hearing Proceedings
   § 1.291   General provisions.
   § 1.294   Oppositions and replies.
   § 1.296   Service.
   § 1.297   Oral argument.
   § 1.298   Rulings; time for action.
   Appeal and Reconsideration of Presiding Officer's Ruling
   § 1.301   Appeal from presiding officer's interlocutory ruling; effective
   date of ruling.
   § 1.302   Appeal from presiding officer's final ruling; effective date of
   ruling.
   The Discovery and Preservation of Evidence
   § 1.311   General.
   § 1.313   Protective orders.
   § 1.315   Depositions  upon  oral  examination—notice  and preliminary
   procedure.
   § 1.316   Depositions upon written interrogatories—notice and preliminary
   procedure.
   § 1.318   The taking of depositions.
   § 1.319   Objections to the taking of depositions.
   § 1.321   Use of depositions at the hearing.
   § 1.323   Interrogatories to parties.
   § 1.325   Discovery and production of documents and things for inspection,
   copying, or photographing.
   Subpenas
   § 1.331   Who may sign and issue.
   § 1.333   Requests for issuance of subpena.
   § 1.334   Motions to quash.
   § 1.335   Rulings.
   § 1.336   Service of subpenas.
   § 1.337   Return of service.
   § 1.338   Subpena forms.
   § 1.339   Witness fees.
   § 1.340   Attendance of witness; disobedience.
   Evidence
   § 1.351   Rules of evidence.
   § 1.352   Cumulative evidence.
   § 1.353   Further evidence during hearing.
   § 1.354   Documents containing matter not material.
   § 1.355   Documents in foreign language.
   § 1.356   Copies of exhibits.
   § 1.357   Mechanical reproductions as evidence.
   § 1.358   Tariffs as evidence.
   § 1.359   Proof of official record; authentication of copy.
   § 1.360   Proof of lack of record.
   § 1.361   Other proof of official record.
   § 1.362   Production of statements.
   § 1.363   Introduction of statistical data.
   § 1.364   Testimony by speakerphone.
   
                      Subpart C—Rulemaking Proceedings

   General
   § 1.399   Scope.
   § 1.400   Definitions.
   Petitions and Related Pleadings
   § 1.401   Petitions for rulemaking.
   § 1.403   Notice and availability.
   § 1.405   Responses to petitions; replies.
   § 1.407   Action on petitions.
   Rulemaking Proceedings
   § 1.411   Commencement of rulemaking proceedings.
   § 1.412   Notice of proposed rulemaking.
   § 1.413   Content of notice.
   § 1.415   Comments and replies.
   § 1.419   Form of comments and replies; number of copies.
   § 1.420   Additional procedures in proceedings for amendment of the FM or TV
   Tables of Allotments, or for amendment of certain FM assignments.
   § 1.421   Further notice of rulemaking.
   § 1.423   Oral argument and other proceedings.
   § 1.425   Commission action.
   § 1.427   Effective date of rules.
   § 1.429   Petition for reconsideration.
   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 applications.
   § 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 applicants, permittees and licensees.
   § 1.527   Records  to  be  maintained locally for public inspection by
   noncommercial educational applicants, permittees and licensees.
   § 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  construction  permit or for
   construction permit to replace expired construction permit.
   § 1.536   Application for license to cover construction permit.
   § 1.538   Application for modification of license.
   § 1.539   Application for renewal of license.
   § 1.540   Application for voluntary assignment or transfer of control.
   § 1.541   Application for involuntary assignment of license or transfer of
   control.
   § 1.542   Application for temporary authorization.
   § 1.543   Application  for  renewal or modification 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 programs 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, indicating 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 Commission.
   § 1.564   Acceptance of applications.
   § 1.566   Defective applications.
   § 1.568   Dismissal of applications.
   § 1.570   AM broadcast station applications involving other North American
   countries.
   § 1.571   Processing AM broadcast station applications.
   § 1.572   Processing TV broadcast and translator station applications.
   § 1.573   Processing FM broadcast and translator station applications.
   § 1.574   Processing of international broadcast station applications.
   § 1.578   Amendments to applications for renewal, assignment or transfer of
   control.
   § 1.580   Local public notice of filing of broadcast applications.
   § 1.584   Petitions to deny.
   § 1.587   Procedure for filing informal applications.
   § 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 renewal 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, Tariffs, and Reports Involving Common
                                  Carriers

   General
   § 1.701   Show cause orders.
   § 1.703   Appearances.
   Complaints
   § 1.711   Formal or informal complaints.
   Informal Complaints
   § 1.716   Form.
   § 1.717   Procedure.
   § 1.718   Unsatisfied informal complaints; formal complaints relating back
   to the filing dates of informal complaints.
   § 1.719   Informal complaints filed pursuant to section 258.
   Formal Complaints
   § 1.720   General pleading requirements.
   § 1.721   Format and content of complaints.
   § 1.722   Damages.
   § 1.723   Joinder of complainants and causes of action.
   § 1.724   Answers.
   § 1.725   Cross-complaints and counterclaims.
   § 1.726   Replies.
   § 1.727   Motions.
   § 1.728   Formal  complaints  not stating a cause of action; defective
   pleadings.
   § 1.729   Discovery.
   § 1.730   The Enforcement Bureau's Accelerated Docket.
   § 1.731   Confidentiality  of information produced or exchanged by the
   parties.
   § 1.732   Other required written submissions.
   § 1.733   Status conference.
   § 1.734   Specifications as to pleadings, briefs, and other documents;
   subscription.
   § 1.735   Copies; service; separate filings against multiple defendants.
   § 1.736   Complaints filed pursuant to 47 U.S.C. 271(d)(6)(B).
   Applications
   § 1.741   Scope.
   § 1.742   Place of filing, fees, and number of copies.
   § 1.743   Who may sign applications.
   § 1.744   Amendments.
   § 1.745   Additional statements.
   § 1.746   Defective applications.
   § 1.747   Inconsistent or conflicting applications.
   § 1.748   Dismissal of applications.
   § 1.749   Action on application under delegated authority.
   Specific Types of Applications Under Title II of Communications Act
   § 1.761   Cross reference.
   § 1.763   Construction, extension, acquisition or operation of lines.
   § 1.764   Discontinuance, reduction, or impairment of service.
   § 1.767   Cable landing licenses.
   § 1.768   Notification by and prior approval for submarine cable landing
   licensees that are or propose to become affiliated with a foreign carrier.
   Tariffs
   § 1.771   Filing.
   § 1.772   Application for special tariff permission.
   § 1.773   Petitions for suspension or rejection of new tariff filings.
   § 1.774   Pricing flexibility.
   Contracts, Reports, and Requests Required to be Filed by Carriers
   § 1.781   Requests for extension of filing time.
   Contracts
   § 1.783   Filing.
   Financial and Accounting Reports and Requests
   § 1.785   Annual financial reports.
   § 1.786   [Reserved]
   § 1.787   Reports of proposed changes in depreciation rates.
   § 1.788   Reports regarding pensions and benefits.
   § 1.789   Reports   regarding   division  of  international  telegraph
   communication charges.
   § 1.790   Reports relating to traffic by international carriers.
   § 1.791   Reports and requests to be filed under part 32 of this chapter.
   § 1.795   Reports regarding interstate rates of return.
   Services and Facilities Reports
   § 1.802   Reports relating to continuing authority to supplement facilities
   or to provide temporary or emergency service.
   § 1.803   Reports relating to reduction in temporary experimental service.
   § 1.805   Reports relating to service by carriers engaged in public radio
   service operations.
   Miscellaneous Reports
   § 1.811   Reports regarding amendments to charters, by-laws and partnership
   agreements of carriers engaged in domestic public radio services.
   § 1.814   Reports  regarding  free service rendered the Government for
   national defense.
   § 1.815   Reports of annual employment.
   Grants by Random Selection
   § 1.821   Scope.
   § 1.822   General selection procedures.
   § 1.824   Random  selection  procedures  for  Multichannel  Multipoint
   Distribution Service 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.
   § 1.923   Content of applications.
   § 1.924   Quiet zones.
   § 1.925   Waivers.
   § 1.926   Application processing; initial procedures.
   § 1.927   Amendment of applications.
   § 1.928   Frequency coordination, Canada.
   § 1.929   Classification of filings as major or minor.
   § 1.931   Application for special temporary authority.
   § 1.933   Public notices.
   § 1.934   Defective applications and dismissal.
   § 1.935   Agreements to dismiss applications, amendments or pleadings.
   § 1.937   Repetitious or conflicting applications.
   § 1.939   Petitions to deny.
   § 1.945   License grants.
   § 1.946   Construction and coverage requirements.
   § 1.947   Modification of licenses.
   § 1.948   Assignment of authorization or transfer of control, notification
   of consummation.
   § 1.949   Application for renewal of license.
   § 1.951   Duty to respond to official communications.
   § 1.955   Termination of authorizations.
   § 1.956   Settlement conferences.
   § 1.957   Procedure with respect to amateur radio operator license.
   § 1.958   Distance computation.
   § 1.959   Computation of average terrain elevation.
   Reports To Be Filed With the Commission
   § 1.981   Reports, annual and semiannual.
   
     Subpart G—Schedule of Statutory Charges and Procedures for Payment

   § 1.1101   Authority.
   § 1.1102   Schedule of charges for applications and other filings in the
   wireless telecommunications services.
   § 1.1103   Schedule of charges for equipment approval, experimental radio
   services, and international telecommunications settlement services.
   § 1.1104   Schedule of charges for applications and other filings for media
   services.
   § 1.1105   Schedule of charges for applications and other filings for the
   wireline competition services.
   § 1.1106   Schedule of charges for applications and other filings for the
   enforcement services.
   § 1.1107   Schedule of charges for applications and other filings for the
   international services.
   § 1.1108   Attachment of charges.
   § 1.1109   Payment of charges.
   § 1.1110   Form of payment.
   § 1.1111   Filing locations.
   § 1.1112   Conditionality of Commission or staff authorizations.
   § 1.1113   Return or refund of charges.
   § 1.1114   General exemptions to charges.
   § 1.1115   Adjustments to charges.
   § 1.1116   Penalty for late or insufficient payments.
   § 1.1117   Petitions and applications for review.
   § 1.1118   Error claims.
   § 1.1119   Billing procedures.
   § 1.1151   Authority to prescribe and collect regulatory fees.
   § 1.1152   Schedule of annual regulatory fees and filing locations for
   wireless radio services.
   § 1.1153   Schedule of annual regulatory fees and filing locations for mass
   media services.
   § 1.1154   Schedule of annual regulatory charges and filing locations for
   common carrier services.
   § 1.1155   Schedule  of regulatory fees and filing locations for cable
   television services.
   § 1.1156   Schedule  of  regulatory  fees  and  filing  locations  for
   international services.
   § 1.1157   Payment of charges for regulatory fees.
   § 1.1158   Form of payment for regulatory fees.
   § 1.1159   Filing locations and receipts for regulatory fees.
   § 1.1160   Refunds of regulatory fees.
   § 1.1161   Conditional license grants and delegated authorizations.
   § 1.1162   General exemptions from regulatory fees.
   § 1.1163   Adjustments to regulatory fees.
   § 1.1164   Penalties for late or insufficient regulatory fee payments.
   § 1.1165   Payment by cashier's check for regulatory fees.
   § 1.1166   Waivers, reductions and deferrals of regulatory fees.
   § 1.1167   Error claims related to regulatory fees.
   § 1.1181   Authority  to  prescribe  and  collect fees for competitive
   bidding-related services and products.
   § 1.1182   Schedule  of fees for products and services provided by the
   Commission in connection with competitive bidding procedures.
   
                     Subpart H—Ex Parte Communications

   General
   § 1.1200   Introduction.
   § 1.1202   Definitions.
   Sunshine Period Prohibition
   § 1.1203   Sunshine period prohibition.
   General Exemptions
   § 1.1204   Exempt ex parte presentations and proceedings.
   Non-Restricted Proceedings
   § 1.1206   Permit-but-disclose proceedings.
   Restricted Proceedings
   § 1.1208   Restricted proceedings.
   Prohibition on Solicitation of Presentations
   § 1.1210   Prohibition on solicitation of presentations.
   Procedures for Handling of Prohibited Ex Parte Presentations
   § 1.1212   Procedures for handling of prohibited ex parte presentations.
   § 1.1214   Disclosure of information concerning violations of this subpart.
   Sanctions
   § 1.1216   Sanctions.
   
 Subpart I—Procedures Implementing the National Environmental Policy Act of
                                    1969

   § 1.1301   Basis and purpose.
   § 1.1302   Cross-reference; Regulations of the Council on Environmental
   Quality.
   § 1.1303   Scope.
   § 1.1304   Information and assistance.
   § 1.1305   Actions which normally will have a significant impact upon the
   environment, for which Environmental Impact Statements must be prepared.
   § 1.1306   Actions which are categorically excluded from environmental
   processing.
   § 1.1307   Actions that may have a significant environmental effect, for
   which Environmental Assessments (EAs) must be prepared.
   § 1.1308   Consideration of environmental assessments (EAs); findings of no
   significant impact.
   § 1.1309   Application amendments.
   § 1.1310   Radiofrequency radiation exposure limits.
   § 1.1311   Environmental information to be included in the environmental
   assessment (EA).
   § 1.1312   Facilities  for  which  no preconstruction authorization is
   required.
   § 1.1313   Objections.
   § 1.1314   Environmental impact statements (EISs).
   § 1.1315   The Draft Environmental Impact Statement (DEIS); Comments.
   § 1.1317   The Final Environmental Impact Statement (FEIS).
   § 1.1319   Consideration of the environmental impact statements.
   
               Subpart J—Pole Attachment Complaint Procedures

   § 1.1401   Purpose.
   § 1.1402   Definitions.
   § 1.1403   Duty  to  provide access; modifications; notice of removal,
   increase or modification; petition for temporary stay; and cable operator
   notice.
   § 1.1404   Complaint.
   § 1.1405   File numbers.
   § 1.1406   Dismissal of complaints.
   § 1.1407   Response and reply.
   § 1.1408   Number of copies and form of pleadings.
   § 1.1409   Commission consideration of the complaint.
   § 1.1410   Remedies.
   § 1.1411   Meetings and hearings.
   § 1.1412   Enforcement.
   § 1.1413   Forfeiture.
   § 1.1414   State certification.
   § 1.1415   Other orders.
   § 1.1416   Imputation of rates; modification costs.
   § 1.1417   Allocation of Unusable Space Costs.
   § 1.1418   Use of presumptions in calculating the space factor.
   
Subpart K—Implementation of the Equal Access to Justice Act (EAJA) in Agency
                                Proceedings

   General Provisions
   § 1.1501   Purpose of these rules.
   § 1.1502   When the EAJA applies.
   § 1.1503   Proceedings covered.
   § 1.1504   Eligibility of applicants.
   § 1.1505   Standards for awards.
   § 1.1506   Allowable fees and expenses.
   § 1.1507   Rulemaking on maximum rates for attorney fees.
   § 1.1508   Awards against other agencies.
   Information Required From Applicants
   § 1.1511   Contents of application.
   § 1.1512   Net worth exhibit.
   § 1.1513   Documentation of fees and expenses.
   § 1.1514   When an application may be filed.
   Procedures for Considering Applications
   § 1.1521   Filing and service of documents.
   § 1.1522   Answer to application.
   § 1.1523   Reply.
   § 1.1524   Comments by other parties.
   § 1.1525   Settlement.
   § 1.1526   Further proceedings.
   § 1.1527   Decision.
   § 1.1528   Commission review.
   § 1.1529   Judicial review.
   § 1.1530   Payment of award.
   
       Subpart L—Random Selection Procedures for Mass Media Services

   General Procedures
   § 1.1601   Scope.
   § 1.1602   Designation for random selection.
   § 1.1603   Conduct of random selection.
   § 1.1604   Post-selection hearings.
   § 1.1621   Definitions.
   § 1.1622   Preferences.
   § 1.1623   Probability calculation.
   
          Subpart M—Cable Operations and Licensing System (COALS)

   § 1.1701   Purpose.
   § 1.1702   Scope.
   § 1.1703   Definitions.
   § 1.1704   Station files.
   § 1.1705   Forms; electronic and manual filing.
   § 1.1706   Content of filings.
   § 1.1707   Acceptance of filings.
   
  Subpart N—Enforcement of Nondiscrimination on the Basis of Disability In
  Programs or Activities Conducted By the Federal Communications Commission

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

   General Provisions
   § 1.1901   Definitions and construction.
   § 1.1902   Exceptions.
   § 1.1903   Use of procedures.
   § 1.1904   Conformance to law and regulations.
   § 1.1905   Other procedures; collection of forfeiture penalties.
   § 1.1906   Informal action.
   § 1.1907   Return of property or collateral.
   § 1.1908   Omissions not a defense.
   § 1.1909   [Reserved]
   § 1.1910   Effect  of  insufficient fee payments, delinquent debts, or
   debarment.
   Administrative Offset—Consumer Reporting Agencies—Contracting for Collection
   § 1.1911   Demand for payment.
   § 1.1912   Collection by administrative offset.
   § 1.1913   Administrative offset against amounts payable from Civil Service
   Retirement and Disability Fund.
   § 1.1914   Collection in installments.
   § 1.1915   Exploration of compromise.
   § 1.1916   Suspending or terminating collection action.
   § 1.1917   Referrals to the Department of Justice and transfer of delinquent
   debt to the Secretary of Treasury.
   § 1.1918   Use of consumer reporting agencies.
   § 1.1919   Contracting for collection services.
   §§ 1.1920-1.1924   [Reserved]
   Salary Offset-Individual Debt
   § 1.1925   Purpose.
   § 1.1926   Scope.
   § 1.1927   Notification.
   § 1.1928   Hearing.
   § 1.1929   Deduction from employee's pay.
   § 1.1930   Liquidation from final check or recovery from other payment.
   § 1.1931   Non-waiver of rights by payments.
   § 1.1932   Refunds.
   § 1.1933   Interest, penalties and administrative costs.
   § 1.1934   Recovery when the Commission is not creditor agency.
   § 1.1935   Obtaining the services of a hearing official.
   § 1.1936   Administrative wage garnishment.
   §§ 1.1937-1.1939   [Reserved]
   Interest, Penalties, Administrative Costs and Other Sanctions
   § 1.1940   Assessment.
   § 1.1941   Exemptions.
   § 1.1942   Other sanctions.
   §§ 1.1943-1.1949   [Reserved]
   Cooperation With the Internal Revenue Service
   § 1.1950   Reporting discharged debts to the Internal Revenue Service.
   § 1.1951   Offset against tax refunds.
   § 1.1952   Use and disclosure of mailing addresses.
   General Provisions Concerning Interagency Requests
   § 1.1953   Interagency requests.
   
        Subpart P—Implementation of the Anti-Drug Abuse Act of 1988

   § 1.2001   Purpose.
   § 1.2002   Applicants required to submit information.
   § 1.2003   Applications affected.
   
                 Subpart Q—Competitive Bidding Proceedings

   General Procedures
   § 1.2101   Purpose.
   § 1.2102   Eligibility of applications for competitive bidding.
   § 1.2103   Competitive bidding design options.
   § 1.2104   Competitive bidding mechanisms.
   § 1.2105   Bidding application and certification procedures; prohibition of
   collusion.
   § 1.2106   Submission of upfront payments.
   § 1.2107   Submission of down payment and filing of long-form applications.
   § 1.2108   Procedures  for  filing petitions to deny against long-form
   applications.
   § 1.2109   License grant, denial, default, and disqualification.
   § 1.2110   Designated entities.
   § 1.2111   Assignment or transfer of control: unjust enrichment.
   § 1.2112   Ownership disclosure requirements for applications.
   § 1.2113   Construction prior to grant of application.
   § 1.2114   Reporting of eligibility event.
   
   Subpart R—Implementation of Section 4(g)(3) of the Communications Act:
   Procedures Governing Acceptance of Unconditional Gifts, Donations and
                                  Bequests

   § 1.3000   Purpose and scope.
   § 1.3001   Definitions.
   § 1.3002   Structural rules and prohibitions.
   § 1.3003   Mandatory factors for evaluating conflicts of interest.
   § 1.3004   Public disclosure and reporting requirements.
   
  Subpart S—Preemption of Restrictions That “Impair” the Ability To Receive
   Television Broadcast Signals, Direct Broadcast Satellite Services, or
 Multichannel Multipoint Distribution Services or the Ability To Receive or
               Transmit Fixed Wireless Communications Signals

   § 1.4000   Restrictions impairing reception of television broadcast signals,
   direct broadcast satellite services or multichannel multipoint distribution
   services.
   
               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
   Commission.
   § 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 Retransmission 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 Advanced Telecommunications Capability Data

   § 1.7000   Purpose.
   § 1.7001   Scope and content of filed reports.
   § 1.7002   Frequency of reports.
   
                     Subpart W—FCC Registration Number

   § 1.8001   FCC Registration Number (FRN).
   § 1.8002   Obtaining an FRN.
   § 1.8003   Providing the FRN in Commission filings.
   § 1.8004   Penalty for Failure to Provide the FRN.
   
                         Subpart X—Spectrum Leasing

   Scope And Authority
   § 1.9001   Purpose and scope.
   § 1.9003   Definitions.
   § 1.9005   Included services.
   General Policies and Procedures
   § 1.9010    De facto control standard for spectrum leasing arrangements.
   § 1.9020   Spectrum manager leasing arrangements.
   § 1.9030   Long-term de facto transfer leasing arrangements.
   § 1.9035   Short-term de facto transfer leasing arrangements.
   § 1.9040   Contractual  requirements  applicable  to  spectrum leasing
   arrangements.
   § 1.9045   Requirements for spectrum leasing arrangements entered into by
   licensees participating in the installment payment program.
   § 1.9047   Special provisions relating to leases of educational broadband
   service spectrum.
   § 1.9048   Special provisions relating to spectrum leasing arrangements
   involving licensees in the Public Safety Radio Services.
   § 1.9050   Who may sign spectrum leasing notifications and applications.
   § 1.9055   Assignment of file numbers to spectrum leasing notifications and
   applications.
   § 1.9060   Amendments, waivers, and dismissals affecting spectrum leasing
   notifications and applications.
   § 1.9080   Private commons.
   
                Subpart Y—International Bureau Filing System

   § 1.10000   What is the purpose of these rules?
   § 1.10001   Definitions.
   § 1.10002   What happens if the rules conflict?
   § 1.10003   When can I start operating?
   § 1.10004   What am I allowed to do if I am approved?
   § 1.10005   What is IBFS?
   § 1.10006   Is electronic filing mandatory?
   § 1.10007   What applications can I file electronically?
   § 1.10008   What are IBFS file numbers?
   § 1.10009   What are the steps for electronic filing?
   § 1.10010   Do I need to send paper copies with my electronic applications?
   § 1.10011   Who may sign applications?
   § 1.10012   When can I file on IBFS?
   § 1.10013   How do I check the status of my application after I file it?
   § 1.10014   What happens after officially filing my application?
   § 1.10015   Are there exceptions for emergency filings?
   § 1.10016   How do I apply for special temporary authority?
   § 1.10017   How can I submit additional information?
   § 1.10018   May I amend my application?
   
        Subpart Z—Communications Assistance for Law Enforcement Act

   § 1.20000   Purpose.
   § 1.20001   Scope.
   § 1.20002   Definitions.
   § 1.20003   Policies and procedures for employee supervision and control.
   § 1.20004   Maintaining secure and accurate records.
   § 1.20005   Submission of policies and procedures and Commission review.
   § 1.20006   Assistance capability requirements.
   § 1.20007   Additional assistance capability requirements for wireline,
   cellular, and PCS telecommunications carriers.
   § 1.20008   Penalties.
   Appendix A to Part 1—A Plan of Cooperative Procedure in Matters and Cases
   Under the Provisions of Section 410 of the Communications Act of 1934
   Appendix B to Part 1—Nationwide Programmatic Agreement for the Collocation
   of Wireless Antennas
   Appendix C to Part 1—Nationwide Programmatic Agreement Regarding the Section
   106 National Historic Preservation Act Review Process
   ___________________________________

   Authority:   15 U.S.C. 79 et seq. ; 47 U.S.C. 151, 154(i), 154(j), 155, 157,
   225, 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

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   Source:    28 FR 12415 , Nov. 22, 1963, unless otherwise noted.

General

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§ 1.1   Proceedings before the Commission.

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   The Commission may on its own motion or petition of any interested party
   hold  such  proceedings  as it may deem necessary from time to time in
   connection  with the investigation of any matter which it has power to
   investigate under the law, or for the purpose of obtaining information
   necessary or helpful in the determination of its policies, the carrying out
   of its duties or the formulation or amendment of its rules and regulations.
   For such purposes it may subpena witnesses and require the production of
   evidence.  Procedures  to  be followed by the Commission shall, unless
   specifically prescribed in this part, be such as in the opinion of the
   Commission will best serve the purposes of such proceedings.

   (Sec. 403, 48 Stat. 1094; 47 U.S.C. 403)

§ 1.2   Declaratory rulings.

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   The Commission may, in accordance with section 5(d) of the Administrative
   Procedure Act, on motion or on its own motion issue a declaratory ruling
   terminating a controversy or removing uncertainty.

   (5 U.S.C. 554)

§ 1.3   Suspension, amendment, or waiver of rules.

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   The provisions of this chapter may be suspended, revoked, amended, or waived
   for good cause shown, in whole or in part, at any time by the Commission,
   subject  to the provisions of the Administrative Procedure Act and the
   provisions of this chapter. Any provision of the rules may be waived by the
   Commission on its own motion or on petition if good cause therefor is shown.
   Cross Reference:

   See subpart C of this part for practice and procedure involving rulemaking.

§ 1.4   Computation of time.

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   (a) Purpose. The purpose of this rule section is to detail the method for
   computing the amount of time within which persons or entities must act in
   response to deadlines established by the Commission. It also applies to
   computation of time for seeking both reconsideration and judicial review of
   Commission decisions.

   (b) General Rule—Computation of Beginning Date When Action is Initiated by
   Commission or Staff. Unless otherwise provided, the first day to be counted
   when a period of time begins with an action taken by the Commission, an
   Administrative  Law Judge or by members of the Commission or its staff
   pursuant to delegated authority is the day after the day on which public
   notice of that action is given. See §1.4(b) (1)–(5) of this section. Unless
   otherwise provided, all Rules measuring time from the date of the issuance
   of a Commission document entitled “Public Notice” shall be calculated in
   accordance  with  this  section.  See §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 section, it is immaterial whether the first day is
   a “holiday.” For purposes of this section, the term public notice means the
   date of any of the following events: See §1.4(e)(1) of this section for
   definition of “holiday.”

   (1) For all documents in notice and comment and non-notice and comment
   rulemaking proceedings required by the Administrative Procedure Act, 5
   U.S.C. 552, 553, to be published in theFederal Register,including summaries
   thereof, the date of publication in theFederal 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 theFederal Registeron Wednesday, May 6, 1987. Public notice commences on
   Wednesday,  May  6, 1987. The first day to be counted in computing the
   beginning date of a period of time for action in response to the document is
   Thursday, May 7, 1987, the “day after the day” of public notice.

   Example  2:    Section  1.429(e)  provides  that  when  a petition for
   reconsideration is timely filed in proper form, public notice of its filing
   is  published  in  theFederal  Register.Section 1.429(f) provides that
   oppositions to a petition for reconsideration shall be filed within 15 days
   after public notice of the petition's filing in theFederal Register.Public
   notice of the filing of a petition for reconsideration is published in
   theFederal Registeron Wednesday, June 10, 1987. For purposes of computing
   the  filing  period  for an opposition, the first day to be counted is
   Thursday, June 11, 1987, which is the day after the date of public notice.
   Therefore, oppositions to the reconsideration petition must be filed by
   Thursday, June 25, 1987, 15 days later.

   (2)  For non-rulemaking documents released by the Commission or staff,
   including the Commission's section 271 determinations, 47 U.S.C. 271, the
   release date.

   Example 3:   The Chief, Mass Media Bureau, adopts an order on Thursday,
   April 2, 1987. The text of that order is not released to the public until
   Friday, April 3, 1987. Public notice of this decision is given on Friday,
   April 3, 1987. Saturday, April 4, 1987, is the first day to be counted in
   computing filing periods.

   (3)  For  rule makings of particular applicability, if the rule making
   document is to be published in theFederal Registerand the Commission so
   states in its decision, the date of public notice will commence on the day
   of  theFederal  Registerpublication  date.  If  the  decision fails to
   specifyFederal Registerpublication, the date of public notice will commence
   on the release date, even if the document is subsequently published in
   theFederal Register. See Declaratory Ruling,  51 FR 23059  (June 25, 1986).

   Example  4:    An order establishing an investigation of a tariff, and
   designating issues to be resolved in the investigation, is released on
   Wednesday, April 1, 1987, and is published in theFederal Registeron Friday,
   April 10, 1987. If the decision itself specifiesFederal Registerpublication,
   the date of public notice is Friday, April 10, 1987. If this decision does
   not specifyFederal Registerpublication, public notice occurs on Wednesday,
   April 1, 1987, and the first day to be counted in computing filing periods
   is Thursday, April 2, 1987.

   (4) If the full text of an action document is not to be released by the
   Commission, but a descriptive document entitled “Public Notice” describing
   the action is released, the date on which the descriptive “Public Notice” is
   released.

   Example 5:   At a public meeting the Commission considers an uncontested
   application to transfer control of a broadcast station. The Commission
   grants  the  application and does not plan to issue a full text of its
   decision  on  the  uncontested  matter. Five days after the meeting, a
   descriptive “Public Notice” announcing the action is publicly released. The
   date of public notice commences on the day of the release date.

   Example 6:   A Public Notice of petitions for rule making filed with the
   Commission is released on Wednesday, September 2, 1987; public notice of
   these petitions is given on September 2, 1987. The first day to be counted
   in computing filing times is Thursday, September 3, 1987.

   (5) If a document is neither published in theFederal Registernor released,
   and if a descriptive document entitled “Public Notice” is not released, the
   date appearing on the document sent (e.g., mailed, telegraphed, etc.) to
   persons affected by the action.

   Example 7:   A Bureau grants a license to an applicant, or issues a waiver
   for  non-conforming  operation to an existing licensee, and no “Public
   Notice”  announcing  the action is released. The date of public notice
   commences on the day appearing on the license mailed to the applicant or
   appearing  on the face of the letter granting the waiver mailed to the
   licensee.

   (c) General Rule—Computation of Beginning Date When Action is Initiated by
   Act,  Event  or  Default. Commission procedures frequently require the
   computation of a period of time where the period begins with the occurrence
   of  an  act, event or default and terminates a specific number of days
   thereafter. Unless otherwise provided, the first day to be counted when a
   period of time begins with the occurrence of an act, event or default is the
   day after the day on which the act, event or default occurs.

   Example 8:   Commission Rule §21.39(d) requires the filing of an application
   requesting consent to involuntary assignment or control of the permit or
   license  within thirty days after the occurrence of the death or legal
   disability  of the licensee or permittee. If a licensee passes away on
   Sunday, March 1, 1987, the first day to be counted pursuant to §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 Terminal Date. Unless otherwise provided,
   when computing a period of time the last day of such period of time is
   included in the computation, and any action required must be taken on or
   before that day.

   Example 9:   Paragraph 1.4(b)(1) of this section provides that “public
   notice” in a notice and comment rule making proceeding begins on the day
   ofFederal Registerpublication. Paragraph 1.4(b) of this section provides
   that the first day to be counted in computing a terminal date is the “day
   after the day” on which public notice occurs. Therefore, if the commission
   allows or requires an action to be taken 20 days after public notice in
   theFederal Register,the first day to be counted is the day after the date of
   theFederal Registerpublication. Accordingly, if theFederal Registerdocument
   is published on Thursday, July 23, 1987, public notice is given on Thursday,
   July 23, and the first day to be counted in computing a 20 day period is
   Friday, July 24, 1987. The 20th day or terminal date upon which action must
   be taken is Wednesday, August 12, 1987.

   (e) Definitions for purposes of this section:

   (1) The term holiday means Saturday, Sunday, officially recognized Federal
   legal holidays and any other day on which the Commission's offices are
   closed  and  not  reopened prior to 5:30 p.m. For example, a regularly
   scheduled Commission business day may become a holiday if its offices are
   closed  prior  to 5:30 p.m. due to adverse weather, emergency or other
   closing.

   Note: As of August 1987, officially recognized Federal legal holidays are
   New Year's Day, January 1; Martin Luther King's Birthday, third Monday in
   January; Washington's Birthday, third Monday in February; Memorial Day, last
   Monday  in  May;  Independence Day, July 4; Labor Day, first Monday in
   September; Columbus Day, second Monday in October; Veterans Day, November
   11; Thanksgiving Day, fourth Thursday in November; Christmas Day, December
   25. If a legal holiday falls on Saturday or Sunday, the holiday is taken,
   respectively, on the preceding Friday or the following Monday. In addition,
   January 20, (Inauguration Day) following a Presidential election year is a
   legal holiday in the metropolitan Washington, DC area. If Inauguration Day
   falls on Sunday, the next succeeding day is a legal holiday. See 5 U.S.C.
   6103;  Executive  Order  No.  11582,   36 FR 2957  (Feb. 11, 1971). The
   determination of a “holiday” will apply only to the specific Commission
   location(s) designated as on “holiday” on that particular day.

   (2) The term business day means all days, including days when the Commission
   opens  later  than  the  time  specified in Rule §0.403, which are not
   “holidays” as defined above.

   (3) The term filing period means the number of days allowed or prescribed by
   statute, rule, order, notice or other Commission action for filing any
   document  with the Commission. It does not include any additional days
   allowed for filing any document pursuant to paragraphs (g), (h) and (j) of
   this section.

   (4) The term filing date means the date upon which a document must be filed
   after all computations of time authorized by this section have been made.

   (f)  Except  as  provided in §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 236 Massachusetts Ave, NE., Washington, DC 20002. The Secretary
   will determine whether a tendered document meets the pre-7:00 p.m. deadline.
   Documents filed electronically pursuant to §1.49(f) must be received by the
   Commission's  electronic  filing system before midnight. Applications,
   attachments and pleadings filed electronically in the Universal Licensing
   System (ULS) pursuant to §1.939(b) must be received before midnight on the
   filing date. Media Bureau applications and reports filed electronically
   pursuant to §73.3500 of this chapter must be received by the electronic
   filing system before midnight on the filing date.

   (g) Unless otherwise provided (e.g., §§1.773 and 76.1502(e)(1) of this
   chapter), if the filing period is less than 7 days, intermediate holidays
   shall not be counted in determining the filing date.

   Example 10:   A reply is required to be filed within 5 days after the filing
   of an opposition in a license application proceeding. The opposition is
   filed on Wednesday, June 10, 1987. The first day to be counted in computing
   the 5 day time period is Thursday, June 11, 1987. Saturday and Sunday are
   not counted because they are holidays. The document must be filed with the
   Commission on or before the following Wednesday, June 17, 1987.

   (h) If a document is required to be served upon other parties by statute or
   Commission  regulation and the document is in fact served by mail (see
   §1.47(f)), and the filing period for a response is 10 days or less, an
   additional 3 days (excluding holidays) will be allowed to all parties in the
   proceeding for filing a response. This paragraph (h) shall not apply to
   documents filed pursuant to §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 opposition be served on the person seeking
   reconsideration. 47 CFR 1.106(g). If the opposition is served on the party
   seeking  reconsideration  by mail and the opposition is filed with the
   Commission on Monday, November 9, 1987, the first day to be counted is
   Tuesday,  November  10, 1987 (the day after the day on which the event
   occurred,  §1.4(c)),  and  the  seventh day is Monday, November 16. An
   additional 3 days (excluding holidays) is then added at the end of the 7 day
   period, and the reply must be filed no later than Thursday, November 19,
   1987.

   Example  12:    Assume  that oppositions to a petition in a particular
   proceeding are due 10 days after the petition is filed and must be served on
   the parties to the proceeding. If the petition is filed on October 28, 1993,
   the last day of the filing period for oppositions is Sunday, November 7. If
   service is made by mail, the opposition is due three days after November 7,
   or Wednesday, November 10.

   (i) If both paragraphs (g) and (h) of this section are applicable, make the
   paragraph (g) computation before the paragraph (h) computation.

   Example 13:   Section 1.45(b) requires the filing of replies to oppositions
   within five days after the time for filing oppositions has expired. If an
   opposition has been filed on the last day of the filing period (Friday, July
   10, 1987), and was served on the replying party by mail, §1.4(i) of this
   section specifies that the paragraph (g) computation should be made before
   the paragraph (h) computation. Therefore, since the specified filing period
   is less than seven days, paragraph (g) is applied first. The first day of
   the filing period is Monday, July 13, 1987, and Friday, July 17, 1987 is the
   fifth day (the intervening weekend was not counted). Paragraph (h) is then
   applied to add three days for mailing (excluding holidays). That period
   begins on Monday, July 20, 1987. Therefore, Wednesday, July 22, 1987, is the
   date by which replies must be filed, since the intervening weekend is again
   not counted.

   (j) Unless otherwise provided (e.g. §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
   specific  provisions  of  part 1 are controlling. 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 provisions 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]

§ 1.5   Mailing address furnished by licensee.

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   (a) Each licensee shall furnish the Commission with an address to be used by
   the Commission in serving documents or directing correspondence to that
   licensee. Unless any licensee advises the Commission to the contrary, the
   address contained in the licensee's most recent application will be used by
   the Commission for this purpose.

   (b) The licensee is responsible for making any arrangements which may be
   necessary  in  his  particular circumstances to assure that Commission
   documents or correspondence delivered to this address will promptly reach
   him or some person authorized by him to act in his behalf.

§ 1.6   Availability of station logs and records for Commission inspection.

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   (a) Station records and logs shall be made available for inspection or
   duplication at the request of the Commission or its representative. Such
   logs  or  records  may  be removed from the licensee's possession by a
   Commission representative or, upon request, shall be mailed by the licensee
   to the Commission by either registered mail, return receipt requested, or
   certified  mail, return receipt requested. The return receipt shall be
   retained by the licensee as part of the station records until such records
   or logs are returned to the licensee. A receipt shall be furnished when the
   logs or records are removed from the licensee's possession by a Commission
   representative and this receipt shall be retained by the licensee as part of
   the station records until such records or logs are returned to the licensee.
   When the Commission has no further need for such records or logs, they shall
   be returned to the licensee. The provisions of this rule shall apply solely
   to those station logs and records which are required to be maintained by the
   provisions of this chapter.

   (b)  Where records or logs are maintained as the official records of a
   recognized law enforcement agency and the removal of the records from the
   possession of the law enforcement agency will hinder its law enforcement
   activities, such records will not be removed pursuant to this section if the
   chief of the law enforcement agency promptly certifies in writing to the
   Federal Communications Commission that removal of the logs or records will
   hinder law enforcement activities of the agency, stating insofar as feasible
   the basis for his decision and the date when it can reasonably be expected
   that such records will be released to the Federal Communications Commission.

§ 1.7   Documents are filed upon receipt.

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   Unless otherwise provided in this Title, by Public Notice, or by decision of
   the Commission or of the Commission's staff acting on delegated authority,
   pleadings and other documents are considered to be filed with the Commission
   upon their receipt at the location designated by the Commission.

   [ 60 FR 16055 , Mar. 29, 1995]

§ 1.8   Withdrawal of papers.

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   The  granting  of a request to dismiss or withdraw an application or a
   pleading does not authorize the removal of such application or pleading from
   the Commission's records.

§ 1.10   Transcript of testimony; copies of documents submitted.

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   In any matter pending before the Commission, any person submitting data or
   evidence, whether acting under compulsion or voluntarily, shall have the
   right  to  retain a copy thereof, or to procure a copy of any document
   submitted by him, or of any transcript made of his testimony, upon payment
   of the charges therefor to the person furnishing the same, which person may
   be  designated  by  the Commission. The Commission itself shall not be
   responsible for furnishing the copies.

   [ 29 FR 14406 , Oct. 20, 1964]

§ 1.12   Notice to attorneys of Commission documents.

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   In  any  matter pending before the Commission in which an attorney has
   appeared for, submitted a document on behalf of or been otherwise designated
   by a person, any notice or other written communication pertaining to that
   matter issued by the Commission and which is required or permitted to be
   furnished to the person will be communicated to the attorney, or to one of
   such attorneys if more than one is designated. If direct communication with
   the party is appropriate, a copy of such communication will be mailed to the
   attorney.

   [ 29 FR 14406 , Oct. 20, 1964]

§ 1.13   Filing of petitions for review and notices of appeals of Commission
orders.

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   (a)(1) This section pertains to each party filing a petition for review in
   any  United States court of appeals of a Commission Order, pursuant to
   section 402(a) of the Communications Act, 47 U.S.C. 402(a), and 28 U.S.C.
   2342(l), that wishes to avail itself of procedures established for selection
   of a court in the case of multiple appeals, pursuant to 28 U.S.C. 2112(a).
   Each such party shall, within ten days after the issuance of that order,
   file with the General Counsel in the Office of General Counsel, Room 8–A741,
   445 12th Street, SW., Washington, DC 20554, a copy of its petition for
   review as filed and date-stamped by the court of appeals within which it was
   filed.  Such copies of petitions for review must be filed by 5:30 p.m.
   Eastern Time on the tenth day of the filing period. A stamp indicating the
   time and date received by the Office of General Counsel will constitute
   proof of filing. Upon receipt of any copies of petitions for review, the
   Commission shall follow the procedures established in section 28 U.S.C.
   2112(a) to determine the court in which to file the record in that case.

   (2) Computation of time of the ten-day period for filing copies of petitions
   for review of a Commission order shall be governed by Rule 26 of the Federal
   Rules of Appellate Procedure. The date of issuance of a Commission order for
   purposes of filing copies of petitions for review shall be the date of
   public  notice as defined in §1.4(b) of the Commission's Rules, 47 CFR
   1.4(b).

   (b) Copies of notices of appeals filed pursuant to 47 U.S.C. 402(b) shall be
   served upon the General Counsel.

   Note:  For administrative efficiency, the Commission requests that any
   petitioner seeking judicial review of Commission actions pursuant to 47
   U.S.C. 402(a) serve a copy of its petition on the General Counsel regardless
   of whether it wishes to avail itself of the procedures for multiple appeals
   set forth in 47 U.S.C. 2112(a).

   [ 54 FR 12453 , Mar. 27, 1989, as amended at  65 FR 14476 , Mar. 17, 2000;  71 FR 6381 , Feb. 8, 2006]

§ 1.14   Citation of Commission documents.

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   The appropriate reference to the FCC Record shall be included as part of the
   citation to any document that has been printed in the Record. The citation
   should provide the volume, page number and year, in that order (e.g., 1 FCC
   Rcd. 1 (1986). Older documents may continue to be cited to the FCC Reports,
   first or second series, if they were printed in the Reports (e.g., 1 FCC 2d
   1 (1965)).

   [ 51 FR 45890 , Dec. 23, 1986]

§ 1.16   Unsworn declarations under penalty of perjury in lieu of affidavits.

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   Any document to be filed with the Federal Communications Commission and
   which is required by any law, rule or other regulation of the United States
   to  be  supported, evidenced, established or proved by a written sworn
   declaration, verification, certificate, statement, oath or affidavit by the
   person making the same, may be supported, evidenced, established or proved
   by the unsworn declaration, certification, verification, or statement in
   writing of such person, except that, such declaration shall not be used in
   connection with: (a) A deposition, (b) an oath of office, or (c) an oath
   required to be taken before a specified official other than a notary public.
   Such declaration shall be subscribed by the declarant as true under penalty
   of perjury, and dated, in substantially the following form:

   (1) If executed without the United States:

   “I declare (or certify, verify, or state) under penalty of perjury under the
   laws of the United States of America that the foregoing is true and correct.
   Executed on (date).
   (Signature) ________________________________ ”.

   (2) If executed within the United States, its territories, possessions, or
   commonwealths:

   “I declare (or certify, verify, or state) under penalty of perjury that the
   foregoing is true and correct. Executed on (date).
   (Signature) ________________________________ ”.

   [ 48 FR 8074 , Feb. 25, 1983]

§ 1.17   Truthful and accurate statements to the Commission.

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   (a) In any investigatory or adjudicatory matter within the Commission's
   jurisdiction (including, but not limited to, any informal adjudication or
   informal investigation but excluding any declaratory ruling proceeding) and
   in any proceeding to amend the FM or Television Table of Allotments (with
   respect to expressions of interest) or any tariff proceeding, no person
   subject to this rule shall;

   (1) In any written or oral statement of fact, intentionally provide material
   factual  information  that is incorrect or intentionally omit material
   information that is necessary to prevent any material factual statement that
   is made from being incorrect or misleading; and

   (2) In any written statement of fact, provide material factual information
   that is incorrect or omit material information that is necessary to prevent
   any  material  factual  statement that is made from being incorrect or
   misleading without a reasonable basis for believing that any such material
   factual statement is correct and not misleading.

   (b) For purpose of paragraph (a) of this section, “persons subject to this
   rule” shall mean the following:

   (1) Any applicant for any Commission authorization;

   (2) Any holder of any Commission authorization, whether by application or by
   blanket authorization or other rule;

   (3) Any person performing without Commission authorization an activity that
   requires Commission authorization;

   (4) Any person that has received a citation or a letter of inquiry from the
   Commission or its staff, or is otherwise the subject of a Commission or
   staff investigation, including an informal investigation;

   (5) In a proceeding to amend the FM or Television Table of Allotments, any
   person filing an expression of interest; and

   (6) To the extent not already covered in this paragraph (b), any cable
   operator or common carrier.

   [ 68 FR 15098 , Mar. 28, 2003]

§ 1.18   Administrative Dispute Resolution.

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   (a) The Commission has adopted an initial policy statement that supports and
   encourages the use of alternative dispute resolution procedures in its
   administrative proceedings and proceedings in which the Commission is a
   party, including the use of regulatory negotiation in Commission rulemaking
   matters, as authorized under the Administrative Dispute Resolution Act and
   Negotiated Rulemaking Act.

   (b) In accordance with the Commission's policy to encourage the fullest
   possible  use  of  alternative  dispute  resolution  procedures in its
   administrative proceedings, procedures contained in the Administrative
   Dispute   Resolution   Act,  including  the  provisions  dealing  with
   confidentiality, shall also be applied in Commission alternative dispute
   resolution proceedings in which the Commission itself is not a party to the
   dispute.

   [ 56 FR 51178 , Oct. 10, 1991, as amended at  57 FR 32181 , July 21, 1992]

§ 1.19   Use of metric units required.

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   Where parenthesized English units accompany metric units throughout this
   chapter, and the two figures are not precisely equivalent, the metric unit
   shall be considered the sole requirement; except, however, that the use of
   metric  paper sizes is not currently required, and compliance with the
   English  unit  shall be considered sufficient when the Commission form
   requests that data showing compliance with that particular standard be
   submitted in English units.

   [ 58 FR 44893 , Aug. 25, 1993]

Parties, Practitioners, and Witnesses

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§ 1.21   Parties.

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   (a) Any party may appear before the Commission and be heard in person or by
   attorney.

   (b) The appropriate Bureau Chief(s) of the Commission shall be deemed to be
   a party to every adjudicatory proceeding (as defined in the Administrative
   Procedure  Act)  without  the necessity of being so named in the order
   designating the proceeding for hearing.

   (c) When, in any proceeding, a pleading is filed on behalf of either the
   General Counsel or the Chief Engineer, he shall thereafter be deemed a party
   to the proceeding.

   (d)  Except  as  otherwise  expressly provided in this chapter, a duly
   authorized corporate officer or employee may act for the corporation in any
   matter which has not been designated for an evidentiary hearing and, in the
   discretion of the presiding officer, may appear and be heard on behalf of
   the corporation in an evidentiary hearing proceeding.

   [ 28 FR 12415 , Nov. 22, 1963, as amended at  37 FR 8527 , Apr. 28, 1972;  44 FR 39180 , July 5, 1979;  51 FR 12616 , Apr. 14, 1986]

§ 1.22   Authority for representation.

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   Any person, in a representative capacity, 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.

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   (a) Any person who is a member in good standing of the bar of the Supreme
   Court of the United States or of the highest court of any state, territory
   or the District of Columbia, and who is not under any final order of any
   authority having power to suspend or disbar an attorney in the practice of
   law within any state, territory or the District of Columbia that suspends,
   enjoins,  restrains, disbars, or otherwise restricts him or her in the
   practice of law, may represent others before the Commission.

   (b) When such member of the bar acting in a representative capacity appears
   in person or signs a paper in practice before the Commission, his personal
   appearance or signature shall constitute a representation to the Commission
   that, under the provisions of this chapter and the law, he is authorized and
   qualified to represent the particular party in whose behalf he acts. Further
   proof of authority to act in a representative capacity may be required.

   [ 28 FR 12415 , Nov. 22, 1963, as amended at  57 FR 38285 , Aug. 24, 1992]

§ 1.24   Censure, suspension, or disbarment of attorneys.

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   (a)  The Commission may censure, suspend, or disbar any person who has
   practiced, is practicing or holding himself out as entitled to practice
   before it if it finds that such person:

   (1) Does not possess the qualifications required by §1.23;

   (2)  Has failed to conform to standards of ethical conduct required of
   practitioners at the bar of any court of which he is a member;

   (3) Is lacking in character or professional integrity; and/or

   (4) Displays toward the Commission or any of its hearing officers conduct
   which, if displayed toward any court of the United States or any of its
   Territories  or  the District of Columbia, would be cause for censure,
   suspension, or disbarment.

   (b) Except as provided in paragraph (c) of this section, before any member
   of the bar of the Commission shall be censured, suspended, or disbarred,
   charges shall be preferred by the Commission against such practitioner, and
   he or she shall be afforded an opportunity to be heard thereon.

   (c) Upon receipt of official notice from any authority having power to
   suspend or disbar an attorney in the practice of law within any state,
   territory, or the District of Columbia which demonstrates that an attorney
   practicing before the Commission is subject to an order of final suspension
   (not merely temporary suspension pending further action) or disbarment by
   such authority, the Commission may, without any preliminary hearing, enter
   an order temporarily suspending the attorney from practice before it pending
   final  disposition  of  a  disciplinary proceeding brought pursuant to
   §1.24(a)(2), which shall afford such attorney an opportunity to be heard and
   directing the attorney to show cause within thirty days from the date of
   said order why identical discipline should not be imposed against such
   attorney by the Commission.

   (d) Allegations of attorney misconduct in Commission proceedings shall be
   referred under seal to the Office of General Counsel. Pending action by the
   General Counsel, the decision maker may proceed with the merits of the
   matter but in its decision may make findings concerning the attorney's
   conduct only if necessary to resolve questions concerning an applicant and
   may not reach any conclusions regarding the ethical ramifications of the
   attorney's conduct. The General Counsel will determine if the allegations
   are substantial, and, if so, shall immediately notify the attorney and
   direct him or her to respond to the allegations. No notice will be provided
   to other parties to the proceeding. The General Counsel will then determine
   what  further  measures  are necessary to protect the integrity of the
   Commission's administrative process, including but not limited to one or
   more of the following:

   (1) Recommending to the Commission the institution of a proceeding under
   paragraph (a) of this section;

   (2) Referring the matter to the appropriate State, territorial, or District
   of Columbia bar; or

   (3) Consulting with the Department of Justice.

   [ 28 FR 12415 , Nov. 22, 1963, as amended at  57 FR 38285 , Aug. 24, 1992;  60 FR 53277 , Oct. 13, 1995]

§ 1.25   [Reserved]

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§ 1.26   Appearances.

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   Rules relating to appearances are set forth in §§1.87, 1.91, 1.221, and
   1.703.

§ 1.27   Witnesses; right to counsel.

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   Any individual compelled to appear in person in any Commission proceeding
   may be accompanied, represented, and advised by counsel as provided in this
   section. (Regulations as to persons seeking voluntarily to appear and give
   evidence are set forth in §1.225.)

   (a)  Counsel  may advise his client in confidence, either upon his own
   initiative or that of the witness, before, during, and after the conclusion
   of the proceeding.

   (b) Counsel for the witness will be permitted to make objections on the
   record, and to state briefly the basis for such objections, in connection
   with any examination of his client.

   (c) At the conclusion of the examination of his client, counsel may ask
   clarifying  questions if in the judgment of the presiding officer such
   questioning  is  necessary or desirable in order to avoid ambiguity or
   incompleteness in the responses previously given.

   (d) Except as provided by paragraph (c) of this section, counsel for the
   witness may not examine or cross-examine any witness, or offer documentary
   evidence, unless authorized by the Commission to do so.

   (5 U.S.C. 555)

   [ 29 FR 12775 , Sept. 10, 1964]

§§ 1.28-1.29   [Reserved]

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Pleadings, Briefs, and Other Papers

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§ 1.41   Informal requests for Commission action.

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   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, complaints; cross-reference.

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   (a) Rules governing applications and reports are contained in subparts D, E,
   and F of this part.

   (b) Special rules governing complaints against common carriers arising under
   the Communications Act are set forth in subpart E of this part.

   (c) Rules governing the FCC Registration Number (FRN) are contained in
   subpart W of this part.

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

§ 1.43   Requests for stay; cross-reference.

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   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.

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   (a) Requests requiring action by the Commission shall not be combined in a
   pleading with requests for action by an administrative law judge or by any
   person or persons acting pursuant to delegated authority.

   (b) Requests requiring action by an administrative law judge shall not be
   combined in a pleading with requests for action by the Commission or by any
   person or persons acting pursuant to delegated authority.

   (c) Requests requiring action by any person or persons pursuant to delegated
   authority shall not be combined in a pleading with requests for action by
   any other person or persons acting pursuant to delegated authority.

   (d) Pleadings which combine requests in a manner prohibited by paragraph
   (a), (b), or (c) of this section may be returned without consideration to
   the person who filed the pleading.

   (e) Any request to stay the effectiveness of any decision or order of the
   Commission shall be filed as a separate pleading. Any such request which is
   not filed as a separate pleading will not be considered by the Commission.

   Note: Matters which are acted on pursuant to delegated authority are set
   forth  in subpart B of part 0 of this chapter. Matters acted on by the
   hearing examiner are set forth in §0.341.

§ 1.45   Pleadings; filing periods.

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   Except  as otherwise provided in this chapter, pleadings in Commission
   proceedings  shall  be filed in accordance with the provisions of this
   section. Pleadings associated with licenses, applications, waivers and other
   documents in the Wireless Radio Services may be filed via the ULS.

   (a) Petitions. Petitions to deny may be filed pursuant 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
   oppositions within 5 days after the time for filing oppositions has expired.
   The reply shall be limited to matters raised in the oppositions, and the
   response  to all such matters shall be set forth in a single pleading;
   separate replies to individual oppositions shall not be filed.

   (d) Requests for temporary relief; shorter filing periods. Oppositions to a
   request for stay of any order or to a request for other temporary relief
   shall  be  filed  within 7 days after the request is filed. Replies to
   oppositions should not be filed and will not be considered. The provisions
   of §1.4(h) shall not apply in computing the filing date for oppositions to a
   request for stay or for other temporary relief.

   (e) Ex parte disposition of certain pleadings. As a matter of discretion,
   the  Commission  may  rule ex parte upon requests for continuances and
   extensions of time, requests for permission to file pleadings in excess of
   the length prescribed in this chapter, and requests for temporary relief,
   without waiting for the filing of oppositions or replies.

   Note: Where specific provisions contained in part 1 conflict with this
   section, those specific provisions are controlling. See, in particular,
   §§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.

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   (a) It is the policy of the Commission that extensions of time shall not be
   routinely granted.

   (b) Motions for extension of time in which to file responses to petitions
   for rulemaking, replies to such responses, comments filed in response to
   notice of proposed rulemaking, replies to such comments and other filings in
   rulemaking proceedings conducted under Subpart C of this part shall be filed
   at least 7 days before the filing date. If a timely motion is denied, the
   responses and comments, replies thereto, or other filings need not be filed
   until 2 business days after the Commission acts on the motion. In emergency
   situations, the Commission will consider a late-filed motion for a brief
   extension of time related to the duration of the emergency and will consider
   motions for acceptance of comments, reply comments or other filings made
   after the filing date.

   (c)  If  a  motion  for  extension of time in which to make filings in
   proceedings other than notice and comment rule making proceedings is filed
   less than 7 days prior to the filing day, the party filing the motion shall
   (in addition to serving the motion on other parties) orally notify other
   parties and Commission staff personnel responsible for acting on the motion
   that the motion has been (or is being) filed.

   [ 39 FR 43301 , Dec. 12, 1974, as amended at  41 FR 9550 , Mar. 5, 1976;  41 FR 14871 , Apr. 8, 1976;  42 FR 28887 , June 6, 1977;  63 FR 24124 , May 1, 1998]

§ 1.47   Service of documents and proof of service.

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   (a) Where the Commission or any person is required by statute or by the
   provisions of this chapter to serve any document upon any person, service
   shall  (in  the  absence of specific provisions in this chapter to the
   contrary) be made in accordance with the provisions of this section.

   (b)  Where any person is required to serve any document filed with the
   Commission, service shall be made by that person or by his representative on
   or before the day on which the document is filed.

   (c) Commission counsel who formally participate in any proceeding shall be
   served  in  the  same  manner as other persons who participate in that
   proceeding. The filing of a document with the Commission does not constitute
   service upon Commission counsel.

   (d) Except in formal complaint proceedings against common carriers under
   §§1.720 through 1.736, documents may be served upon a party, his attorney,
   or other duly constituted agent by delivering a copy or by mailing a copy to
   the last known address. See §1.736. Documents that are required to be served
   must be served in paper form, even if documents are filed in electronic form
   with the Commission, unless the party to be served agrees to accept service
   in some other form.

   (e) Delivery of a copy pursuant to this section means handing it to the
   party, his attorney, or other duly constituted agent; or leaving it with the
   clerk or other person in charge of the office of the person being served;
   or, if there is no one in charge of such office, leaving it in a conspicuous
   place therein; or, if such office is closed or the person to be served has
   no office, leaving it at his dwelling house or usual place of abode with
   some person of suitable age and discretion then residing therein.

   (f) Service by mail is complete upon mailing.

   (g) Proof of service, as provided in this section, shall be filed before
   action is taken. The proof of service shall show the time and manner of
   service, and may be by written acknowledgement of service, by certificate of
   the person effecting the service, or by other proof satisfactory to the
   Commission. Failure to make proof of service will not affect the validity of
   the service. The Commission may allow the proof to be amended or supplied at
   any time, unless to do so would result in material prejudice to a party.

   (h) Every common carrier and interconnected VoIP provider, as defined 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
   designate additional agents if it so chooses, upon whom service of all
   notices, process, orders, decisions, and requirements of the Commission may
   be made for and on behalf of such carrier 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, telephone or voicemail number, facsimile number,
   and, if available, Internet e-mail address. Such carrier or interconnected
   VoIP provider shall additionally list any other names by which it is known
   or under which it does business, and, if the carrier or interconnected VoIP
   provider  is an affiliated company, the parent, holding, or management
   company.  Within  thirty (30) days of the commencement of provision of
   service,  such carrier or interconnected VoIP provider shall file such
   information with the Chief of the Enforcement 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 Commission in theFederal Register,to satisfy
   this requirement. Each Telecommunications Reporting Worksheet filed annually
   by a common carrier or interconnected VoIP provider must contain a name,
   business address, telephone or voicemail number, facsimile number, and, if
   available, Internet e-mail address for its designated agents, regardless of
   whether  such  information has been revised since the previous filing.
   Carriers and interconnected VoIP providers must notify the Commission within
   one week of any changes in their designation information by filing revised
   portions of the Telecommunications Reporting Worksheet with the Chief of the
   Enforcement Bureau's Market Disputes Resolution Division. A paper copy of
   this designation list shall be maintained in the Office of the Secretary of
   the  Commission.  Service of any notice, process, orders, decisions or
   requirements  of  the  Commission  may  be  made  upon such carrier or
   interconnected VoIP provider by leaving a copy thereof with such designated
   agent  at  his  office or usual place of residence. If such carrier or
   interconnected VoIP provider fails to designate such an agent, service of
   any notice or other process in any proceeding before the Commission, or of
   any  order, decision, or requirement of the Commission, may be made by
   posting such notice, process, order, requirement, or decision in the Office
   of the Secretary of the Commission.

   [ 28 FR 12415 , Nov. 22, 1963, as amended at  40 FR 55644 , Dec. 1, 1975;  53 FR 11852 , Apr. 11, 1988;  63 FR 1035 , Jan. 7, 1998;  63 FR 24124 , May 1, 1998;  64 FR 41330 , July 30, 1999;  64 FR 60725 , Nov. 8, 1999;  71 FR 38796 , July 10,
   2006]

   Effective Date Note:   At  71 FR 38796 , July 10, 2006, §1.47(h) was amended.
   This section contains information collection and recordkeeping requirements
   and will not become effective until approval has been given by the Office of
   Management and Budget.

§ 1.48   Length of pleadings.

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   (a) Affidavits, statements, tables of contents and summaries of filings, and
   other materials which are submitted with and factually support a pleading
   are  not  counted  in determining the length of the pleading. If other
   materials are submitted with a pleading, they will be counted in determining
   its length; and if the length of the pleadings, as so computed, is greater
   than permitted by the provisions of this chapter, the pleading will be
   returned without consideration.

   (b) It is the policy of the Commission that requests for permission to file
   pleadings in excess of the length prescribed by the provisions of this
   chapter shall not be routinely granted. Where the filing period is 10 days
   or less, the request shall be made within 2 business days after the period
   begins to run. Where the period is more than 10 days, the request shall be
   filed at least 10 days before the filing date. (See §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.

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   (a)  All pleadings and documents filed in paper form in any Commission
   proceeding  shall  be typewritten or prepared by mechanical processing
   methods, and shall be filed on A4 (21 cm. × 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 exceed 61/2× 91/2inches (16.5 cm. × 24.1 cm.). The printed
   material  may  be  in  any  typeface of at least 12-point (0.42333 cm.
   or12/72&inch;) in height. The body of the text must be double spaced with a
   minimum distance of7/32of an inch (0.5556 cm.) between each line of text.
   Footnotes and long, indented quotations may be single spaced, but must be in
   type that is 12-point or larger in height, with at least1/16of an inch
   (0.158  cm.)  between each line of text. Counsel are cautioned against
   employing extended single spaced passages or excessive footnotes to evade
   prescribed pleading lengths. If single-spaced passages or footnotes are used
   in this manner the pleading will, at the discretion of the Commission,
   either be rejected as unacceptable for filing or dismissed with leave to be
   refiled in proper form. Pleadings may be printed on both sides of the paper.
   Pleadings that use only one side of the paper shall be stapled, or otherwise
   bound, in the upper left-hand corner; those using both sides of the paper
   shall be stapled twice, or otherwise bound, along the left-hand margin so
   that it opens like a book. The foregoing shall not apply to printed briefs
   specifically requested by the Commission, official publications, charted or
   maps, original documents (or admissible copies thereof) offered as exhibits,
   specially prepared exhibits, or if otherwise specifically provided. All
   copies shall be clearly legible.

   (b) Except as provided in paragraph (d) of this section, all pleadings and
   documents filed with the Commission, the length of which as computed under
   this chapter exceeds ten pages, shall include, as part of the pleading or
   document, a table of contents with page references.

   (c) Except as provided in paragraph (d) of this section, all pleadings and
   documents filed with the Commission, the length of which filings as computed
   under this chapter exceeds ten pages, shall include, as part of the pleading
   or document, a summary of the filing, suitably paragraphed, which should be
   a succinct, but accurate and clear condensation of the substance of the
   filing. It should not be a mere repetition of the headings under which the
   filing  is arranged. For pleadings and documents exceeding ten but not
   twenty-five pages in length, the summary should seldom exceed one and never
   two  pages; for pleadings and documents exceeding twenty-five pages in
   length, the summary should seldom exceed two and never five pages.

   (d) The requirements of paragraphs (b) and (c) of this section shall not
   apply to:

   (1) Interrogatories or answers to interrogatories, and depositions;

   (2) FCC forms or applications;

   (3) Transcripts;

   (4) Contracts and reports;

   (5) Letters; or

   (6) Hearing exhibits, and exhibits or appendicies accompanying any document
   or pleading submitted to the Commission.

   (e) Petitions, pleadings, and other documents associated with licensing
   matters in the Wireless Radio Services may be filed electronically in ULS.
   See §22.6 for specifications.

   (f)(1) In the following types of proceedings, all pleadings, including
   permissible  ex  parte submissions, notices of ex parte presentations,
   comments, reply comments, and petitions for reconsideration and replies
   thereto, may be filed in electronic format:

   (i)  General  rulemaking  proceedings  other  than broadcast allotment
   proceedings;

   (ii) Notice of inquiry proceedings; and

   (iii)  Petition for rulemaking proceedings (except broadcast allotment
   proceedings).

   (2)  For  purposes  of paragraphs (b) and (c) of this section, and any
   prescribed pleading lengths, the length of any document filed in electronic
   form  shall  be equal to the length of the document if printed out and
   formatted according to the specifications of paragraph (a) of this section,
   or shall be no more that 250 words per page.

   Note: The table of contents and the summary pages shall not be included in
   complying with any page limitation requirements as set forth by Commission
   rule.

   [ 40 FR 19198 , May 2, 1975, as amended at  47 FR 26393 , June 18, 1982;  51 FR 16322 , May 2, 1986;  54 FR 31032 , July 26, 1989;  58 FR 44893 , Aug. 25, 1993;
    59 FR 37721 , July 25, 1994;  63 FR 24125 , May 1, 1998;  63 FR 68920 , Dec. 14,
   1998]

§ 1.50   Specifications as to briefs.

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   The Commission's preference is for briefs that are either typewritten,
   prepared by other mechanical processing methods, or, in the case of matters
   in the Wireless Radio Services, composed electronically and sent via ULS.
   Printed  briefs will be accepted only if specifically requested by the
   Commission.  Typewritten,  mechanically  produced,  or  electronically
   transmitted briefs must conform to all of the applicable specifications for
   pleadings and documents set forth in §1.49.

   [ 63 FR 68920 , Dec. 14, 1998]

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

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   Except as otherwise specifically provided 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 following number of copies shall be filed:

   (1) If the paper filed relates to a matter 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 matters 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
   additional 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 making and hearing cases, the following
   number of copies shall be filed:

   (1) If the paper filed relates to matters 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 matters 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 provides for service by the Commission of
   papers filed with the Commission, an additional copy of such papers shall be
   filed for each person to be served.

   (e)  The parties to any proceeding may, on notice, be required to file
   additional copies of any or all filings made in that proceeding.

   (f) For application and licensing matters involving the Wireless Radio
   Services, pleadings, briefs or other documents may be filed electronically
   in ULS, or if filed manually, one original and one copy of a pleading, brief
   or other document must be filed.

   (g)  Participants  that  file  pleadings,  briefs  or  other documents
   electronically in ULS need only submit one copy, so long as the submission
   conforms to any procedural or filing requirements established for formal
   electronic comments. (see §1.49)

   (h) Pleadings, briefs or other documents filed electronically in ULS by a
   party represented by an attorney shall include the name, street address, and
   telephone number of at least one attorney of record. Parties not represented
   by an attorney that file electronically in ULS shall provide their name,
   street address, and telephone number.

   (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.

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   The  original  of all petitions, motions, pleadings, briefs, and other
   documents filed by any party represented by counsel shall be signed by at
   least one attorney of record in his individual name, whose address shall be
   stated. A party who is not represented by an attorney shall sign and verify
   the  document and state his address. Either the original document, the
   electronic reproduction of such original document containing the facsimile
   signature of the attorney or represented party, or, in the case of matters
   in the Wireless Radio Services, an electronic filing via ULS is acceptable
   for filing. If a facsimile or electronic reproduction of such original
   document  is  filed, the signatory shall retain the original until the
   Commission's decision is final and no longer subject to judicial review. If
   pursuant to §1.429(h) a document is filed electronically, a signature will
   be considered any symbol executed or adopted by the party with the intent
   that   such  symbol  be  a  signature,  including  symbols  formed  by
   computer-generated electronic impulses. Except when otherwise specifically
   provided by rule or statute, documents signed by the attorney for a party
   need  not  be  verified  or accompanied by affidavit. The signature or
   electronic reproduction thereof by an attorney constitutes a certificate by
   him  that he has read the document; that to the best of his knowledge,
   information, and belief there is good ground to support it; and that it is
   not interposed for delay. If the original of a document is not signed or is
   signed with intent to defeat the purpose of this section, or an electronic
   reproduction does not contain a facsimile signature, it may be stricken as
   sham and false, and the matter may proceed as though the document had not
   been filed. An attorney may be subjected to appropriate disciplinary action,
   pursuant to §1.24, for a willful violation of this section or if scandalous
   or indecent matter is inserted.

   [ 63 FR 24125 , May 1, 1998, as amended at  63 FR 68920 , Dec. 14, 1998]

§ 1.53   Separate pleadings for petitions for forbearance.

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   In order to be considered as a petition for forbearance subject to the
   one-year deadline set forth in 47 U.S.C. 160(c), any petition requesting
   that the Commission exercise its forbearance authority under 47 U.S.C. 160
   shall be filed as a separate pleading and shall be identified in the caption
   of such pleading as a petition for forbearance under 47 U.S.C. 160(c). Any
   request  which  is  not  in compliance with this rule is deemed not to
   constitute a petition pursuant to 47 U.S.C. 160(c), and is not subject to
   the deadline set forth therein.

   [ 65 FR 7460 , Feb. 15, 2000]

General Application Procedures

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§ 1.61   Procedures for handling applications requiring special aeronautical
study.

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   (a)  Antenna  Structure  Registration  is  conducted  by  the Wireless
   Telecommunications Bureau as follows:

   (1)  Each antenna structure owner that must notify the FAA of proposed
   construction using FAA Form 7460–1 shall, upon proposing new or modified
   construction,  register  that  antenna  structure  with  the  Wireless
   Telecommunications Bureau using FCC Form 854.

   (2) If an Environmental Assessment is required under §1.1307, the Bureau
   will  address  the  environmental  concerns  prior  to  processing the
   registration.

   (3) If a final FAA determination of “no hazard” is not submitted along with
   FCC Form 854, processing of the registration may be delayed or disapproved.

   (4) If the owner of the antenna structure cannot file FCC Form 854 because
   it is subject to a denial of Federal benefits under the Anti-Drug Abuse Act
   of 1988, 21 U.S.C. 862, the first licensee authorized to locate on the
   structure must register the structure using FCC Form 854, and provide a copy
   of the Antenna Structure Registration (FCC Form 854R) to the owner. The
   owner remains responsible for providing a copy of FCC Form 854R to all
   tenant licensees on the structure and for posting the registration number as
   required by §17.4(g) of this chapter.

   (5) Upon receipt of FCC Form 854, and attached final FAA determination of
   “no  hazard,”  the Bureau prescribes antenna structure painting and/or
   lighting specifications or other conditions in accordance with the FAA
   airspace  recommendation  and  returns  a  completed Antenna Structure
   Registration (FCC Form 854R) to the registrant. If the proposed structure is
   disapproved the registrant is so advised.

   (b) Each operating Bureau or Office examines the applications for Commission
   authorization for which it is responsible to ensure compliance with FAA
   notification procedures as well as Commission Antenna Structure Registration
   as follows:

   (1) If Antenna Structure Registration is required, the operating Bureau
   reviews the application for the Antenna Structure Registration Number and
   proceeds as follows:

   (i) If the application contains the Antenna Structure Registration Number or
   if the applicant seeks a Cellular or PCS system authorization, the operating
   Bureau processes the application.

   (ii) If the application does not contain the Antenna Structure Registration
   Number,  but  the  structure owner has already filed FCC Form 854, the
   operating Bureau places the application on hold until Registration can be
   confirmed, so long as the owner exhibits due diligence in filing.

   (iii) If the application does not contain the Antenna Structure Registration
   Number, and the structure owner has not filed FCC Form 854, the operating
   Bureau notifies the applicant that FCC Form 854 must be filed and places the
   application on hold until Registration can be confirmed, so long as the
   owner exhibits due diligence in filing.

   (2) If Antenna Structure Registration is not required, the operating Bureau
   processes the application.

   (c)  Where  one  or more antenna farm areas have been designated for a
   community  or  communities (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 communities will not be accepted for
   filing unless:

   (1) It is proposed to locate the antenna structure in a designated antenna
   farm area, or

   (2)  It  is  accompanied  by  a  statement  from  the Federal Aviation
   Administration that the proposed structure will not constitute a menace to
   air navigation, or

   (3)  It  is  accompanied by a request for waiver setting forth reasons
   sufficient, if true, to justify such a waiver.

   Note:  By Commission Order (FCC 65–455),  30 FR 7419 , June 5, 1965, the
   Commission issued the following policy statement concerning the height of
   radio and television antenna towers:

   “We have concluded that this objective can best be achieved by adopting the
   following policy: Applications for antenna towers higher than 2,000 feet
   above ground will be presumed to be inconsistent with the public interest,
   and the applicant will have a burden of overcoming that strong presumption.
   The  applicant  must accompany its application with a detailed showing
   directed to meeting this burden. Only in the exceptional case, where the
   Commission concludes that a clear and compelling showing has been made that
   there are public interest reasons requiring a tower higher than 2,000 feet
   above  ground, and after the parties have complied with applicable FAA
   procedures, and full Commission coordination with FAA on the question of
   menace to air navigation, will a grant be made. Applicants and parties in
   interest will, of course, be afforded their statutory hearing rights.”

   [ 28 FR 12415 , Nov. 22, 1963, as amended at  32 FR 8813 , June 21, 1967;  32 FR 20860 , Dec. 28, 1967;  34 FR 6481 , Apr. 15, 1969;  45 FR 55201 , Aug. 19, 1980;
    58 FR 13021 , Mar. 9, 1993,  61 FR 4361 , Feb. 6, 1996]

§ 1.62   Operation pending action on renewal application.

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   (a)(1)  Where  there  is  pending before the Commission at the time of
   expiration of license any proper and timely application for renewal of
   license with respect to any activity of a continuing nature, in accordance
   with the provisions of section 9(b) of the Administrative Procedure Act,
   such  license  shall  continue in effect without further action by the
   Commission  until  such  time  as  the  Commission  shall make a final
   determination with respect to the renewal application. No operation by any
   licensee  under  this  section  shall be construed as a finding by the
   Commission that the operation will serve the public interest, convenience,
   or necessity, nor shall such operation in any way affect or limit the action
   of the Commission with respect to any pending application or proceeding.

   (2) A licensee operating by virtue of this paragraph shall, after the date
   of expiration specified in the license, post, in addition to the original
   license, any acknowledgment received from the Commission that the renewal
   application has been accepted for filing or a signed copy of the application
   for renewal of license which has been submitted by the licensee, or in
   services other than broadcast and common carrier, a statement certifying
   that the licensee has mailed or filed a renewal application, specifying the
   date of mailing or filing.

   (b) Where there is pending before the Commission at the time of expiration
   of license any proper and timely application for renewal or extension of the
   term of a license with respect to any activity not of a continuing nature,
   the Commission may in its discretion grant a temporary extension of such
   license  pending  determination of such application. No such temporary
   extension  shall  be construed as a finding by the Commission that the
   operation of any radio station thereunder will serve the public interest,
   convenience,  or  necessity beyond the express terms of such temporary
   extension of license, nor shall such temporary extension in any way affect
   or  limit  the  action  of  the Commission with respect to any pending
   application or proceeding.

   (c) Except where an instrument of authorization clearly states on its face
   that it relates to an activity not of a continuing nature, or where the
   non-continuing nature is otherwise clearly apparent upon the face of the
   authorization, all licenses issued by the Commission shall be deemed to be
   related to an activity of a continuing nature.

   (5 U.S.C. 558)

§ 1.65   Substantial and significant changes in information furnished by
applicants to the Commission.

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   (a)  Each  applicant  is  responsible  for the continuing accuracy and
   completeness  of  information furnished in a pending application or in
   Commission  proceedings  involving a pending application. Whenever the
   information furnished in the pending application is no longer substantially
   accurate and complete in all significant respects, the applicant shall as
   promptly as possible and in any event within 30 days, unless good cause is
   shown, amend or request the amendment of his application so as to furnish
   such additional or corrected information as may be appropriate. Whenever
   there has been a substantial change as to any other matter which may be of
   decisional significance in a Commission proceeding involving the pending
   application, the applicant shall as promptly as possible and in any event
   within 30 days, unless good cause is shown, submit a statement furnishing
   such additional or corrected information as may be appropriate, which shall
   be served upon parties of record in accordance with §1.47. Where the matter
   is before any court for review, statements and requests to amend shall in
   addition be served upon the Commission's General Counsel. For the purposes
   of this section, an application is “pending” before the Commission from the
   time it is accepted for filing by the Commission until a Commission grant or
   denial of the application is no longer subject to reconsideration by the
   Commission or to review by any court.

   (b) Applications in broadcast services subject to competitive bidding will
   be subject to the provisions of §§1.2105(b), 73.5002 and 73.3522 of this
   chapter regarding the modification of their applications.

   (c) All broadcast permittees and licensees must report annually to the
   Commission any adverse finding or adverse final action taken by any court or
   administrative body that involves conduct bearing on the permittee's or
   licensee's  character  qualifications  and that would be reportable in
   connection with an application for renewal as reflected in the renewal form.
   If a report is required by this paragraph(s), it shall be filed on the
   anniversary of the date that the licensee's renewal application is required
   to be filed, except that licensees owning multiple stations with different
   anniversary dates need file only one report per year on the anniversary of
   their choice, provided that their reports are not more than one year apart.
   Permittees and licensees bear the obligation to make diligent, good faith
   efforts  to  become  knowledgeable  of any such reportable adjudicated
   misconduct.

   Note:  The  terms  adverse finding and adverse final action as used in
   paragraph (c) of this section include adjudications made by an ultimate
   trier of fact, whether a government agency or court, but do not include
   factual determinations which are subject to review de novo unless the time
   for taking such review has expired under the relevant procedural rules. The
   pendency of an appeal of an adverse finding or adverse final action does not
   relieve a permittee or licensee from its obligation to report the finding or
   action.

   [ 48 FR 27200 , June 13, 1983, as amended at  55 FR 23084 , June 6, 1990;  56 FR 25635 , June 5, 1991;  56 FR 44009 , Sept. 6, 1991;  57 FR 47412 , Oct. 16, 1992;
    63 FR 48622 , Sept. 11, 1998;  69 FR 72026 , Dec. 10, 2004]

§ 1.68   Action on application for license to cover construction permit.

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   (a) An application for license by the lawful holder of a construction permit
   will be granted without hearing where the Commission, upon examination of
   such application, finds that all the terms, conditions, and obligations set
   forth in the application and permit have been fully met, and that no cause
   or circumstance arising or first coming to the knowledge of the Commission
   since the granting of the permit would, in the judgment of the Commission,
   make the operation of such station against the public interest.

   (b) In the event the Commission is unable to make the findings in paragraph
   (a) of this section, the Commission will designate the application for
   hearing upon specified issues.

   (Sec. 319, 48 Stat. 1089, as amended; 47 U.S.C. 319)

§ 1.77   Detailed application procedures; cross references.

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

   (a) Rules governing applications for authorizations in the Broadcast Radio
   Services are set forth in subpart D of this part.

   (b) Rules governing applications for authorizations in the Common Carrier
   Radio Services are set forth in subpart E of this part.

   (c) Rules governing applications for authorizations in the Private Radio
   Services are set forth in subpart F of this part.

   (d) Rules governing applications for authorizations in the Experimental
   Radio  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,
   Scientific, and Medical Service are set forth in part 18 of this chapter.

   (g) Rules governing applications for certification of equipment are set
   forth in part 2, subpart J, of this chapter.

   (h) Rules governing applications for commercial radio operator licenses are
   set forth in part 13 of this chapter.

   (i) Rules governing applications for authorizations in the Common Carrier
   and  Private Radio terrestrial microwave services and Local Multipoint
   Distribution Services are set out in part 101 of this chapter.

   [ 28 FR 12415 , Nov. 22, 1963, as amended at  44 FR 39180 , July 5, 1979;  47 FR 53378 , Nov. 26, 1982;  61 FR 26670 , May 28, 1996;  62 FR 23162 , Apr. 29, 1997;
    63 FR 36596 , July 7, 1998;  66 FR 47895 , Sept. 14, 2001]

Miscellaneous Proceedings

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§ 1.80   Forfeiture proceedings.

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   (a)  Persons against whom and violations for which a forfeiture may be
   assessed. A forfeiture penalty may be assessed against any person found to
   have:

   (1) Willfully or repeatedly failed to comply substantially with the terms
   and conditions of any license, permit, certificate, or other instrument of
   authorization issued by the Commission;

   (2) Willfully or repeatedly failed to comply with any of the provisions of
   the Communications Act of 1934, as amended; or of any rule, regulation or
   order  issued  by  the  Commission under that Act or under any treaty,
   convention, or other agreement to which the United States is a party and
   which is binding on the United States;

   (3) Violated any provision of section 317(c) or 508(a) of the Communications
   Act; 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
   penalty provided for by the Communications Act, except that the penalties
   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 Communications Act. The
   remaining provisions of this section are applicable to such conduct.

   (b) Limits on the amount of forfeiture assessed. (1) If the violator is a
   broadcast station licensee or permittee, a cable television operator, or an
   applicant for any broadcast or cable television operator license, permit,
   certificate, or other instrument of authorization issued by the Commission,
   except as otherwise noted in this paragraph, the forfeiture penalty under
   this section shall not exceed $32,500 for each violation or each day of a
   continuing violation, except that the amount assessed for any continuing
   violation shall not exceed a total of $325,000 for any single act or failure
   to act described in paragraph (a) of this section. There is no limit on
   forfeiture assessments for EEO violations by cable operators that occur
   after notification by the Commission of a potential violation. See section
   634(f)(2) of the Communications Act. Notwithstanding the foregoing in this
   section, if the violator is a broadcast station licensee or permittee or an
   applicant  for  any  broadcast  license, permit, certificate, or other
   instrument of authorization issued by the Commission, and if the violator is
   determined by the Commission to have broadcast obscene, indecent, or profane
   material,  the  forfeiture penalty under this section shall not exceed
   $325,000 for each violation or each day of a continuing violation, except
   that the amount assessed for any continuing violation shall not exceed a
   total  of $3,000,000 for any single act or failure to act described in
   paragraph (a) of this section.

   (2) If the violator is a common carrier subject to the provisions of the
   Communications Act or an applicant for any common carrier license, permit,
   certificate, or other instrument of authorization issued by the Commission,
   the amount of any forfeiture penalty determined under this section shall not
   exceed $130,000 for each violation or each day of a continuing violation,
   except that the amount assessed for any continuing violation shall not
   exceed a total of $1,325,000 for any single act or failure to act described
   in paragraph (a) of this section.

   (3) In any case not covered in paragraphs (b)(1) or (b)(2) of this section,
   the amount of any forfeiture penalty determined under this section shall not
   exceed $11,000 for each violation or each day of a continuing violation,
   except that the amount assessed for any continuing violation shall not
   exceed a total of $97,500 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 forfeiture penalty, the Commission or its
   designee  will take into account the nature, circumstances, extent and
   gravity of the violations and, with respect to the violator, the degree of
   culpability, any history of prior offenses, ability to pay, and such other
   matters as justice may require.

   Note to paragraph(b)(4):

   Guidelines for Assessing Forfeitures

   The Commission and its staff may use these guidelines in particular cases.
   The Commission and its staff retain the discretion to issue a higher or
   lower forfeiture than provided in the guidelines, to issue no forfeiture at
   all, or to apply alternative or additional sanctions as permitted by the
   statute. The forfeiture 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
   became effective September 7, 2004. 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 Violation Amount
   Misrepresentation/lack of candor (^1)
   Construction and/or operation without an instrument 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
   Violation of political rules: reasonable access, lowest unit charge, equal
   opportunity, and discrimination 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 equipment 7,000
   Exceeding of authorized antenna height 5,000
   Fraud by wire, radio or television 5,000
   Unauthorized discontinuance of service 5,000
   Use of unauthorized equipment 5,000
   Exceeding power limits 4,000
   Failure to respond to Commission communications 4,000
   Violation of sponsorship ID requirements 4,000
   Unauthorized emissions 4,000
   Using unauthorized frequency 4,000
   Failure to engage in required frequency coordination 4,000
   Construction or operation at unauthorized location 4,000
   Violation  of  requirements pertaining to broadcasting of lotteries or
   contests 4,000
   Violation of transmitter control and metering requirements 3,000
   Failure to file required forms or information 3,000
   Failure to make required measurements or conduct 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

   ^1Statutory Maximum for each Service.

   Violations Unique to the Service
   Violation Services affected Amount
   Unauthorized conversion 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 refund order Cable 7,500
   Violation of cable program 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 broadcast carriage rules Cable 7,500
   Violation of pole attachment rules Cable 7,500
   Failure  to  maintain directional pattern within prescribed parameters
   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
   Broadcasting telephone conversations without authorization Broadcast 4,000
   Violation of enhanced underwriting requirements 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 requirements.

   (6) Substantial economic gain.

   (7) Repeated or continuous violation.

   Downward Adjustment Criteria

   (1) Minor violation.

   (2) Good faith or voluntary disclosure.

   (3) History of overall compliance.

   (4) Inability to pay.

   Section III. Non-Section 503 Forfeitures That Are Affected by the Downward
   Adjustment Factors

   Unlike section 503 of the Act, which establishes maximum forfeiture amounts,
   other sections of the Act, with one exception, state prescribed amounts of
   forfeitures for violations of the relevant section. These amounts are then
   subject to mitigation or remission under section 504 of the Act. The one
   exception is section 223 of the Act, which provides a maximum forfeiture per
   day. For convenience, the Commission will treat this amount as if it were a
   prescribed base amount, subject to downward adjustments. The following
   amounts  are  adjusted  for  inflation pursuant to the Debt Collection
   Improvement  Act of 1996 (DCIA), 28 U.S.C. 2461. These non-section 503
   forfeitures  may  be  adjusted downward using the “Downward Adjustment
   Criteria” shown for section 503 forfeitures in section II of this note.
                     Violation                    Statutory amount ($)
   Sec. 202(c) Common Carrier Discrimination     $8,600 430/day.
   Sec. 203(e) Common Carrier Tariffs            8,600 430/day.
   Sec. 205(b) Common Carrier Prescriptions      18,200.
   Sec. 214(d) Common Carrier Line Extensions    1,320/day.
   Sec. 219(b) Common Carrier Reports            1,320.
   Sec. 220(d) Common Carrier Records & Accounts 8,600/day.
   Sec. 364(a) Forfeitures (Ships)               6,500 (owner).
   Sec. 364(b) Forfeitures (Ships)               1,100 (vessel master).
   Sec. 386(a) Forfeitures (Ships)               6,500/day (owner).
   Sec. 386(b) Forfeitures (Ships)               1,100 (vessel master).
   Sec. 634 Cable EEO                            550/day.

   (5) Inflation adjustments to the maximum forfeiture amount. (i) Pursuant to
   the Debt Collection Improvement Act of 1996, Public Law 104–134 (110 Stat.
   1321–358),  which  amends the Federal Civil Monetary Penalty Inflation
   Adjustment Act of 1990, Public Law 101–410 (104 Stat. 890; 28 U.S.C. 2461
   note), the statutory maximum amount of a forfeiture penalty assessed under
   this section shall be adjusted for inflation at least once every four years
   using the method specified in the statute. This is to be done by determining
   the ‘cost-of-living adjustment’, which is the percentage (if any) by which
   the CPI for June of the preceding year exceeds the CPI for June of the year
   the forfeiture amount was last set or adjusted. The inflation adjustment is
   determined by multiplying the cost-of-living adjustment by the statutory
   maximum  amount.  Round  off  this result using the rules in paragraph
   (b)(5)(ii) of this section. Add the rounded result to the statutory maximum
   forfeiture penalty amount. The sum is the statutory maximum amount, adjusted
   for inflation.

   (ii) The rounding rules are as follows:

   (A) Round increase to the nearest multiple of $10 if the penalty is from $0
   to $100;

   (B) Round increase to the nearest multiple of $100 if the penalty is from
   $101 to $1,000;

   (C) Round increase to the nearest multiple of $1,000 if the penalty is from
   $1,001 to $10,000;

   (D) Round increase to the nearest multiple of $5,000 if the penalty is from
   $10,001 to $100,000;

   (E) Round increase to the nearest multiple of $10,000 if the penalty is from
   $100,001 to $200,000; or

   (F) Round increase to the nearest multiple of $25,000 if the penalty is over
   $200,001.

   (iii) The application of the inflation adjustments required by the DCIA, 28
   U.S.C. 2461, results in the following adjusted statutory maximum forfeitures
   authorized by the Communications Act:
   U.S. Code citation Maximum penalty after DCIA adjustment ($)
   47 U.S.C. 202(c) $8,600
   430
   47 U.S.C. 203(e) 8,600
   430
   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) 8,600
   47 U.S.C. 362(a) 6,500
   47 U.S.C. 362(b) 1,100
   47 U.S.C. 386(a) 6,500
   47 U.S.C. 386(b) 1,100
   47 U.S.C. 503(b)(2)(A) 32,500
   325,000
   47 U.S.C. 503(b)(2)(B) 130,000
   1,325,000
   47 U.S.C. 503(b)(2)(C) 11,000
   97,500
   47 U.S.C. 507(a) 650
   47 U.S.C. 507(b) 10
   47 U.S.C. 554 550

   Note to paragraph(b)(5): Pursuant to Public Law 104–134, the first inflation
   adjustment cannot exceed 10 percent of the statutory maximum amount.

   (c) Limits on the time when a proceeding may be initiated. (1) In the case
   of  a broadcast station, no forfeiture penalty shall be imposed if the
   violation occurred more than 1 year prior to the issuance of the appropriate
   notice or prior to the date of commencement of the current license term,
   whichever is earlier. For purposes of this paragraph, “date of commencement
   of the current license term” means the date of commencement of the last term
   of  license  for  which the licensee has been granted a license by the
   Commission. A separate license term shall not be deemed to have commenced as
   a result of continuing a license in effect under section 307(c) pending
   decision on an application for renewal of the license.

   (2) In the case of a forfeiture imposed against a carrier under sections
   202(c), 203(e), and 220(d), no forfeiture will be imposed if the violation
   occurred more than 5 years prior to the issuance of a notice of apparent
   liability.

   (3)  In  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 authorization issued by the
   Commission, and if such person is not an applicant for a license, permit,
   certificate, or other authorization issued by the Commission, unless, prior
   to  the issuance of the appropriate notice, such person: (1) Is sent a
   citation  reciting  the  violation  charged; (2) is given a reasonable
   opportunity  (usually  30 days) to request a personal interview with a
   Commission official, at the field office which is nearest to such person's
   place of residence; and (3) subsequently engages in conduct of the type
   described in the citation. However, a forfeiture penalty may be imposed, if
   such person is engaged in (and the violation relates to) activities for
   which a license, permit, certificate, or other authorization is required or
   if such person is a cable television operator, or in the case of violations
   of section 303(q), if the person involved is a nonlicensee tower owner who
   has previously received notice of the obligations imposed by section 303(q)
   from  the Commission or the permittee or licensee who uses that tower.
   Paragraph (c) of this section does not limit the issuance of citations. When
   the requirements of this paragraph have been satisfied with respect to a
   particular violation by a particular person, a forfeiture penalty may be
   imposed upon such person for conduct of the type described in the citation
   without issuance of an additional citation.

   (e)  Alternative  procedures.  In  the discretion of the Commission, a
   forfeiture proceeding may be initiated either: (1) By issuing a notice of
   apparent liability, in accordance with paragraph (f) of this section, or (2)
   a notice of opportunity for hearing, in accordance with paragraph (g).

   (f) Notice of apparent liability. Before imposing a forfeiture penalty under
   the provisions of this paragraph, the Commission or its designee will issue
   a written notice of apparent liability.

   (1) Content of notice. The notice of apparent liability will:

   (i) Identify each specific provision, term, or condition of any act, rule,
   regulation, order, treaty, convention, or other agreement, license, permit,
   certificate,  or  instrument of authorization which the respondent has
   apparently violated or with which he has failed to comply,

   (ii)  Set  forth the nature of the act or omission charged against the
   respondent and the facts upon which such charge is based,

   (iii) State the date(s) on which such conduct occurred, and

   (iv) Specify the amount of the apparent forfeiture penalty.

   (2)  Delivery.  The  notice  of apparent liability will be sent to the
   respondent, by certified mail, at his last known address (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
   forfeiture penalty should not be imposed or should be reduced, or to pay the
   forfeiture. Any showing as to why the forfeiture should not be imposed or
   should  be reduced shall include a detailed factual statement and such
   documentation and affidavits as may be pertinent.

   (4) Forfeiture order. If the proposed forfeiture penalty is not paid in full
   in  response to the notice of apparent liability, the Commission, upon
   considering all relevant information available to it, will issue an order
   canceling or reducing the proposed forfeiture or requiring that it be paid
   in full and stating the date by which the forfeiture must be paid.

   (5) Judicial enforcement of forfeiture order. If the forfeiture is not paid,
   the case will be referred to the Department of Justice for collection under
   section 504(a) of the Communications Act.

   (g)  Notice of opportunity for hearing. The procedures set out in this
   paragraph will ordinarily be followed only when a hearing is being held for
   some reason other than the assessment of a forfeiture (such as, to determine
   whether a renewal application should be granted) and a forfeiture is to be
   considered as an alternative or in addition to any other Commission action.
   However, these procedures may be followed whenever the Commission, in its
   discretion, determines that they will better serve the ends of justice.

   (1)  Before imposing a forfeiture penalty under the provisions of this
   paragraph, the Commission will issue a notice of opportunity for hearing.
   The hearing will be a full evidentiary hearing before an administrative law
   judge,  conducted  under procedures set out in subpart B of this part,
   including procedures for appeal and review of initial decisions. A final
   Commission  order  assessing a forfeiture under the provisions of this
   paragraph  is  subject  to judicial review under section 402(a) of the
   Communications Act.

   (2) If, after a forfeiture penalty is imposed and not appealed or after a
   court enters final judgment in favor of the Commission, the forfeiture is
   not paid, the Commission will refer the matter to the Department of Justice
   for collection. In an action to recover the forfeiture, the validity and
   appropriateness of the order imposing the forfeiture are not subject to
   review.

   (3) Where the possible assessment of a forfeiture is an issue in a hearing
   case to determine which pending application should be granted, and the
   applicant  facing  a  potential  forfeiture is dismissed pursuant to a
   settlement agreement or otherwise, and the presiding judge has not made a
   determination on the forfeiture issue, the order of dismissal shall be
   forwarded to the attention of the full Commission. Within the time provided
   by  §1.117,  the  Commission  may,  on  its own motion, proceed with a
   determination of whether a forfeiture against the dismissing applicant is
   warranted. If the Commission so proceeds, it will provide the applicant with
   a reasonable opportunity to respond to the forfeiture issue (see paragraph
   (f)(3)  of this section) and make a determination under the procedures
   outlined in paragraph (f) of this section.

   (h) Payment. The forfeiture should be paid by check or money order drawn to
   the order of the Federal Communications Commission. The Commission does not
   accept responsibility for cash payments sent through the mails. The check or
   money order should be mailed to: Federal Communications Commission, P.O. Box
   73482, Chicago, Illinois 60673–7482.

   (i) Remission and mitigation. In its discretion, the Commission, or its
   designee, may remit or reduce any forfeiture imposed under this section.
   After issuance of a forfeiture order, any request that it do so shall be
   submitted as a petition for reconsideration pursuant to §1.106.

   (j) Effective date. Amendments to paragraph (b) of this section implementing
   Pub. L. No. 101–239 are effective December 19, 1989.

   [ 43 FR 49308 , Oct. 23, 1978, as amended at  48 FR 15631 , Apr. 12, 1983;  50 FR 40855 , Oct. 7, 1985;  55 FR 25605 , June 22, 1990;  56 FR 25638 , June 5, 1991;
    57 FR 23161 , June 2, 1992;  57 FR 47006 , Oct. 14, 1992;  57 FR 48333 , Oct. 23,
   1992;  58 FR 6896 , Feb. 3, 1993;  58 FR 27473 , May 10, 1993;  62 FR 4918 , Feb.
   3, 1997;  62 FR 43475 , Aug. 14, 1997;  63 FR 26992 , May 15, 1998;  65 FR 60868 ,
   Oct. 13, 2000;  69 FR 47789 , Aug. 6, 2004;  72 FR 33914 , June 20, 2007]

§ 1.83   Applications for radio operator licenses.

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   (a) Application filing procedures for amateur radio operator licenses are
   set forth in part 97 of this chapter.

   (b) Application filing procedures for commercial radio operator licenses are
   set forth in part 13 of this chapter. Detailed information about application
   forms, filing procedures, and where to file applications for commercial
   radio operator licenses is contained in the bulletin “Commercial Radio
   Operator  Licenses  and  Permits.” This bulletin is available from the
   Commission's Forms Distribution Center by calling 1–800–418-FORM (3676).

   [ 47 FR 53378 , Nov. 26, 1982, as amended at  58 FR 13021 , Mar. 9, 1993;  63 FR 68920 , Dec. 14, 1998]

§ 1.85   Suspension of operator licenses.

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   Whenever grounds exist for suspension of an operator license, as provided in
   §303(m)   of  the  Communications  Act,  the  Chief  of  the  Wireless
   Telecommunications Bureau, with respect to amateur and commercial radio
   operator licenses, may issue an order suspending the operator license. No
   order of suspension of any operator's license shall take effect until 15
   days' notice in writing of the cause for the proposed suspension has been
   given to the operator licensee, who may make written application to the
   Commission at any time within the said 15 days for a hearing upon such
   order. The notice to the operator licensee shall not be effective until
   actually received by him, and from that time he shall have 15 days in which
   to mail the said application. In the event that physical conditions prevent
   mailing of the application before the expiration of the 15-day period, the
   application shall then be mailed as soon as possible thereafter, accompanied
   by a satisfactory explanation of the delay. Upon receipt by the Commission
   of  such  application  for  hearing, said order of suspension shall be
   designated for hearing by the Chief, Wireless Telecommunications Bureau and
   said  suspension shall be held in abeyance until the conclusion of the
   hearing. Upon the conclusion of said hearing, the Commission may affirm,
   modify,  or revoke said order of suspension. If the license is ordered
   suspended, the operator shall send his operator license to the Licensing and
   Technical Analysis Branch, Public Safety and Private Wireless Division,
   Wireless Telecommunications Bureau, in Washington, DC, on or before the
   effective date of the order, or, if the effective date has passed at the
   time  notice  is received, the license shall be sent to the Commission
   forthwith.

   [ 63 FR 68920 , Dec. 14, 1998]

§ 1.87   Modification of license or construction permit on motion of the
Commission.

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   (a) Whenever it appears that a station license or construction permit should
   be  modified, the Commission shall notify the licensee or permittee in
   writing of the proposed action and reasons therefor, and afford the licensee
   or  permittee  at  least thirty days to protest such proposed order of
   modification, except that, where safety of life or property is involved, the
   Commission may by order provide a shorter period of time.

   (b)  The notification required in paragraph (a) of this section may be
   effectuated by a notice of proposed 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 receipt requested.

   (c) Any other licensee or permittee who believes that its license or permit
   would be modified by the proposed action may also protest the proposed
   action before its effective date.

   (d) Any protest filed pursuant to this section shall be subject to the
   requirements of section 309 of the Communications Act of 1934, as amended,
   for petitions to deny.

   (e) In any case where a hearing is conducted pursuant to the provisions of
   this  section,  both the burden of proceeding with the introduction of
   evidence and the burden of proof shall be upon the Commission except that,
   with respect to any issue that pertains to the question of whether the
   proposed action would modify the license or permit of a person filing a
   protest pursuant to paragraph (c) of this section, such burdens shall be as
   described by the Commission.

   (f) In order to utilize the right to a hearing and the opportunity to appear
   and  give evidence upon the issues specified in any hearing order, the
   licensee or permittee, in person or by attorney, shall, within the period of
   time as may be specified in the hearing order, file with the Commission a
   written statement stating that he or she will appear at the hearing and
   present evidence on the matters specified in the hearing order.

   (g) The right to file a protest or have a hearing shall, unless good cause
   is shown in a petition to be filed not later than 5 days before the lapse of
   time specified in paragraph (a) or (f) of this section, be deemed waived:

   (1) In case of failure to timely file the protest as required by paragraph
   (a) of this section or a written statement as required by paragraph (f) of
   this section.

   (2) In case of filing a written statement provided for in paragraph (f) of
   this section but failing to appear at the hearing, either in person or by
   counsel.

   (h) Where the right to file a protest or have a hearing is waived, the
   licensee or permittee will be deemed to have consented to the modification
   as  proposed  and  a  final  decision  may be issued by the Commission
   accordingly. Irrespective of any waiver as provided for in paragraph (g) of
   this section or failure by the licensee or permittee to raise a substantial
   and material question of fact concerning the proposed modification in his
   protest, the Commission may, on its own motion, designate the proposed
   modification for hearing in accordance with this section.

   (i) Any order of modification issued pursuant to this section shall include
   a statement of the findings and the grounds and reasons therefor, shall
   specify the effective date of the modification, and shall be served on the
   licensee or permittee.

   [ 52 FR 22654 , June 15, 1987]

§ 1.88   Predesignation pleading procedure.

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   In cases where an investigation is being conducted by the Commission in
   connection  with  the  operation  of  a broadcast station or a pending
   application for renewal of a broadcast license, the licensee may file a
   written statement to the Commission setting forth its views regarding the
   matters under investigation; the staff, in its discretion, may in writing,
   advise such licensee of the general nature of the investigation, and advise
   the licensee of its opportunity to submit such a statement to the staff. Any
   filing by the licensee will be forwarded to the Commission in conjunction
   with any staff memorandum recommending that the Commission take action as a
   result  of  the invesigation. Nothing in this rule shall supersede the
   application of our ex parte rules to situations described in §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.

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   (a)  Except  in  cases of willfulness or those in which public health,
   interest, or safety requires otherwise, any person who holds a license,
   permit or other authorization appearing to have violated any provision of
   the  Communications  Act or any provision of this chapter will, before
   revocation, suspension, or cease and desist proceedings are instituted, be
   served with a written notice calling these facts to his or her attention and
   requesting a statement concerning the matter. FCC Form 793 may be used for
   this purpose. The Notice of Violation may be combined with a Notice of
   Apparent Liability to Monetary Forfeiture. In such event, notwithstanding
   the Notice of Violation, the provisions of §1.80 apply and not those of
   §1.89.

   (b) Within 10 days from receipt of notice or such other period as may be
   specified, the recipient shall send a written answer, in duplicate, directly
   to the Commission office originating the official notice. If an answer
   cannot be sent or an acknowledgment cannot be made within such 10-day period
   by reason of illness or other unavoidable circumstance, acknowledgment and
   answer shall be made at the earliest practicable date with a satisfactory
   explanation of the delay.

   (c) The answer to each notice shall be complete in itself and shall not be
   abbreviated  by  reference to other communications or answers to other
   notices. In every instance the answer shall contain a statement of action
   taken to correct the condition or omission complained of and to preclude its
   recurrence. In addition:

   (1) If the notice relates to violations that may be due to the physical or
   electrical characteristics of transmitting apparatus and any new apparatus
   is to be installed, the answer shall state the date such apparatus was
   ordered, the name of the manufacturer, and the promised date of delivery. If
   the installation of such apparatus requires a construction permit, the file
   number of the application shall be given, or if a file number has not been
   assigned by the Commission, such identification shall be given as will
   permit ready identification of the application.

   (2) If the notice of violation relates to lack of attention to or improper
   operation of the transmitter, the name and license number of the operator in
   charge (where applicable) shall be given.

   [ 48 FR 24890 , June 3, 1983]

§ 1.91   Revocation and/or cease and desist proceedings; hearings.

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   (a) If it appears that a station license or construction permit should be
   revoked  and/or  that  a  cease and desist order should be issued, the
   Commission will issue an order directing the person to show cause why an
   order  of revocation and/or a cease and desist order, as the facts may
   warrant, should not be issued.

   (b) An order to show cause why an order of revocation and/or a cease and
   desist order should not be issued will contain a statement of the matters
   with respect to which the Commission is inquiring and will call upon the
   person  to  whom  it is directed (the respondent) to appear before the
   Commission at a hearing, at a time and place stated in the order, but not
   less than thirty days after the receipt of such order, and given evidence
   upon the matters specified in the order to show cause. However, if safety of
   life or property is involved, the order to show cause may specify a hearing
   date less than thirty days from the receipt of such order.

   (c)  To avail himself of such opportunity for hearing, the respondent,
   personally or by his attorney, shall file with the Commission, within thirty
   days of the service of the order or such shorter period as may be specified
   therein, a written appearance stating that he will appear at the hearing and
   present evidence on the matters specified in the order. The Commission in
   its discretion may accept a late appearance. However, an appearance tendered
   after the specified time has expired will not be accepted unless accompanied
   by a petition stating with particularity the facts and reasons relied on to
   justify such late filing. Such petition for acceptance of late appearance
   will be granted only if the Commission determines that the facts and reasons
   stated therein constitute good cause for failure to file on time.

   (d) Hearings on the matters specified in such orders to show cause shall
   accord  with the practice and procedure prescribed in this subpart and
   subpart B of this part, with the following exceptions: (1) In all such
   revocation and/or cease and desist hearings, the burden of proceeding with
   the introduction of evidence and the burden of proof shall be upon the
   Commission; and (2) the Commission may specify in a show cause order, when
   the circumstances of the proceeding require expedition, a time less than
   that prescribed in §§1.276 and 1.277 within which the initial decision in
   the proceeding shall become effective, exceptions to such initial decision
   must be filed, parties must file requests for oral argument, and parties
   must file notice of intention to participate in oral argument.

   (e) Correction of or promise to correct the conditions or matters complained
   of in a show cause order shall not preclude the issuance of a cease and
   desist order. Corrections or promises to correct the conditions or matters
   complained  of,  and the past record of the licensee, may, however, be
   considered in determining whether a revocation and/or a cease and desist
   order should be issued.

   (f) Any order of revocation and/or cease and desist order issued after
   hearing pursuant to this section shall include a statement of findings and
   the grounds therefor, shall specify the effective date of the order, and
   shall be served on the person to whom such order is directed.

   (Sec. 312, 48 Stat. 1086, as amended; 47 U.S.C. 312)

§ 1.92   Revocation and/or cease and desist proceedings; after waiver of
hearing.

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   (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
   accordance with the provisions of this section.

   (1) The respondent fails to file a timely written appearance as prescribed
   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 prescribed
   in §1.91(c), fails in fact to appear in person or by his attorney at the
   time and place of the duly scheduled hearing.

   (3) The respondent files with the Commission, within the time specified for
   a written appearance 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) of this section, a written statement signed by the respondent denying or
   seeking to mitigate or justify the circumstances or conduct complained of in
   the  order to show cause may be submitted within the time specified in
   §1.91(c). The Commission in its discretion may accept a late statement.
   However, a statement tendered after the specified time has expired will not
   be accepted unless accompanied by a petition stating with particularity the
   facts and reasons relied on to justify such late filing. Such petitions for
   acceptance  of a late statement will be granted only if the Commission
   determines that the facts and reasons stated therein constitute good cause
   for failure to file on time.

   (c) Whenever a hearing is waived by the occurrence of any of the events or
   circumstances  listed  in  paragraph  (a)  of  this section, the Chief
   Administrative  Law  Judge  (or  the presiding officer if one has been
   designated) shall, at the earliest practicable date, issue an order reciting
   the events or circumstances constituting a waiver of hearing, terminating
   the hearing proceeding, and certifying the case to the Commission. Such
   order shall be served upon the respondent.

   (d) After a hearing proceeding has been terminated pursuant to paragraph (c)
   of this section, the Commission will act upon the matters specified in the
   order to show cause in the regular course of business. The Commission will
   determine on the basis of all the information available to it from any
   source,  including  such further proceedings as may be warranted, if a
   revocation order and/or a cease and desist order should issue, and if so,
   will  issue  such order. Otherwise, the Commission will issue an order
   dismissing the proceeding. All orders specified in this paragraph will
   include a statement of the findings of the Commission and the grounds and
   reasons therefor, will specify the effective date thereof, and will be
   served upon the respondent.

   (e) Corrections or promise to correct the conditions or matters complained
   of in a show cause order shall not preclude the issuance of a cease and
   desist order. Corrections or promises to correct the conditions or matters
   complained  of,  and the past record of the licensee, may, however, be
   considered in determining whether a revocation and/or a cease and desist
   order should be issued.

   (Sec. 312, 48 Stat. 1086, as amended; 47 U.S.C. 312)

   [ 28 FR 12415 , Nov. 22, 1963, as amended at  29 FR 6443 , May 16, 1964;  37 FR 19372 , Sept. 20, 1972]

§ 1.93   Consent orders.

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   (a) As used in this subpart, a “consent order” is a formal decree accepting
   an agreement between a party to an adjudicatory hearing proceeding held to
   determine whether that party has violated statutes or Commission rules or
   policies and the appropriate operating Bureau, with regard to such party's
   future compliance with such statutes, rules or policies, and disposing of
   all issues on which the proceeding was designated for hearing. The order is
   issued by the officer designated to preside at the hearing or (if no officer
   has been designated) by the Chief Administrative Law Judge.

   (b) Where the interests of timely enforcement or compliance, the nature of
   the proceeding, and the public interest permit, the Commission, by its
   operating Bureaus, may negotiate a consent order with a party to secure
   future compliance with the law in exchange for prompt disposition of a
   matter subject to administrative adjudicative proceedings. Consent orders
   may not be negotiated with respect to matters which involve a party's basic
   statutory qualifications to hold a license (see 47 U.S.C. 308 and 309).

   [ 41 FR 14871 , Apr. 8, 1976]

§ 1.94   Consent order procedures.

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   (a)  Negotiations  leading  to a consent order may be initiated by the
   operating Bureau or by a party whose possible violations are issues in the
   proceeding. Negotiations may be initiated at any time after designation of a
   proceeding for hearing. If negotiations are initiated the presiding officer
   shall be notified. Parties shall be prepared at the initial prehearing
   conference  to  state  whether  they are at that time willing to enter
   negotiations.  See §1.248(c)(7). If either party is unwilling to enter
   negotiations, the hearing proceeding shall proceed. If the parties agree to
   enter negotiations, they will be afforded an appropriate opportunity to
   negotiate before the hearing is commenced.

   (b) Other parties to the proceeding are entitled, but are not required, to
   participate in the negotiations, and may join in any agreement which is
   reached.

   (c) Every agreement shall contain the following:

   (1) An admission of all jurisdictional facts;

   (2)  A waiver of the usual procedures for preparation and review of an
   initial decision;

   (3) A waiver of the right of judicial review or otherwise to challenge or
   contest the validity of the consent order;

   (4) A statement that the designation order may be used in construing the
   consent order;

   (5) A statement that the agreement shall become a part of the record of the
   proceeding only if the consent order is signed by the presiding officer and
   the  time  for review has passed without rejection of the order by the
   Commission;

   (6) A statement that the agreement is for purposes of settlement only and
   that  its signing does not constitute an admission by any party of any
   violation of law, rules or policy (see 18 U.S.C. 6002); and

   (7)  A draft order for signature of the presiding officer resolving by
   consent, and for the future, all issues specified in the designation order.

   (d) If agreement is reached, it shall be submitted to the presiding officer
   or Chief Administrative Law Judge, as the case may be, who shall either sign
   the order, reject the agreement, or suggest to the parties that negotiations
   continue on such portion of the agreement as he considers unsatisfactory or
   on matters not reached in the agreement. If he rejects the agreement, the
   hearing shall proceed. If he suggests further negotiations, the hearing will
   proceed or negotiations will continue, depending on the wishes of parties to
   the agreement. If he signs the consent order, he shall close the record.

   (e) Any party to the proceeding who has not joined in any agreement which is
   reached may appeal the consent order 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 agreement. If the party whose
   possible  violations  are  issues in the proceeding withdraws from the
   agreement,  the consent order will not be issued or made a part of the
   record, and the proceeding will be remanded for further proceedings.

   (f) The provisions of this section shall not alter any existing procedure
   for informal settlement of any matter prior to designation for hearing (see,
   e.g., 47 U.S.C. 208) or for summary decision after designation for hearing.

   (g) Consent orders, pleadings relating thereto, and Commission orders with
   respect thereto shall be served on parties to the proceeding. Public notice
   will be given of orders issued by an administrative law judge, the Chief
   Administrative Law Judge, or the Commission. Negotiating papers constitute
   work product, are available to parties participating in negotiations, but
   are not routinely available for public inspection.

   [ 41 FR 14871 , Apr. 8, 1976]

§ 1.95   Violation of consent orders.

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   Violation of a consent order shall subject the consenting party to any and
   all sanctions which could have been imposed in the proceeding resulting in
   the consent order if all of the issues in that proceeding had been decided
   against the consenting party and to any further sanctions for violation
   noted as agreed upon in the consent order. The Commission shall have the
   burden of showing that the consent order has been violated in some (but not
   in every) respect. Violation of the consent order and the sanctions to be
   imposed shall be the only issues considered in a proceeding concerning such
   an alleged violation.

   [ 41 FR 14871 , Apr. 8, 1976]

Reconsideration and Review of Actions Taken by the Commission and Pursuant to
Delegated Authority; Effective Dates and Finality Dates of Actions

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§ 1.101   General provisions.

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   Under  section 5(c) of the Communications Act of 1934, as amended, the
   Commission is authorized, by rule or order, to delegate certain of its
   functions  to a panel of commissioners, an individual commissioner, an
   employee board, or an individual employee. Section 0.201(a) of this chapter
   describes in general terms the basic categories of delegations which are
   made by the Commission. Subpart B of part 0 of this chapter sets forth all
   delegations which have been made by rule. Sections 1.102 through 1.120 set
   forth procedural rules governing reconsideration and review of actions taken
   pursuant to authority delegated under section 5(c) of the Communications
   Act, and reconsideration of actions taken by the Commission. 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 exercise
   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.

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   (a)  Final  actions following review of an initial decision. (1) Final
   decisions of a commissioner, or panel of commissioners following review of
   an initial decision shall be effective 40 days after public release of the
   full text of such final decision.

   (2) If a petition for reconsideration of such final decision is filed, the
   effect of the decision is stayed until 40 days after release of the final
   order disposing of the petition.

   (3) If an application for review of such final decision is filed, or if the
   Commission on its own motion orders the record of the proceeding before it
   for review, the effect of the decision is stayed until the Commission's
   review of the proceeding has been completed.

   (b) Non-hearing and interlocutory actions. (1) Non-hearing or interlocutory
   actions  taken pursuant to delegated authority shall, unless otherwise
   ordered  by the designated authority, be effective upon release of the
   document containing the full text of such action, or in the event such a
   document is not released, upon release of a public notice announcing the
   action in question.

   (2) If a petition for reconsideration of a non-hearing action is filed, the
   designated authority may in its discretion stay the effect of its action
   pending disposition of the petition for reconsideration. Petitions for
   reconsideration of interlocutory actions will not be entertained.

   (3) If an application for review of a non-hearing or interlocutory action is
   filed,  or if the Commission reviews the action on its own motion, the
   Commission may in its discretion stay the effect of any such action until
   its review of the matters at issue has been completed.

   [ 28 FR 12415 , Nov. 22, 1963, as amended at  62 FR 4170 , Jan. 29, 1997]

§ 1.103   Effective dates of Commission actions; finality of Commission
actions.

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   (a) Unless otherwise specified by law or Commission rule (e.g. §§1.102 and
   1.427), the effective date of any Commission action shall be the date of
   public notice of such action as that latter date is defined in §1.4(b) of
   these rules: Provided, That the Commission may, on its own motion or on
   motion by any party, designate an effective date that is either earlier or
   later in time than the date of public notice of such action. The designation
   of an earlier or later effective date shall have no effect on any pleading
   periods.

   (b) Notwithstanding any determinations made under paragraph (a) of this
   section, Commission action shall be deemed final, for purposes of seeking
   reconsideration at the Commission or judicial review, on the date of public
   notice as defined in §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 application
for review.

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   (a) The provisions of this section apply to all final actions taken pursuant
   to delegated authority, including final actions taken by members of the
   Commission's staff on nonhearing matters. They do not apply to interlocutory
   actions of the Chief Administrative Law Judge in hearing proceedings, or to
   hearing designation orders issued under delegated authority. See §§0.351,
   1.106(a) and 1.115(e).

   (b) Any person desiring Commission consideration of a final action taken
   pursuant  to  delegated  authority  shall  file  either a petition for
   reconsideration or an application for review (but not both) within 30 days
   from the date of public notice of such action, as that date is defined 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 designating a
   matter for hearing will in all cases be referred to the Commission. The
   application for review will in all cases be acted upon by the Commission.

   Note: In those cases where the Commission does not intend to release a
   document containing the full text of its action, it will state that fact in
   the public notice announcing its action.

   (c) If in any matter one party files a petition for reconsideration and a
   second party files an application for review, the Commission will withhold
   action on the application for review until final action has been taken on
   the petition for reconsideration.

   (d) Any person who has filed a petition for reconsideration may file an
   application for review within 30 days from the date of public notice of such
   action, as that date is defined in §1.4(b) of these rules. If a petition for
   reconsideration has been filed, any person who has filed an application for
   review may: (1) Withdraw his application for review, or (2) substitute an
   amended application therefor.

   Note: In those cases where the Commission does not intend to release a
   document containing the full text of its action, it will state that fact in
   the public notice announcing its action.

   (Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154,
   303, 307)

   [ 28 FR 12415 , Nov. 22, 1963, as amended at  41 FR 14871 , Apr. 8, 1976;  44 FR 60294 , Oct. 19, 1979;  46 FR 18556 , Mar. 25, 1981;  62 FR 4170 , Jan. 29, 1997]

§ 1.106   Petitions for reconsideration.

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   (a)(1) Petitions requesting reconsideration 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 petition relates to an adverse
   ruling  with  respect to petitioner's participation in the proceeding.
   Petitions for reconsideration of other interlocutory actions will not be
   entertained. (For provisions governing reconsideration of Commission action
   in notice and comment rule making proceedings, see §1.429. This §1.106 does
   not govern reconsideration of such actions.)

   (2) Within the period allowed for filing a petition for reconsideration, any
   party to the proceeding may request the presiding officer to certify to the
   Commission the question as to whether, on policy in effect at the time of
   designation or adopted since designation, and undisputed facts, a hearing
   should be held. If the presiding officer finds that there is substantial
   doubt, on established policy and undisputed facts, that a hearing should be
   held, he will certify the policy question to the Commission with a statement
   to that effect. No appeal may be filed from an order denying such a request.
   See also, §§1.229 and 1.251.

   (b)(1) Subject to the limitations set forth in paragraph (b)(2) of this
   section, any party to the proceeding, or any other person whose interests
   are adversely affected by any action taken by the Commission or by the
   designated authority, may file a petition requesting reconsideration of the
   action taken. If the petition is filed by a person who is not a party to the
   proceeding,  it shall state with particularity the manner in which the
   person's interests are adversely affected by the action taken, and shall
   show good reason why it was not possible for him to participate in the
   earlier stages of the proceeding.

   (2) Where the Commission has denied an application for review, a petition
   for reconsideration will be entertained only if one or more of the following
   circumstances 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 unknown to petitioner until after his last
   opportunity to present such matters which could not, through the exercise of
   ordinary diligence, have been learned prior to such opportunity.

   (3) A petition for reconsideration of an order denying an application for
   review which fails to rely on new facts or changed circumstances may be
   dismissed by the staff as repetitious.

   (c) 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 circumstances:

   (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 consideration
   of the facts relied on is required in the public interest.

   (d)(1) The petition shall state with particularity the respects in which
   petitioner believes the action taken by the Commission or the designated
   authority should be changed. The petition shall state specifically the form
   or relief sought and, subject to this requirement, may contain alternative
   requests.

   (2) The petition for reconsideration shall also, where appropriate, cite the
   findings of fact and/or conclusions of law which petitioner believes to be
   erroneous, and shall state with particularity 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 reconsideration is based upon a claim of electrical
   interference,  under appropriate rules in this chapter, to an existing
   station or a station for which a construction permit is outstanding, such
   petition, in addition to meeting the other requirements of this section,
   must be accompanied by an affidavit of a qualified radio engineer. Such
   affidavit shall show, either by following the procedures set forth in this
   chapter for determining interference in the absence of measurements, or by
   actual measurements made in accordance with the methods prescribed in this
   chapter, that electrical interference will be caused to the station within
   its normally protected contour.

   (f) The petition for reconsideration and any supplement thereto shall be
   filed within 30 days from the date of public notice of the final Commission
   action, as that date is defined in §1.4(b) of these rules, and shall be
   served upon parties to the proceeding. The petition for reconsideration
   shall  not exceed 25 double spaced typewritten pages. No supplement or
   addition to a petition for reconsideration which has not been acted upon by
   the Commission or by the designated authority, filed after expiration of the
   30 day period, will be considered except upon leave granted upon a separate
   pleading for leave to file, which shall state the grounds therefor.

   (g) Oppositions to a petition for reconsideration shall be filed within 10
   days after the petition is filed, and shall be served upon petitioner and
   parties to the proceeding. Oppositions shall not exceed 25 double spaced
   typewritten pages.

   (h) Petitioner may reply to oppositions within seven days after the last day
   for filing oppositions, and any such reply shall be served upon parties to
   the proceeding. Replies shall not exceed 10 double spaced typewritten pages,
   and shall be limited to matters raised in the opposition.

   (i) Petitions for reconsideration, oppositions, and replies shall conform to
   the requirements of §§1.49, 1.51, and 1.52 and shall be submitted to the
   Secretary, Federal Communications Commission, Washington, D.C., 20554.

   (j)  The Commission or designated authority 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. Where the
   petition for reconsideration relates to an instrument of authorization
   granted without hearing, the Commission or designated authority will take
   such action within 90 days after the petition is filed.

   (k)(1) If the Commission or the designated authority grants the petition for
   reconsideration in whole or in part, it may, in its decision:

   (i) Simultaneously reverse or modify the order from which reconsideration is
   sought;

   (ii) Remand the matter to a bureau or other Commission personnel for such
   further proceedings, including rehearing, as may be appropriate; or

   (iii) Order such other proceedings as may be necessary or appropriate.

   (2) If the Commission or designated authority initiates further proceedings,
   a ruling on the merits of the matter will be deferred pending completion of
   such proceedings. Following completion of such further proceedings, the
   Commission  or designated authority may affirm, reverse, or modify its
   original order, or it may set aside the order and remand the matter for such
   further proceedings, including rehearing, as may be appropriate.

   (3) Any order disposing of a petition for reconsideration which reverses or
   modifies the original order is subject to the same provisions with respect
   to reconsideration as the original order. In no event, however, shall a
   ruling  which  denies  a  petition for reconsideration be considered a
   modification of the original order. A petition for reconsideration of an
   order which has been previously denied on reconsideration may be dismissed
   by the staff as repetitious.

   Note: For purposes of this section, the word “order” refers to that portion
   of its action wherein the Commission announces its judgment. This should be
   distinguished from the “memorandum opinion” or other material which often
   accompany and explain the order.

   (l) No evidence other than newly discovered evidence, evidence which has
   become available only since the original taking of evidence, or evidence
   which the Commission or the designated authority believes should have been
   taken in the original proceeding shall be taken on any rehearing ordered
   pursuant to the provisions of this section.

   (m)  The  filing  of a petition for reconsideration is not a condition
   precedent to judicial review of any action taken by the Commission or by the
   designated authority, except where the person seeking such review was not a
   party to the proceeding resulting in the action, or relies on questions of
   fact or law upon which the Commission or designated authority has been
   afforded  no  opportunity  to  pass. (See §1.115(c).) Persons in those
   categories who meet the requirements of this section may qualify to seek
   judicial review by filing a petition for reconsideration.

   (n) Without special order of the Commission, the filing of a petition for
   reconsideration shall not excuse any person from complying with or obeying
   any decision, order, or requirement of the Commission, or operate in any
   manner to stay or postpone the enforcement thereof. However, upon good cause
   shown,  the  Commission  will  stay  the effectiveness of its order or
   requirement pending a decision on the petition for reconsideration. (This
   paragraph applies only to actions of the Commission en banc. For provisions
   applicable to actions under delegated authority, see §1.102.)

   (o)  Petitions  for  reconsideration  of licensing actions, as well as
   oppositions and replies thereto, that are filed with respect to the Wireless
   Radio Services, may be filed electronically via ULS.

   (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]

§ 1.108   Reconsideration on Commission's own motion.

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   The Commission may, on its own motion, 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.

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   Where the Commission without a hearing grants any application in part, or
   with any privileges, terms, or conditions other than those requested, or
   subject to any interference that may result to a station if designated
   application or applications are subsequently granted, the action of the
   Commission shall be considered as a grant of such application unless the
   applicant shall, within 30 days from the date on which such grant is made or
   from  its  effective  date if a later date is specified, file with the
   Commission a written request rejecting the grant as made. Upon receipt of
   such  request, the Commission will vacate its original action upon the
   application and set the application for hearing in the same manner as other
   applications are set for hearing.

§ 1.113   Action modified or set aside by person, panel, or board.

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   (a) Within 30 days after public notice has been given of any action taken
   pursuant to delegated authority, the person, panel, or board taking the
   action may modify or set it aside on its own motion.

   (b) Within 60 days after notice of any sanction imposed under delegated
   authority has been served on the person affected, the person, panel, or
   board which imposed the sanction may modify or set it aside on its own
   motion.

   (c) Petitions for reconsideration and applications for review shall be
   directed to the actions as thus modified, and the time for filing such
   pleadings shall be computed from the date upon which public notice of the
   modified action is given or notice of the modified sanction is served on the
   person affected.

§ 1.115   Application for review of action taken pursuant to delegated
authority.

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   (a) Any person aggrieved by any action taken pursuant to delegated authority
   may file an application requesting review of that action by the Commission.
   Any  person  filing  an  application for review who has not previously
   participated  in  the  proceeding shall include with his application a
   statement describing with particularity the manner in which he is aggrieved
   by the action taken and showing good reason why it was not possible for him
   to participate in the earlier stages of the proceeding. Any application for
   review which fails to make an adequate showing in this respect will be
   dismissed.

   (b)(1) The application for review shall concisely and plainly state the
   questions presented for review with reference, where appropriate, to the
   findings of fact or conclusions of law.

   (2) Except as provided in paragraph (b)(5) of this section, the application
   for review shall specify with particularity, from among the following, the
   factor(s) which warrant Commission consideration of the questions presented:

   (i) The action taken pursuant to delegated authority is in conflict with
   statute, regulation, case precedent, or established Commission policy.

   (ii)  The  action  involves  a question of law or policy which has not
   previously been resolved by the Commission.

   (iii) The action involves application of a precedent or policy which should
   be overturned or revised.

   (iv) An erroneous finding as to an important or material question of fact.

   (v) Prejudicial procedural error.

   (3) The application for review shall state with particularity the respects
   in which the action taken by the designated authority should be changed.

   (4) The application for review shall state the form of relief sought and,
   subject to this requirement, may contain alternative requests.

   (c) No application for review will be granted if it relies on questions of
   fact  or  law upon which the designated authority has been afforded no
   opportunity to pass.

   Note: Subject to the requirements of §1.106, new questions of fact or law
   may  be  presented  to  the  designated  authority  in  a petition for
   reconsideration.

   (d) Except as provided in paragraph (e) of this section, the application for
   review and any supplemental thereto shall be filed within 30 days of public
   notice of such action, as that date is defined in section 1.4(b). Opposition
   to the application shall be filed within 15 days after the application for
   review is filed. Except as provided in paragraph (e)(3) of this section,
   replies to oppositions shall be filed within 10 days after the opposition is
   filed and shall be limited to matters raised in the opposition.

   (e)(1) Applications for review of interlocutory rulings made by the Chief
   Administrative Law Judge (see §0.351) shall be deferred until the time when
   exceptions are filed unless the Chief Judge certifies the matter to the
   Commission for review. A matter shall be certified to the Commission only if
   the Chief Judge determines that it presents a new or novel question of law
   or policy and that the ruling is such that error would be likely to require
   remand should the appeal be deferred and raised as an exception. The request
   to certify the matter to the Commission shall be filed within 5 days after
   the ruling is made. The application for review shall be filed within 5 days
   after the order certifying the matter to the Commission is released or such
   ruling  is  made.  Oppositions  shall be filed within 5 days after the
   application is filed. Replies to oppositions shall be filed only if they are
   requested by the Commission. Replies (if allowed) shall be filed within 5
   days after they are requested. A ruling certifying or not certifying a
   matter to the Commission is final: Provided, however, That the Commission
   may, on its own motion, dismiss the application for review on the ground
   that objections to the ruling should be deferred and raised as an exception.

   (2) The failure to file an application for review of an interlocutory ruling
   made by the Chief Administrative Law Judge or the denial of such application
   by the Commission, shall not preclude any party entitled to file exceptions
   to the initial decision from requesting review of the ruling at the time
   when exceptions are filed. Such requests will be considered in the same
   manner as exceptions are considered.

   (3) Applications for review of a hearing designation order issued under
   delegated  authority shall be deferred until exceptions to the initial
   decision in the case are filed, unless the presiding Administrative Law
   Judge certifies such an application for review to the Commission. A matter
   shall be certified to the Commission only if the presiding Administrative
   Law Judge determines that the matter involves a controlling question of law
   as to which there is substantial ground for difference of opinion and that
   immediate  consideration of the question would materially expedite the
   ultimate resolution of the litigation. A ruling refusing to certify a matter
   to  the  Commission is not appealable. In addition, the Commission may
   dismiss, without stating reasons, an application for review that has been
   certified, and direct that the objections to the hearing designation order
   be deferred and raised when exceptions in the initial decision in the case
   are filed. A request to certify a matter to the Commission shall be filed
   with  the  presiding  Administrative Law Judge within 5 days after the
   designation order is released. Any application for review authorized by the
   Administrative  Law Judge shall be filed within 5 days after the order
   certifying the matter to the Commission is released or such a ruling is
   made. Oppositions shall be filed within 5 days after the application for
   review is filed. Replies to oppositions shall be filed only if they are
   requested by the Commission. Replies (if allowed) shall be filed within 5
   days after they are requested.

   (4) Applications for review of final staff decisions issued on delegated
   authority  in formal complaint proceedings on the Enforcement Bureau's
   Accelerated Docket (see, e.g., §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  be  served on parties to the proceeding by hand or
   facsimile transmission.

   (f) Applications for review, oppositions, and replies shall conform to the
   requirements  of §§1.49, 1.51, and 1.52, and shall be submitted to the
   Secretary, Federal Communications Commission, Washington, DC 20554. Except
   as provided below, applications for review and oppositions thereto shall not
   exceed  25  double-space typewritten pages. Applications for review of
   interlocutory actions in hearing proceedings (including designation orders)
   and oppositions thereto shall not exceed 5 double-spaced typewritten pages.
   When permitted (see paragraph (e)(3) of this section), reply pleadings shall
   not exceed 5 double-spaced typewritten pages. The application for review
   shall be served upon the parties to the proceeding. Oppositions to the
   application for review shall be served on the person seeking review and on
   parties to the proceeding. When permitted (see paragraph (e)(3) of this
   section), replies to the opposition(s) to the application for review shall
   be  served on the person(s) opposing the application for review and on
   parties to the proceeding.

   (g) The Commission may grant the application for review in whole or in part,
   or it may deny the application with or without specifying reasons therefor.
   A  petition  requesting  reconsideration  of  a ruling which denies an
   application  for review will be entertained only if one or more of the
   following circumstances is present:

   (1) The petition relies on facts which related to events which have occurred
   or circumstances which have changed since the last opportunity to present
   such matters; or

   (2) The petition relies on facts unknown to petitioner until after his last
   opportunity to present such matters which could not, through the exercise of
   ordinary diligence, have been learned prior to such opportunity.

   (h)(1) If the Commission grants the application for review in whole or in
   part, it may, in its decision:

   (i) Simultaneously reverse or modify the order from which review is sought;

   (ii) Remand the matter to the designated authority for reconsideration in
   accordance with its instructions, and, if an evidentiary hearing has been
   held, the remand may be to the person(s) who conducted the hearing; or

   (iii) Order such other proceedings, including briefs and oral argument, as
   may be necessary or appropriate.

   (2) In the event the Commission orders further proceedings, it may stay the
   effect of the order from which review is sought. (See §1.102.) Following the
   completion of such further proceedings the Commission may affirm, reverse or
   modify the order from which review is sought, or it may set aside the order
   and remand the matter to the designated authority for reconsideration in
   accordance with its instructions. If an evidentiary hearing has been held,
   the Commission may remand the matter to the person(s) who conducted the
   hearing  for  rehearing  on  such  issues  and in accordance with such
   instructions as may be appropriate.

   Note: For purposes of this section, the word “order” refers to that portion
   of its action wherein the Commission announces its judgment. This should be
   distinguished from the “memorandum opinion” or other material which often
   accompany and explain the order.

   (i) An order of the Commission which reverses or modifies the action taken
   pursuant to delegated authority is subject to the same provisions with
   respect to reconsideration as an original order of the Commission. In no
   event, however, shall a ruling which denies an application for review be
   considered  a  modification  of the action taken pursuant to delegated
   authority.

   (j) No evidence other than newly discovered evidence, evidence which has
   become available only since the original taking of evidence, or evidence
   which  the  Commission believes should have been taken in the original
   proceeding  shall  be  taken  on any rehearing ordered pursuant to the
   provisions of this section.

   (k) The filing of an application for review shall be a condition precedent
   to judicial review of any action taken pursuant to delegated authority.

   (Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154,
   303, 307)

   [ 28 FR 12415 , Nov. 22, 1963, as amended at  41 FR 14871 , Apr. 8, 1976;  44 FR 60295 , Oct. 19, 1979;  46 FR 18556 , Mar. 25, 1981;  48 FR 12719 , Mar. 28,
   1983;  50 FR 39000 , Sept. 26, 1985;  54 FR 40392 , Oct. 2, 1989;  55 FR 36641 ,
   Sept. 6, 1990;  57 FR 19387 , May 6, 1992;  62 FR 4170 , Jan. 29, 1997;  63 FR 41446 , Aug. 4, 1998;  67 FR 13223 , Mar. 21, 2002]

§ 1.117   Review on motion of the Commission.

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   (a) Within 40 days after public notice is given of any action taken pursuant
   to delegated authority, the Commission may on its own motion order the
   record of the proceeding before it for review.

   (b) If the Commission reviews the proceeding on its own motion, it may order
   such further procedure as may be useful to it in its review of the action
   taken pursuant to delegated authority.

   (c)  With or without such further procedure, the Commission may either
   affirm,  reverse, modify, or set aside the action taken, or remand the
   proceeding to the designated authority for reconsideration in accordance
   with  its  instructions.  If an evidentiary hearing has been held, the
   Commission may remand the proceeding to the person(s) who conducted the
   hearing  for  rehearing  on  such  issues  and in accordance with such
   instructions  as  may be appropriate. An order of the Commission which
   reverses or modifies the action taken pursuant to delegated authority, or
   remands  the  matter  for  further proceedings, is subject to the same
   provisions with respect to reconsideration as an original action of the
   Commission.

§ 1.120   Protests of grants without hearing.

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   (a)  The  provisions  of  this  section shall not be applicable to any
   application: (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
   petitions 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 authorization for a radio station, other than a
   license  pursuant to a construction permit, has been granted without a
   hearing, any party in interest may file a protest directed to such grant and
   request 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 containing
   the full text of such action, or in case such a document is not released,
   after release of a “Public Notice” announcing the action in question and
   must separately set forth:

   (1) Such allegations of fact as will show the protestant to be a party in
   interest, 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
   separately 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 authority may be set forth in a brief
   accompanying the protest but must be excluded from the protest itself.

   (d) Oppositions to protests and briefs in support thereof shall contain all
   material, 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 supporting 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
   original and 14 copies and shall be accompanied by proof of service upon the
   grantee or the protestant, as the case may be, and/or their respective
   attorneys.

   (f) The Commission may upon consideration of a protest direct either the
   protestant or grantee or both to submit 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
   Commission  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 requirements are met, it
   will designate the application 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 designate such
   issues for oral argument only. The other issues will be designated for
   evidentiary hearing except that the Commission may redraft the issues in
   accordance with the facts or substantive matters alleged in the protest and
   may  also specify such additional issues as it deems desirable. In any
   evidentiary  hearing  subsequently  held  upon issues specified by the
   Commission, upon its own initiative or adopted by it, both the burden of
   proceeding with the introduction of evidence 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 specified by the Commission on its own
   motion, 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
   provisions 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
   action 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 conduct 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 particular, 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

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   Source:    28 FR 12425 , Nov. 22, 1963, unless otherwise noted.

General

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§ 1.201   Scope.

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   This subpart shall be applicable to the following cases which have been
   designated for hearing:

   (a) Adjudication (as defined by the Administrative Procedure Act); and

   (b) Rule making proceedings which are required by law to be made on the
   record after opportunity for a Commission hearing.

   Note: For special provisions relating to AM broadcast station applications
   involving other North American countries see §73.3570.

   [ 28 FR 12425 , Nov. 22, 1963, as amended at  51 FR 32088 , Sept. 9, 1986]

§ 1.202   Official reporter; transcript.

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   The Commission will designate from time to time an official reporter for the
   recording and transcribing of hearing proceedings. The transcript of the
   testimony taken, or argument had, at any hearing will not be furnished by
   the Commission, but will be open to inspection under §0.453(a)(1) of this
   chapter. Copies of such transcript, if desired, may be obtained from the
   official reporter upon payment of the charges therefor.

   (5 U.S.C. 556)

   [ 32 FR 20861 , Dec. 28, 1967]

§ 1.203   The record.

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   The transcript of testimony and exhibits, together with all papers and
   requests filed in the proceeding, shall constitute the exclusive record for
   decision. Where any decision rests on official notice of a material fact not
   appearing in the record, any party shall on timely request be afforded an
   opportunity to show the contrary.

   (5 U.S.C. 556)

§ 1.204   Pleadings; definition.

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   As used in this subpart, the term pleading means any written notice, motion,
   petition, request, opposition, reply, brief, proposed findings, exceptions,
   memorandum of law, or other paper filed with the Commission in a hearing
   proceeding. It does not include exhibits or documents offered in evidence.
   See §1.356.

   [ 29 FR 8219 , June 30, 1964]

§ 1.205   Continuances and extensions.

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   Continuances of any proceeding or hearing and extensions of time for making
   any filing or performing any act required or allowed to be done within a
   specified time may be granted by the Commission or the presiding officer
   upon motion for good cause shown, unless the time for performance or filing
   is limited by statute.

§ 1.207   Interlocutory matters, reconsideration and review; cross references.

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   (a) Rules governing interlocutory pleadings in hearing proceedings are set
   forth in §§1.291 through 1.298.

   (b) Rules governing appeal from rulings made by the presiding officer are
   set forth as §§1.301 and 1.302.

   (c) Rules governing the reconsideration and review of actions taken pursuant
   to delegated authority, and the reconsideration of actions taken by the
   Commission, are set forth in §§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 officer in caption to pleading.

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   Each pleading filed in a hearing proceeding shall indicate in its caption
   whether it is to be acted upon by the Commission, the Chief Administrative
   Law  Judge, or the presiding officer. If it is to be acted upon by the
   presiding officer, he shall be identified by name.

   [ 29 FR 8219 , June 30, 1964, as amended at  37 FR 19372 , Sept. 20, 1972;  62 FR 4171 , Jan. 29, 1997]

§ 1.211   Service.

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   Except as otherwise expressly provided in this chapter, all pleadings filed
   in  a hearing proceeding shall be served upon all other counsel in the
   proceeding or, if a party is not represented by counsel, then upon such
   party.  All  such papers shall be accompanied by proof of service. For
   provisions governing the manner of service, see §1.47.

   [ 29 FR 8219 , June 30, 1964]

Participants and Issues

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§ 1.221   Notice of hearing; appearances.

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   (a) Upon designation of an application for hearing, the Commission issues an
   order containing the following:

   (1) A statement as to the reasons for the Commission's action.

   (2) A statement as to the matters of fact and law involved, and the issues
   upon which the application will be heard.

   (3) A statement as to the time, place, and nature of the hearing. (If the
   time and place are not specified, the order will indicate that the time and
   place will be specified at a later date.)

   (4) A statement as to the legal authority and jurisdiction under which the
   hearing is to be held.

   (b)  The order designating an application for hearing is mailed to the
   applicant  by  the  Reference  Information  Center of the Consumer and
   Governmental Affairs Bureau and this order or a summary thereof is published
   in theFederal Register.Reasonable notice of hearing will be given to the
   parties in all proceedings; and, whenever possible, the Commission will give
   at least 60 days notice of comparative hearings.

   (c) In order to avail himself of the opportunity to be heard, the applicant,
   in person or by his attorney, shall, within 20 days of the mailing of the
   notice of designation for hearing by the Reference Information Center of the
   Consumer and Governmental Affairs Bureau, file with the Commission, in
   triplicate, a written appearance stating that he will appear of the date
   fixed for hearing and present evidence on the issues specified in the order.
   Where an applicant fails to file such a written appearance within the time
   specified, or has not filed prior to the expiration of that time a petition
   to dismiss without prejudice, or a petition to accept, for good cause shown,
   such written appearance beyond expiration of said 20 days, the application
   will be dismissed with prejudice for failure to prosecute.

   (d) The Commission will on its own motion name as parties to the hearing any
   person found to be a party in interest.

   (e) In order to avail himself of the opportunity to be heard, any person
   named as a party pursuant to paragraph (d) of this section shall, within 20
   days of the mailing of the notice of his designation as a party, file with
   the  Commission,  in  person  or  by attorney, a written appearance in
   triplicate, stating that he will appear at the hearing. Any person so named
   who fails to file this written statement within the time specified, shall,
   unless good cause for such failure is shown, forfeit his hearing rights.

   (f)(1)  A  fee  must  accompany each written appearance filed with the
   Commission in certain cases designated for hearing. See subpart G, part 1
   for the amount due. Except as provided in paragraph (g) of this section, the
   fee must accompany each written appearance at the time of its filing and
   must be in conformance with the requirements of subpart G of the rules. A
   written  appearance  that  does  not contain the proper fee, or is not
   accompanied by a deferral request as per §1.1115 of the rules, shall be
   dismissed and returned to the applicant by the fee processing staff. The
   presiding  judge  will  be notified of this action and may dismiss the
   applicant with prejudice for failure to prosecute if the written appearance
   is not resubmitted with the correct fee within the original 20 day filing
   period.

   Note: If the parties file a settlement agreement prior to filing the Notice
   of Appearance or simultaneously with it, the hearing fee need not accompany
   the Notice of Appearance. In filing the Notice of Appearance, the applicant
   should clearly indicate that a settlement agreement has been filed. (The
   fact that there are ongoing negotiations that may lead to a settlement does
   not affect the requirement to pay the fee.) If a settlement agreement is not
   effectuated, the Presiding Judge will require immediate payment of the fee.

   (2) When a fee is required to accompany a written appearance as described in
   paragraph (f)(1) of this section, the written appearance must also contain
   FCC Registration Number (FRN) in conformance with subpart W of this part.
   The presiding judge will notify the party filing the appearance of the
   omitted  FRN  and  dismiss the applicant with prejudice for failure to
   prosecute if the written appearance is not resubmitted with the FRN within
   ten (10) business days of the date of notification.

   (g)  In comparative broadcast proceedings involving applicants for new
   facilities,  where  the hearing fee was paid before designation of the
   applications for hearing as required by the Public Notice described at
   §73.3571(c), §73.3572(d), or §73.3573(g) of this chapter, 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 amended; 47 U.S.C. 309)

   [28 12424, Nov. 22, 1963, as amended at  51 FR 19347 , May 29, 1986;  52 FR 5288 , Feb. 20, 1987;  55 FR 19154 , May 8, 1990;  56 FR 25638 , June 5, 1991;  64 FR 60725 , Nov. 8, 1999;  66 FR 47895 , Sept. 14, 2001;  67 FR 13223 , Mar. 21,
   2002]

§ 1.223   Petitions to intervene.

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   (a) Where, in cases involving applications for construction permits and
   station licenses, or modifications or renewals thereof, the Commission has
   failed to notify and name as a party to the hearing any person who qualifies
   as a party in interest, such person may acquire the status of a party by
   filing,  under oath and not more than 30 days after the publication in
   theFederal  Registerof the hearing issues or any substantial amendment
   thereto, a petition for intervention showing the basis of its interest.
   Where such person's interest is based upon a claim that a grant of the
   application  would  cause  objectionable interference under applicable
   provisions of this chapter to such person as a licensee or permittee of an
   existing  or  authorized  station,  the  petition to intervene must be
   accompanied by an affidavit of a qualified radio engineer which shall show,
   either  by  following  the  procedures  prescribed in this chapter for
   determining  interference  in the absence of measurements or by actual
   measurements made in accordance with the methods prescribed in this chapter,
   the extent of such interference. Where the person's status as a party in
   interest is established, the petition to intervene will be granted.

   (b) Any other person desiring to participate as a party in any hearing may
   file a petition for leave to intervene not later than 30 days after the
   publication in theFederal Registerof the full text or a summary of the order
   designating an application for hearing or any substantial amendment thereto.
   The petition must set forth the interest of petitioner in the proceedings,
   must show how such petitioner's participation will assist the Commission in
   the determination of the issues in question, must set forth any proposed
   issues in addition to those already designated for hearing, and must be
   accompanied by the affidavit of a person with knowledge as to the facts set
   forth in the petition. The presiding officer, in his discretion, may grant
   or deny such petition or may permit intervention by such persons limited to
   a particular stage of the proceeding.

   (c) Any person desiring to file a petition for leave to intervene later than
   30 days after the publication in theFederal Registerof the full text or a
   summary  of  the  order  designating an application for hearing or any
   substantial amendment thereto shall set forth the interest of petitioner in
   the proceeding, show how such petitioner's participation will assist the
   Commission in the determination of the issues in question, must set forth
   any proposed issues in addition to those already designated for hearing, and
   must set forth reasons why it was not possible to file a petition within the
   time prescribed by paragraphs (a) and (b) of this section. Such petition
   shall be accompanied by the affidavit of a person with knowledge of the
   facts set forth in the petition, and where petitioner claims that a grant of
   the application would cause objectionable interference under applicable
   provisions of this chapter, the petition to intervene must be accompanied by
   the affidavit of a qualified radio engineer showing the extent of such
   alleged interference according to the methods prescribed in paragraph (a) of
   this section. If, in the opinion of the presiding officer, good cause is
   shown for the delay in filing, he may in his discretion grant such petition
   or may permit intervention limited to particular issues or to a particular
   stage of the proceeding.

   (Sec. 309, 48 Stat. 1085, as amended; 47 U.S.C. 309)

   [ 28 FR 12425 , Nov. 22, 1963, as amended at  29 FR 7821 , June 19, 1964;  41 FR 14872 , Apr. 8, 1976;  51 FR 19347 , May 29, 1986]

§ 1.224   Motion to proceed in forma pauperis.

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   (a) A motion to proceed in forma pauperis may be filed by an individual, a
   corporation, and unincorporated entity, an association or other similar
   group, if the moving party is either of the following:

   (1) A respondent in a revocation proceeding, or a renewal applicant, who
   cannot carry on his livelihood without the radio license at stake in the
   proceeding; or

   (2) An intervenor in a hearing proceeding who is in a position to introduce
   testimony which is of probable decisional significance, on a matter of
   substantial public interest importance, which cannot, or apparently will
   not,  be introduced by other parties to the proceeding, and who is not
   seeking personal financial gain.

   (b) In the case of a licensee, the motion to proceed in forma pauperis shall
   contain specific allegations of fact sufficient to show that the moving
   party is eligible under paragraph (a) of this section and that he cannot,
   because of his poverty, pay the expenses of litigation and still be able to
   provide  himself and his dependents with the necessities of life. Such
   allegations of fact shall be supported by affidavit of a person or persons
   with personal knowledge thereof. The information submitted shall detail the
   income  and assets of the individual and his financial obligations and
   responsibilities, and shall contain an estimate of the cost of participation
   in the proceeding. Personal financial information may be submitted to the
   presiding officer in confidence.

   (c)(1) In the case of an individual intervenor, the motion to proceed in
   forma pauperis shall contain specific allegations of fact sufficient to show
   that he is eligible under paragraph (a) of this section and that he has
   dedicated  financial  resources to sustain his participation which are
   reasonable in light of his personal resources and other demands upon them
   but are inadequate for effective participation in the proceeding. Such
   allegations of fact shall be supported by affidavit of a person or persons
   with personal knowledge thereof. The information submitted shall detail the
   income  and  assets of the individual and his immediate family and his
   financial obligations and responsibilities, and shall contain an estimate of
   the cost of participation. Personal financial information may be submitted
   to the presiding officer in confidence.

   (2) In the case of an intervening group, the motion to proceed in forma
   pauperis shall contain specific allegations of fact sufficient to show that
   the moving party is eligible under paragraph (a) of this section and that it
   cannot pay the expenses of litigation and still be able to carry out the
   activities and purposes for which it was organized. Such allegations of fact
   shall be supported by affidavit of the President and Treasurer of the group,
   and/or by other persons having personal knowledge thereof. The information
   submitted shall include a copy of the corporate charter or other documents
   that describe the activities and purposes of the organization; a current
   balance sheet and profit and loss statement; facts showing, under all the
   circumstances, that it would not be reasonable to expect added resources of
   individuals  composing  the group to be pooled to meet the expenses of
   participating  in  the  proceeding;  and  an  estimate  of the cost of
   participation. Personal financial information pertaining to members of the
   group may be submitted to the presiding officer in confidence.

   (d) If the motion is granted, the presiding officer may direct that a free
   copy of the transcript of testimony be made available to the moving party
   and may relax the rules of procedure in any manner which will ease his
   financial burden, is fair to other parties to the proceeding, and does not
   involve the payment of appropriated funds to a party.

   [ 41 FR 53021 , Dec. 3, 1976]

§ 1.225   Participation by non-parties; consideration of communications.

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   (a) Any person who wishes to appear and give evidence on any matter and who
   so advises the Secretary, will be notified by the Secretary if that matter
   is designated for hearing. In the case of requests bearing more than one
   signature, notice of hearing will be given to the person first signing
   unless the request indicates that such notice should be sent to someone
   other than such person.

   (b) No person shall be precluded from giving any relevant, material, and
   competent testimony at a hearing because he lacks a sufficient interest to
   justify his intervention as a party in the matter.

   (c)  When  a  hearing  is held, no communication will be considered in
   determining  the merits of any matter unless it has been received into
   evidence. The admissibility of any communication shall be governed by the
   applicable rules of evidence, and no communication shall be admissible on
   the basis of a stipulation unless Commission counsel as well as counsel for
   all of the parties shall join in such stipulation.

§ 1.227   Consolidations.

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   (a) The Commission, upon motion or upon its own motion, will, where such
   action will best conduce to the proper dispatch of business and to the ends
   of justice, consolidate for hearing:

   (1) Any cases which involve the same applicant or involve substantially the
   same issues, or

   (2) Any applications which present conflicting claims, except where a random
   selection process is used.

   (b)(1) In broadcast cases, except as provided in paragraph (b)(5) of this
   section,  and  except  as  otherwise  provided in §1.1601, et seq., no
   application  will  be consolidated for hearing with a previously filed
   application or applications unless such application, or such application as
   amended, if amended so as to require a new file number, is substantially
   complete  and  tendered for filing by the close of business on the day
   preceding the day designated by Public Notice as the day any one of the
   previously filed applications is available and ready for processing.

   (2) In other than broadcast, common carrier, and safety and special radio
   services cases, any application that is mutually exclusive with another
   application  or  applications  already  designated for hearing will be
   consolidated for hearing with such other application or applications only if
   the later application in question has been filed within 5 days after public
   notice has been given in theFederal Registerof the Commission's order which
   first designated for hearing the prior application or applications with
   which such application is in conflict.

   (3) Common carrier cases: (i) General rule. Where an application is mutually
   exclusive with a previously filed application, the second application will
   be entitled to comparative consideration with the first or entitled to be
   included in a random selection process, only if the second has been properly
   filed at least one day before the Commission takes action on the first
   application.  Specifically, the later filed application must have been
   received by the Commission, in a condition acceptable for filing, before the
   close of business on the day prior to the grant date or designation date of
   the earlier filed application.

   (ii)  Domestic public fixed and public mobile. See Rule §21.31 of this
   chapter for the requirements as to mutually exclusive applications. See also
   Rule  §21.23  of this chapter for the requirements as to amendments of
   applications.

   (iii) Public coast stations (Maritime mobile service). See paragraph (b)(4)
   of this section.

   (4) This paragraph applies when mutually exclusive applications subject to
   section 309(b) of the Communications Act and not subject to competitive
   bidding procedures pursuant 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 available frequencies. Except for
   applications filed under part 101, subparts H and O, Private Operational
   Fixed  Microwave  Service, and applications for high seas public coast
   stations (see §§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 exclusivity will
   occur  if  the  later  application or applications are received by the
   Commission's offices in Gettysburg, PA (or Pittsburgh, PA for applications
   requiring  the  fees set forth at part 1, subpart G of the rules) in a
   condition acceptable for filing within 30 days after the release date of
   public  notice  listing  the first prior filed application (with which
   subsequent applications are in conflict) as having been accepted for filing
   or within such other period as specified by the Commission. For applications
   in the Private Operational Fixed Microwave Service, mutual exclusivity will
   occur if two or more acceptable applications that are in conflict are filed
   on the same day. Applications for high seas public coast stations will be
   processed on a first come, first served basis, with the first acceptable
   application  cutting  off the filing rights of subsequent, conflicting
   applications. Applications for high seas public coast stations received on
   the same day will be treated as simultaneously filed and, if granting more
   than one would result in harmful interference, must be resolved through
   settlement or technical amendment.

   (5) Any mutually exclusive application filed after the date prescribed in
   paragraph  (b)(1),  (b)(2),  (b)(3), or (b)(4) of this section will be
   dismissed without prejudice and will be eligible for refiling only after a
   final decision is rendered by the Commission with respect to the prior
   application or applications or after such application or applications are
   dismissed or removed from the hearing docket.

   (6) An application which is mutually exclusive with an application for
   renewal of license of a broadcast station filed on or before May 1, 1995
   will  be  designated for comparative hearing with such license renewal
   application if it is substantially complete and tendered 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]

§ 1.229   Motions to enlarge, change, or delete issues.

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   (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
   theFederal Register.

   (b)(1) In comparative broadcast proceedings involving applicants for only
   new facilities, such motions shall be filed within 30 days of the release of
   the designation order, except that persons not named as parties to the
   proceeding  in  the designation order may file such motions with their
   petitions to intervene up to 30 days after publication of the full text or a
   summary of the designation order in theFederal Register.( See §1.223 of this
   part).

   (2) In comparative broadcast proceedings 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 theFederal Register.

   (3) Any person desiring to file a motion to modify the issues after the
   expiration of periods specified in paragraphs (a), (b)(1), and (b)(2), of
   this section, shall set forth the reason why it was not possible to file the
   motion within the prescribed period. Except as provided in paragraph (c) of
   this section, the motion will be granted only if good cause is shown for the
   delay in filing. Motions for modifications of issues which are based on new
   facts or newly discovered facts shall be filed within 15 days after such
   facts are discovered by the moving party.

   (c) In the absence of good cause for late filing of a motion to modify the
   issues, the motion to enlarge will be considered fully on its merits if (and
   only if) initial examination of the motion demonstrates that it raises a
   question of probable decisional significance and such substantial public
   interest importance as to warrant consideration in spite of its untimely
   filing.

   (d) Such motions, opposition thereto, and replies to oppositions shall
   contain  specific allegations of fact sufficient to support the action
   requested. Such allegations of fact, except for those of which official
   notice may be taken, shall be supported by affidavits of a person or persons
   having personal knowledge thereof. The failure to file an opposition or a
   reply will not necessarily be construed as an admission of any fact or
   argument contained in a pleading.

   (e) In comparative broadcast proceedings involving applicants for only new
   facilities, in addition to the showing with respect to the requested issue
   modification  described  in  paragraph  (d) of this section, the party
   requesting the enlargement of issues against an applicant in the proceeding
   shall identify those documents the moving party wishes to have produced and
   any other discovery procedures the moving party wishes to employ in the
   event the requested issue is added to the proceeding.

   (1) In the event the motion to enlarge issues is granted, the Commission or
   delegated authority acting on the motion will also rule on the additional
   discovery requests, and, if granted, such additional discovery will be
   scheduled to be completed within 30 days of the action on the motion.

   (2) The moving party may file supplemental discovery requests on the basis
   of information provided in responsive pleadings or discovered as a result of
   initial discovery on the enlarged issue. The grant or denial of any such
   supplemental requests and the timing of the completion of such supplemental
   discovery are subject to the discretion of the presiding judge.

   (3) The 30-day time limit for completion of discovery on enlarged issues
   shall not apply where the persons subject to such additional discovery are
   not  parties  to the proceeding. In such case, additional time will be
   required to afford such persons adequate notice of the discovery procedures
   being employed.

   (f) In any case in which the presiding judge or the Commission grants a
   motion to enlarge the issues to inquire into allegations that an applicant
   made misrepresentations to the Commission or engaged in other misconduct
   during the application process, the enlarged issues include notice that,
   after hearings on the enlarged issue and upon a finding that the alleged
   misconduct occurred and warrants such penalty, in addition to or in lieu of
   denying the application, the applicant may be liable for a forfeiture of up
   to the maximum statutory amount. See 47 U.S.C. 503(b)(2)(A).

   [ 41 FR 14872 , Apr. 8, 1976, as amended at  44 FR 34947 , June 18, 1979;  51 FR 19347 , May 29, 1986;  56 FR 792 , Jan. 9, 1991;  56 FR 25639 , June 5, 1991;  62 FR 4171 , Jan. 29, 1997]

Presiding Officer

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§ 1.241   Designation of presiding officer.

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   (a)  Hearings  will  be  conducted  by  the Commission, by one or more
   commissioners, or by a law judge designated pursuant to section 11 of the
   Administrative Procedure Act. If a presiding officer becomes unavailable to
   the Commission prior to the taking of testimony another presiding officer
   will be designated.

   (b) Unless the Commission determines that due and timely execution of its
   functions requires otherwise, presiding officers shall be designated, and
   notice thereof released to the public, at least 10 days prior to the date
   set for hearing.

   (5 U.S.C. 556)

§ 1.243   Authority of presiding officer.

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   From the time he is designated to preside until issuance of his decision or
   the transfer of the proceeding to the Commission or to another presiding
   officer the presiding officer shall have such authority as is vested in him
   by law and by the provisions of this chapter, including authority to:

   (a) Administer oaths and affirmations;

   (b) Issue subpenas;

   (c) Examine witnesses;

   (d) Rule upon questions of evidence;

   (e) Take or cause depositions to be taken;

   (f) Regulate the course of the hearing, maintain decorum, and exclude from
   the  hearing  any person engaging in contemptuous conduct or otherwise
   disrupting the proceedings;

   (g) Require the filing of memoranda of law and the presentation of oral
   argument with respect to any question of law upon which he is required to
   rule during the course of the hearing;

   (h) Hold conferences for the settlement or simplification of the issues by
   consent of the parties;

   (i) Dispose of procedural requests or similar matters, as provided for 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, modify 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.

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   (a)  In  broadcast comparative cases involving applicants for only new
   facilities, the applicants may request the appointment of a settlement judge
   to facilitate the resolution of the case by settlement.

   (b) Where all applicants in the case agree that such procedures may be
   beneficial, such requests may be filed with the presiding judge no later
   than 15 days prior to the date scheduled by the presiding judge for the
   commencement of hearings. The presiding judge shall suspend the procedural
   dates in the case and forward the request to the Chief Administrative Law
   Judge for action.

   (c) If, in the discretion of the Chief Administrative Law Judge, it appears
   that the appointment of a settlement judge will facilitate the settlement of
   the case, the Chief Judge will appoint a “neutral” as defined in 5 U.S.C.
   581 and 583(a) to act as the settlement judge.

   (1) The parties may request the appointment of a settlement judge of their
   own choosing so long as that person is a “neutral” as defined in 5 U.S.C.
   581.

   (2) The appointment of a settlement judge in a particular case is subject to
   the approval of all the applicants in the proceeding. See 5 U.S.C. 583(b).

   (3)  The Commission's Administrative Law Judges are eligible to act as
   settlement judges, except that an Administrative Law Judge will not be
   appointed as a settlement judge in any case in which the Administrative Law
   Judge also acts as the presiding officer.

   (4) Other members of the Commission's staff who qualify as neutrals may be
   appointed as settlement judges, except that staff members whose duties
   include drafting, review, and/or recommendations in adjudicatory matters
   pending before the Commission shall not be appointed as settlement judges.

   (d) The settlement judge shall have the authority to require applicants to
   submit their 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 comparative standing of the applicants and recommend possible means
   to  resolve  the  proceeding by settlement. The proceedings before the
   settlement judge shall be subject to the confidentiality provisions of 5
   U.S.C. 574. Moreover, no statements, offers of settlement, representations
   or concessions of the parties or opinions expressed by the settlement judge
   will be admissible as evidence in any Commission licensing proceeding.

   [ 56 FR 793 , Jan. 9, 1991, as amended at  62 FR 4171 , Jan. 29, 1997]

§ 1.245   Disqualification of presiding officer.

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   (a) In the event that a presiding officer deems himself disqualified and
   desires to withdraw from the case, he shall notify the Commission of his
   withdrawal at least 7 days prior to the date set for hearing.

   (b) Any party may request the presiding officer to withdraw on the grounds
   of personal bias or other disqualification.

   (1)  The person seeking disqualification shall file with the presiding
   officer an affidavit setting forth in detail the facts alleged to constitute
   grounds for disqualification. Such affidavit shall be filed not later than 5
   days before the commencement of the hearing unless, for good cause shown,
   additional time is necessary.

   (2) The presiding officer may file a response to the affidavit; and if he
   believes  himself not disqualified, shall so rule and proceed with the
   hearing.

   (3)  The  person  seeking  disqualification  may  appeal  a  ruling of
   disqualification, and, in that event, shall do so at the time the ruling is
   made. Unless an appeal of the ruling is filed at this time, the right to
   request withdrawal of the presiding officer shall be deemed waived.

   (4) If an appeal of the ruling is filed, the presiding officer shall certify
   the  question,  together  with the affidavit and any response filed in
   connection therewith, to the Commission. The hearing shall be suspended
   pending a ruling on the question by the Commission.

   (5) The Commission may rule on the question without hearing, or it may
   require testimony or argument on the issues raised.

   (6)  The  affidavit,  response, testimony or argument thereon, and the
   Commission's decision shall be part of the record in the case.

   (5 U.S.C. 556)

   [ 28 FR 12425 , Nov. 22, 1963, as amended at  55 FR 36641 , Sept. 6, 1990;  62 FR 4171 , Jan. 29, 1997]

Prehearing Procedures

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§ 1.246   Admission of facts and genuineness of documents.

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   (a) Within 20 days after the time for filing a notice of appearance has
   expired; or within 20 days after the release of an order adding parties to
   the proceeding (see §§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
   motion or notice, a party may serve upon any other party a written request
   for the admission by the latter of the genuineness of any relevant documents
   identified in and exhibited by a clear copy with the request or of the truth
   of any relevant matters of fact set forth in the request.

   (b) Each of the matters of which an admission is requested shall be deemed
   admitted unless, within a period designated in the request, not less than 10
   days after service thereof, or within such shorter or longer time as the
   presiding officer may allow on motion or notice, the party to whom the
   request is directed serves upon the party requesting the admission either:
   (1) A sworn statement denying specifically the matters of which an admission
   is requested or setting forth in detail the reasons why he cannot truthfully
   admit or deny those matters, or (2) written objections on the ground that
   some or all of the requested admissions are privileged or irrelevant or that
   the request is otherwise improper in whole or in part. If written objections
   to a part of the request are made, the remainder of the request shall be
   answered within the period designated in the request. A denial shall fairly
   meet the substance of the requested admission, and when good faith requires
   that a party deny only a part or a qualification of a matter of which an
   admission is requested, he shall specify so much of it as is true and deny
   only the remainder.

   (c) A copy of the request and of any answer shall be served by the party
   filing  on  all other parties to the proceeding and upon the presiding
   officer.

   (d) Written objections to the requested admissions may be ruled upon by the
   presiding officer without additional pleadings.

   [ 33 FR 463 , Jan. 12, 1968, as amended at  35 FR 17333 , Nov. 11, 1970]

§ 1.248   Prehearing conferences; hearing conferences.

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   (a) The Commission, on its own initiative or at the request of any party,
   may direct the parties or their attorneys to appear at a specified time and
   place for a conference prior to a hearing, or to submit suggestions in
   writing, for the purpose of considering, among other things, the matters set
   forth in paragraph (c) of this section. The initial prehearing conference
   shall be scheduled 30 days after the effective date of the order designating
   a  case  for  hearing,  unless good cause is shown for scheduling such
   conference at a later date.

   (b)(1) The presiding officer (or the Commission or a panel of commissioners
   in a case over which it presides), on his own initiative or at the request
   of any party, may direct the parties or their attorneys to appear at a
   specified time and place for a conference prior to or during the course of a
   hearing, or to submit suggestions in writing, for the purpose of considering
   any of the matters set forth in paragraph (c) of this section. The initial
   prehearing conference shall be scheduled 30 days after the effective date of
   the order designating a case for hearing, unless good cause is shown for
   scheduling such conference at a later date.

   (2) Except as circumstances otherwise require, the presiding officer shall
   allow a reasonable period prior to commencement of the hearing for the
   orderly completion of all prehearing procedures, including discovery, and
   for the submission and disposition of all prehearing motions. Where the
   circumstances so warrant, the presiding officer shall, promptly after the
   hearing is ordered, call a preliminary prehearing conference, to inquire
   into the use of available procedures contemplated by the parties and the
   time  required for their completion, to formulate a schedule for their
   completion, and to set a date for commencement of the hearing.

   (c) In conferences held, or in suggestions submitted, pursuant to paragraphs
   (a) and (b) of this section, the following matters, among others, may be
   considered:

   (1)  The  necessity  or desirability of simplification, clarification,
   amplification, or limitation of the issues;

   (2) The admission of facts and of the genuineness of documents (see §1.246),
   and the possibility of stipulating with respect to facts;

   (3) The procedure at the hearing;

   (4) The limitation of the number of witnesses;

   (5) In cases arising under Title II of the Communications Act, the necessity
   or  desirability of amending the pleadings and offers of settlement or
   proposals of adjustment; and

   (6) In cases involving comparative broadcast applications:

   (i) Narrowing the issues or the areas of inquiry and proof at the hearing;

   (ii) [Reserved]

   (iii) Reports and letters relating to surveys or contacts;

   (iv) Assumptions regarding the availability of equipment;

   (v) Network programming;

   (vi) Assumptions regarding the availability of networks proposed;

   (vii) Offers of letters in general;

   (viii) The method of handling evidence relating to the past cooperation of
   existing stations owned and/or operated by the applicants with organizations
   in the area;

   (ix) Proof of contracts, agreements, or understandings reduced to writing;

   (x) Stipulations;

   (xi) Need for depositions;

   (xii) The numbering of exhibits;

   (xiii) The order or offer of proof with relationship to docket number;

   (xiv) The date for the formal hearing; and

   (xv) Such other matters as may expedite the conduct of the hearing.

   (7)  In proceedings in which consent agreements may be negotiated (see
   §1.93), the parties shall be prepared to state at the initial prehearing
   conference whether they are at that time willing to enter negotiations
   leading to a consent agreement.

   (d) This paragraph applies to broadcast proceedings only.

   (1) At the prehearing conference prescribed by this section, the parties to
   the proceeding shall be prepared to discuss the advisability of reducing any
   or all phases of their affirmative direct cases to written form.

   (2)  In  hearings involving applications for new, improved and changed
   facilities and in comparative hearings involving only applications for new
   facilities, where it appears that it will contribute significantly to the
   disposition of the proceeding for the parties to submit all or any portion
   of their affirmative direct cases in writing, the presiding officer may, in
   his discretion, require them to do so.

   (3) In other broadcast proceedings, where it appears that it will contribute
   significantly to the disposition of the proceeding for the parties to submit
   all or any portion of their affirmative direct cases in writing, it is the
   policy of the Commission to encourage them to do so. However, the phase or
   phases of the proceeding to be submitted in writing, the dates for the
   exchange of the written material, and other limitations upon the effect of
   adopting the written case procedure (such as whether material ruled out as
   incompetent may be restored by other competent testimony) is to be left to
   agreement of the parties as approved by the presiding officer.

   (4)  In  broadcast comparative cases involving applicants for only new
   facilities, oral testimony and cross examination will be permitted only
   where,  in  the  discretion of the presiding judge, material issues of
   decisional  fact  cannot  be resolved without oral evidentiary hearing
   procedures  or the public interest otherwise requires oral evidentiary
   proceedings.

   (e) An official transcript of all conferences shall be made.

   (f)  The presiding officer may, upon the written request of a party or
   parties, approve the use of a speakerphone as a means of attendance at a
   prehearing conference if such use is found to conduce to the proper dispatch
   of business and the ends of justice.

   [ 28 FR 12425 , Nov. 22, 1963, as amended at  33 FR 463 , Jan. 12, 1968;  36 FR 14133 , July 30, 1971;  37 FR 7507 , Apr. 15, 1972;  41 FR 14873 , Apr. 8, 1976;
    43 FR 33251 , July 31, 1978;  56 FR 793 , Jan. 9, 1991]

§ 1.249   Prehearing statement.

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   Immediately  upon  convening the formal hearing in any proceeding, the
   presiding officer shall enter upon the record a statement reciting all
   actions taken at the prehearing conferences, and incorporating into the
   record all of the stipulations and agreements of the parties which are
   approved by him, and any special rules which he may deem necessary to govern
   the course of the proceeding.

   [ 28 FR 12425 , Nov. 22, 1963. Redesignated at  33 FR 463 , Jan. 12, 1968]

Hearing and Intermediate Decision

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§ 1.250   Discovery and preservation of evidence; cross-reference.

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   For  provisions  relating  to prehearing discovery and preservation of
   admissible evidence, see §§1.311 through 1.325.

   [ 33 FR 463 , Jan. 12, 1968]

§ 1.251   Summary decision.

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   (a)(1) Any party to an adjudicatory proceeding may move for summary decision
   of all or any of the issues set for hearing. The motion shall be filed at
   least 20 days prior to the date set for commencement of the hearing. The
   party filing the motion may not rest upon mere allegations or denials but
   must show, by affidavit or by other materials subject to consideration by
   the presiding officer, that there is no genuine issue of material fact for
   determination at the hearing.

   (2) With the permission of the presiding officer, or upon his invitation, a
   motion for summary decision may be filed at any time before or after the
   commencement of the hearing. No appeal from an order granting or denying a
   request  for permission to file a motion for summary decision shall be
   allowed. If the presiding officer authorizes a motion for summary decision
   after  the  commencement of the hearing, proposed findings of fact and
   conclusions of law on those issues which the moving party believes can be
   resolved shall be attached to the motion, and any other party may file
   findings of fact and conclusions of law as an attachment to pleadings filed
   by him pursuant to paragraph (b) of this section.

   (b) Within 14 days after a motion for summary decision is filed, any other
   party  to the proceeding may file an opposition or a countermotion for
   summary  decision.  A party opposing the motion may not rest upon mere
   allegations or denials but must show, by affidavit or by other materials
   subject to consideration by the presiding officer, that there is a genuine
   issue of material fact for determination at the hearing, that he cannot, for
   good cause, present by affidavit or otherwise facts essential to justify his
   opposition, or that summary decision is otherwise inappropriate.

   (c) Affidavits shall be made on personal knowledge, shall set forth such
   facts as would be admissible in evidence, and shall show affirmatively that
   the affiant is competent to testify to the matters stated therein.

   (d)  The  presiding officer may, in his discretion, set the matter for
   argument and call for the submission of proposed findings, conclusions,
   briefs or memoranda of law. The presiding officer, giving appropriate weight
   to the nature of the proceeding, the issue or issues, the proof, and to the
   need for cross-examination, may grant a motion for summary decision to the
   extent that the pleadings, affidavits, materials obtained by discovery or
   otherwise, admissions, or matters officially noticed, show that there is no
   genuine issue as to any material fact and that a party is otherwise entitled
   to summary decision. If it appears from the affidavits of a party opposing
   the motion that he cannot, for good cause shown, present by affidavit or
   otherwise facts essential to justify his opposition, the presiding officer
   may deny the motion, may order a continuance to permit affidavits to be
   obtained or discovery to be had, or make such other order as is just.

   (e) If all of the issues (or a dispositive issue) are determined on a motion
   for summary decision no hearing (or further hearing) will be held. The
   presiding officer will issue a Summary Decision, which is subject to appeal
   or review in the same manner as an Initial Decision. See §§1.271 through
   1.282. If some of the issues only (including no dispositive issue) are
   decided on a motion for summary decision, or if the motion is denied, the
   presiding officer will issue a memorandum opinion and order, interlocutory
   in character, and the hearing will proceed on the remaining issues. Appeal
   from interlocutory rulings is governed 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 appropriate for summary decision, and may
   take such other measures as are necessary to prevent any unwarranted delay.

   (1) Should it appear to the satisfaction of the presiding officer that a
   motion for summary decision has been presented in bad faith or solely for
   the purpose of delay, or that such a motion is patently frivolous, he will
   enter a determination to that effect upon the record.

   (2) If, on making such determination, the presiding officer concludes that
   the facts warrant disciplinary action against an attorney, he will certify
   the matter to the Commission with his findings and recommendations, for
   consideration 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 Commission, with his findings
   and recommendations, for a determination as to whether the facts warrant
   addition of an issue as to the character qualifications of that party.

   [ 37 FR 7507 , Apr. 15, 1972, as amended at  42 FR 56508 , Oct. 26, 1977]

§ 1.253   Time and place of hearing.

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   (a) The Commission will specify the day on which and the place at which any
   hearing is to commence.

   (b) The presiding officer will specify the days on which subsequent hearing
   sessions are to be held.

   (c)  If  the Commission specifies that a hearing is to commence in the
   District of Columbia, it shall be moved therefrom only by order of the
   Commission.

   (d) If the Commission specifies that a hearing is to commence at a field
   location, all appropriate proceedings will be completed at such location
   before the hearing is moved therefrom. When such proceedings are completed,
   the presiding officer may move the hearing from the field location specified
   to another appropriate field location or to the District of Columbia.

§ 1.254   Nature of the hearing; burden of proof.

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   Any  hearing  upon an application shall be a full hearing in which the
   applicant  and  all  other  parties  in interest shall be permitted to
   participate but in which both the burden of proceeding with the introduction
   of evidence upon any issue specified by the Commission, 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.

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   (a) At hearings on a formal complaint or petition or in a proceeding for any
   instrument of authorization which the Commission is empowered to issue, the
   complainant, petitioner, or applicant, as the case may be, shall, unless the
   Commission otherwise orders, open and close. At hearings on protests, the
   protestant opens and closes the proceedings in case the issues are not
   specifically adopted by the Commission; otherwise the grantee does so. At
   hearings on orders to show cause, to cease and desist, to revoke or modify a
   station license under sections 312 and 316 of the Communications Act, or
   other like proceedings instituted by the Commission, the Commission shall
   open and close.

   (b) At all hearings under Title II of the Communications Act, other than
   hearings on formal complaints, petitions, or applications, the respondent
   shall open and close unless otherwise specified by the Commission.

   (c) In all other cases, the Commission or presiding officer shall designate
   the order of presentation. Intervenors shall follow the party in whose
   behalf intervention is made, and in all cases where the intervention is not
   in support of an original party, the Commission or presiding officer shall
   designate at what stage such intervenors shall be heard.

   [ 28 FR 12425 , Nov. 22, 1963, as amended at  33 FR 463 , Jan. 12, 1968]

§ 1.258   Closing of the hearing.

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   The record of hearing shall be closed by an announcement to that effect at
   the hearing by the presiding officer when the taking of testimony has been
   concluded. In the discretion of the presiding officer, the record may be
   closed as of a future specified date in order to permit the admission into
   the  record  of  exhibits to be prepared: Provided, The parties to the
   proceeding  stipulate on the record that they waive the opportunity to
   cross-examine or present evidence with respect to such exhibits. The record
   in any hearing which has been adjourned may not be closed by such officer
   prior to the day on which the hearing is to resume, except upon 10 days'
   notice to all parties to the proceeding.

§ 1.260   Certification of transcript.

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   After  the close of the hearing, the complete transcript of testimony,
   together  with  all exhibits, shall be certified as to identity by the
   presiding officer and filed in the Office of the Secretary. Notice of such
   certification shall be served on all parties to the proceedings.

   [ 71 FR 15618 , Mar. 29, 2006]

§ 1.261   Corrections to transcript.

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   At any time during the course of the proceeding, or as directed by the
   presiding officer, but not later than 10 days after the date of notice of
   certification of the transcript, any party to the proceeding may file with
   the presiding officer a motion requesting the correction of the transcript,
   which motion shall be accompanied by proof of service thereof upon all other
   parties to the proceeding. Within 5 days after the filing of such a motion,
   other parties may file a pleading in support of or in opposition to such
   motion. Thereafter, the presiding officer shall, by order, specify the
   corrections to be made in the transcript, and a copy of the order shall be
   served  upon  all parties and made a part of the record. The presiding
   officer, on his own initiative, may specify corrections to be made in the
   transcript on 5 days' notice.

   [ 40 FR 51441 , Nov. 5, 1975]

§ 1.263   Proposed findings and conclusions.

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   (a) Each party to the proceeding may file proposed findings of fact and
   conclusions,  briefs, or memoranda of law: Provided, however, That the
   presiding officer may direct any party other than Commission counsel to file
   proposed findings of fact and conclusions, briefs, or memoranda of law. Such
   proposed findings of fact, conclusions, briefs, and memoranda of law shall
   be filed within 20 days after the record is closed, unless additional time
   is allowed.

   (b) All pleadings and other papers filed pursuant to this section shall be
   accompanied  by proof of service thereof upon all other counsel in the
   proceeding; if a party is not represented by counsel, proof of service upon
   such party shall be made.

   (c) In the absence of a showing of good cause therefor, the failure to file
   proposed findings of fact, conclusions, briefs, or memoranda of law, when
   directed  to do so, may be deemed a waiver of the right to participate
   further in the proceeding.

   (5 U.S.C. 557)

§ 1.264   Contents of findings of fact and conclusions.

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   Proposed findings of fact shall be set forth in serially numbered paragraphs
   and shall set out in detail and with particularity all basic evidentiary
   facts developed on the record (with appropriate citations to the transcript
   of record or exhibit relied on for each evidentiary fact) supporting the
   conclusions proposed by the party filing same. Proposed conclusions shall be
   separately stated. Proposed findings of fact and conclusions submitted by a
   person other than an applicant may be limited to those issues in connection
   with the hearing which affect the interests of such person.

   (5 U.S.C. 557)

§ 1.267   Initial and recommended decisions.

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   (a) Except as provided in this paragraph, in §§1.94, 1.251 and 1.274, or
   where the proceeding is terminated on motion (see §1.302), the presiding
   officer shall prepare an initial (or recommended) decision, which shall be
   transmitted to the Secretary of the Commission. In the case of rate making
   proceedings conducted under sections 201–205 of the Communications Act, the
   presumption shall be that the presiding officer shall prepare an initial or
   recommended  decision.  The  Secretary  will  make the decision public
   immediately and file it in the docket of the case.

   (b) Each initial and recommended decision shall contain findings of fact and
   conclusions, as well as the reasons or basis therefor, upon all the material
   issues of fact, law, or discretion presented on the record; each initial
   decision shall also contain the appropriate rule or order, and the sanction,
   relief  or denial thereof; and each recommended decision shall contain
   recommendations as to what disposition of the case should be made by the
   Commission. Each initial decision will show the date upon which it will
   become effective in accordance with the rules in this part in the absence of
   exceptions, appeal, or review.

   (c) The authority of the Presiding Officer over the proceedings shall cease
   when he has filed his Initial or Recommended Decision, or if it is a case in
   which  he  is  to file no decision, when he has certified the case for
   decision: Provided, however, That he shall retain limited jurisdiction over
   the proceeding for the purpose of effecting certification of the transcript
   and  corrections  to the transcript, as provided in §§1.260 and 1.261,
   respectively, and for the purpose of ruling initially on applications for
   awards of fees and expenses under the Equal Access to Justice Act.

   (Sec. 409, 48 Stat. 1096, as amended; 47 U.S.C. 409, 5 U.S.C. 557; secs. 4,
   303, 307, 48 Stat., as amended, 1066, 1082, 1083: 47 U.S.C. 154, 303, 307)

   [ 28 FR 12425 , Nov. 22, 1963, as amended at  41 FR 14873 , Apr. 8, 1976;  47 FR 3786 , Jan. 27, 1982]

Review Proceedings

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§ 1.271   Delegation of review function.

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   The Commission may direct, by order or rule, that its review function in a
   case or category of cases be performed by a commissioner, or a panel of
   commissioners, in which event the commissioner or panel shall exercise the
   authority  and  perform  the functions which would otherwise have been
   performed by the Commission under §§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 recommended decision.

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   At the conclusion of the hearing or within 20 days thereafter, all parties
   to the proceeding may agree to waive an initial or recommended decision, and
   may request that the Commission issue a final decision or order in the case.
   If the Commission has directed that its review function in the case be
   performed by a commissioner, a panel of commissioners, the request shall be
   directed to the appropriate review authority. The Commission or such review
   authority may in its discretion grant the request, in whole or in part, if
   such action will best conduce to the proper dispatch of business and to the
   ends of justice.

   [ 28 FR 12425 , Nov. 22, 1963, as amended at  62 FR 4171 , Jan. 29, 1997]

§ 1.274   Certification of the record to the Commission for initial or final
decision.

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   (a) Where the presiding officer is available to the Commission, and where
   the Commission finds upon the record that due and timely execution of its
   functions imperatively and unavoidably so requires, the Commission may
   direct  that the record in a pending proceeding be certified to it for
   initial or final decision. Unless the Commission finds that due and timely
   execution of its functions imperatively and unavoidably requires that no
   recommended decision be issued, the presiding officer will prepare and file
   a recommended decision, which will be released with the Commission's initial
   or final decision.

   (b) Where the presiding officer becomes unavailable to the Commission after
   the taking of testimony has been concluded, the Commission may direct that
   the record in a pending proceeding be certified to it for initial or final
   decision. In that event, the record shall be certified to the Commission by
   the Chief Administrative Law Judge.

   (c)(1) Where the presiding officer becomes unavailable to the Commission
   after the taking of evidence has commenced but before it has been concluded,
   the  Commission may order a rehearing before another presiding officer
   designated in accordance with §1.241.

   (2)  Upon  a  finding  that  due and timely execution of its functions
   imperatively  and  unavoidably  so requires, the Commission may (as an
   alternative)  order that the hearing be continued by another presiding
   officer designated in accordance with §1.241 or by the Commission itself. In
   that event, the officer continuing the hearing shall, upon completion of the
   hearing, certify the proceeding to the Commission for an initial or final
   decision. Unless the Commission finds upon the record that due and timely
   execution of its functions imperatively and unavoidably requires that no
   recommended decision be issued, the officer continuing the hearing shall
   prepare and file a recommended decision to be released with the Commission's
   initial or final decision. If all the parties expressly consent, and if the
   Commission does not order otherwise, the officer continuing the hearing may
   prepare an initial decision.

   (Sec. 409, 48 Stat. 1096, as amended; 47 U.S.C. 409)

§ 1.276   Appeal and review of initial decision.

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   (a)(1) Within 30 days after the date on which public release of the full
   text of an initial decision is made, or such other time as the Commission
   may specify, any of the parties may appeal to the Commission by filing
   exceptions to the initial decision, and such decision shall not become
   effective and shall then be reviewed by the Commission, whether or not such
   exceptions may thereafter be withdrawn. It is the Commission's policy that
   extensions of time for filing exceptions shall not be routinely granted.

   (2) Exceptions shall be consolidated with the argument in a supporting brief
   and shall not be submitted separately. As used in this subpart, the term
   exceptions means the document consolidating the exceptions and supporting
   brief. The brief shall contain (i) a table of contents, (ii) a table of
   citations, (iii) a concise statement of the case, (iv) a statement of the
   questions of law presented, and (v) the argument, presenting clearly the
   points of fact and law relied upon in support of the position taken on each
   question, with specific reference to the record and all legal or other
   materials relied on.

   (b) The Commission may on its own initiative provide, by order adopted not
   later than 20 days after the time for filing exceptions expires, that an
   initial  decision shall not become final, and that it shall be further
   reviewed or considered by the Commission.

   (c)  In  any case in which an initial decision is subject to review in
   accordance with paragraph (a) or (b) of this section, the Commission may, on
   its own initiative or upon appropriate requests by a party, take any one or
   more of the following actions:

   (1) Hear oral argument on the exceptions;

   (2) Require the filing of briefs;

   (3) Prior to or after oral argument or the filing of exceptions or briefs,
   reopen the record and/or remand the proceedings to the presiding officer to
   take further testimony or evidence;

   (4) Prior to or after oral argument or the filing of exceptions or briefs,
   remand the proceedings to the presiding officer to make further findings or
   conclusions; and

   (5) Prior to or after oral argument or the filing of exceptions or briefs,
   issue,  or cause to be issued by the presiding officer, a supplemental
   initial decision.

   (d) No initial decision shall become effective before 50 days after public
   release of the full text thereof is made unless otherwise ordered by the
   Commission.  The  timely  filing  of exceptions, the further review or
   consideration of an initial decision on the Commission's initiative, or the
   taking of action by the Commission under paragraph (c) of this section shall
   stay the effectiveness of the initial decision until the Commission's review
   thereof has been completed. If the effective date of an initial decision
   falls within any further time allowed for the filing of exceptions, it shall
   be postponed automatically until 30 days after time for filing exceptions
   has expired.

   (e) If no exceptions are filed, and the Commission has not ordered the
   review of an initial decision on its initiative, or has not taken action
   under paragraph (c) of this section, the initial decision shall become
   effective, an appropriate notation to that effect shall be entered in the
   docket of the case, and a “Public Notice” thereof shall be given by the
   Commission. The provisions of §1.108 shall not apply to such public notices.

   (f) When any party fails to file exceptions within the specified time to an
   initial decision which proposes to deny its application, such party shall be
   deemed to have no interest in further prosecution of its application, and
   its application may be dismissed with prejudice for failure to prosecute.

   (Sec. 40, 48 Stat. 1096, as amended; 47 U.S.C. 409)

   [ 28 FR 12425 , Nov. 22, 1963, as amended at  41 FR 14873 , Apr. 8, 1976]

§ 1.277   Exceptions; oral arguments.

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   (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 errors in the decision or
   ruling and shall contain specific references to the page or pages of the
   transcript of hearing, exhibit or order if any on which the exception is
   based. Any objection not saved by exception filed pursuant to this section
   is waived.

   (b)  Within  the period of time allowed 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; however, all other contents of and
   attachments to the brief are counted.) Within 10 days, or such other time as
   the Commission or delegated authority may specify, after the time for filing
   exceptions has expired, any other party may file a reply brief, which shall
   not exceed 25 double spaced typewritten pages and shall contain a table of
   contents and a table of citations. If exceptions have been filed, any party
   may request oral argument not later than five days after the time for filing
   replies  to  the  exceptions  has expired. The Commission or delegated
   authority, in its discretion, will grant oral argument by order only in
   cases where such oral presentations will assist in the resolution of the
   issues presented. Within five days after release of an order designating an
   initial decision for oral argument, as provided in paragraph (d) of this
   section, any party who wishes to participate in oral argument shall file a
   written notice of intention to appear and participate in oral argument.
   Failure  to  file  a  written  notice shall constitute a waiver of the
   opportunity to participate.

   (d)  Each  order  scheduling a case for oral argument will contain the
   allotment of time for each party for oral argument before the Commission.
   The Commission will grant, in its discretion, upon good cause shown, an
   extension of such time upon petition by a party, which petition must be
   filed within 5 days after issuance of said order for oral argument.

   (e) Within 10 days after a transcript of oral argument has been filed in the
   Office of the Secretary, any party who participated in the oral argument may
   file with the Commission a motion requesting correction of the transcript,
   which motion shall be accompanied by proof of service thereof upon all other
   parties who participated in the oral argument. Within 5 days after the
   filing of such a motion, other parties may file a pleading in support of or
   in opposition to such motion. Thereafter, the officer who presided at the
   oral argument shall, by order, specify the corrections to be made in the
   transcript, and a copy of the order shall be served upon all parties to the
   proceeding. The officer who presided at the oral argument may, on his own
   initiative, by order, specify corrections to be made in the transcript on 5
   days notice of the proposed corrections to all parties who participated in
   the oral argument.

   (f)  Any  commissioner  who is not present at oral argument and who is
   otherwise authorized to participate in a final decision may participate in
   making that decision after reading the transcript of oral argument.

   (Sec. 409, 48 Stat. 1096, as amended; 47 U.S.C. 409)

   [ 28 FR 12425 , Nov. 22, 1963, as amended at  41 FR 14873 , Apr. 8, 1976;  41 FR 34259 , Aug. 13, 1976;  44 FR 12426 , Mar. 7, 1979;  56 FR 793 , Jan. 9, 1991;  62 FR 4171 , Jan. 29, 1997;  71 FR 15618 , Mar. 29, 2006]

§ 1.279   Limitation of matters to be reviewed.

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   Upon review of any initial decision, the Commission may, in its discretion,
   limit the issues to be reviewed to those findings and conclusions to which
   exceptions have been filed, or to those findings and conclusions specified
   in the Commission's order of review issued pursuant to §1.276(b).

§ 1.282   Final decision of the Commission.

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   (a) After opportunity has been afforded for the filing of proposed findings
   of fact and conclusions, exceptions, supporting statements, briefs, and for
   the holding of oral argument as provided in this subpart, the Commission
   will issue a final decision in each case in which an initial decision has
   not become final.

   (b) The final decision shall contain:

   (1)  Findings of fact and conclusions, as well as the reasons or basis
   therefor, upon all the material issues of fact, law or discretion presented
   on the record;

   (2) Rulings on each relevant and material exception filed; the Commission
   will  deny irrelevant exceptions, or those which are not of decisional
   significance,  without  a  specific statement of reasons prescribed by
   paragraph (b)(1) of this section; and

   (3) The appropriate rule or 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

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§ 1.291   General provisions.

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   (a)(1) The Commission acts on petitions to amend, modify, enlarge or delete
   the  issues  in  hearing proceedings which involve rule making matters
   exclusively. It also acts on interlocutory pleadings filed in matters or
   proceedings which are before the Commission.

   (2) The Chief Administrative Law Judge acts on those interlocutory matters
   listed 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 interlocutory pleadings are set forth in
   §§1.294–1.298.

   (2) Rules governing appeal from, and reconsideration of, interlocutory
   rulings made by the presiding officer are set forth in §§1.301 and 1.303.

   (3) Rules governing the review of interlocutory 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 Administrative Law Judge will not be
   entertained. See, however, §1.113.

   (d) No initial decision shall become effective under §1.276(e) until all
   interlocutory matters pending before the Commission in the proceeding at the
   time the initial decision is issued have been disposed of and the time
   allowed for appeal from interlocutory rulings of the presiding officer has
   expired.

   (Secs.  4(i), 303(r) and 5(c)(1) of the Communications Act of 1934, as
   amended; 47 CFR 0.61 and 0.283)

   [ 29 FR 6443 , May 16, 1964, as amended at  29 FR 12773 , Sept. 10, 1964;  37 FR 19372 , Sept. 20, 1972;  41 FR 14873 , Apr. 8, 1976;  49 FR 4381 , Feb. 6, 1984;
    62 FR 4171 , Jan. 29, 1997]

§ 1.294   Oppositions and replies.

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   (a)  Any party to a hearing may file an opposition to an interlocutory
   request filed in that proceeding.

   (b) Except as provided in paragraph (c) of this section, oppositions shall
   be filed within 4 days after the original pleading is filed, and replies to
   oppositions will not be entertained. See, however, §1.732.

   (c) Oppositions to pleadings in the following categories shall be filed
   within 10 days after the pleading is filed. Replies to such oppositions
   shall be filed within 5 days after the opposition is filed, and shall be
   limited to matters raised in the opposition.

   (1) Petitions to amend, modify, enlarge, or delete the issues upon which the
   hearing was ordered.

   (2) [Reserved]

   (3) Petitions by adverse parties requesting dismissal of an application.

   (4) Joint requests for approval of agreements filed pursuant to §1.525.

   (d) Additional pleadings may be filed only if specifically requested or
   authorized by the person(s) who is to make the ruling.

   [ 29 FR 6444 , May 16, 1964, as amended at  39 FR 10909 , Mar. 22, 1974]

§ 1.296   Service.

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   No pleading filed pursuant to §1.51 or §1.294 will be considered unless it
   is accompanied by proof of service upon the parties to the proceeding.

   (Secs.  4(i), 303(r) and 5(c)(1) of the Communications Act of 1934, as
   amended; 47 CFR 0.61 and 0.283)

   [ 49 FR 4381 , Feb. 6, 1984, as amended at  62 FR 4171 , Jan. 29, 1997]

§ 1.297   Oral argument.

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   Oral argument with respect to any contested interlocutory matter will be
   held when, in the opinion of the person(s) who is to make the ruling, the
   ends of justice will be best served thereby. Timely notice will be given of
   the date, time, and place of any such oral argument.

   [ 29 FR 6444 , May 16, 1964]

§ 1.298   Rulings; time for action.

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   (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, consideration of interlocutory
   requests  will  be withheld until the time for filing oppositions (and
   replies, if replies are allowed) has expired. As a matter of discretion,
   however, requests for continuances and extensions of time, requests for
   permission to file pleadings in excess of the length prescribed in this
   chapter,  and requests for temporary relief may be ruled upon ex parte
   without waiting for the filing of responsive pleadings.

   (b) In the discretion of the presiding officer, rulings on interlocutory
   matters may be made orally at the hearing. The presiding officer may, in his
   discretion, state his reasons on the record or subsequently issue a written
   statement of the reasons for his ruling, either separately or as part of the
   initial decision.

   [ 28 FR 12425 , Nov. 22, 1963, as amended at  29 FR 6444 , May 16, 1964;  41 FR 14874 , Apr. 8, 1976]

Appeal and Reconsideration of Presiding Officer's Ruling

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§ 1.301   Appeal from presiding officer's interlocutory ruling; effective date
of ruling.

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   (a) Interlocutory rulings which are appealable as a matter of right. Rulings
   listed in this paragraph are appealable as a matter of right. An appeal from
   such a ruling may not be deferred and raised as an exception to the initial
   decision.

   (1) If the presiding officer's ruling denies or terminates the right of any
   person to participate as a party to a hearing proceeding, such person, as a
   matter of right, may file an appeal from that ruling.

   (2) If the presiding officer's ruling requires testimony or the production
   of documents, over objection based on a claim of privilege, the ruling on
   the claim of privilege is appealable as a matter of right.

   (3) If the presiding officer's ruling denies a motion to disqualify the
   presiding judge, the ruling is appealable as a matter of right.

   (4) Rulings granting a joint request filed 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 by his client. (In the event of such
   ruling, the presiding officer will adjourn the hearing for such period as is
   reasonably necessary for the client to secure new counsel and for counsel to
   familiarize himself with the case).

   (b) Other interlocutory rulings. Except as provided in paragraph (a) of this
   section, appeals from interlocutory rulings of the presiding officer shall
   be filed only if allowed by the presiding officer. Any party desiring to
   file an appeal shall first file a request for permission to file appeal. The
   request shall be filed within 5 days after the order is released or (if no
   written order) after the ruling is made. Pleadings responsive to the request
   shall be filed only if they are requested by the presiding officer. The
   request shall contain a showing that the appeal presents a new or novel
   question of law or policy and that the ruling is such that error would be
   likely to require remand should the appeal be deferred and raised as an
   exception. The presiding officer shall determine whether the showing is such
   as  to  justify  an  interlocutory  appeal and, in accordance with his
   determination,  will either allow or disallow the appeal or modify the
   ruling. If the presiding officer allows or disallows the appeal, his ruling
   is final: Provided, however, That the Commission may, on its own motion,
   dismiss  an appeal allowed by the presiding officer on the ground that
   objection to the ruling should be deferred and raised as an exception. In
   the discretion of the presiding officer, the request for permission to file
   appeal may be made orally, on the record of the proceeding. The request may
   be disposed of orally.

   (1) If an appeal is not allowed, or is dismissed by the Commission, or if
   permission to file an appeal is not requested, objection to the ruling may
   be raised on review of the initial decision.

   (2) If an appeal is allowed and is considered on its merits, the disposition
   on appeal is final. Objection to the ruling or to the action on appeal may
   not be raised on review of the initial decision.

   (3)  If the presiding officer modifies the ruling, any party adversely
   affected by the modified ruling may file a request for permission to file
   appeal, pursuant to the provisions of this paragraph.

   (c) Procedures, effective date. (1) Unless the presiding officer orders
   otherwise, rulings made by him shall be effective when the order is released
   or (if no written order) when the ruling is made. The Commission may stay
   the effect of any ruling which comes before it for consideration on appeal.

   (2) Appeals filed under paragraph (a) of this section shall be filed within
   5 days after the order is released or (if no written order) after the ruling
   is made. Appeals filed under paragraph (b) of this section shall be filed
   within 5 days after the appeal is allowed.

   (3) The appeal shall conform with the specifications set out in §1.49 and
   shall be subscribed and verified as provided in §1.52.

   (4) The appeal shall be served on parties to the proceeding (see §§1.47 and
   1.211),  and shall be filed with the Secretary, Federal Communications
   Commission, Washington, D.C. 20554.

   (5) The appeal shall not exceed 5 double-spaced typewritten pages.

   (6) Appeals are acted on by the Commission.

   (7) Oppositions and replies shall be served and filed in the same manner as
   appeals  and  shall be served on appellant if he is not a party to the
   proceeding. Oppositions shall be filed within 5 days after the appeal is
   filed. Replies shall not be permitted, unless the Commission specifically
   requests them. Oppositions shall not exceed 5 double-spaced typewritten
   pages. Replies shall not exceed 5 double-spaced typewritten pages.

   (Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154,
   303, 307)

   [ 35 FR 17333 , Nov. 11, 1970, as amended at  40 FR 39509 , Aug. 28, 1975;  41 FR 14874 , Apr. 8, 1976;  41 FR 28789 , July 13, 1976;  46 FR 58682 , Dec. 3, 1981;
    55 FR 36641 , Sept. 6, 1990;  62 FR 4171 , Jan. 29, 1997]

§ 1.302   Appeal from presiding officer's final ruling; effective date of
ruling.

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   (a) If the presiding officer's ruling terminates a hearing proceeding, any
   party to the proceeding, as a matter of right, may file an appeal from that
   ruling within 30 days after the ruling is released.

   (b) Any party who desires to preserve the right to appeal shall file a
   notice of appeal within 10 days after the ruling is released. If a notice of
   appeal is not filed within 10 days, the ruling shall be effective 30 days
   after the ruling is released and within this period, may be reviewed by the
   Commission on its own motion. If an appeal is not filed following notice of
   appeal, the ruling shall be effective 50 days after the day of its release
   and,  within this period, may be reviewed by the Commission on its own
   motion. If an appeal is filed, or if the Commission reviews the ruling on
   its own motion, the effect of the ruling is further stayed pending the
   completion of proceedings on appeal or review.

   (c) The appeal shall conform with the specifications set out in §1.49 and
   shall be subscribed and verified as provided in §1.52.

   (d) The appeal shall be served on parties to the proceeding (see §§1.47 and
   1.211),  and shall be filed with the Secretary, Federal Communications
   Commission, Washington, D.C. 20554.

   (e) The appeal shall not exceed 25 double-spaced typewritten pages.

   (f) The Commission will act on the appeal.

   (g) Oppositions and replies shall be filed and served in the same manner as
   the appeal. Oppositions to an appeal shall be filed within 15 days after the
   appeal is filed. Replies to oppositions shall be filed within 10 days after
   the  opposition is filed and shall be limited to matters raised in the
   oppositions. Oppositions shall not exceed 25 double-spaced typewritten
   pages. Replies shall not exceed 10 double-spaced typewritten pages.

   [ 35 FR 17333 , Nov. 11, 1970, as amended at  36 FR 7423 , Apr. 20, 1971;  62 FR 4171 , Jan. 29, 1997]

The Discovery and Preservation of Evidence

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   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.

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   Sections 1.311 through 1.325 provide for taking the deposition of any person
   (including a party), for interrogatories to parties, and for orders to
   parties relating to the production of documents and things and for entry
   upon  real property. These procedures may be used for the discovery of
   relevant facts, for the production and preservation of evidence for use at
   the hearing, or for both purposes.

   (a) Applicability. For purposes of discovery, these proecdures may be used
   in any case of adjudication (as defined in the Administrative Procedure Act)
   which has been designated for hearing. For the preservation of evidence,
   they may be used in any case which has been designated for hearing and is
   conducted under the provisions of this subpart (see §1.201).

   (b) Scope of examination. Persons and parties may be examined regarding any
   matter, not privileged, which is relevant to the hearing issues, including
   the existence, description, nature, custody, condition and location of any
   books, documents, or other tangible things and the identity and location of
   persons having knowledge of relevant facts. It is not ground for objection
   to use of these procedures that the testimony will be inadmissible at the
   hearing if the testimony sought appears reasonably calculated to lead to the
   discovery of admissible evidence. The use of these procedures against the
   Commission is subject to the following additional limitations:

   (1) The informer's privilege shall encompass information which may lead to
   the disclosure of an informer's identity.

   (2)  Commission  personnel may not be questioned by deposition for the
   purposes of discovery except on special order of the Commission, but may be
   questioned by written interrogatories 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 proceeding.

   (3)  Commission records are not subject to discovery under §1.325. The
   inspection of Commission records is governed by the Freedom of Information
   Act, as amended, and by §§0.451 through 0.467 of this chapter. Commission
   employees  may  be questioned by written interrogatories regarding the
   existence,  nature,  description,  custody,  condition and location of
   Commission records, but may not be questioned concerning their contents
   unless the records are available (or are made available) for inspection
   under §§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, custody, condition and location of
   relevant documents and things and regarding the identity and location of
   persons  having knowledge of relevant facts, and may otherwise only be
   examined regarding facts of the case as to which they have direct personal
   knowledge.

   (c)  Schedule  for use of the procedures. (1) In comparative broadcast
   proceedings  involving  applicants  for only new facilities, discovery
   commences with the release of the hearing designation order, and, in routine
   cases, the discovery phase of the proceeding will be conducted in a manner
   intended to conclude that portion of the case within 90 days of the release
   of the designation order.

   (2) In all other proceedings, except as provided by special order of the
   presiding officer, discovery may be initiated before or after the prehearing
   conference provided for in §1.248 of this part.

   (3) In all proceedings, the presiding officer may at any time order the
   parties or their attorneys to appear at a conference to consider the proper
   use of these procedures, the time to be allowed for such use, and/or to hear
   agrument and render a ruling on disputes 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 designated to preside at the hearing
   (see §1.241). If the proceeding, or a particular matter to which the action
   relates, is before the Commission, a commissioner or panel of commissioners,
   or the Chief Administrative Law Judge, the action will be taken by such
   officer or body. The term presiding officer, as used in §§1.311 through
   1.325 shall be understood to refer to the appropriate 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 stipulate in writing and if there is no interference to the conduct of
   the proceeding, depositions may be taken before any person, at any time
   (subject to the limitation below) or place, upon any notice and in any
   manner, and when so taken may be used like other depositions. An original
   and one copy of the stipulation shall be filed with the Secretary of the
   Commission, and a copy of the stipulation shall be served on the presiding
   officer, at least 3 days before the scheduled taking of the deposition.

   [ 33 FR 463 , Jan. 12, 1968, as amended at  40 FR 39509 , Aug. 28, 1975;  47 FR 51873 , Nov. 18, 1982;  56 FR 794 , Jan. 9, 1991;  62 FR 4171 , Jan. 29, 1997]

§ 1.313   Protective orders.

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   The use of the procedures set forth in §§1.311 through 1.325 of this part is
   subject  to  control by the presiding officer, who may issue any order
   consistent with the provisions of those sections which is appropriate and
   just for the purpose of protecting parties and deponents or of providing for
   the proper conduct of the proceeding. Whenever doing so would be conducive
   to the efficient and expeditious conduct of the proceeding, the presiding
   officer may convene a conference to hear argument and issue a ruling on any
   disputes that may arise under these rules. The ruling, whether written or
   delivered on the record at a conference, may specify any measures, including
   the following to assure proper conduct of the proceeding or to protect any
   party or deponent from annoyance, expense, 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, or
   before an officer, other than that stated in the notice.

   (e) That depositions may be taken only by written interrogatories or only
   upon oral examination.

   (f) That, after being sealed, the deposition shall be opened only by order
   of the presiding officer.

   [ 33 FR 463 , Jan. 12, 1968, as amended at  56 FR 794 , Jan. 9, 1991]

§ 1.315   Depositions upon oral examination—notice and preliminary procedure.

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   (a) Notice. A party to a hearing proceeding desiring to take the deposition
   of any person upon oral examination shall give a minimum of 21 days notice
   in writing to every other party, to the person to be examined, and to the
   presiding officer. An original and three copies of the notice shall be filed
   with the Secretary of the Commission. Related pleadings shall be served and
   filed  in  the  same  manner.  The  notice shall contain the following
   information:

   (1) The name and address of each person to be examined, if known, and if the
   name is not known, a general description sufficient to identify him or the
   particular class or group to which he belongs.

   (2)  The time and place for taking the deposition of each person to be
   examined, and the name or descriptive title and address of the officer
   before whom the deposition is to be taken.

   (3) The matters upon which each person will be examined. See §1.319.

   (b) Responsive pleadings. (1) Within 7 days after service of the notice to
   take depositions, a motion opposing the taking of depositions may be filed
   by  any  party  to the proceeding or by the person to be examined. 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 provisions 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 presiding 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
   within 7 days after service of the notice to take depositions, and if the
   presiding officer does not on his own motion issue a protective order prior
   to the time specified in the notice for the taking of depositions, the
   depositions described in the notice may be taken. An order for the taking of
   depositions is not required.

   (2) If an opposition motion is filed, the depositions described in the
   notice shall not be taken until the presiding officer has acted on that
   motion. If the presiding officer authorizes the taking of depositions, he
   may specify a time, place or officer for taking them different from that
   specified in the notice to take depositions.

   (3) If the presiding officer issues a protective order, the depositions
   described in the notice may be taken (if at all) only in accordance with the
   provisions of that order.

   (e) Broadcast comparative proceedings involving applicants for only new
   facilities. In these cases, the 21-day advance notice provision of paragraph
   (a) of this section shall be inapplicable to depositions of active and
   passive owners of applicants in the proceeding. All applicants in such
   proceedings should be prepared to make their active and passive owners
   available for depositions during the period commencing with the deadline for
   filing notices of appearance and ending 90 days after the release of the
   designation order, if such depositions are requested by a party to the
   proceeding. All such depositions will be conducted in Washington, DC or in
   the community of license of the proposed station, at the deponent's option,
   unless all parties agree to some other location.

   [ 33 FR 10571 , July 25, 1968, as amended at  56 FR 794 , Jan. 9, 1991]

§ 1.316   Depositions upon written interrogatories—notice and preliminary
procedure.

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   (a) Service of interrogatories; notice. A party to the hearing proceeding
   desiring to take the deposition of any person upon written interrogatories
   shall serve the interrogatories upon every other party and shall give a
   minimum of 35 days notice in writing to every other party and to the person
   to be examined. An original and three copies of the interrogatories and the
   notice (and of all related pleadings) shall be filed with the Secretary of
   the Commission. A copy of the interrogatories and the notice (and of all
   related pleadings) shall be served on the presiding officer. The notice
   shall contain the following information:

   (1) The name and address of each person to be examined, if known, and if the
   name is not known, a general description sufficient to identify him or the
   particular class or group to which he belongs.

   (2)  The time and place for taking the deposition of each person to be
   examined, and the name or descriptive title and address of the officer
   before whom the deposition is to be taken.

   (3) The matters upon which each person will be examined. 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 additional matters upon which he will be examined.

   (c) Cross interrogatories. Within 14 days after the filing and service of
   the original interrogatories, any party to the proceeding may, in the same
   manner, file and serve cross interrogatories, which shall be limited to
   matters raised in the original or in the additional interrogatories.

   (d) Responsive pleadings. (1) Within 21 days after service of the original
   interrogatories, any party to the proceeding may move to limit or suppress
   any  original, additional or cross interrogatory, and the person to be
   examined  may  file  a  motion opposing the taking of depositions. See
   §1.319(a).

   (2) Within 28 days after service of the original interrogatories, a response
   to a motion to limit or suppress any interrogatory or to a motion opposing
   the taking of depositions may be filed by any party to the proceeding.

   (3) Additional pleadings should not be filed and will not be considered.

   (e) Protective order. On a motion to limit or suppress or an opposition
   motion filed under paragraph (d) of this section, or on his own motion, the
   presiding officer may issue a protective order. See §1.313. A protective
   order issued by the presiding officer on his own motion may be issued at any
   time  prior  to  the  date  specified  in the notice for the taking of
   depositions.

   (f) Authority to take depositions. (1) If an opposition motion is not filed
   within 21 days after service of the notice to take depositions, and if the
   presiding officer does not on his own motion issue a protective order prior
   to the time specified in the notice for the taking of depositions, the
   depositions described in the notice may be taken. An order for the taking of
   depositions is not required.

   (2) If an opposition motion is filed, the depositions described in the
   notice shall not be taken until the presiding officer has acted on that
   motion. If the presiding officer authorizes the taking of depositions, he
   may specify a time, place or officer for taking them different from that
   specified in the notice to take depositions.

   (3) If the presiding officer issues a protective order, the depositions
   described in the notice may be taken (if at all) only in accordance with the
   provisions of that order.

   Note: The computation of time provisions 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.

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   (a) Persons before whom depositions may be taken. Depositions shall be taken
   before any judge of any court of the United States; any U.S. Commissioner;
   any clerk of a district court; any chancellor, justice or judge of a supreme
   or superior court; the mayor or chief magistrate of a city; any judge of a
   county court, or court of common pleas of any of the United States; any
   notary public, not being of counsel or attorney to any party, nor interested
   in  the event of the proceeding; or presiding officers, as provided in
   §1.243.

   (b) Attendance of witnesses. The attendance of witnesses at the taking of
   depositions may be compelled by the use of subpena as provided in §§1.331
   through 1.340.

   (c) Oath; transcript. The officer before whom the deposition is to be taken
   shall administer an oath or affirmation to the witness and shall personally,
   or by someone acting under his direction and in his presence record the
   testimony of the witness. The testimony may be taken stenographically or,
   upon approval by the presiding officer, testimony may be taken through the
   use  of  telephonically  or electronically recorded methods, including
   videotape. In the event these latter methods are used for the deposition,
   the parties may agree to the waiver of the provisions of paragraphs (e) and
   (f) as appropriate and as approved by the presiding officer.

   (d) Examination. (1) In the taking of depositions upon oral examination, the
   parties may proceed with examination and cross-examination of deponents as
   permitted at the hearing. In lieu of participating in the oral examination,
   parties served with the notice to take depositions may transmit written
   interrogatories to the officer designated in the notice, who shall propound
   them to the witness and record the answers verbatim.

   (2) In the taking of depositions upon written interrogatories, the party who
   served  the  original  interrogatories  shall  transmit  copies of all
   interrogatories to the officer designated in the notice, who shall propound
   them to the witness and record the answers verbatim.

   (e)  Submission  of  deposition to witness; changes; signing. When the
   testimony is fully transcribed, the deposition of each witness shall be
   submitted to him for examination and shall be read to or by him, unless such
   examination and reading are waiver by the witness and by the parties. Any
   changes in form or substance which the witness desires to make shall be
   entered upon the deposition by the officer with a statement of the reasons
   given by the witness for making them. The deposition shall then be signed by
   the witness, unless the parties by stipulation waive the signing, or the
   witness is ill, cannot be found, or refuses to sign. If the deposition is
   not signed by the witness, the officer shall sign it and state on the record
   the fact of the waiver, the illness or absence of the witness, or of his
   refusal to sign, together with the reason (if any) given therefor; and the
   deposition may then be used as fully as though signed, unless upon a motion
   to suppress, the presiding officer holds that the reason given for the
   refusal to sign requires rejection of the deposition in whole or in part.

   (f) Certification of deposition and filing by officer; copies. The officer
   shall certify on the deposition that the witness was duly sworn by him, that
   the deposition is a true record of the testimony given by the witness, and
   that said officer is not of counsel or attorney to either of the parties,
   nor interested in the event of the proceeding or investigation. He shall
   then securely seal the deposition in an envelope endorsed with the title of
   the action and marked “Deposition of (here insert name of witness)” and
   shall promptly send the original and two copies of the deposition and of all
   exhibits, together with the notice and any interrogatories received by him,
   by certified mail to the Secretary of the Commission.

   [ 33 FR 463 , Jan. 12, 1968, as amended at  47 FR 51873 , Nov. 18, 1982]

§ 1.319   Objections to the taking of depositions.

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   (a) Objections to be made by motion prior to the taking of depositions. If
   there is objection to the substance of any interrogatory or to examination
   on  any  matter clearly covered by the notice to take depositions, the
   objection shall be made in a motion opposing the taking of depositions or in
   a motion to limit or suppress the interrogatory as provided in §§1.315(b)
   and 1.316(d) and shall not be made at the taking of the deposition.

   (b)  Objections  to  be  made at the taking of depositions. Errors and
   irregularities occurring at the oral examination in the manner of taking the
   deposition,  in  the  form of the questions or answers, in the oath or
   affirmation, or in the conduct of parties, and errors of any kind which
   might be obviated, removed, or cured if promptly presented, are waived
   unless reasonable objection thereto is made at the taking of the deposition.
   If  such objection is made, counsel shall, if possible, agree upon the
   measures required to obviate, remove, or cure such errors. The measures
   agreed upon shall be taken. If agreement cannot be reached, the objection
   shall be noted on the deposition by the officer taking it, and the testimony
   objected to shall be taken subject to the objection.

   (c) Additional objections which may be made at the taking of depositions.
   Objection  may  be  made at the taking of depositions on the ground of
   relevancy or privilege, if the notice to take depositions does not clearly
   indicate that the witness is to be examined on the matters to which the
   objection relates. See paragraph (a) of this section. Objection may also be
   made on the ground that the examination is being conducted in such manner as
   to unreasonably annoy, embarrass, or oppress a deponent or party.

   (1) When there is objection to a line of questioning, as permitted by this
   paragraph, counsel shall, if possible, reach agreement among themselves
   regarding the proper limits of the examination.

   (2) If counsel cannot agree on the proper limits of the examination the
   taking of depositions shall continue on matters not objected to and counsel
   shall, within 24 hours, either jointly or individually, telegraph statements
   of their positions to the presiding officer, together with the telephone
   numbers at which they and the officer taking the depositions can be reached,
   or shall otherwise jointly confer with the presiding officer. If individual
   statements  are  submitted,  copies  shall  be provided to all counsel
   participating in the taking of depositions.

   (3) The presiding officer shall promptly rule upon the question presented or
   take such other action as may be appropriate under §1.313, and shall give
   notice of his ruling, by telephone, to counsel who submitted statements and
   to  the  officer  taking  the depositions. The presiding officer shall
   thereafter reduce his ruling to writing.

   (4)  The  taking  of depositions shall continue in accordance with the
   presiding officer's ruling. Such rulings are not subject to appeal.

   [ 33 FR 463 , Jan. 12, 1968]

§ 1.321   Use of depositions at the hearing.

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   (a) No inference concerning the admissibility of a deposition in evidence
   shall  be  drawn  because  of  favorable  action on the notice to take
   depositions.

   (b) Except as provided in this paragraph and 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
   during  the  taking  of depositions if (and only if) the ground of the
   objection is one which might have been obviated or removed if presented at
   that time.

   (2) Objection on the ground of privilege is waived by failure to make it
   before or during the taking of depositions.

   (c) A party shall not be deemed to make a person his own witness for any
   purpose  by taking his deposition. The introduction in evidence of the
   deposition  or  any  part  thereof  for any purpose other than that of
   contradicting or impeaching the deponent makes the deponent the witness of
   the party introducing the deposition, but this shall not apply to the use by
   an adverse party of a deposition as described in paragraph (d)(2) of this
   section. At the hearing any party may rebut any relevant evidence contained
   in a deposition whether introduced by him or by any other party.

   (d) At the hearing (or in a pleading), any part or all of a deposition, so
   far  as  admissible,  may be used against any party who was present or
   represented at the taking of the deposition or who had due notice thereof,
   in accordance with any one of the following provisions:

   (1) Any deposition may be used by any party for the purpose of contradicting
   or impeaching the testimony of deponent as a witness.

   (2) The deposition of a party or of any one who at the time of taking the
   deposition  was an officer, director, or managing agent of a public or
   private corporation, partnership or association which is a party may be used
   by an adverse party for any purpose.

   (3) To the extent that the affirmative direct case of a party is made in
   writing pursuant to §1.248(d), the deposition of any witness, whether or not
   a party, may be used by any party for any purpose, provided the witness is
   made available for cross-examination. In all cases, the deposition of a
   witness, whether or not a party, may be used by any party for any purpose if
   the presiding officer finds: (i) That the witness is dead; or (ii) that the
   witness is out of the United States, unless it appears that the absence of
   the witness was procured by the party offering the deposition; or (iii) that
   the  witness  is unable to attend or testify because of age, sickness,
   infirmity, or imprisonment; or (iv) upon application and notice, that such
   exceptional circumstances exist as to make it desirable in the interest of
   justice and with due regard to the importance of presenting the testimony of
   witnesses orally in open hearing, to allow the deposition to be used.

   (4) If only part of a deposition is offered in evidence by a party, an
   adverse party may require him to introduce all of it which is relevant to
   the part introduced, and any party may introduce any other parts.

   (5) Substitution of parties does not affect the right to use depositions
   previously taken; and, when an action in any hearing has been dismissed and
   another  action involving the same subject matter is afterward brought
   between the same parties or their representatives or successors in interest,
   all depositions lawfully taken and duly filed in the former action may be
   used in the latter as if originally taken therefor.

   [ 33 FR 463 , Jan. 12, 1968, as amended at  41 FR 14874 , Apr. 8, 1976]

§ 1.323   Interrogatories to parties.

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   (a)  Interrogatories. Any party may serve upon any other party written
   interrogatories to be answered in writing by the party served or, if the
   party  served  is  a public or private corporation or a partnership or
   association, by any officer or agent, who shall furnish such information as
   is available to the party. A copy of the interrogatories shall be served
   upon all parties to the proceeding. An original and three copies of the
   interrogatories, answers, and all related pleadings shall be filed with the
   Secretary of the Commission. A copy of the interrogatories, answers and all
   related pleadings shall be served on the presiding officer.

   (1)  Except as otherwise provided in a protective order, the number of
   interrogatories or sets of interrogatories is not limited.

   (2) Except as provided in such an order, interrogatories may be served after
   a  deposition  has  been  taken,  and a deposition may be sought after
   interrogatories have been answered.

   (b) Answers and objections. Each interrogatory shall be answered separately
   and fully in writing under oath or affirmation, unless it is objected to, in
   which event the reasons for objection shall be stated in lieu of an answer.
   The answers shall be signed by the person making them, and the objections by
   the attorney making them. The party upon whom the interrogatories were
   served shall serve a copy of the answers and objections upon all parties to
   the proceeding within 14 days after service of the interrogatories, or
   within such shorter or longer period as the presiding officer may allow.
   Answers  may be used in the same manner as depositions of a party (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
   answer an interrogatory. For purposes of this paragraph, an evasive or
   incomplete answer is a failure to answer; and if the motion is based on the
   assertion that the answer is evasive or incomplete, it shall contain a
   statement as to the scope and detail of an answer which would be considered
   responsive and complete. The party upon whom the interrogatories were served
   may file a response within 7 days after the motion is filed, to which he may
   append an answer or an amended answer. Additional pleadings should not be
   submitted and will not be considered.

   (d) Action by the presiding officer. If the presiding officer determines
   that  an objection is not justified, he shall order that the answer be
   served. If an interrogatory has not been answered, the presiding officer may
   rule that the right to object has been waived and may order that an answer
   be served. If an answer does not comply fully with the requirements of this
   section, the presiding officer may order that an amended answer be served,
   may specify the scope and detail of the matters to be covered by the amended
   answer, and may specify any appropriate procedural consequences (including
   adverse findings of fact and dismissal with prejudice) which will follow
   from  the  failure to make a full and responsive answer. If a full and
   responsive answer is not made, the presiding officer may issue an order
   invoking any of the procedural consequences specified in the order to compel
   an answer.

   (e) Appeal. As order to compel an answer is not subject to appeal.

   [ 33 FR 10572 , July 25, 1968, as amended at  35 FR 17334 , Nov. 11, 1970]

§ 1.325   Discovery and production of documents and things for inspection,
copying, or photographing.

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   (a) A party to a Commission proceeding may request any other party except
   the  Commission  to  produce  and  permit  inspection  and  copying or
   photographing, by or on behalf of the requesting party, of any designated
   documents,  papers, books, accounts, letters, photographs, objects, or
   tangible things which constitute or contain evidence within the scope of the
   examination  permitted  by §1.311(b) of this part and which are in his
   possession, custody, or control or to permit entry upon designated land or
   other property in his possession or control for purposes of inspecting,
   measuring, surveying, or photographing the property or any designated object
   or  operation thereon within the scope of the examination permitted 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 request was made must, within 10 days, comply
   with the request or object to the request, claiming a privilege or raising
   other proper objections. If the request is not complied with in whole or in
   part,  the  requesting party may file a motion to compel production of
   documents or access to property with the presiding officer. A motion to
   compel  must  be accompanied by a copy of the original request and the
   responding party's objection or claim of privilege. Motions to compel must
   be filed within five business days of the objection or claim of privilege.

   (3) In resolving any disputes involving the production of documents or
   access to property, the presiding officer may direct that the materials
   objected to be presented to him for in camera inspection.

   (b) Any party seeking the production of Commission records should proceed
   under §0.460 or §0.461 of this chapter. See §§0.451 through 0.467.

   (c) In comparative broadcast proceedings 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
   exchange of these materials must be accomplished 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
   incorporation, by laws, partnership agreements, voting rights, proxies, and
   any amendments to the foregoing documents;

   (ii) All minutes of meetings relating to the application;

   (iii) All documents relating to the rights or plans of persons or entities
   to 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 financing documents with the dollar amounts
   unexpurgated;

   (vi) All documents relating to the applicant's proposed transmitter site;

   (vii)  All documents relating to communications by proposed integrated
   principals with respect to their proposed 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 communications by and between principals of
   the applicant concerning the application, including communications between
   active and passive principals;

   (x) Representative documents relating to enhancement credits and preferences
   sought  by  the  applicant's  principals  for  local  residence, civic
   participation, past broadcast experience, minority/female status, and the
   like;

   (xi) All documents relating to commitments to divest other media interests;
   and

   (xii)  All  documents that identify or describe the principals who are
   responsible for completing the application, arranging financing, obtaining
   the  applicant's  transmitter  site,  publishing the required notices,
   establishing  the local public inspection file, and retaining lawyers,
   engineers, and other professionals.

   (2) Standardized Integration Statement. On the same day that documents are
   exchanged  pursuant to the Standardized 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
   parties to the proceeding that have filed Notices of Appearance):

   (i)  The  ownership  structure of the applicant, i.e., whether it is a
   partnership,  limited partnership, or a corporation (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 current 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 female
   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 license or service area and if so,
   specifically  on  what  basis (including a detailed 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
   relevant documents, not called for in the Standard Document Production
   Order, at any time after the release of the designation order. Supplemental
   requests  for  documents  based on materials exchanged 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.
   Supplemental  document  requests  will be handled under the procedures
   established in paragraph (a) of this section. To facilitate the resolution
   of disputes concerning the production of documents, the presiding officer
   may convene a pre-hearing conference to hear argument on and dispose of any
   such disputes.

   [ 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

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   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.

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   Subpenas requiring the attendance and testimony of witnesses, and subpenas
   requiring  the  production of any books, papers, schedules of charges,
   contracts,  agreements,  and  documents  relating  to any matter under
   investigation or hearing, may be signed and issued as follows:

   (a) Hearings before the Commission en banc, an individual commissioner, or a
   panel of commissioners: By any commissioner participating in the conduct of
   the hearing.

   (b) Hearings before an administrative law judge: By the administrative law
   judge or, in his absence, by the Chief Administrative Law Judge.

§ 1.333   Requests for issuance of subpena.

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   (a) Unless submitted on the record while a hearing is in progress, requests
   for a subpena ad testificandum shall be submitted in writing.

   (b) Requests for a subpena duces tecum shall be submitted in writing, duly
   subscribed and verified, and shall specify with particularity the books,
   papers, and documents desired and the facts expected to be proved thereby.
   Where the subpena duces tecum request is directed to a nonparty to the
   proceeding, the presiding officer may issue the same, upon request, without
   an accompanying subpena to enforce a notice to take depositions, provided
   for in paragraph (e) of this section, where it appears that the testimony of
   said person is not required in connection with the subpena duces tecum. 

   (c) All requests for subpenas shall be supported by a showing of the general
   relevance and materiality of the evidence sought.

   (d) Requests for subpenas shall be submitted in triplicate, but need not be
   served on the parties to the proceeding.

   (e) Requests for issuance of a subpena ad testificandum to enforce a notice
   to take depositions shall be submitted in writing. Such requests may be
   submitted with the notice or at a later date. The request shall not be
   granted until the period for the filing of motions opposing the taking of
   depositions has expired or, if a motion has been filed, until that motion
   has  been acted on. Regardless of the time when the subpena request is
   submitted,  it  need not be accompanied by a showing that relevant and
   material  evidence will be adduced, but merely that the person will be
   examined regarding a nonprivileged matter which is relevant to the hearing
   issues.  The  subpena  request  may  ask that a subpena duces tecum be
   contemporaneously issued commanding the person to whom it is directed to
   produce  designated books, papers, documents, or tangible things which
   constitute or contain evidence relating to any of the matters within the
   scope  of the examination permitted by §1.311(b) but in that event the
   subpena request will be subject to the provisions 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 requesting the issuance of such an
   order. Regardless of the time when the subpena request is submitted, it need
   not be accompanied by a showing that relevant and material evidence will be
   adduced, but merely that the documents and things to be examined contain
   nonprivileged  matter  which  is relevant to the subject matter of the
   proceeding.

   [ 28 FR 12425 , Nov. 22, 1963, as amended at  33 FR 466 , Jan. 12, 1968;  47 FR 51873 , Nov. 18, 1982]

§ 1.334   Motions to quash.

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   Any person against whom a subpena is directed may file a motion to quash or
   limit the subpena, setting forth the reasons why the subpena should not be
   complied with or why it should be limited in scope.

§ 1.335   Rulings.

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   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.

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   (a) A subpena may be served by a United States marshal or his deputy, by
   Commission personnel, or by any person who is not a party to the proceeding
   and is not less than 18 years of age.

   (b) Service of a subpena upon the person named therein shall be made by
   exhibiting the original subpena to him, by reading the original subpena to
   him if he is unable to read, by delivering the duplicate subpena to him, and
   by tendering to him the fees for one day's attendance at the proceeding to
   which he is summoned and the mileage allowed by law. If the subpena is
   issued on behalf of the United States or an officer or agency thereof,
   attendance fees and mileage need not be tendered.

§ 1.337   Return of service.

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   (a) If service of the subpena is made by a person other than a United States
   marshal or his deputy such person shall make affidavit thereof, stating the
   date, time, and manner of service.

   (b) In case of failure to make service, the reasons for the failure shall be
   stated on the original subpena by the person who attempted to make service.

   (c) The original subpena, bearing or accompanied by the required return
   affidavit or statement, shall be returned forthwith to the Secretary of the
   Commission or, if so directed on the subpena, to the official before whom
   the person named in the subpena is required to appear.

§ 1.338   Subpena forms.

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   (a) Subpena forms, marked “Original”, “Duplicate”, and “Triplicate”, and
   bearing the Commission's seal, may be obtained from the Commission's Dockets
   Division. These forms are to be completed and submitted with any request for
   issuance of a subpena.

   (b) If the request for issuance of a subpena is granted, the “Original” and
   “Duplicate” copies of the subpena are returned to the person who submitted
   the request. The “Triplicate” copy is retained for the Commission's files.

   (c) The “Original” copy of the subpena includes a form for proof of service.
   This form is to be executed by the person who effects service and returned
   by him to the Secretary of the Commission or, if so directed on the subpena,
   to the official before whom the person named in the subpena is required to
   appear.

   (d) The “Duplicate” copy of the subpena shall be served upon the person
   named therein and retained by him. This copy should be presented in support
   of any claim for witness fees or mileage allowances for testimony on behalf
   of the Commission.

§ 1.339   Witness fees.

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   Witnesses who are subpenaed and respond thereto are entitled to the same
   fees, including mileage, as are paid for like service in the courts of the
   United  States.  Fees shall be paid by the party at whose instance the
   testimony is taken.

§ 1.340   Attendance of witness; disobedience.

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   The attendance of witnesses and the production of documentary evidence may
   be required from any place in the United States at any designated place of
   hearing. In case of disobedience to a subpena, the Commission or any party
   to a proceeding before the Commission may invoke the aid of any court of the
   United States in requiring the attendance and testimony of witnesses and the
   production of documentary evidence.

Evidence

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§ 1.351   Rules of evidence.

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   Except  as  otherwise  provided in this subpart, the rules of evidence
   governing civil proceedings in matters not involving trial by jury in the
   courts of the United States shall govern formal hearings. Such rules may be
   relaxed if the ends of justice will be better served by so doing.

§ 1.352   Cumulative evidence.

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   The introduction of cumulative evidence shall be avoided, and the number of
   witnesses  that  may be heard in behalf of a party on any issue may be
   limited.

§ 1.353   Further evidence during hearing.

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   At  any stage of a hearing, the presiding officer may call for further
   evidence upon any issue and may require such evidence to be submitted by any
   party to the proceeding.

§ 1.354   Documents containing matter not material.

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   If  material  and relevant matter offered in evidence is embraced in a
   document containing other matter not material or relevant, and not intended
   to be put in evidence, such document will not be received, but the party
   offering the same shall present to other counsel, and to the presiding
   officer, the original document, together with true copies of such material
   and relevant matter taken therefrom, as it is desired to introduce. Upon
   presentation of such matter, material and relevant, in proper form, it may
   be received in evidence, and become a part of the record. Other counsel will
   be afforded an opportunity to introduce in evidence, in like manner, other
   portions of such document if found to be material and relevant.

§ 1.355   Documents in foreign language.

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   Every document, exhibit, or other paper written in a language other than
   English, which shall be filed in any proceeding, or in response to any
   order, shall be filed in the language in which it is written together with
   an  English  translation thereof duly verified under oath to be a true
   translation. Each copy of every such document, exhibit, or other paper filed
   shall be accompanied by a separate copy of the translation.

§ 1.356   Copies of exhibits.

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   No document or exhibit, or part thereof, shall be received as, or admitted
   in, evidence unless offered in duplicate. In addition, when exhibits of a
   documentary  character  are to be offered in evidence, copies shall be
   furnished to other counsel unless the presiding officer otherwise directs.

§ 1.357   Mechanical reproductions as evidence.

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   Unless offered for the sole purpose of attempting to prove or demonstrate
   sound effect, mechanical or physical reproductions of sound waves shall not
   be admitted in evidence. Any party desiring to offer any matter alleged to
   be contained therein or thereupon shall have such matter typewritten on
   paper of the size prescribed 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.

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   In  case  any  matter  contained in a tariff schedule on file with the
   Commission is offered in evidence, such tariff schedule need not be produced
   or marked for identification, but the matter so offered shall be specified
   with particularity (tariff and page number) in such manner as to be readily
   identified, and may be received in evidence by reference subject to check
   with the original tariff schedules on file.

§ 1.359   Proof of official record; authentication of copy.

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   An official record or entry therein, when admissible for any purpose, may be
   evidenced by an official publication thereof or by a copy attested by the
   officer  having  legal  custody  of  the record, or by his deputy, and
   accompanied with a certificate that such officer has the custody. If the
   office in which the record is kept is within the United States or within a
   territory  or insular possession subject to the dominion of the United
   States, the certificate may be made by the judge of a court of record of the
   district or political subdivision in which the record is kept, authenticated
   by the seal of the court, or may be made by any public officer having a seal
   of office having official duties in the district or political subdivision in
   which the record is kept, authenticated by the seal of his office. If the
   office in which the record is kept is in a foreign state or country, the
   certificate  may be made by a secretary of embassy or legation, consul
   general, consul, vice consul, or consular agent, or by any officer in the
   foreign service of the United States stationed in the foreign state or
   country in which the record is kept, and authenticated by the seal of his
   office.

§ 1.360   Proof of lack of record.

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   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
   admissible as evidence that the records of his office contain no such record
   or entry.

§ 1.361   Other proof of official record.

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   Sections 1.359 and 1.360 do not prevent the proof of official records or of
   entry or lack of entry therein by any method authorized by any applicable
   statute or by the rules of evidence at common law.

§ 1.362   Production of statements.

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   After a witness is called and has given direct testimony in a hearing, and
   before he is excused, any party may move for the production of any statement
   of such witness, or part thereof, pertaining to his direct testimony, in
   possession of the party calling the witness, if such statement has been
   reduced  to writing and signed or otherwise approved or adopted by the
   witness. Such motion shall be directed to the presiding officer. If the
   party  declines to furnish the statement, the testimony of the witness
   pertaining to the requested statement shall be stricken.

   [ 33 FR 466 , Jan. 12, 1968]

§ 1.363   Introduction of statistical data.

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   (a) All statistical studies, offered in evidence in common carrier hearing
   proceedings,  including but not limited to sample surveys, econometric
   analyses,  and experiments, and those parts of other studies involving
   statistical methodology shall be described in a summary statement, with
   supplementary details added in appendices so as to give a comprehensive
   delineation  of  the assumptions made, the study plan utilized and the
   procedures undertaken. In the case of sample surveys, there shall be a clear
   description of the survey design, including the definition of the universe
   under study, the sampling frame, and the sampling units; an explanation of
   the method of selecting the sample and the characteristics measured or
   counted. In the case of econometric investigations, the econometric model
   shall be completely described and the reasons given for each assumption and
   statistical specification. The effects on the final results of changes in
   the assumptions should be made clear. When alternative models and variables
   have been employed, a record shall be kept of these alternative studies, so
   as to be available upon request. In the case of experimental analyses, a
   clear and complete description of the experimental design shall be set
   forth, including a specification of the controlled conditions and how the
   controls were realized. In addition, the methods of making observations and
   the adjustments, if any, to observed data shall be described. In the case of
   every kind of statistical study, the following items shall be set forth
   clearly: The formulas used for statistical estimates, standard errors and
   test statistics, the description of statistical tests, plus all related
   computations, computer programs and final results. Summary descriptions of
   input data shall be submitted. Upon request, the actual input data shall be
   made available.

   (b) In the case of all studies and analyses offered in evidence in common
   carrier hearing proceedings, other than the kinds described in paragraph (a)
   of this section, there shall be a clear statement of the study plan, all
   relevant assumptions and a description of the techniques of data collection,
   estimation and/or testing. In addition, there shall be a clear statement of
   the facts and judgments upon which conclusions are based and a statement of
   the  relative weights given to the various factors in arriving at each
   conclusion, together with an indication of the alternative courses of action
   considered. Lists of input data shall be made available upon request.

   [ 35 FR 16254 , Oct. 16, 1970]

§ 1.364   Testimony by speakerphone.

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   (a) If all parties to the proceeding consent and the presiding officer
   approves, the testimony of a witness may be taken by speakerphone.

   (b) Documents used by the witness shall be made available to counsel by the
   party calling the witness in advance of the speakerphone testimony. The
   taking of testimony by speakerphone shall be subject to such other ground
   rules as the parties may agree upon.

   [ 43 FR 33251 , July 31, 1978]

Subpart C—Rulemaking Proceedings

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   Authority:   5 U.S.C. 553.

   Source:    28 FR 12432 , Nov. 22, 1963, unless otherwise noted.

General

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§ 1.399   Scope.

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   This  subpart  shall  be  applicable to notice and comment rulemakings
   proceedings conducted under 5 U.S.C. 553, and shall have no application to
   formal rulemaking (or rate making) proceedings unless the Commission directs
   that it shall govern the conduct of a particular proceeding.

   [ 42 FR 25735 , May 19, 1977]

§ 1.400   Definitions.

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   As  used  in  this  subpart,  the  term party refers to any person who
   participates in a proceeding by the timely filing of a petition for rule
   making,  comments  on a notice of proposed rule making, a petition for
   reconsideration, or responsive pleadings in the manner prescribed by this
   subpart. The term does not include those who submit letters, telegrams or
   other informal materials.

   [ 41 FR 1287 , Jan. 7, 1976]

Petitions and Related Pleadings

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§ 1.401   Petitions for rulemaking.

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   (a) Any interested person may petition for the issuance, amendment or repeal
   of a rule or regulation.

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

   (c) The petition shall set forth the text or substance of the proposed rule,
   amendment, or rule to be repealed, together with all facts, views, arguments
   and data deemed to support the action requested, and shall indicate how the
   interests of petitioner will be affected.

   (d) Petitions for amendment of the FM Table of Assignments (§73.202 of this
   chapter) or the Television Table of Assignments (§73.606) shall be served by
   petitioner on any Commission licensee or permittee whose channel assignment
   would be changed by grant of the petition. The petition shall be accompanied
   by a certificate of service on such licensees or permittees. Petitions to
   amend the FM Table of Allotments must be accompanied by the appropriate
   construction permit application and payment of the appropriate application
   filing fee.

   (e) Petitions which are moot, premature, repetitive, frivolous, or which
   plainly do not warrant consideration by the Commission may be denied or
   dismissed without prejudice to the petitioner.

   [ 28 FR 12432 , Nov. 22, 1963, as amended at  28 FR 14503 , Dec. 31, 1963;  40 FR 53391 , Nov. 18, 1975;  45 FR 42621 , June 25, 1980;  63 FR 24125 , May 1, 1998;
    71 FR 76215 , Dec. 20, 2006]

§ 1.403   Notice and availability.

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   All  petitions  for rule making (other than petitions to amend the FM,
   Television, and Air-Ground Tables of Assignments) 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 petition, file number, nature of the
   proposal, and date of filing, Petitions for rule making are available at the
   Commission's Reference Information Center, 445 12th Street, SW, Washington,
   DC  and  may  also  be  available  electronically over the Internet at
   http://www.fcc.gov/. 

   [ 67 FR 13223 , Mar. 21, 2002]

§ 1.405   Responses to petitions; replies.

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   Except for petitions to amend the FM Television or Air-Ground Tables of
   Assignments:

   (a)  Any  interested  person  may file a statement in support of or in
   opposition to a petition for rule making prior to Commission action on the
   petition but not later than 30 days after “Public Notice”, as provided for
   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 conformity 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 making prior to Commission action on the
   petition but not later than 15 days after the filing of such a statement.
   Such a reply shall be accompanied by proof of service upon the party or
   parties filing the statement or statements to which the reply is directed on
   or prior to the date of filing in conformity 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 petition for rule making at any time after
   the deadline for the filing of replies to statements in support of or in
   opposition to the petition. Statements in support of or in opposition to a
   petition for rule making, and replies thereto, shall not be filed after
   Commission action.

   (Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154,
   303, 307)

   [ 28 FR 12413 , Nov. 22, 1963, as amended at  28 FR 14503 , Dec. 31, 1963;  45 FR 42621 , June 25, 1980;  46 FR 60404 , Dec. 9, 1981]

§ 1.407   Action on petitions.

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   If the Commission determines that the petition discloses sufficient reasons
   in  support  of  the  action requested to justify the institution of a
   rulemaking proceeding, and notice and public procedure thereon are required
   or deemed desirable by the Commission, an appropriate notice of proposed
   rule making will be issued. In those cases where notice and public procedure
   thereon are not required, the Commission may issue a final order amending
   the rules. In all other cases the petition for rule making will be denied
   and the petitioner will be notified of the Commission's action with the
   grounds therefor.

Rulemaking Proceedings

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§ 1.411   Commencement of rulemaking proceedings.

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   Rulemaking proceedings are commenced by the Commission, either on it own
   motion or on the basis of a petition for rulemaking. See §§1.401–1.407.

§ 1.412   Notice of proposed rulemaking.

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   (a) Except as provided in paragraphs (b) and (c) of this section, prior
   notice of proposed rulemaking will be given.

   (1) Notice is ordinarily given by publication of a “Notice of Proposed Rule
   Making” in theFederal Register.A summary of the full decision adopted by the
   Commission  constitutes a “Notice of Proposed Rulemaking” for purposes
   ofFederal Registerpublication.

   (2) If all persons subject to the proposed rules are named, the proposal may
   (in lieu of publication) be personally served upon those persons.

   (3) If all persons subject to the proposed rules are named and have actual
   notice of the proposal as a matter of law, further prior notice of proposed
   rulemaking is not required.

   (b) Rule changes (including adoption, amendment, or repeal of a rule or
   rules) relating to the following matters will ordinarily be adopted without
   prior notice:

   (1) Any military, naval, or foreign affairs function of the United States.

   (2) Any matter relating to Commission management or personnel or to public
   property, loans, grants, benefits, or contracts.

   (3) Interpretative rules.

   (4) General statements of policy.

   (5) Rules of Commission organization, procedure, or practice.

   (c) Rule changes may in addition be adopted without prior notice in any
   situation in which the Commission for good cause finds that notice and
   public procedure are impracticable, unnecessary, or contrary to the public
   interest. The finding of good cause and a statement of the basis for that
   finding are in such situations published with the rule changes.

   (d) In addition to the notice provisions of paragraph (a) of this section,
   the Commission, before prescribing any requirements as to accounts, records,
   or memoranda to be kept by carriers, will notify the appropriate State
   agencies having jurisdiction over any carrier involved of the proposed
   requirements.

   [ 28 FR 12432 , Nov. 22, 1963, as amended at  51 FR 7445 , Mar. 4, 1986]

§ 1.413   Content of notice.

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   A notice of the proposed issuance, amendment, or repeal of a rule will
   include the following:

   (a) A statement of the time, nature and place of any public rulemaking
   proceeding to be held.

   (b) Reference to the authority under which the issuance, amendment or repeal
   of a rule is proposed.

   (c) Either the terms or substance of the proposed rule or a description of
   the subjects and issues involved.

   (d) The docket number assigned to the proceeding.

   (e) A statement of the time for filing comments and replies thereto.

§ 1.415   Comments and replies.

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   (a) After notice of proposed rulemaking is issued, the Commission will
   afford interested persons an opportunity to participate in the rulemaking
   proceeding through submission of written data, views, or arguments, with or
   without opportunity to present the same orally in any manner.

   (b) A reasonable time will be provided for submission of comments in support
   of  or  in opposition to proposed rules, and the time provided will be
   specified in the notice of proposed rulemaking.

   (c) A reasonable time will be provided for filing comments in reply to the
   original comments, and the time provided will be specified in the notice of
   proposed rulemaking.

   (d) No additional comments may be filed unless specifically requested or
   authorized by the Commission.

   Note: In some (but not all) rulemaking proceedings, interested persons may
   also communicate with the Commission and its staff on an ex parte basis,
   provided certain procedures are followed. See §§1.420 and 1.1200 et seq. See
   also __ FCC 2d __ (1980) (i.e., this order).

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

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   (a) Comments, replies, and other documents filed in a rulemaking proceeding
   shall conform to the requirements 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
   distribution of such copies shall be as follows:
   Secretary (original and 1)   2
   Bureau                       2
   Reference Information Center 1
   Total                        5

   Participants filing the required 5 copies who also wish each Commissioner to
   have a personal copy of the comments may file an additional 5 copies. The
   distribution of such copies shall be as follows:
   Commissioners                 5
   Secretary                     2
   Bureau                        2
   Reference Information Center  1
   Total                        10

   However, members of the general public who wish to express their interest by
   participating informally in a rulemaking proceeding may do so by submitting
   an original and one copy of their comments, without regard to form, provided
   only that the Docket Number is specified in the heading. Informal comments
   filed after close of the reply comment period, or, if on reconsideration,
   the reconsideration reply comment period, should be labeled “ex parte”
   pursuant  to  section  1.1206(a) of this chapter. Letters submitted to
   Commissioners  or  Commission 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 additional 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 identical documents in more than one
   docketed rulemaking proceeding shall furnish the Commission two additional
   copies of any such document for each additional docket. This requirement
   does not apply if the proceedings have been consolidated.

   (d) Participants that file comments and replies in electronic form need only
   submit one copy of those comments, so long as the submission conforms to any
   procedural  or  filing  requirements established for formal electronic
   comments.

   (e) Comments and replies and other documents filed in electronic form by a
   party represented by an attorney shall include the name and mailing address
   of at least one attorney of record. Parties not represented by an attorney
   that file comments and replies and other documents in electronic form shall
   provide their name and mailing address.

   [ 28 FR 12432 , Nov. 22, 1963, as amended at  41 FR 50399 , Nov. 16, 1976;  50 FR 26567 , June 27, 1985;  54 FR 29037 , July 11, 1989;  63 FR 24125 , May 1, 1998;
    63 FR 56091 , Oct. 21, 1998;  67 FR 13223 , Mar. 21, 2002]

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

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   (a)  Comments  filed  in  proceedings for amendment of the FM Table of
   Allotments (§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 proceedings 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 directed.

   (c) Such comments and reply comments shall be accompanied by a certificate
   of service.

   (d) Counterproposals shall be advanced in initial comments only and will not
   be considered if they are advanced in reply comments.

   (e) An original and 4 copies of all petitions for rulemaking, comments,
   reply comments, and other pleadings shall be filed with the Commission.

   (f) Petitions for reconsideration and responsive pleadings shall be served
   on  parties  to  the proceeding and on any licensee or permittee whose
   authorization may be modified to specify operation on a different channel,
   and shall be accompanied by a certificate of service.

   (g) The Commission may modify the license or permit of a UHF TV station to a
   VHF  channel  in  the  same community in the course of the rule making
   proceeding to 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
   procedures, if any of the following conditions are met:

   (1) There is no other timely filed expression of interest, or

   (2)  If  another  interest in the proposed channel is timely filed, an
   additional  equivalent  class of channel is also allotted, assigned or
   available for application.

   Note to Paragraph (g): In certain situations, a licensee or permittee may
   seek  an  adjacent,  intermediate  frequency  or co-channel upgrade by
   application. 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 exchange channels, and where one of the
   licensees (or permittees) operates on a commercial channel while the other
   operates on a reserved noncommercial educational channel within the same
   band,  and  the stations serve substantially the same market, then the
   Commission may amend §73.606(b) and modify the licenses (or permits) of the
   petitioners to specify operation on the appropriate channels upon a finding
   that  such  action  will promote the public interest, convenience, and
   necessity.

   Note  1 to paragraph(h): Licensees and permittees operating Class A FM
   stations who seek to upgrade their facilities to Class B1, B, C3, C2, C1, or
   C on Channel 221, and whose proposed 1 mV/m signal contours would overlap
   the Grade B contour of a television station operating on Channel 6 must meet
   a particularly heavy burden by demonstrating that grants of their upgrade
   requests are in the public interest. In this regard, the Commission will
   examine the record in rule making proceedings to determine the availability
   of existing and potential non-commercial education service.

   (i) In the course of the rule making proceeding to amend §73.202(b) or
   §73.606(b), the Commission may modify the license or permit of an FM or
   television broadcast station to specify a new community of license where the
   amended  allotment  would be mutually exclusive with the licensee's or
   permittee's present assignment.

   (j) Whenever an expression of interest in applying for, constructing, and
   operating a station has been filed in a proceeding to amend the FM or TV
   Table of Allotments, and the filing party seeks to dismiss or withdraw the
   expression of interest, either unilaterally or in exchange for financial
   consideration,  that party must file with the Commission a request for
   approval of the dismissal or withdrawal, a copy of any written agreement
   related to the dismissal or withdrawal, and an affidavit setting forth:

   (1) A certification that neither the party withdrawing its interest nor its
   principals has received or will receive any money or other consideration in
   excess of legitimate and prudent expenses in exchange for the dismissal or
   withdrawal of the expression of interest;

   (2) The exact nature and amount of any consideration received or promised;

   (3) An itemized accounting of the expenses for which it seeks reimbursement;
   and

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

   (5) In addition, within 5 days of a party's request for approval, each
   remaining party to any written or oral agreement must submit an affidavit
   setting forth:

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

   (Secs. 4, 303, 307, 48 Stat., as amended, 1066, 1082, 1083; 47 U.S.C. 154,
   303, 307)

   [ 39 FR 44022 , Dec. 20, 1974, as amended at  40 FR 53391 , Nov. 18, 1975;  41 FR 1287 , Jan. 7, 1976;  51 FR 15629 , Apr. 25, 1986;  51 FR 20291 , June 4, 1986;
    52 FR 8260 , Mar. 17, 1987;  52 FR 25866 , July 9, 1987;  54 FR 16366 , Apr. 24,
   1989;  54 FR 26201 , June 22, 1989;  55 FR 28914 , July 16, 1990;  58 FR 38535 ,
   July 19, 1993;  59 FR 59503 , Nov. 17, 1994;  61 FR 43472 , Aug. 23, 1996;  65 FR 79776 , Dec. 20, 2000;  71 FR 76215 , Dec. 20, 2006]

§ 1.421   Further notice of rulemaking.

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   In any rulemaking proceeding where the Commission deems it warranted, a
   further notice of proposed rulemaking will be issued with opportunity for
   parties  of  record and other interested persons to submit comments in
   conformity with §§1.415 and 1.419.

§ 1.423   Oral argument and other proceedings.

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   In any rulemaking where the Commission determines that an oral argument,
   hearing or any other type of proceeding is warranted, notice of the time,
   place  and  nature  of such proceeding will be published in theFederal
   Register.

   [ 58 FR 66300 , Dec. 20, 1993]

§ 1.425   Commission action.

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   The Commission will consider all relevant comments and material of record
   before taking final action in a rulemaking proceeding and will issue a
   decision incorporating its finding and a brief statement of the reasons
   therefor.

§ 1.427   Effective date of rules.

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   (a) Any rule issued by the Commission will be made effective not less than
   30  days from the time it is published in theFederal Registerexcept as
   otherwise specified in paragraphs (b) and (c) of this section.

   (b) For good cause found and published with the rule, any rule issued by the
   Commission may be made effective within less than 30 days from the time it
   is published in theFederal Register.Rules involving any military, naval or
   foreign affairs function of the United States; matters relating to agency
   management  or  personnel, public property, loans, grants, benefits or
   contracts; rules granting or recognizing exemption or relieving restriction;
   rules of organization, procedure or practice; or interpretative rules; and
   statements of policy may be made effective without regard to the 30-day
   requirement.

   (c) In cases of alterations by the Commission in the required manner or form
   of  keeping  accounts by carriers, notice will be served upon affected
   carriers  not  less  than 6 months prior to the effective date of such
   alterations.

§ 1.429   Petition for reconsideration.

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   (a) Any interested person may petition for reconsideration of a final action
   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 delegated
   authority, the petition may be acted on by the staff official or referred to
   the Commission for action.

   Note:  The  staff has been authorized to act on rulemaking proceedings
   described 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 Commission will be granted only under the
   following circumstances:

   (1)  The  facts  relied  on  relate  to  events which have occurred or
   circumstances 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
   opportunity to present them to the Commission, and he could not through the
   exercise 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
   respects in which petitioner believes the action taken should be changed.

   (d) The petition for reconsideration and any supplement thereto shall be
   filed within 30 days from the date of public notice of such action, as that
   date is defined in §1.4(b). No supplement to a petition for reconsideration
   filed after expiration of the 30 day period will be considered, except upon
   leave  granted pursuant to a separate pleading stating the grounds for
   acceptance of the supplement. The petition for reconsideration shall not
   exceed 25 double-spaced typewritten pages. See also §1.49(f).

   (e) Except as provided in §1.420(f), petitions for reconsideration need not
   be  served on parties to the proceeding. (However, where the number of
   parties  is relatively small, the Commission encourages the service of
   petitions for reconsideration and other pleadings, and agreements among
   parties  to  exchange copies of pleadings. See also §1.47(d) regarding
   electronic service of documents.) When a petition for reconsideration is
   timely filed in proper form, public notice of its filing is published in
   theFederal 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 reconsideration shall be filed within 15
   days after the date of public notice of the petition's filing and need be
   served  only  on the person who filed the petition. See also §1.49(d).
   Oppositions  shall  not exceed 25 double-spaced typewritten 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, oppositions and replies shall conform to
   the requirements of §§1.49 and 1.52, except that they need not be verified.
   Except  as  provided  in §1.420(e), an original and 11 copies shall be
   submitted to the Secretary, Federal Communications 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 circumstance, a second petition
   for reconsideration may be dismissed by the staff as repetitious.

   (j)  The  filing  of a petition for reconsideration is not a condition
   precedent to judicial review of any action taken by the Commission, except
   where the person seeking such review was not a party to the proceeding
   resulting in the action or relies on questions of fact or law upon which the
   Commission  has  been  afforded no opportunity to pass. Subject to the
   provisions of paragraph (b) of this section, such a person may qualify to
   seek judicial review by filing a petition for reconsideration.

   (k) Without special order of the Commission, the filing of a petition for
   reconsideration shall not excuse any person from complying with any rule or
   operate in any manner to stay or postpone its enforcement. However, upon
   good cause shown, the Commission will stay the effective date of a rule
   pending  a  decision  on a petition for reconsideration. See, however,
   §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

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§ 1.430   Proceedings on a notice of inquiry.

   top

   The provisions of this subpart also govern proceedings commenced by issuing
   a “Notice of Inquiry,” except that such proceedings do not result in the
   adoption of rules, and Notices of Inquiry are not required to be published
   in theFederal Register.

   [ 51 FR 7445 , Mar. 4, 1986]

Subpart D—Broadcast Applications and Proceedings

   top

   Source:    44 FR 38483 , July 2, 1979, unless otherwise noted.

§ 1.502   Emergency Broadcast Authorizations.

   top

   See §73.913.

General Filing Requirements

   top

§ 1.511   Applications required.

   top

   See §73.3511.

§ 1.512   Where to file; number of copies.

   top

   See §73.3512.

§ 1.513   Who may sign applications.

   top

   See §73.3513.

§ 1.514   Content of applications.

   top

   See §73.3514.

§ 1.516   Specification of facilities.

   top

   See §73.3516.

§ 1.517   Contingent applications.

   top

   See §73.3517.

§ 1.518   Inconsistent or conflicting applications.

   top

   See §73.3518.

§ 1.519   Repetitious applications.

   top

   See §73.3519.

§ 1.520   Multiple applications.

   top

   See §73.3520.

§ 1.522   Amendment of applications.

   top

   See §73.3522.

§ 1.525   Agreements between parties for amendment or dismissal of, or failure
to prosecute, broadcast applications.

   top

   See §73.3525.

§ 1.526   Records to be maintained locally for public inspection by commercial
applicants, permittees and licensees.

   top

   See §73.3526.

§ 1.527   Records to be maintained locally for public inspection by
noncommercial educational applicants, permittees and licensees.

   top

   See §73.3527.

§ 1.531   Formal and informal applications.

   top

   See §73.3511.

§ 1.533   Application forms for authority to construct a new station or make
changes in an existing station.

   top

   See §73.3533.

§ 1.534   Application for extension of construction permit or for construction
permit to replace expired construction permit.

   top

   See §73.3534.

§ 1.536   Application for license to cover construction permit.

   top

   See §73.3536.

§ 1.538   Application for modification of license.

   top

   See §73.3538.

§ 1.539   Application for renewal of license.

   top

   See §73.3539.

§ 1.540   Application for voluntary assignment or transfer of control.

   top

   See §73.3540.

§ 1.541   Application for involuntary assignment of license or transfer of
control.

   top

   See §73.3541.

§ 1.542   Application for temporary authorization.

   top

   See §73.3542.

§ 1.543   Application for renewal or modification of special service
authorization.

   top

   See §73.3543.

§ 1.544   Application for broadcast station to conduct field strength
measurements and for experimental operation.

   top

   See §§73.157 and 73.1510.

§ 1.545   Application for permit to deliver programs to foreign countries.

   top

   See §73.3545.

§ 1.546   Application to determine operating power by direct measurement of
antenna power.

   top

   See §73.45.

§ 1.549   Requests for extension of authority to operate without required
monitors, indicating instruments, and EBS Attention Signal devices.

   top

   See §73.3549.

§ 1.550   Requests for new or modified call sign assignments.

   top

   See §73.3550.

§ 1.561   Staff consideration of applications which receive action by the
Commission.

   top

   See §73.3561.

§ 1.562   Staff consideration of applications which do not require action by
the Commission.

   top

   See §73.3562.

§ 1.564   Acceptance of applications.

   top

   See §73.3564.

§ 1.566   Defective applications.

   top

   See §73.3566.

§ 1.568   Dismissal of applications.

   top

   See §73.3568.

§ 1.570   AM broadcast station applications involving other North American
countries.

   top

   See §73.3570.

§ 1.571   Processing AM broadcast station applications.

   top

   See §73.3571.

§ 1.572   Processing TV broadcast and translator station applications.

   top

   See §73.3572.

§ 1.573   Processing FM broadcast and translator station applications.

   top

   See §73.3573.

§ 1.574   Processing of international broadcast station applications.

   top

   See §73.3574.

§ 1.578   Amendments to applications for renewal, assignment or transfer of
control.

   top

   See §73.3578.

§ 1.580   Local public notice of filing of broadcast applications.

   top

   See §73.3580.

§ 1.584   Petitions to deny.

   top

   See §73.3584.

§ 1.587   Procedure for filing informal applications.

   top

   See §73.3587.

§ 1.591   Grants without hearing.

   top

   See §73.3591.

§ 1.592   Conditional grant.

   top

   See §73.3592.

§ 1.593   Designation for hearing.

   top

   See §73.3593.

§ 1.594   Local public notice of designation for hearing.

   top

   See §73.3594.

§ 1.597   Procedures on transfer and assignment applications.

   top

   See §73.3597.

§ 1.598   Period of construction.

   top

   See §73.3598.

§ 1.599   Forfeiture of construction permit.

   top

   See §73.3599.

§ 1.601   Simultaneous modification and renewal of license.

   top

   See §73.3601.

§ 1.603   Special waiver procedure relative to applications.

   top

   See §73.3603.

§ 1.605   Retention of applications in hearing status after designation for
hearing.

   top

   See §73.3605.

§ 1.612   Annual employment report.

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   See §73.3612.

§ 1.613   Filing of contracts.

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   See §73.3613.

§ 1.615   Ownership reports.

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   See §73.3615.

Subpart E—Complaints, Applications, Tariffs, and Reports Involving Common
Carriers

   top

   Source:    28 FR 12450 , Nov. 22, 1963, unless otherwise noted.

General

   top

§ 1.701   Show cause orders.

   top

   (a) The Commission may commence any proceeding within its jurisdiction
   against any common carrier by serving upon the carrier an order to show
   cause. The order shall contain a statement of the particulars and matters
   concerning  which the Commission is inquiring and the reasons for such
   action, and will call upon the carrier to appear before the Commission at a
   place and time therein stated and give evidence upon the matters specified
   in the order.

   (b) Any carrier upon whom an order has been served under this section shall
   file its answer within the time specified in the order. Such answer shall
   specifically and completely respond to all allegations and matters contained
   in the show cause order.

   (c) All papers filed by a carrier in a proceeding under this section shall
   conform with the specifications of §§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.

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   (a) Hearings. Except as otherwise required by §1.221 regarding application
   proceedings, by §1.91 regarding proceedings instituted under section 312 of
   the Communications Act of 1934, as amended, or by Commission order in any
   proceeding, no written statement indicating intent to appear need be filed
   in  advance  of  actual appearance at any hearing by any person or his
   attorney.

   (b) Oral arguments. Within 5 days after release of an order designating an
   initial decision for oral argument or within such other time as may be
   specified in the order, any party who wishes to participate in the oral
   argument shall file a written statement indicating that he will appear and
   participate. Within such time as may be specified in an order designating
   any other matter for oral argument, any person wishing to participate in the
   oral argument shall file a written statement to that effect setting forth
   the reasons for his interest in the matter. The Commission will advise him
   whether he may participate. (See §1.277 for penalties for failure to file
   appearance statements in proceedings involving oral arguments on initial
   decisions.)

   (c) Commission counsel. The requirement of paragraph (b) of this section
   shall not apply to counsel representing the Commission or the Chief of the
   Enforcement Bureau.

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

Complaints

   top

§ 1.711   Formal or informal complaints.

   top

   Complaints filed against carriers under section 208 of the Communications
   Act may be either formal or informal.

Informal Complaints

   top

§ 1.716   Form.

   top

   An informal complaint shall be in writing and should contain: (a) The name,
   address and telephone number of the complaint, (b) the name of the carrier
   against which the complaint is made, (c) a complete statement of the facts
   tending  to  show  that  such carrier did or omitted to do anything in
   contravention of the Communications Act, and (d) the specific relief of
   satisfaction sought.

   [ 51 FR 16039 , Apr. 30, 1986]

§ 1.717   Procedure.

   top

   The Commission will forward informal complaints to the appropriate carrier
   for investigation. The carrier will, within such time as may be prescribed,
   advise the Commission in writing, with a copy to the complainant, of its
   satisfaction of the complaint or of its refusal or inability to do so. Where
   there  are  clear  indications from the carrier's report or from other
   communications with the parties that the complaint has been satisfied, the
   Commission may, in its discretion, consider a complaint proceeding to be
   closed,  without  response to the complainant. In all other cases, the
   Commission will contact the complainant regarding its review and disposition
   of the matters raised. If the complainant is not satisfied by the carrier's
   response and the Commission's disposition, it may file a formal complaint in
   accordance with §1.721 of this part.

   [ 51 FR 16039 , Apr. 30, 1986]

§ 1.718   Unsatisfied informal complaints; formal complaints relating back to
the filing dates of informal complaints.

   top

   When an informal complaint has not been satisfied pursuant to §1.717, the
   complainant may file a formal complaint 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: Provided, That the formal complaint: (a) Is
   filed within 6 months from the date of the carrier's report, (b) makes
   reference to the date of the informal complaint, and (c) is based on the
   same cause of action as the informal complaint. If no formal complaint is
   filed within the 6-month period, the complainant will be deemed to have
   abandoned the unsatisfied informal complaint.

   [ 51 FR 16040 , Apr. 30, 1986]

§ 1.719   Informal complaints filed pursuant to section 258.

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   (a) Notwithstanding the requirements of §§1.716 through 1.718, the following
   procedures shall apply to complaints alleging that a carrier has violated
   section  258  of  the  Communications  Act  of 1934, as amended by the
   Telecommunications  Act of 1996, by making an unauthorized change of a
   subscriber's preferred carrier, as defined by §64.1100(e) of this chapter.

   (b)  Form.  The complaint shall be in writing, and should contain: The
   complainant's name, address, telephone number and e-mail address (if the
   complainant has one); the name of both the allegedly unauthorized carrier,
   as  defined 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 unauthorized change of the subscriber's preferred carrier; a statement of
   whether the complainant has paid any disputed charges to the allegedly
   unauthorized carrier; and the specific relief sought.

   (c) Procedure. The Commission will resolve slamming complaints under the
   definitions and procedures established in §§64.1100 through 64.1190 of this
   chapter. The Commission will issue a written (or electronic) order informing
   the complainant, the unauthorized carrier, and the authorized carrier of its
   finding,  and  ordering  the appropriate remedy, if any, as defined by
   §§64.1160 through 64.1170 of this chapter.

   (d) Unsatisfied Informal Complaints Involving Unauthorized Changes of a
   Subscriber's Preferred Carrier; Formal Complaints Relating Back to the
   Filing Dates of Informal Complaints. If the complainant is unsatisfied with
   the resolution of a complaint under this section, the complainant may file a
   formal complaint with the Commission in the form specified in §1.721. Such
   filing will be deemed to relate back to the filing date of the informal
   complaint  filed under this section, so long as the informal complaint
   complied with the requirements of paragraph (b) of this section and provided
   that: The formal complaint is filed within 45 days from the date an order
   resolving the informal complaint filed under this section is mailed or
   delivered electronically to the complainant; makes reference to both the
   informal complaint number assigned to and the initial date of filing the
   informal complaint filed under this section; and is based on the same cause
   of action as the informal complaint filed under this section. If no formal
   complaint is filed within the 45–day period, the complainant will be deemed
   to have abandoned its right to bring a formal complaint regarding the cause
   of action at issue.

   [ 65 FR 47690 , Aug. 3, 2000]

Formal Complaints

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§ 1.720   General pleading requirements.

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   Formal complaint proceedings are generally resolved on a written record
   consisting of a complaint, answer, and joint statement of stipulated facts,
   disputed facts and key legal issues, along with all associated affidavits,
   exhibits and other attachments. Commission proceedings may also require or
   permit other written submissions such as briefs, written interrogatories,
   and other supplementary documents or pleadings. Those formal complaint
   proceedings handled on the Enforcement Bureau's Accelerated Docket are
   subject to pleading and procedural rules that differ in some respects from
   the general rules for formal complaint proceedings.

   (a) Pleadings must be clear, concise, and explicit. All matters concerning a
   claim, defense or requested remedy, including damages, should be pleaded
   fully and with specificity.

   (b)  Pleadings  must  contain  facts which, if true, are sufficient to
   constitute a violation of the Act or Commission order or regulation, or a
   defense to such alleged violation.

   (c) Facts must be supported by relevant documentation or affidavit.

   (d) Legal arguments must be supported by appropriate judicial, Commission,
   or statutory authority.

   (e) Opposing authorities must be distinguished.

   (f) Copies must be provided of all non-Commission authorities relied upon
   which are not routinely available in national reporting systems, such as
   unpublished decisions or slip opinions of courts or administrative agencies.

   (g) Parties are responsible for the continuing accuracy and completeness of
   all information and supporting authority furnished in a pending complaint
   proceeding. Information submitted, as well as relevant legal authorities,
   must be current and updated as necessary and in a timely manner at any time
   before a decision is rendered on the merits of the complaint.

   (h) Specific reference shall be made to any tariff provision relied on in
   support  of a claim or defense. Copies of relevant tariffs or relevant
   portions of tariffs that are referred to or relied upon in a complaint,
   answer, or other pleading shall be appended to such complaint, answer, or
   other pleading.

   (i) All statements purporting to summarize or explain Commission orders or
   policies must cite, in standard legal form, the Commission ruling upon which
   such statements are based.

   (j)  Pleadings shall identify the name, address, telephone number, and
   facsimile transmission number for either the filing party's attorney or,
   where a party is not represented by an attorney, the filing party.

   [ 53 FR 11852 , Apr. 11, 1988, as amended at  58 FR 25572 , Apr. 27, 1993;  63 FR 1035 , Jan. 7, 1998;  63 FR 41446 , Aug. 4, 1998;  64 FR 60725 , Nov. 8, 1999]

§ 1.721   Format and content of complaints.

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   (a)  Subject  to  paragraph (e) of this section governing supplemental
   complaints filed pursuant to §1.722, and paragraph (f) of this section
   governing Accelerated Docket proceedings, a formal complaint shall contain:

   (1) The name of each complainant and defendant;

   (2) The occupation, address and telephone number of each complainant and, to
   the extent known, each defendant;

   (3) The name, address, and telephone number of complainant's attorney, if
   represented by counsel;

   (4) Citation to the section of the Communications Act and/or order and/or
   regulation of the Commission alleged to have been violated.

   (5) A complete statement of facts which, if proven true, would constitute
   such a violation. All material facts must be supported, pursuant to the
   requirements of §1.720(c) and paragraph (a)(11) of this section, by relevant
   affidavits  and  documentation,  including  copies of relevant written
   agreements,   offers,   counter-offers,   denials,  or  other  related
   correspondence. The statement of facts shall include a detailed explanation
   of the manner and time period in which a defendant has allegedly violated
   the Act, Commission order, or Commission rule in question, including a full
   identification  or  description  of the communications, transmissions,
   services, or other carrier conduct complained of and the nature of any
   injury  allegedly  sustained  by  the complainant. Assertions based on
   information and belief are expressly prohibited unless made in good faith
   and accompanied by an affidavit explaining the basis for the plaintiff's
   belief and why the complainant could not reasonably ascertain the facts from
   the defendant or any other source;

   (6)  Proposed findings of fact, conclusions of law, and legal analysis
   relevant to the claims and arguments set forth in the complaint;

   (7) The relief sought, including recovery of damages and the amount of
   damages claimed, if known;

   (8) Certification that the complainant has, in good faith, discussed or
   attempted to discuss the possibility of settlement with each defendant prior
   to the filing of the formal complaint. Such certification shall include a
   statement that, prior to the filing of the complaint, the complainant mailed
   a certified letter outlining the allegations that form the basis of the
   complaint it anticipated filing with the Commission to the defendant carrier
   or one of the defendant's registered agents for service of process that
   invited a response within a reasonable period of time and a brief summary of
   all additional steps taken to resolve the dispute prior to the filing of the
   formal complaint. If no additional steps were taken, such certificate shall
   state  the  reason(s) why the complainant believed such steps would be
   fruitless;

   (9) Whether a separate action has been filed with the Commission, any court,
   or other government agency that is based on the same claim or same set of
   facts, in whole or in part, or whether the complaint seeks prospective
   relief identical to the relief proposed or at issue in a notice-and-comment
   proceeding that is concurrently before the Commission;

   (10) An information designation containing:

   (i) The name, address, and position of each individual believed to have
   firsthand  knowledge  of  the  facts alleged with particularity in the
   complaint,  along  with  a  description  of  the facts within any such
   individual's knowledge;

   (ii) A description of all documents, data compilations and tangible things
   in the complainant's possession, custody, or control, that are relevant to
   the facts alleged with particularity in the complaint. Such description
   shall include for each document:

   (A)  The  date  it  was  prepared,  mailed,  transmitted, or otherwise
   disseminated;

   (B) The author, preparer, or other source;

   (C) The recipient(s) or intended recipient(s);

   (D) Its physical location; and

   (E)  A  description  of  its relevance to the matters contained in the
   complaint; and

   (iii)  A  complete  description of the manner in which the complainant
   identified all persons with information and designated all documents, data
   compilations  and  tangible  things  as being relevant to the dispute,
   including, but not limited to, identifying the individual(s) that conducted
   the information search and the criteria used to identify such persons,
   documents, data compilations, tangible things, and information;

   (11) Copies of all affidavits, documents, data compilations and tangible
   things in the complainant's possession, custody, or control, upon which the
   complainant relies or intends to rely to support the facts alleged and legal
   arguments made in the complaint;

   (12) A completed Formal Complaint Intake Form;

   (13)  A  declaration,  under penalty of perjury, by the complainant or
   complainant's  counsel  describing the amount, method, and date of the
   complainant's payment of the filing fee required under §1.1106 and the
   complainant's 10-digit FCC Registration Number, if any;

   (14) A certificate of service; and

   (15)  A  FCC  Registration Number is required under Part 1, Subpart W.
   Submission of a complaint without the FCC Registration Number as required by
   Part 1, subpart W will result in dismissal of the complaint.

   (b) The following format may be used in cases to which it is applicable,
   with such modifications as the circumstances may render necessary:

   Before the Federal Communications Commission, Washington, DC 20554

   In the matter of
   ____________________

   Complainant,

       v.
   ____________________

   Defendant.

   File No. (To be inserted by the Enforcement Bureau)

   Complaint

   To: The Commission.

   The  complainant  (here insert full name of each complainant and, if a
   corporation, the corporate title of such complainant) shows that:

   1. (Here state occupation, post office address, and telephone number of each
   complainant).

   2. (Here insert the name, occupation and, to the extent known, address and
   telephone number of defendants).

   3. (Here insert fully and clearly the specific act or thing complained of,
   together with such facts as are necessary to give a full understanding of
   the matter, including relevant legal and documentary support).

   Wherefore, complainant asks (here state specifically the relief desired).
   ____________________

   (Date)
   ____________________

   (Name of each complainant)
   ____________________

   (Name, address, and telephone number of attorney, if any)

   (c) Where the complaint is filed pursuant 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 contained 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) Supplemental complaints filed pursuant to
   §1.722 shall conform to the requirements 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 complaints 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
   requirements of §1.720(c) and paragraph (a)(11) of this section, by relevant
   affidavits and other documentation. The statement of facts shall include a
   detailed  explanation  of  the  matters  relied upon, including a full
   identification  or  description  of the communications, transmissions,
   services, or other matters relevant to the calculation of damages and the
   nature of any injury allegedly sustained by the complainant. Assertions
   based on information and belief are expressly prohibited unless made in good
   faith  and  accompanied  by  an affidavit explaining the basis for the
   complainant's belief and why the complainant could not reasonably ascertain
   the facts from the defendant or any other source;

   (3)  Supplemental  complaints filed pursuant to §1.722 shall contain a
   certification  that  the  complainant has, in good faith, discussed or
   attempted to discuss the possibility of settlement with respect to damages
   for which recovery is sought with each defendant prior to the filing of the
   supplemental complaint. Such certification shall include a statement that,
   no  later  than  30 days after the release of the liability order, the
   complainant  mailed  a  certified letter to the primary individual who
   represented the defendant carrier during the initial complaint proceeding
   outlining the allegations that form the basis of the supplemental complaint
   it anticipates filing with the Commission and inviting a response from the
   carrier within a reasonable period of time. The certification shall also
   contain a brief summary of all additional steps taken to resolve the dispute
   prior to the filing of the supplemental complaint. If no additional steps
   were taken, such certification shall state the reason(s) why the complainant
   believed such steps would be fruitless.

   (f) Complaints on the Accelerated Docket. For the purpose of this paragraph
   (e), the term document also shall include data compilations and tangible
   things.

   (1) Formal complaints that have been accepted onto the Accelerated Docket
   shall conform to the requirements set out in this section with the following
   listed exceptions:

   (i) The requirement in §1.720(c) and paragraphs (a)(5) and (a)(11) of this
   section that factual assertions be supported by affidavit shall not apply to
   complaints on the Accelerated Docket. Nevertheless, allegations of material
   fact, whether based on personal knowledge or information and belief, that
   cannot be supported by documentation remain subject to the provisions of
   §1.52.

   (ii)  Complaints on the Accelerated Docket are not required to include
   proposed findings of fact, conclusions of law, and legal analysis relevant
   to the claims and arguments set forth in the complaint, as required in
   paragraph  (a)(6)  of  this  section.  Nevertheless, complaints on the
   Accelerated Docket shall fully set out the facts and legal theories on which
   the complainant premises its claims.

   (iii)  In  light  of  the  requirement for staff-supervised settlement
   negotiations in §1.730(b), complaints on the Accelerated Docket are not
   required to include a certification that the complainant has discussed or
   attempted to discuss the possibility of settlement with each defendant, as
   required in paragraph (a)(8) of this section.

   (iv) In light of the automatic document production required in §1.729(i)(1),
   complaints  on  the  Accelerated  Docket are not required to include a
   description of all relevant documents in the complainant's possession,
   custody or control, as required in paragraph (a)(10)(ii) of this section.

   (v) Complaints on the Accelerated Docket are not required to provide the
   description, required in paragraph (a)(10)(iii) of this section, of the
   manner in which the complainant identified persons with knowledge of, and
   documents relevant to, the dispute.

   (2) Formal complaints that have been accepted onto the Accelerated Docket
   will  comply  with  the  following  requirements  in addition to those
   requirements generally applicable in formal complaint proceedings:

   (i) As required in §1.729(i)(1), complaints on the Accelerated Docket shall
   be accompanied, when served on defendants, by copies of documents, within
   the complainant's possession, custody or control, that are likely to bear
   significantly  on the issues raised in the complaint. Unless otherwise
   directed, these documents shall not be filed with the Commission.

   (ii) Complaints on the Accelerated Docket will bear the following notation
   in bold typeface above the normal caption on the first page: “Accelerated
   Docket Proceeding: Answer Due Within Ten Days of Service Date.”

   [ 53 FR 11853 , Apr. 11, 1988, as amended at  63 FR 1035 , Jan. 7, 1998;  63 FR 41446 , Aug. 4, 1998;  64 FR 60725 , Nov. 8, 1999;  66 FR 16616 , Mar. 27, 2001;
    66 FR 47895 , Sept. 14, 2001;  69 FR 41130 , July 7, 2004]

§ 1.722   Damages.

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   (a) If a complainant wishes to recover damages, the complaint must contain a
   clear and unequivocal request for damages.

   (b) If a complainant wishes a determination of damages to be made in the
   same proceeding as the determinations of liability and prospective relief,
   the complaint must contain the allegations and information required by
   paragraph (h) of this section.

   (c) Notwithstanding paragraph (b) of this section, in any proceeding to
   which  no statutory deadline applies, if the Commission decides that a
   determination of damages would best be made in a proceeding that is separate
   from  and  subsequent to the proceeding in which the determinations of
   liability and prospective relief are made, the Commission may at any time
   order  that  the  initial proceeding will determine only liability and
   prospective relief, and that a separate, subsequent proceeding initiated in
   accordance with paragraph (e) of this section will determine damages.

   (d) If a complainant wishes a determination of damages to be made in a
   proceeding that is separate from and subsequent to the proceeding in which
   the  determinations  of liability and prospective relief are made, the
   complainant must:

   (1) Comply with paragraph (a) of this section, and

   (2)  State  clearly  and  unequivocally  that the complainant wishes a
   determination of damages to be made in a proceeding that is separate from
   and subsequent to the proceeding in which the determinations of liability
   and prospective relief will be made.

   (e) If a complainant proceeds pursuant to paragraph (d) of this section, or
   if the Commission invokes its authority under paragraph (c) of this section,
   the complainant may initiate a separate proceeding to obtain a determination
   of damages by filing a supplemental complaint that complies with §1.721(e)
   and paragraph (h) of this section within sixty days after public notice (as
   defined in §1.4(b) of this chapter) of a decision that contains a finding of
   liability on the merits of the original complaint.

   (f)  If  a  complainant  files a supplemental complaint for damages in
   accordance with paragraph (e) of this section, the supplemental complaint
   shall be deemed, for statutory limitations purposes, to relate back to the
   date of the original complaint.

   (g) Where a complainant chooses to seek the recovery of damages upon a
   supplemental complaint in accordance with the requirements of paragraph (e)
   of  this  section, the Commission will resolve the separate, preceding
   liability complaint within any applicable complaint resolution deadlines
   contained in the Act.

   (h) In all cases in which recovery of damages is sought, it shall be the
   responsibility of the complainant to include, within either the complaint or
   supplemental complaint for damages filed in accordance with paragraph (e) of
   this section, either:

   (1) A computation of each and every category of damages for which recovery
   is  sought, along with an identification of all relevant documents and
   materials or such other evidence to be used by the complainant to determine
   the amount of such damages; or

   (2) An explanation of:

   (i) The information not in the possession of the complaining party that is
   necessary to develop a detailed computation of damages;

   (ii) Why such information is unavailable to the complaining party;

   (iii) The factual basis the complainant has for believing that such evidence
   of; damages exists;

   (iv) A detailed outline of the methodology that would be used to create a
   computation of damages with such evidence.

   (i)  Where a complainant files a supplemental complaint for damages in
   accordance with paragraph (e) of this section, the following procedures may
   apply:

   (1)  Issues  concerning  the  amount, if any, of damages may be either
   designated by the Enforcement Bureau for hearing before, or, if the parties
   agree, submitted for mediation to, a Commission Administrative Law Judge.
   Such Administrative Law Judge shall be chosen in the following manner:

   (i) By agreement of the parties and the Chief Administrative Law Judge; or

   (ii) In the absence of such agreement, the Chief Administrative Law Judge
   shall designate the Administrative Law Judge.

   (2) The Commission may, in its discretion, order the defendant either to
   post a bond for, or deposit into an interest bearing escrow account, a sum
   equal to the amount of damages which the Commission finds, upon preliminary
   investigation, is likely to be ordered after the issue of damages is fully
   litigated,  or  some lesser sum which may be appropriate, provided the
   Commission finds that the grant of this relief is favored on balance upon
   consideration of the following factors:

   (i) The complainant's potential irreparable injury in the absence of such
   deposit;

   (ii) The extent to which damages can be accurately calculated;

   (iii)  The  balance  of  the hardships between the complainant and the
   defendant; and

   (iv) Whether public interest considerations favor the posting of the bond or
   ordering of the deposit.

   (3)  The  Commission  may,  in its discretion, suspend ongoing damages
   proceedings for fourteen days, to provide the parties with a time within
   which  to  pursue  settlement  negotiations and/or alternative dispute
   resolution procedures.

   (4) The Commission may, in its discretion, end adjudication of damages with
   a  determination of the sufficiency of a damages computation method or
   formula. No such method or formula shall contain a provision to offset any
   claim of the defendant against the complainant. The parties shall negotiate
   in good faith to reach an agreement on the exact amount of damages pursuant
   to the Commission-mandated method or formula. Within thirty days of the
   release date of the damages order, parties shall submit jointly to the
   Commission either:

   (i)  A  statement detailing the parties' agreement as to the amount of
   damages;

   (ii) A statement that the parties are continuing to negotiate in good faith
   and a request that the parties be given an extension of time to continue
   negotiations; or

   (iii) A statement detailing the bases for the continuing dispute and the
   reasons why no agreement can be reached.

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

   [ 66 FR 16616 , Mar. 27, 2001]

§ 1.723   Joinder of complainants and causes of action.

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   (a) Two or more complainants may join in one complaint if their respective
   causes of action are against the same defendant and concern substantially
   the same facts and alleged violation of the Communications Act.

   (b) Two or more grounds of complaint involving the same principle, subject,
   or  statement of facts may be included in one complaint, but should be
   separately stated and numbered.

   [ 53 FR 11853 , Apr. 11, 1988]

§ 1.724   Answers.

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   (a) Subject to paragraph (k) of this section governing Accelerated Docket
   proceedings, any carrier upon which a copy of a formal complaint is served
   shall answer such complaint in the manner prescribed under this section
   within twenty days of service of the formal complaint by the complainant,
   unless otherwise directed by the Commission.

   (b) The answer shall advise the complainant and the Commission fully and
   completely of the nature of any defense, and shall respond specifically to
   all material allegations of the complaint. Every effort shall be made to
   narrow the issues in the answer. The defendant shall state concisely its
   defense to each claim asserted, admit or deny the averments on which the
   complainant relies, and state in detail the basis for admitting or denying
   such averment. General denials are prohibited. Denials based on information
   and  belief  are  expressly  prohibited  unless made in good faith and
   accompanied by an affidavit explaining the basis for the defendant's belief
   and why the defendant could not reasonably ascertain the facts from the
   complainant or any other source. If the defendant is without knowledge or
   information sufficient to form a belief as to the truth of an averment, the
   defendant  shall  so state and this has the effect of a denial. When a
   defendant  intends in good faith to deny only part of an averment, the
   defendant shall specify so much of it as is true and shall deny only the
   remainder.  The defendant may deny the allegations of the complaint as
   specific denials of either designated averments or paragraphs.

   (c) The answer shall contain proposed findings of fact, conclusions of law,
   and legal analysis relevant to the claims and arguments set forth in the
   answer.

   (d) Averments in a complaint or supplemental complaint filed pursuant to
   §1.722 are deemed to be admitted when not denied in the answer.

   (e) Affirmative defenses to allegations contained in the complaint shall be
   specifically captioned as such and presented separately from any denials
   made in accordance with paragraph (c) of this section.

   (f) The answer shall include an information designation containing:

   (1) The name, address, and position of each individual believed to have
   firsthand knowledge of the facts alleged with particularity in the answer,
   along  with  a  description  of the facts within any such individual's
   knowledge;

   (2) A description of all documents, data compilations and tangible things in
   the defendant's possession, custody, or control, that are relevant to the
   facts alleged with particularity in the answer. Such description shall
   include for each document:

   (i)  The  date  it  was  prepared,  mailed,  transmitted, or otherwise
   disseminated;

   (ii) The author, preparer, or other source;

   (iii) The recipient(s) or intended recipient(s);

   (iv) Its physical location; and

   (v) A description of its relevance to the matters in dispute.

   (3) A complete description of the manner in which the defendant identified
   all persons with information and designated all documents, data compilations
   and tangible things as being relevant to the dispute, including, but not
   limited to, identifying the individual(s) that conducted the information
   search and the criteria used to identify such persons, documents, data
   compilations, tangible things, and information;

   (g)  The answer shall attach copies of all affidavits, documents, data
   compilations and tangible things in the defendant's possession, custody, or
   control, upon which the defendant relies or intends to rely to support the
   facts alleged and legal arguments made in the answer.

   (h) The answer shall contain certification that the defendant has, in good
   faith, discussed or attempted to discuss, the possibility of settlement with
   the  complainant  prior  to  the  filing of the formal complaint. Such
   certification shall include a brief summary of all steps taken to resolve
   the dispute prior to the filing of the formal complaint. If no such steps
   were taken, such certificate shall state the reason(s) why the defendant
   believed such steps would be fruitless;

   (i) Where the complaint is filed pursuant to 47 U.S.C. 271(d)(6)(B), the
   defendant  shall  clearly indicate its willingness to waive the 90-day
   resolution deadline contained within 47 U.S.C. 271(d)(6)(B), in accordance
   with the requirements 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 complaint
   shall answer such complaint in the manner prescribed under this section
   within ten days of service of the complaint by the complainant, unless
   otherwise directed by the Commission. Except as set forth in this paragraph
   (k),  answers  in Accelerated Docket proceedings shall comply with the
   requirements of this section.

   (2) The requirement in §1.720(c) and paragraph (g) of this section that
   factual assertions be supported by affidavit shall not apply to answers in
   Accelerated Docket proceedings. Nevertheless, allegations of material fact,
   whether based on personal knowledge or information and belief, that cannot
   be supported by documentation remain subject to the provisions of §1.52.

   (3) Answers on the Accelerated Docket are not required to include proposed
   findings of fact, conclusions of law, and legal analysis relevant to the
   defenses and arguments set forth in the answer, as required in paragraph (c)
   of this section. Nevertheless, answers on the Accelerated Docket shall fully
   set out the facts and legal theories on which the defendant premises its
   defenses.

   (4) In light of the requirement for staff-supervised settlement negotiations
   required in §1.730(b), answers on the Accelerated Docket are not required to
   include a certification that the defendant has discussed, or attempted to
   discuss, the possibility of settlement with the complainant, as required in
   paragraph (h) of this section.

   (5) As required in §1.729(i)(1), answers on the Accelerated Docket shall be
   accompanied, when served on complainants, by copies of documents, within the
   defendant's  possession,  custody  or control, that are likely to bear
   significantly on the issues raised in the proceeding. Unless otherwise
   directed, these documents shall not be filed with the Commission. In light
   of  this  automatic  document  production  requirement, answers on the
   Accelerated Docket are not required to include a description of all relevant
   documents in the defendant's possession, custody or control, as required in
   paragraph (f)(2) of this section.

   (6)  Answers on the Accelerated Docket are not required to provide the
   description, required in paragraph (f)(3) of this section, of the manner in
   which the defendant identified persons with knowledge of, and documents
   relevant to, the dispute.

   (7)  In  Accelerated Docket proceedings, the defendant, as required in
   §1.729(i)(1),  shall  serve,  contemporaneously  with  its answer, the
   complainant(s) with copies of documents, within the defendant's possession,
   custody or control, that are likely to bear significantly on the issues
   raised in the complaint and/or the answer.

   [ 53 FR 11853 , Apr. 11, 1988, as amended at  58 FR 25572 , Apr. 27, 1993;  63 FR 1037 , Jan. 7, 1998;  63 FR 41446 , Aug. 4, 1998;  66 FR 16617 , Mar. 27, 2001]

§ 1.725   Cross-complaints and counterclaims.

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   Cross-complaints  seeking  any  relief  within the jurisdiction of the
   Commission against any carrier that is a party (complainant or defendant) to
   that proceeding are expressly prohibited. Any claim that might otherwise
   meet  the requirements of a cross-complaint may be filed as a separate
   complaint in accordance with §§1.720 through 1.736. For purposes of this
   subpart, the term “cross-complaint” shall include counterclaims.

   [ 63 FR 1037 , Jan. 7, 1998]

§ 1.726   Replies.

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   (a) Subject to paragraph (g) of this section governing Accelerated Docket
   proceedings,  within  three days after service of an answer containing
   affirmative  defenses presented in accordance with the requirements of
   §1.724(e), a complainant may file and serve a reply containing statements of
   relevant, material facts and legal arguments that shall be responsive to
   only those specific factual allegations and legal arguments made by the
   defendant in support of its affirmative defenses. Replies which contain
   other allegations or arguments will not be accepted or considered by the
   Commission.

   (b) Failure to reply to an affirmative defense shall be deemed an admission
   of such affirmative defense and of any facts supporting such affirmative
   defense that are not specifically contradicted in the complaint.

   (c) The reply shall contain proposed findings of fact, conclusions of law,
   and legal analysis relevant to the claims and arguments set forth in the
   reply.

   (d) The reply shall include an information designation containing:

   (1) The name, address and position of each individual believed to have
   firsthand knowledge about the facts alleged with particularity in the reply,
   along  with  a  description  of the facts within any such individual's
   knowledge.

   (2) A description of all documents, data compilations and tangible things in
   the complainant's possession, custody, or control that are relevant to the
   facts  alleged with particularity in the reply. Such description shall
   include for each document:

   (i) The date prepared, mailed, transmitted, or otherwise disseminated;

   (ii) The author, preparer, or other source;

   (iii) The recipient(s) or intended recipient(s);

   (iv) Its physical location; and

   (v) A description of its relevance to the matters in dispute.

   (3) A complete description of the manner in which the complainant identified
   all persons with information and designated all documents, data compilations
   and tangible things as being relevant to the dispute, including, but not
   limited to, identifying the individual(s) that conducted the information
   search and the criteria used to identify such persons, documents, data
   compilations, tangible things, and information;

   (e)  The  reply shall attach copies of all affidavits, documents, data
   compilations and tangible things in the complainant's possession, custody,
   or control upon which the complainant relies or intends to rely to support
   the facts alleged and legal arguments made in the reply.

   (f) The complainant may petition the staff, pursuant 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 proceedings. Complainants in such
   proceedings 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 proceedings, the failure to reply, in the
   pre-status-conference filing, to an affirmative defense shall be deemed an
   admission of such affirmative defense and of any facts supporting such
   affirmative defense that are not specifically contradicted in the complaint.

   (3) If a complainant replies to an affirmative defense in its §1.733(i)(4),
   pre-status-conference  filing,  it  shall  include  in that filing the
   information, required by paragraph (d)(1) of this section, identifying
   individuals with firsthand knowledge of the facts alleged in the reply.

   (4) An Accelerated Docket complainant that replies to an affirmative defense
   in its §1.733(i)(4), pre-status-conference filing also shall serve on the
   defendant,  at  the  same  time as that filing, those documents in the
   complainant's  possession, custody or control that were not previously
   produced to the defendant and that are likely to bear significantly on the
   issues raised in the reply. Such a complainant is not required to comply
   with the remainder of the requirements in paragraphs (d) and (e) of this
   section.

   [ 63 FR 1037 , Jan. 7, 1998, as amended at  63 FR 41447 , Aug. 4, 1998;  66 FR 16617 , Mar. 27, 2001]

§ 1.727   Motions.

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   (a) A request to the Commission for an order shall be by written motion,
   stating with particularity the grounds and authority therefor, and setting
   forth the relief or order sought.

   (b) All dispositive motions shall contain proposed findings of fact and
   conclusions of law, with supporting legal analysis, relevant to the contents
   of the pleading. Motions to compel discovery must contain a certification by
   the moving party that a good faith attempt to resolve the dispute was made
   prior  to  filing the motion. All facts relied upon in motions must be
   supported by documentation or affidavits pursuant to the requirements of
   §1.720(c), except for those facts of which official notice may be taken.

   (c) The moving party shall provide a proposed order for adoption, which
   appropriately incorporates the basis therefor, including proposed findings
   of fact and conclusions of law relevant to the pleading. The proposed order
   shall be clearly marked as a “Proposed Order.” The proposed order shall be
   submitted both as a hard copy and on computer disk in accordance with the
   requirements of §1.734(d). Where appropriate, the proposed order format
   should conform to that of a reported FCC order.

   (d) Oppositions to any motion shall be accompanied by a proposed order for
   adoption, which appropriately incorporates the basis therefor, including
   proposed findings of fact and conclusions of law relevant to the pleading.
   The proposed order shall be clearly captioned as a “Proposed Order.” The
   proposed order shall be submitted both as a hard copy and on computer disk
   in accordance with the requirements of §1.734(d). Where appropriate, the
   proposed order format should conform to that of a reported FCC order.

   (e) Oppositions to motions may be filed and served within five business days
   after the motion is filed and served and not after. Oppositions shall be
   limited to the specific issues and allegations contained in such motion;
   when a motion is incorporated in an answer to a complaint, the opposition to
   such motion shall not address any issues presented in the answer that are
   not also specifically raised in the motion. Failure to oppose any motion may
   constitute grounds for granting of the motion.

   (f) No reply may be filed to an opposition to a motion.

   (g) Motions seeking an order that the allegations in the complaint be made
   more definite and certain are prohibited.

   (h) Amendments or supplements to complaints to add new claims or requests
   for  relief  are prohibited. Parties are responsible, however, for the
   continuing accuracy and completeness of all information and supporting
   authority furnished in a pending complaint proceeding as required 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 pleadings.

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   (a) Any document purporting to be a formal complaint which does not state a
   cause of action under the Communications Act will be dismissed. In such
   case, any amendment or supplement to such document will be considered a new
   filing which must be made within the statutory periods of limitations of
   actions contained in section 415 of the Communications Act.

   (b)  Any  other pleading filed in a formal complaint proceeding not in
   conformity with the requirements of the applicable rules in this part may be
   deemed defective. In such case the Commission may strike the pleading or
   request that specified defects be corrected and that proper pleadings be
   filed with the Commission and served on all parties within a prescribed time
   as a condition to being made a part of the record in the proceeding.

   [ 53 FR 11854 , Apr. 11, 1988]

§ 1.729   Discovery.

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   (a) Subject to paragraph (i) of this section governing Accelerated Docket
   proceedings, a complainant may file with the Commission and serve on a
   defendant, concurrently with its complaint, a request for up to ten written
   interrogatories. A defendant may file with the Commission and serve on a
   complainant, during the period starting with the service of the complaint
   and ending with the service of its answer, a request for up to ten written
   interrogatories. A complainant may file with the Commission and serve on a
   defendant, within three calendar days of service of the defendant's answer,
   a  request  for  up  to  five written interrogatories. Subparts of any
   interrogatory will be counted as separate interrogatories for purposes of
   compliance with this limit. Requests for interrogatories filed and served
   pursuant  to  this  procedure  may  be  used  to seek discovery of any
   non-privileged matter that is relevant to the material facts in dispute in
   the pending proceeding, provided, however, that requests for interrogatories
   filed and served by a complainant after service of the defendant's answer
   shall  be limited in scope to specific factual allegations made by the
   defendant in support of its affirmative defenses. This procedure may not be
   employed for the purpose of delay, harassment or obtaining information that
   is beyond the scope of permissible inquiry related to the material facts in
   dispute in the pending proceeding.

   (b) Requests for interrogatories filed and served pursuant to paragraph (a)
   of this section shall contain a listing of the interrogatories requested and
   an explanation of why the information sought in each interrogatory is both
   necessary to the resolution of the dispute and not available from any other
   source.

   (c) A responding party shall file with the Commission and serve on the
   propounding  party  any  opposition and objections to the requests for
   interrogatories as follows:

   (1) By the defendant, within ten calendar days of service of the requests
   for interrogatories served simultaneously with the complaint and within five
   calendar days of the requests for interrogatories served following service
   of the answer;

   (2) By the complainant, within five calendar days of service of the requests
   for interrogatories; and

   (3) In no event less than three calendar days prior to the initial status
   conference as provided for in §1.733(a).

   (d)  Commission  staff will consider the requests for interrogatories,
   properly filed and served pursuant to paragraph (a) of this section, along
   with  any objections or oppositions thereto, properly filed and served
   pursuant to paragraph (b) of this section, at the initial status conference,
   as  provided  for  in  §1.733(a)(5),  and  at  that time determine the
   interrogatories,  if  any, to which parties shall respond, and set the
   schedule of such response.

   (e) The interrogatories ordered to be answered pursuant to paragraph (d) of
   this section are to be answered separately and fully in writing under oath
   or affirmation by the party served, or if such party is a public or private
   corporation or partnership or association, by any officer or agent who shall
   furnish such information as is available to the party. The answers shall be
   signed  by the person making them. The answers shall be filed with the
   Commission and served on the propounding party.

   (f) A propounding party asserting that a responding party has provided an
   inadequate or insufficient response to Commission-ordered discovery request
   may file a motion to compel within ten days of the service of such response,
   or as otherwise directed by Commission staff, pursuant to the requirements
   of §1.727.

   (g)  The Commission may, in its discretion, require parties to provide
   documents to the Commission in a scanned or other electronic format that
   provides:

   (1) Indexing by useful identifying information about the documents; and

   (2) Technology that allows staff to annotate the index so as to make the
   format an efficient means of reviewing the documents.

   (h)  The Commission may allow additional discovery, including, but not
   limited   to,   document  production,  depositions  and/or  additional
   interrogatories. In its discretion, the Commission may modify the scope,
   means and scheduling of discovery in light of the needs of a particular case
   and the requirements of applicable statutory deadlines.

   (i)  Discovery in Accelerated Docket proceedings. (1) Each party to an
   Accelerated Docket proceeding shall serve, with its initial pleading and
   with  any  reply  statements  in the pre-status-conference filing (see
   §1.726(g)(1)), copies of all documents in the possession, custody or control
   of the party that are likely to bear significantly on any claim or defense.
   For the purpose of this paragraph (i), document also shall include data
   compilations and tangible things. A document is likely to bear significantly
   on a claim or defense if it:

   (i) Appears likely to have an influence on, or affect the outcome of, a
   claim or defense;

   (ii) Reflects the relevant knowledge of persons who, if their potential
   testimony were known, might reasonably be expected to be deposed or called
   as a witness by any of the parties;

   (iii)  Is  something  that competent counsel would consider reasonably
   necessary to prepare, evaluate or try a claim or defense; or

   (iv) Would not support the disclosing party's contentions.

   (2)  In  their  §1.733(i)(4) pre-status-conference 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 depositions of expert
   witnesses, if any. When requesting additional discovery, each party shall be
   prepared at the status conference to justify its requests by identifying the
   specific issue or issues on which it expects to obtain evidence from each
   request.

   (3) Interrogatories shall not be routinely granted in Accelerated Docket
   proceedings.  A party to an Accelerated Docket proceeding that prefers
   interrogatories to the other forms of available discovery, for reasons of
   convenience   or   expense,   may   seek  leave  in  its  §1.733(i)(4)
   pre-status-conference   filing   to   propound  a  limited  number  of
   interrogatories.

   (4) Expert Witnesses.

   (i) Any complainant in an Accelerated Docket proceeding that intends to rely
   on expert testimony for a purpose other than to rebut a defendant's expert
   evidence, shall identify its expert witnesses in the information designation
   required  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 statement shall include a brief
   statement of the opinions to be expressed by the expert, the basis and
   reasons  therefor  and  any data or other information that the witness
   considered in forming her opinions.

   (ii) Any defendant in an Accelerated Docket proceeding that intends to rely
   on expert testimony shall identify its expert witnesses in the information
   designation required by §1.724(f)(1). Such a defendant shall provide its
   expert statement with its §1.733(i)(4), pre-status-conference filing.

   (iii) Any complainant in an Accelerated Docket proceeding that intends to
   rely on previously undisclosed expert testimony to rebut any portion of the
   defendant's case shall identify the expert and provide the appropriate
   expert statement at the initial status conference.

   (iv) Expert witnesses shall be subject to deposition in Accelerated Docket
   proceedings  under  the  same rules and limitations applicable to fact
   witnesses.

   [ 63 FR 1038 , Jan. 7, 1998, as amended at  63 FR 41447 , Aug. 4, 1998]

§ 1.730   The Enforcement Bureau's Accelerated Docket.

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   (a) Parties to formal complaint proceedings against common carriers within
   the responsibility of the Enforcement Bureau (see §§0.111, 0.311, 0.314 of
   this chapter) may request inclusion 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
   Enforcement Bureau.

   (b) Any party that contemplates filing a formal complaint may submit a
   request to the Chief of the Enforcement Bureau's Market Disputes Resolution
   Division, either by phone or in writing, seeking inclusion of its complaint,
   once filed, on the Accelerated Docket. In appropriate cases, Commission
   staff  shall schedule and supervise pre-filing settlement negotiations
   between the parties to the dispute. If the parties do not resolve their
   dispute and the matter is accepted for handling on the Accelerated Docket,
   the complainant shall file its complaint with a letter stating that it has
   gained admission to the Accelerated Docket. When it files its complaint,
   such  a  complainant  shall  also serve a copy of its complaint on the
   Commission staff that supervised the pre-filing settlement discussions.

   (c) Within five days of receiving service of a complaint, any defendant in a
   formal complaint proceeding may submit by facsimile or hand delivery, to the
   Chief of the Enforcement Bureau's Market Disputes Resolution Division, a
   request seeking inclusion of its proceeding on the Accelerated Docket. Such
   a defendant contemporaneously shall transmit, in the same manner, a copy of
   its request to all parties to the proceeding. A defendant submitting such a
   request shall file and serve its answer in compliance with the requirements
   of §1.724(k), except that the defendant shall not be required to serve with
   its answer the automatic document production required by §§1.724(k)(7) and
   1.729(i)(1).  In proceedings accepted onto the Accelerated Docket at a
   defendant's request, the Commission staff will conduct supervised settlement
   discussions as appropriate. After accepting such a proceeding onto the
   Accelerated Docket, Commission staff will establish a schedule for the
   remainder of the proceeding, including the parties' §1.729(i)(1) automatic
   production of documents.

   (d) During the thirty days following the effective date of these rules, any
   party to a pending formal complaint proceeding in which an answer has been
   filed or is past due may seek admission of the proceeding to the Accelerated
   Docket by submitting a request by facsimile or hand delivery to the Chief of
   the Enforcement Bureau's Market Disputes Resolution Division, with facsimile
   copies  to  all  other  parties  to the proceeding by the same mode of
   transmission. If a pending proceeding is accepted onto the Accelerated
   Docket, Commission staff will conduct supervised settlement discussions if
   appropriate and establish a schedule for the remainder of the proceeding,
   including the parties' §1.729(i)(1) automatic production of documents if
   necessary.

   (e)  In determining whether to admit a proceeding onto the Accelerated
   Docket,  Commission  staff  may  consider  factors from the following,
   non-exclusive list:

   (1) Whether it appears that the parties to the dispute have exhausted the
   reasonable  opportunities  for  settlement during the staff-supervised
   settlement discussions.

   (2) Whether the expedited resolution of a particular dispute or category of
   disputes appears likely to advance competition in the telecommunications
   market.

   (3) Whether the issues in the proceeding appear suited for decision under
   the constraints of the Accelerated Docket. This factor may entail, inter
   alia, examination of the number of distinct issues raised in a proceeding,
   the  likely  complexity  of  the  necessary discovery, and whether the
   complainant  bifurcates  any damages claims for decision in a separate
   proceeding. See §1.722(b).

   (4) Whether the complainant states a claim for violation of the Act, or
   Commission rule or order that falls within the Commission's jurisdiction.

   (5) Whether it appears that inclusion of a proceeding on the Accelerated
   Docket would be unfair to one party because of an overwhelming disparity in
   the parties' resources.

   (6) Such other factors as the Commission staff, within its substantial
   discretion,  may deem appropriate and conducive to the prompt and fair
   adjudication of complaint proceedings.

   (f) If it appears at any time that a proceeding on the Accelerated Docket is
   no longer appropriate for such treatment, Commission staff may remove the
   matter  from the Accelerated Docket either on its own motion or at the
   request of any party.

   (g) Minitrials.

   (1)  In  Accelerated  Docket proceedings, the Commission may conduct a
   minitrial, or hearing-type proceeding, as an alternative to requiring that
   parties submit briefs in support of their cases. Minitrials typically will
   take place between 40 and 45 days after the filing of the complaint. A
   Commission Administrative Law Judge (“ALJ”) typically will preside at the
   minitrial, administer oaths to witnesses, and time the parties' presentation
   of their cases. In consultation with the Commission staff, the ALJ will rule
   on objections or procedural issues that may arise during the course of the
   minitrial.

   (2) Before a minitrial, each party will receive a specific time allotment in
   which it may present evidence and make argument during the minitrial. The
   ALJ or other Commission staff presiding at the minitrial will deduct from
   each party's time allotment any time that the party spends presenting either
   evidence or argument during the proceeding. The presiding official shall
   have broad discretion in determining any time penalty or deduction for a
   party who appears to be intentionally delaying either the proceeding or the
   presentation of another party's case. Within the limits imposed by its time
   allotment, a party may present evidence and argument in whatever manner or
   format  it  chooses, provided, however, that the submission of written
   testimony shall not be permitted.

   (3) Three days before a minitrial, each party to a proceeding shall serve on
   all other parties a copy of all exhibits that the party intends to introduce
   during  the  minitrial  and  a list of all witnesses, including expert
   witnesses, that the party may call during the minitrial. Service of this
   material shall be accomplished either by hand or by facsimile transmission.
   Objections to any exhibits or proposed witness testimony will be heard
   before the beginning of the minitrial.

   (4) No party will be permitted to call as a witness in a minitrial, or
   otherwise offer evidence from, an individual in that party's employ, unless
   the  individual  appears  on  the party's information designation (see
   §§1.721(a)(10)(i) or 1.724(f)(1)) with a general description of the issues
   on which she will offer evidence. No party will be permitted to present
   expert   evidence  unless  the  party  has  complied  fully  with  the
   expert-disclosure requirements of §1.729(i)(4). The Commission may permit
   exceptions to the rules in this paragraph (g)(4) for good cause shown.

   (5) Two days before the beginning of the minitrial, parties shall file
   proposed findings of fact and conclusions of law. These submissions shall
   not exceed 40 pages per party. Within three days after the conclusion of the
   minitrial,  parties  may  submit revised proposed findings of fact and
   conclusions of law to meet evidence introduced or arguments raised at the
   minitrial. These submissions shall not exceed 20 pages per party.

   (6)  The  parties  shall arrange for the stenographic transcription of
   minitrial proceedings so that transcripts are available and filed with the
   Commission no more than three days after the conclusion of the minitrial.
   Absent an agreement to the contrary, the cost of the transcript shall be
   shared equally between the parties to the proceeding.

   (h) Applications for review of staff decisions issued on delegated authority
   in Accelerated Docket proceedings shall comply with the filing and service
   requirements in §1.115(e)(4). In those Accelerated Docket proceedings which
   raise issues that may not be decided on delegated authority (see 47 U.S.C.
   155(c)(1); 47 CFR 0.291(d)), the staff decision issued after the minitrial
   will be a recommended decision subject to adoption or modification by the
   Commission. Any party to the proceeding that seeks modification of the
   recommended decision may do so by filing comments challenging the decision
   within 15 days of its release by the Commission's Office of Media Relations.
   (Compare §1.4(b)(2).) Opposition comments may be filed within 15 days of the
   comments challenging the decision; reply comments may be filed 10 days
   thereafter and shall be limited to issues raised in the opposition comments.

   (i) If no party files comments challenging the recommended decision, the
   Commission will issue its decision adopting or modifying the recommended
   decision within 45 days of its release. If parties to the proceeding file
   comments to the recommended decision, the Commission will issue its decision
   adopting or modifying the recommended decision within 30 days of the filing
   of the final comments.

   [ 63 FR 41448 , Aug. 4, 1998, as amended at  64 FR 60725 , Nov. 8, 1999]

§ 1.731   Confidentiality of information produced or exchanged by the parties.

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   (a) Any materials generated in the course of a formal complaint proceeding
   may be designated as proprietary by that party if the party believes in good
   faith that the materials fall within an exemption to disclosure contained in
   the Freedom of Information Act (FOIA), 5 U.S.C. 552(b) (1) through (9). Any
   party asserting confidentiality for such materials shall so indicate by
   clearly marking each page, or portion thereof, for which a proprietary
   designation is claimed. If a proprietary designation is challenged, the
   party claiming confidentiality shall have the burden of demonstrating, by a
   preponderance of the evidence, that the material designated as proprietary
   falls under the standards for nondisclosure enunciated in the FOIA.

   (b) Materials marked as proprietary may be disclosed solely to the following
   persons, only for use in prosecuting or defending a party to the complaint
   action, and only to the extent necessary to assist in the prosecution or
   defense of the case:

   (1) Counsel of record representing the parties in the complaint action and
   any support personnel employed by such attorneys;

   (2)  Officers  or employees of the opposing party who are named by the
   opposing party as being directly involved in the prosecution or defense of
   the case;

   (3) Consultants or expert witnesses retained by the parties;

   (4) The Commission and its staff; and

   (5) Court reporters and stenographers in accordance with the terms and
   conditions of this section.

   (c)  These  individuals  shall  not disclose information designated as
   proprietary  to any person who is not authorized under this section to
   receive such information, and shall not use the information in any activity
   or function other than the prosecution or defense in the case before the
   Commission. Each individual who is provided access to the information shall
   sign a notarized statement affirmatively stating that the individual has
   personally reviewed the Commission's rules and understands the limitations
   they impose on the signing party.

   (d) No copies of materials marked proprietary may be made except copies to
   be used by persons designated in paragraph (b) of this section. Each party
   shall maintain a log recording the number of copies made of all proprietary
   material and the persons to whom the copies have been provided.

   (e) Upon termination of a formal complaint proceeding, including all appeals
   and petitions, all originals and reproductions of any proprietary materials,
   along with the log recording persons who received copies of such materials,
   shall  be  provided  to  the  producing party. In addition, upon final
   termination of the complaint proceeding, any notes or other work product
   derived in whole or in part from the proprietary materials of an opposing or
   third party shall be destroyed.

   [ 58 FR 25573 , Apr. 27, 1993, as amended at  63 FR 1039 , Jan. 7, 1998]

§ 1.732   Other required written submissions.

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   (a) The Commission may, in its discretion, or upon a party's motion showing
   good cause, require the parties to file briefs summarizing the facts and
   issues presented in the pleadings and other record evidence.

   (b) Unless otherwise directed by the Commission, all briefs shall include
   all  legal and factual claims and defenses previously set forth in the
   complaint, answer, or any other pleading submitted in the proceeding. Claims
   and defenses previously made but not reflected in the briefs will be deemed
   abandoned. The Commission may, in its discretion, limit the scope of any
   briefs to certain subjects or issues. A party shall attach to its brief
   copies of all documents, data compilations, tangible things, and affidavits
   upon which such party relies or intends to rely to support the facts alleged
   and legal arguments made in its brief and such brief shall contain a full
   explanation of how each attachment is relevant to the issues and matters in
   dispute.  All  such  attachments  to  a brief shall be documents, data
   compilations or tangible things, or affidavits made by persons, that were
   identified by any party in its information designations filed pursuant to
   §§1.721(a)(10)(i),  (a)(10)(ii), 1.724(f)(1), (f)(2), and 1.726(d)(1),
   (d)(2). Any other supporting documentation or affidavits that is attached to
   a brief must be accompanied by a full explanation of the relevance of such
   materials and why such materials were not identified in the information
   designations. These briefs shall contain the proposed findings of fact and
   conclusions of law which the filing party is urging the Commission to adopt,
   with specific citation to the record, and supporting relevant authority and
   analysis.

   (c) In cases in which discovery is not conducted, absent an order by the
   Commission that briefs be filed, parties may not submit briefs. If the
   Commission does authorize the filing of briefs in cases in which discovery
   is not conducted, briefs shall be filed concurrently by both the complainant
   and defendant at such time as designated by the Commission staff and in
   accordance with the provisions of this section.

   (d)  In  cases  in which discovery is conducted, briefs shall be filed
   concurrently by both the complainant and defendant at such time designated
   by the Commission staff.

   (e) Briefs containing information which is claimed by an opposing or third
   party to be proprietary under §1.731 shall be submitted to the Commission in
   confidence  pursuant to the requirements of §0.459 of this chapter and
   clearly marked “Not for Public Inspection.” An edited version removing all
   proprietary data shall also be filed with the Commission for inclusion in
   the public file. Edited versions shall be filed within five days from the
   date the unedited brief is submitted, and served on opposing parties.

   (f) Initial briefs shall be no longer than twenty-five pages. Reply briefs
   shall be no longer than ten pages. Either on its own motion or upon proper
   motion by a party, the Commission staff may establish other page limits for
   briefs.

   (g)  The  Commission  may require the parties to submit any additional
   information  it  deems  appropriate  for a full, fair, and expeditious
   resolution of the proceeding, including affidavits and exhibits.

   (h) The parties shall submit a joint statement of stipulated facts, disputed
   facts, and key legal issues no later than two business days prior to the
   initial status conference, scheduled in accordance with the provisions 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.

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   (a) In any complaint proceeding, the Commission may, in its discretion,
   direct the attorneys and/or the parties to appear before it for a status
   conference.  Unless  otherwise ordered by the Commission, and with the
   exception of Accelerated Docket proceedings, governed by paragraph (i) of
   this section, an initial status conference shall take place, at the time and
   place designated by the Commission staff, ten business days after the date
   the answer is due to be filed. A status conference may include discussion
   of:

   (1) Simplification or narrowing of the issues;

   (2) The necessity for or desirability of additional pleadings or evidentiary
   submissions;

   (3) Obtaining admissions of fact or stipulations between the parties as to
   any or all of the matters in controversy;

   (4) Settlement of all or some of the matters in controversy by agreement of
   the parties;

   (5) Whether discovery is necessary and, if so, the scope, type and schedule
   for such discovery;

   (6) The schedule for the remainder of the case and the dates for any further
   status conferences; and

   (7) Such other matters that may aid in the disposition of the complaint.

   (b)(1) Subject to paragraph (i) of this section governing Accelerated Docket
   proceedings, parties shall meet and confer prior to the initial status
   conference to discuss:

   (i) Settlement prospects;

   (ii) Discovery;

   (iii) Issues in dispute;

   (iv) Schedules for pleadings;

   (v) Joint statement of stipulated facts, disputed facts, and key legal
   issues; and

   (vi) In a 47 U.S.C. 271(d)(6)(B) proceeding, whether or not the parties
   agree to waive the 47 U.S.C. 271(d)(6)(B) 90-day resolution deadline.

   (2) Subject to paragraph (i) of this section governing Accelerated Docket
   proceedings, parties shall submit a joint statement of all proposals agreed
   to and disputes remaining as a result of such meeting to Commission staff at
   least two business days prior to the scheduled initial status conference.

   (c) In addition to the initial status conference referenced in paragraph (a)
   of this section, any party may also request that a conference be held at any
   time after the complaint has been filed.

   (d) During a status conference, the Commission staff may issue oral rulings
   pertaining to a variety of interlocutory matters relevant to the conduct of
   a formal complaint proceeding including, inter alia, procedural matters,
   discovery, and the submission of briefs or other evidentiary materials.

   (e)  Parties  may  make, upon written notice to the Commission and all
   attending  parties  at  least  three business days prior to the status
   conference, an audio recording of the Commission staff's summary of its oral
   rulings. Alternatively, upon agreement among all attending parties and
   written notice to the Commission at least three business days prior to the
   status conference, the parties may make an audio recording of, or use a
   stenographer to transcribe, the oral presentations and exchanges between and
   among  the  participating  parties, insofar as such communications are
   “on-the-record”  as determined by the Commission staff, as well as the
   Commission staff's summary of its oral rulings. A complete transcript of any
   audio  recording or stenographic transcription shall be filed with the
   Commission as part of the record, pursuant to the provisions of paragraph
   (f)(2) of this section. The parties shall make all necessary arrangements
   for  the  use  of a stenographer and the cost of transcription, absent
   agreement to the contrary, will be shared equally by all parties that agree
   to make the record of the status conference.

   (f) The parties in attendance, unless otherwise directed, shall either:

   (1) Submit a joint proposed order memorializing the oral rulings made during
   the conference to the Commission by 5:30 pm, Eastern Time, on the business
   day following the date of the status conference, or as otherwise directed by
   Commission  staff. In the event the parties in attendance cannot reach
   agreement as to the rulings that were made, the joint proposed order shall
   include the rulings on which the parties agree, and each party's alternative
   proposed rulings for those rulings on which they cannot agree. Commission
   staff will review and make revisions, if necessary, prior to signing and
   filing the submission as part of the record. The proposed order shall be
   submitted both as hard copy and on computer disk in accordance with the
   requirements 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
   following the status conference or as otherwise directed by Commission staff
   either:

   (i) A transcript of the audio recording of the Commission staff's summary of
   its oral rulings;

   (ii) A transcript of the audio recording of the oral presentations and
   exchanges between and among the participating parties, insofar as such
   communications are “on-the-record” as determined by the Commission staff,
   and the Commission staff's summary of its oral rulings; or

   (iii) A stenographic transcript of the oral presentations and exchanges
   between and among the participating parties, insofar as such communications
   are  “on-the-record”  as  determined  by the Commission staff, and the
   Commission staff's summary of its oral rulings.

   (g) Status conferences will be scheduled by the Commission staff at such
   time and place as it may designate to be conducted in person or by telephone
   conference call.

   (h) The failure of any attorney or party, following reasonable notice, to
   appear at a scheduled conference will be deemed a waiver by that party and
   will not preclude the Commission staff from conferring with those parties
   and/or counsel present.

   (i) Accelerated Docket Proceedings. (1) In Accelerated Docket proceedings,
   the initial status conference will be held 10 days after the answer is due
   to be filed.

   (2) Prior to the initial status conference, the parties shall confer, either
   in person or by telephone, about:

   (i) Discovery to which they can agree;

   (ii) Facts to which they can stipulate; and

   (iii) Factual and legal issues in dispute.

   (3)  Two  days  before  the status conference, parties shall submit to
   Commission staff a joint statement of:

   (i) The agreements that they have reached with respect to discovery;

   (ii) The facts to which they have agreed to stipulate; and

   (iii) The disputed facts or legal issues of which they can agree to a joint
   statement.

   (4) Two days before the status conference, each party also shall submit to
   Commission staff a separate statement which shall include, as appropriate,
   the party's statement of the disputed facts and legal issues presented by
   the complaint proceeding and any additional discovery that the party seeks.
   A complainant that wishes to reply to a defendant's affirmative defense
   shall do so in its pre-status-conference filing. To the extent that this
   filing  contains  statements  replying  to an affirmative defense, the
   complainant shall include, and/or serve with the statement, the witness
   information and documents required 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;
subscription.

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   (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 defenses in complaints and answers shall be
   made in numbered paragraphs. The contents of each paragraph shall be limited
   as far as practicable to a statement of a single set of circumstances. Each
   claim founded on a separate transaction or occurrence and each affirmative
   defense shall be separately stated to facilitate the clear presentation of
   the matters set forth.

   (c) The original of all pleadings and other submissions filed by any party
   shall be signed by the party, or by the party's attorney. The signing party
   shall  include  in  the document his or her address, telephone number,
   facsimile number and the date on which the document was signed. Copies
   should be conformed to the original. Unless specifically required by rule or
   statute, pleadings need not be verified. The signature of an attorney or
   party  shall  be a certificate that the attorney or party has read the
   pleading, motion, or other paper; that to the best of his or her knowledge,
   information, and belief formed after reasonable inquiry, it is well grounded
   in fact and is warranted by existing law or a good faith argument for the
   extension, modification, or reversal of existing law; and that it is not
   interposed solely for purposes of delay or for any other improper purpose.

   (d)  All proposed orders shall be submitted both as hard copies and on
   computer disk formatted to be compatible with the Commission's computer
   system and using the Commission's current wordprocessing software. Each disk
   should  be  submitted in “read only” mode. Each disk should be clearly
   labelled with the party's name, proceeding, type of pleading, and date of
   submission. Each disk should be accompanied by a cover letter. Parties who
   have submitted copies of tariffs or reports with their hard copies need not
   include such tariffs or reports on the disk. Upon showing of good cause, the
   Commission may waive the requirements of this paragraph.

   [ 53 FR 11855 , Apr. 11, 1988. Redesignated at  58 FR 25573 , Apr. 27, 1993, as
   amended at  63 FR 1040 , Jan. 7, 1998]

§ 1.735   Copies; service; separate filings against multiple defendants.

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   (a) Complaints may generally be brought against only one named carrier; such
   actions may not be brought against multiple defendants unless the defendant
   carriers are commonly owned or controlled, are alleged to have acted in
   concert, are alleged to be jointly liable to complainant, or the complaint
   concerns  common questions of law or fact. Complaints may, however, be
   consolidated by the Commission for disposition.

   (b)  The  complainant  shall  file  an original copy of the complaint,
   accompanied by the correct fee, in accordance with part 1, subpart G (see
   §1.1106) and, on the same day:

   (1) File three copies of the complaint with the Office of the Commission
   Secretary;

   (2) Serve two copies on the Market Disputes Resolution Division, Enforcement
   Bureau;

   (3) If the complaint is filed against a carrier concerning matters within
   the responsibility of the International Bureau (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
   additional defendant.

   (c) Generally, a separate file is set up for each defendant. An original
   plus two copies shall be filed of all pleadings and documents, other than
   the complaint, for each file number assigned.

   (d) The complainant shall serve the complaint by hand delivery on either the
   named  defendant or one of the named defendant's registered agents for
   service of process on the same date that the complaint is filed with the
   Commission in accordance with the requirements of paragraph (b) of this
   section.

   (e) Upon receipt of the complaint by the Commission, the Commission shall
   promptly send, by facsimile transmission to each defendant named in the
   complaint, notice of the filing of the complaint. The Commission shall send,
   by regular U.S. mail delivery, to each defendant named in the complaint, a
   copy of the complaint. The Commission shall additionally send, by regular
   U.S. mail to all parties, a schedule detailing the date the answer will be
   due and the date, time and location of the initial status conference.

   (f)  All subsequent pleadings and briefs filed in any formal complaint
   proceeding, as well as all letters, documents or other written submissions,
   shall be served by the filing party on the attorney of record for each party
   to the proceeding, or, where a party is not represented by an attorney, each
   party to the proceeding either by hand delivery, overnight delivery, or by
   facsimile transmission followed by regular U.S. mail delivery, together with
   a proof of such service in accordance with the requirements 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 recipient after 5:30 pm, local time of the recipient, on a
   business day will be deemed served on the following business day;

   (2) Service by overnight delivery will be deemed served the business day
   following the day it is accepted for overnight delivery by a reputable
   overnight delivery service such as, or comparable to, the US Postal Service
   Express Mail, United Parcel Service or Federal Express; or

   (3) Service by facsimile transmission that is fully transmitted to the
   office  of the recipient by 5:30 pm, local time of the recipient, on a
   business  day  will  be  deemed  served that day. Service by facsimile
   transmission that is fully transmitted to the office of the recipient after
   5:30 pm, local time of the recipient, on a business day will be deemed
   served on the following business day.

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

   [ 53 FR 11855 , Apr. 11, 1988. Redesignated and amended at  58 FR 25573 , 25574,
   Apr. 27, 1993, as amended at  63 FR 1040 , Jan. 7, 1998;  64 FR 60726 , Nov. 8,
   1999;  66 FR 16617 , Mar. 27, 2001;  67 FR 13223 , Mar. 21, 2002;  69 FR 41130 ,
   July 7, 2004]

§ 1.736   Complaints filed pursuant to 47 U.S.C. 271(d)(6)(B).

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   (a) Where a complaint is filed pursuant to 47 U.S.C. 271(d)(6)(B), parties
   shall indicate whether they are willing to waive the ninety-day resolution
   deadline contained in 47 U.S.C. 271(d)(6)(B) in the following manner:

   (1) The complainant shall so indicate in both the complaint itself and in
   the Formal Complaint Intake Form, and the defendant shall so indicate in its
   answer; or

   (2) The parties shall indicate their agreement to waive the ninety-day
   resolution  deadline  to  the  Commission  staff at the initial status
   conference, to be held in accordance 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
   Commission staff subsequent to the initial status conference, absent a
   showing by the complainant and defendant that such waiver is in the public
   interest.

   [ 63 FR 1041 , Jan. 7, 1998]

Applications

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§ 1.741   Scope.

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   The general rules relating to applications contained in §§1.742 through
   1.748 apply to all applications filed by carriers except those filed by
   public correspondence radio stations pursuant to parts 80, 87, and 101 of
   this chapter, and those filed by common carriers pursuant to part 25 of this
   chapter. Parts 21 and 101 of this chapter contain general rules applicable
   to applications filed pursuant to these parts. For general rules applicable
   to applications filed pursuant to parts 80 and 87 of this chapter, see such
   parts and subpart F of this part. For rules applicable to applications filed
   pursuant to part 25, see said part.

   [ 61 FR 26670 , May 28, 1996]

§ 1.742   Place of filing, fees, and number of copies.

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   All  applications  which  do  not  require a fee shall be filed at the
   Commission's  main office in Washington, DC., Attention: Office of the
   Secretary. Hand-delivered applications will be dated by the Secretary upon
   receipt (mailed applications will be dated by the Mail Branch) and then
   forwarded to the Wireline Competition Bureau. All applications accompanied
   by a fee payment should be filed with the Commission's lockbox bank in
   accordance 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 accompany each
   application  in  order  to  qualify  it  for acceptance for filing and
   consideration are set forth in the rules in this chapter relating to various
   types  of applications. However, if any application is not of the type
   covered by this chapter, an original and two copies of each such application
   shall be submitted.

   [ 59 FR 30998 , June 16, 1994, as amended at  67 FR 13223 , Mar. 21, 2002]

§ 1.743   Who may sign applications.

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   (a) Except as provided in paragraph (b) of this section, applications,
   amendments  thereto,  and  related  statements of fact required by the
   Commission  must  be  signed  by the applicant, if the applicant is an
   individual; by one of the partners, if the applicant is a partnership; by an
   officer or duly authorized employee, if the applicant is a corporation; or
   by  a  member who is an officer, if the applicant is an unincorporated
   association. Applications, amendments, and related statements of fact filed
   on behalf of eligible government entities such as states and territories of
   the United States, their political subdivisions, the District of Columbia,
   and units of local government, including incorporated municipalities, must
   be signed by a duly elected or appointed official who is authorized to do so
   under the laws of the applicable jurisdiction.

   (b)  Applications,  amendments thereto, and related statements of fact
   required by the Commission may be signed by the applicant's attorney in case
   of the applicant's physical disability or of his absence from the United
   States. The attorney shall in that event separately set forth the reason why
   the application is not signed by the applicant. In addition, if any matter
   is  stated on the basis of the attorney's belief only (rather than his
   knowledge), he shall separately set forth his reasons for believing that
   such statements are true.

   (c) Only the original of applications, amendments, or related statements of
   fact need be signed; copies may be conformed.

   (d) Applications, amendments, and related statements of fact need not be
   signed under oath. Willful false statements made therein, however, are
   punishable by fine and imprisonment, U.S. Code, Title 18, section 1001, and
   by appropriate administrative sanctions, including revocation of station
   license pursuant to section 312(a)(1) of the Communications Act of 1934, as
   amended.

   (e)  “Signed,” as used in this section, means an original hand-written
   signature, except that by public notice in theFederal Registerthe Wireline
   Competition Bureau may allow signature by any symbol executed or adopted by
   the applicant with the intent that such symbol be a signature, including
   symbols formed by computer-generated electronic impulses.

   [ 28 FR 12450 , Nov. 22, 1963, as amended at  53 FR 17193 , May 16, 1988;  59 FR 59503 , Nov. 17, 1994;  67 FR 13223 , Mar. 21, 2002]

§ 1.744   Amendments.

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   (a) Any application not designated for hearing may be amended at any time by
   the filing of signed amendments in the same manner, and with the same number
   of copies, as was the initial application. If a petition to deny (or to
   designate for hearing) has been filed, the amendment shall be served on the
   petitioner.

   (b) After any application is designated for hearing, requests to amend such
   application may be granted by the presiding officer upon good cause shown by
   petition, which petition shall be properly served upon all other parties to
   the proceeding.

   (c) The applicant may at any time be ordered to amend his application so as
   to make it more definite and certain. Such order may be issued upon motion
   of the Commission (or the presiding officer, if the application has been
   designated for hearing) or upon petition of any interested person, which
   petition shall be properly served upon the applicant and, if the application
   has been designated for hearing, upon all parties to the hearing.

   [ 29 FR 6444 , May 16, 1964, and  31 FR 14394 , Nov. 9, 1966]

§ 1.745   Additional statements.

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   The  applicant may be required to submit such additional documents and
   written statements of fact, signed and verified (or affirmed), as in the
   judgment of the Commission (or the presiding officer, if the application has
   been designated for hearing) may be necessary. Any additional documents and
   written statements of fact required in connection with applications under
   Title II of the Communications Act need not be verified (or affirmed).

   [ 29 FR 6444 , May 16, 1964]

§ 1.746   Defective applications.

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   (a) Applications not in accordance with the applicable rules in this chapter
   may be deemed defective and returned by the Commission without acceptance of
   such applications for filing and consideration. Such applications will be
   accepted for filing and consideration if accompanied by petition showing
   good  cause for waiver of the rule with which the application does not
   conform.

   (b) The assignment of a file number, if any, to an application is for the
   administrative convenience of the Commission and does not indicate the
   acceptance of the application for filing and consideration.

§ 1.747   Inconsistent or conflicting applications.

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   When an application is pending or undecided, no inconsistent or conflicting
   application filed by the same applicant, his successor or assignee, or on
   behalf or for the benefit of said applicant, his successor, or assignee,
   will be considered by the Commission.

§ 1.748   Dismissal of applications.

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   (a) Before designation for hearing. Any application not designated for
   hearing may be dismissed without prejudice at any time upon request of the
   applicant. An applicant's request for the return of an application that has
   been accepted for filing and consideration, but not designated for hearing,
   will be deemed a request for dismissal without prejudice. The Commission may
   dismiss an application without prejudice before it has been designated for
   hearing when the applicant fails to comply or justify noncompliance with
   Commission requests for additional information in connection with such
   application.

   (b) After designation for hearing. A request to dismiss an application
   without prejudice after it has been designated for hearing shall be made by
   petition properly served upon all parties to the hearing and will be granted
   only for good cause shown. An application may be dismissed with prejudice
   after it has been designated for hearing when the applicant:

   (1) Fails to comply with the requirements of §1.221(c);

   (2) Otherwise fails to prosecute his application; or

   (3) Fails to comply or justify noncompliance with Commission requests for
   additional information in connection with such application.

   [ 28 FR 12450 , Nov. 22, 1963, as amended at  29 FR 6445 , May 16, 1964]

§ 1.749   Action on application under delegated authority.

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   Certain applications do not require action by the Commission but, pursuant
   to the delegated authority contained in subpart B of part 0 of this chapter,
   may be acted upon by the Chief of the Wireline Competition Bureau subject to
   reconsideration by the Commission.

   [ 67 FR 13223 , Mar. 21, 2002]

Specific Types of Applications Under Title II of Communications Act

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§ 1.761   Cross reference.

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   Specific types of applications under Title III of the Communications Act
   involving public correspondence radio stations are specified in parts 23,
   80, 87, and 101 of this chapter.

   [ 61 FR 26671 , May 28, 1996]

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

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   (a) Applications under section 214 of the Communications Act for authority
   to construct a new line, extend any line, acquire or operate any line or
   extension thereof, or to engage in transmission over or by means of such
   additional or extended line, to furnish temporary or emergency service, or
   to supplement existing facilities shall be made in the form and manner, with
   the number of copies and accompanied by the fees specified in part 63 of
   this chapter.

   (b) In cases under this section requiring a certificate, notice is given to
   and a copy of the application is filed with the Secretary of Defense, the
   Secretary of State (with respect to such applications involving service to
   foreign points), and the Governor of each State involved. Hearing is held if
   any of these persons desires to be heard or if the Commission determines
   that a hearing should be held. Copies of applications for certificates are
   filed with the regulatory agencies of the States involved.

   [ 28 FR 12450 , Nov. 22, 1963, as amended at  64 FR 39939 , July 23, 1999]

§ 1.764   Discontinuance, reduction, or impairment of service.

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   (a)  Applications  under section 214 of the Communications Act for the
   authority to discontinue, reduce, or impair service to a community or part
   of a community or for the temporary, emergency, or partial discontinuance,
   reduction, or impairment of service shall be made in the form and manner,
   with the number of copies specified in part 63 of this chapter (see also
   subpart G, part 1 of this chapter). Posted and public notice shall be given
   the public as required by part 63 of this chapter.

   (b) In cases under this section requiring a certificate, notice is given to
   and a copy of the application is filed with the Secretary of Defense, the
   Secretary of State (with respect to such applications involving service to
   foreign points), and the Governor of each State involved. Hearing is held if
   any of these persons desires to be heard or if the Commission determines
   that a hearing should be held. Copies of all formal applications under this
   section requesting authorizations (including certificates) are filed with
   the Secretary of Defense, the Secretary of State (with respect to such
   applications involving service to foreign points) and the Governor of each
   State involved. Copies of all applications under this section requesting
   authorizations  (including certificates) are filed with the regulatory
   agencies of the States involved.

   [ 28 FR 12450 , Nov. 22, 1963, as amended at  52 FR 5289 , Feb. 20, 1987]

§ 1.767   Cable landing licenses.

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   Link to an amendment published at  72 FR 54366 , Sept. 25, 2007.

   (a)  Applications for cable landing licenses under 47 U.S.C. 34–39 and
   Executive Order No. 10530, dated May 10, 1954, should be filed in accordance
   with the provisions of that Executive Order. These applications should
   contain:

   (1) The name, address and telephone number(s) of the applicant;

   (2)  The  Government, State, or Territory under the laws of which each
   corporate or partnership applicant is organized;

   (3)  The name, title, post office address, and telephone number of the
   officer  and  any  other contact point, such as legal counsel, to whom
   correspondence concerning the application is to be addressed;

   (4) A description of the submarine cable, including the type and number of
   channels and the capacity thereof;

   (5) A specific description of the cable landing stations on the shore of the
   United  States and in foreign countries where the cable will land. The
   description shall include a map showing specific geographic coordinates, and
   may also include street addresses, of each landing station. The map must
   also specify the coordinates of any beach joint where those coordinates
   differ from the coordinates of the cable station. The applicant initially
   may file a general geographic description of the landing points; however,
   grant of the application will be conditioned on the Commission's final
   approval of a more specific description of the landing points, including all
   information required by this paragraph, to be filed by the applicant no
   later than ninety (90) days prior to construction. The Commission will give
   public notice of the filing of this description, and grant of the license
   will be considered final if the Commission does not notify the applicant
   otherwise in writing no later than sixty (60) days after receipt of the
   specific description of the landing points, unless the Commission designates
   a different time period;

   (6) A statement as to whether the cable will be operated on a common carrier
   or non-common carrier basis;

   (7) A list of the proposed owners of the cable system, including each U.S.
   cable landing station, their respective voting and ownership interests in
   each U.S. cable landing station, their respective voting interests in the
   wet  link  portion of the cable system, and their respective ownership
   interests by segment in the cable;

   (8) For each applicant of the cable system, a certification as to whether
   the applicant is, or is affiliated with, a foreign carrier, including an
   entity that owns or controls a foreign cable landing station in any of the
   cable's destination markets. Include the citizenship of each applicant and
   information 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.

   (11)(i)  If applying for authority to assign or transfer control of an
   interest in a cable system, the applicant shall complete paragraphs (a)(1)
   through (a)(3) of this section for both the transferor/assignor and the
   transferee/assignee.  Only  the  transferee/assignee needs to complete
   paragraphs (a)(8) through (a)(9) of this section. At the beginning of the
   application, the applicant should also include a narrative of the means by
   which the transfer or assignment will take place. The application shall also
   specify, on a segment specific basis, the percentage of voting and ownership
   interests being transferred or assigned in the cable system, including in a
   U.S. cable landing station. The Commission reserves the right to request
   additional information as to the particulars of the transaction to aid it in
   making its public interest determination.

   (ii) In the event the transaction requiring an assignment or transfer of
   control  application  also  requires  the  filing of a foreign carrier
   affiliation notification pursuant to §1.768, the applicant shall reference
   in the application the foreign carrier affiliation notification 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 consummation of the assignment or transfer or
   a decision not to consummate the assignment or transfer. The notification
   shall identify the file numbers under which the initial license and the
   authorization of the assignment or transfer were granted.

   (b) These applications are acted upon by the Commission after obtaining the
   approval of the Secretary of State and such assistance from any executive
   department or establishment of the Government as it may require.

   (c)  Original  files  relating to submarine cable landing licenses and
   applications for licenses since June 30, 1934, are kept by the Commission.
   Such applications for licenses (including all documents and exhibits filed
   with and made a part thereof, with the exception of any maps showing the
   exact location of the submarine cable or cables to be licensed) and the
   licenses issued pursuant thereto, with the exception of such maps, shall,
   unless otherwise ordered by the Commission, be open to public inspection in
   the offices of the Commission in Washington, D.C.

   (d) Original files relating to licenses and applications for licenses for
   the landing operation of cables prior to June 30, 1934, were kept by the
   Department of State, and such files prior to 1930 have been transferred to
   the Executive and Foreign Affairs Branch of the General Records Office of
   the  National Archives. Requests for inspection of these files should,
   however, be addressed to the Federal Communications Commission, Washington,
   D.C., 20554; and the Commission will obtain such files for a temporary
   period in order to permit inspection at the offices of the Commission.

   (e) A separate application shall be filed with respect to each individual
   cable system for which a license is requested, or for which modification or
   amendment of a previous license is requested. The application fee for a non
   common-carrier cable landing license is payment type code BJT. Applicants
   for common carrier cable landing licenses shall pay the fees for both a
   common carrier cable landing license (payment type code CXT) and overseas
   cable construction (payment type code BIT). There is no application fee for
   modification of a cable landing license, except that the fee for assignment
   or transfer of control of a cable landing license is payment type code CUT.
   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 otherwise ordered by the Commission, the
   following rules apply to each licensee of a cable landing license granted on
   or after March 15, 2002:

   (1) Grant of the cable landing license is subject to:

   (i) All rules and regulations of the Federal Communications Commission;

   (ii) Any treaties or conventions relating to communications to which the
   United States is or may hereafter become a party; and

   (iii) Any action by the Commission or the Congress of the United States
   rescinding, changing, modifying or amending any rights accruing to any
   person by grant of the license;

   (2) The location of the cable system within the territorial waters of the
   United States of America, its territories and possessions, and upon its
   shores shall be in conformity with plans approved by the Secretary of the
   Army. The cable shall be moved or shifted by the licensee at its expense
   upon request of the Secretary of the Army, whenever he or she considers such
   course necessary in the public interest, for reasons of national defense, or
   for the maintenance and improvement of harbors for navigational purposes;

   (3) The licensee shall at all times comply with any requirements of United
   States government authorities regarding the location and concealment of the
   cable facilities, buildings, and apparatus for the purpose of protecting and
   safeguarding the cables from injury or destruction by enemies of the United
   States of America;

   (4) The licensee, or any person or company controlling it, controlled by it,
   or under direct or indirect common control with it, does not enjoy and shall
   not acquire any right to handle traffic to or from the United States, its
   territories or its possessions unless such service is authorized by the
   Commission pursuant to section 214 of the Communications Act, as amended;

   (5)(i) The licensee shall be prohibited from agreeing to accept special
   concessions directly or indirectly from any foreign carrier, including any
   entity that owns or controls a foreign cable landing station, where the
   foreign carrier possesses sufficient market power on the foreign end of the
   route to affect competition adversely in the U.S. market, and from agreeing
   to accept special concessions in the future.

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

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

   (6)  Except as provided in paragraph (g)(7) of this section, the cable
   landing license and rights granted in the license shall not be transferred,
   assigned, or disposed of, or disposed of indirectly by transfer of control
   of the licensee, unless the Federal Communications Commission gives prior
   consent in writing;

   (7) A pro forma assignee or person or company that is the subject of a pro
   forma transfer of control of a cable landing license is not required to seek
   prior approval for the pro forma transaction. A pro forma assignee or person
   or company that is the subject of a pro forma transfer of control must
   notify the Commission no later than thirty (30) days after the assignment or
   transfer of control is consummated. The notification must certify that the
   assignment or transfer of control was pro forma , as defined in §63.24 of
   this chapter, and, together with all previous pro forma transactions, does
   not result in a change of the licensee's ultimate control. The licensee may
   file a single notification for an assignment or transfer of control of
   multiple licenses issued in the name of the licensee if each license is
   identified by the file number under which it was granted;

   (8) Unless the licensee has notified the Commission in the application of
   the precise locations at which the cable will land, as required by paragraph
   (a)(5) of this section, the licensee shall notify the Commission no later
   than ninety (90) days prior to commencing construction at that landing
   location. The Commission will give public notice of the filing of each
   description, and grant of the cable landing license will be considered final
   with respect to that landing location unless the Commission issues a notice
   to the contrary no later than sixty (60) days after receipt of the specific
   description. See paragraph (a)(5) of this section;

   (9) The Commission reserves the right to require the licensee to file an
   environmental assessment should it determine that the landing of the cable
   at  the specific locations and construction of necessary cable landing
   stations may significantly affect the environment within the meaning of
   §1.1307 implementing the National Environmental Policy Act of 1969. See
   §1.1307(a) and (b). The cable landing license is subject to modification by
   the  Commission  under  its  review of any environmental assessment or
   environmental impact statement that it may require pursuant to its rules.
   See 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 amended, and
   section 214 of the Communications Act of 1934, as amended, 47 U.S.C. 214, to
   impose common carrier regulation or other regulation consistent with the
   Cable Landing License Act on the operations of the cable system if it finds
   that the public interest so requires;

   (11) The licensee, or in the case of multiple licensees, the licensees
   collectively,  shall maintain de jure and de facto control of the U.S.
   portion of the cable system, including the cable landing stations in the
   United  States,  sufficient  to  comply  with  the requirements of the
   Commission's rules and any specific conditions of the license;

   (12) The licensee shall comply with the requirements of §1.768;

   (13) The cable landing license is revocable by the Commission after due
   notice  and opportunity for hearing pursuant to section 2 of the Cable
   Landing License Act, 47 U.S.C. 35, or for failure to comply with the terms
   of the license or with the Commission's rules; and

   (14) The licensee must notify the Commission within thirty (30) days of the
   date the cable is placed into service. The cable landing license shall
   expire twenty-five (25) years from the in-service date, unless renewed or
   extended upon proper application. Upon expiration, all rights granted under
   the license shall be terminated.

   (h) Applicants/Licensees. Except as otherwise required by the Commission,
   the following entities, at a minimum, shall be applicants for, and licensees
   on, a cable landing license:

   (1) Any entity that owns or controls a cable landing station in the United
   States; and

   (2) All other entities owning or controlling a five percent (5%) or greater
   interest in the cable system and using the U.S. points of the cable system.

   (i) Processing of cable landing license applications. The Commission will
   take action upon an application eligible for streamlined processing, as
   specified in paragraph (k) of this section, within forty-five (45) days
   after release of the public notice announcing the application as acceptable
   for filing and eligible for streamlined processing. If the Commission deems
   an application seeking streamlined processing acceptable for filing but
   ineligible for streamlined processing, or if an applicant does not seek
   streamlined processing, the Commission will issue public notice indicating
   that the application is ineligible for streamlined processing. Within ninety
   (90) days of the public notice, the Commission will take action upon the
   application or provide public notice that, because the application raises
   questions of extraordinary complexity, an additional 90-day period for
   review is needed. Each successive 90-day period may be so extended.

   (j)  Applications  for streamlining. Each applicant seeking to use the
   streamlined grant procedure specified in paragraph (i) of this section shall
   request  streamlined  processing  in its application. Applications for
   streamlined processing shall include the information and certifications
   required by paragraph (k) of this section. On the date of filing with the
   Commission,  the  applicant  shall  also  send  a complete copy of the
   application, or any major amendments or other material filings regarding the
   application, to: U.S. Coordinator, EB/CIP, U.S. Department of State, 2201 C
   Street, NW., Washington, DC 20520–5818; Office of Chief Counsel/NTIA, U.S.
   Department of Commerce, 14th St. and Constitution Ave., NW., Washington, DC
   20230; and Defense Information Systems Agency, Code RGC, 701 S. Courthouse
   Road, Arlington, Va. 22204, and shall certify such service on a service list
   attached to the application or other filing.

   (k)  Eligibility  for  streamlining.  Each  applicant must demonstrate
   eligibility for streamlining by:

   (1) Certifying that it is not a foreign carrier and it is not affiliated
   with a foreign carrier in any of the cable's destination markets;

   (2) Demonstrating pursuant to §63.12(c)(l)(i) through (iii) of this chapter
   that any such foreign carrier or affiliated foreign carrier lacks market
   power; or

   (3) Certifying that the destination market where the applicant is, or has an
   affiliation with, a foreign carrier is a World Trade Organization (WTO)
   Member  and  the applicant agrees to accept and abide by the reporting
   requirements set out in paragraph (l) of this section. An application that
   includes an applicant that is, or is affiliated with, a carrier with market
   power in a cable's non-WTO Member destination country is not eligible for
   streamlining.

   (l) Reporting Requirements Applicable to Licensees Affiliated with a Carrier
   with Market Power in a Cable's WTO Destination Market. Any licensee that is,
   or is affiliated with, a carrier with market power in any of the cable's WTO
   Member destination countries, and that requests streamlined processing of an
   application under paragraphs (j) and (k) of this section, must comply with
   the following requirements:

   (1) File quarterly reports summarizing the provisioning and maintenance of
   all network facilities and services procured from the licensee's affiliate
   in that destination market, within ninety (90) days from the end of each
   calendar quarter. These reports shall contain the following:

   (i) The types of facilities and services provided (for example, a lease of
   wet link capacity in the cable, collocation of licensee's equipment in the
   cable station with the ability to provide backhaul, or cable station and
   backhaul services provided to the licensee);

   (ii)  For  provisioned facilities and services, the volume or quantity
   provisioned, and the time interval between order and delivery; and

   (iii) The number of outages and intervals between fault report and facility
   or service restoration; and

   (2) File quarterly circuit status reports, within ninety (90) days from the
   end of each calendar quarter and in the format set out by the §43.82 of this
   chapter annual circuit status manual with the exception that activated or
   idle circuits must be reported on a facility-by-facility basis and derived
   circuits need not be specified. See §63.10(c)(5) of this chapter.

   (m) (1) Except as specified in paragraph (m)(2) of this section, amendments
   to pending applications, and applications to modify a license, including
   amendments or applications to add a new applicant or licensee, shall be
   signed by each initial applicant or licensee, respectively. Joint applicants
   or licensees may appoint one party to act as proxy for purposes of complying
   with this requirement.

   (2) Any licensee that seeks to relinquish its interest in a cable landing
   license shall file an application to modify the license. Such application
   must include a demonstration that the applicant is not required to be a
   licensee  under  paragraph  (h) of this section and that the remaining
   licensee(s) will retain collectively de jure and de facto control of the
   U.S. portion of the cable system sufficient to comply with the requirements
   of the Commission's rules and any specific conditions of the license, and
   must be served on each other licensee of the cable system.

   (n) Subject to the availability of electronic forms, all applications and
   notifications described in this section must be filed electronically through
   the International Bureau Filing System (IBFS). A list of forms that are
   available for electronic filing can be found on the IBFS homepage. For
   information on electronic filing requirements, see part 1, §§1.1000 through
   1.10018 and the IBFS homepage at http://www.fcc.gov/ibfs. See also §§63.20
   and 63.53 of this chapter.

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

   [ 28 FR 12450 , Nov. 22, 1963, as amended at  52 FR 5289 , Feb. 20, 1987;  61 FR 15726 , Apr. 9, 1996;  64 FR 19061 , Apr. 19, 1999;  65 FR 51769 , Aug. 25, 2000;
    65 FR 54799 , Sept. 11, 2000;  67 FR 1619 , Jan. 14, 2002;  69 FR 40327 , July 2,
   2004;  70 FR 38796 , July 6, 2005]

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

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   Any  entity that is licensed by the Commission (“licensee”) to land or
   operate a submarine cable landing in a particular foreign destination market
   that becomes, or seeks to become, affiliated with a foreign carrier that is
   authorized to operate in that market, including an entity that owns or
   controls a cable landing station in that market, shall notify the Commission
   of that affiliation.

   (a)  Affiliations  requiring prior notification: Except as provided in
   paragraph (b) of this section, the licensee must notify the Commission,
   pursuant to this section, forty-five (45) days before consummation of either
   of the following types of transactions:

   (1)  Acquisition  by  the licensee, or by any entity that controls the
   licensee,  or by any entity that directly or indirectly owns more than
   twenty-five  percent  (25%) of the capital stock of the licensee, of a
   controlling interest in a foreign carrier that is authorized to operate in a
   market where the cable lands; or

   (2) Acquisition of a direct or indirect interest greater than twenty-five
   percent (25%), or of a controlling interest, in the capital stock of the
   licensee by a foreign carrier that is authorized to operate in a market
   where the cable lands, or by an entity that controls such a foreign carrier.

   (b) Exceptions: (1) Notwithstanding paragraph (a) of this section, the
   notification required by this section need not be filed before consummation,
   and may instead by filed pursuant to paragraph (c) of this section, if
   either of the following is true with respect to the named foreign carrier,
   regardless of whether the destination market where the cable lands is a
   World Trade Organization (WTO) or non-WTO Member:

   (i) The Commission has previously determined in an adjudication that the
   foreign carrier lacks market power in that destination market (for example,
   in  an  international  section 214 application or a declaratory ruling
   proceeding); or

   (ii) The foreign carrier owns no facilities in that destination market. For
   this purpose, a carrier is said to own facilities if it holds an ownership,
   indefeasible-right-of-user, or leasehold interest in a cable landing station
   or  in  bare  capacity in international or domestic telecommunications
   facilities (excluding switches).

   (2) In the event paragraph (b)(1) of this section cannot be satisfied,
   notwithstanding paragraph (a) of this section, the notification required by
   this section need not be filed before consummation, and may instead be filed
   pursuant to paragraph (c) of this section, if the licensee certifies that
   the destination market where the cable lands is a WTO Member and provides
   certification to satisfy either of the following:

   (i) The licensee demonstrates that its foreign carrier affiliate lacks
   market power in the cable's destination market pursuant to §63.10(a)(3) of
   this chapter ( see §63.10(a)(3) of this chapter); or

   (ii) The licensee agrees to comply with the reporting requirements contained
   in  §1.767(l)  effective  upon the acquisition of the affiliation. See
   §1.767(l).

   (c) Notification after consummation: Any licensee that becomes affiliated
   with  a foreign carrier and has not previously notified the Commission
   pursuant to the requirements of this section shall notify the Commission
   within thirty (30) days after consummation of the acquisition.

   Example 1 to paragraph (c).   Acquisition by a licensee (or by any entity
   that directly or indirectly controls, is controlled by, or is under direct
   or  indirect common control with the licensee) of a direct or indirect
   interest in a foreign carrier that is greater than twenty-five percent (25%)
   but not controlling is subject to paragraph (c) of this section but not to
   paragraph (a) of this section.

   Example 2 to paragraph (c).   Notification of an acquisition by a licensee
   of a hundred percent (100%) interest in a foreign carrier may be made after
   consummation, pursuant to paragraph (c) of this section, if the foreign
   carrier operates only as a resale carrier.

   Example 3 to paragraph (c).   Notification of an acquisition by a foreign
   carrier  from a WTO Member of a greater than twenty-five percent (25%)
   interest  in  the  capital  stock  of  the  licensee may be made after
   consummation, pursuant to paragraph (c) of this section, if the licensee
   demonstrates in the post-notification that the foreign carrier lacks market
   power in the cable's destination market or the licensee agrees to comply
   with the reporting requirements contained in §1.767(l) effective upon the
   acquisition of the affiliation.

   (d) Cross-reference: In the event a transaction requiring a foreign carrier
   notification pursuant to this section also requires a transfer of control or
   assignment application pursuant to the requirements of the license granted
   under §1.767 or §1.767(g), the foreign carrier notification shall reference
   in the notification the transfer of control or assignment application and
   the date of its filing. See §1.767(g).

   (e) Contents of notification: The notification shall certify the following
   information:

   (1) The name of the newly affiliated foreign carrier and the country or
   countries at the foreign end of the cable in which it is authorized to
   provide  telecommunications services to the public or where it owns or
   controls a cable landing station;

   (2)  Which,  if any, of those countries is a Member of the World Trade
   Organization;

   (3) The name of the cable system that is the subject of the notification,
   and the FCC file number(s) under which the license was granted;

   (4) The name, address, citizenship, and principal business of any person or
   entity that directly or indirectly owns at least ten percent (10%) of the
   equity of the licensee, and the percentage of equity owned by each of those
   entities (to the nearest one percent (1%));

   (5) Interlocking directorates. The name of any interlocking directorates, as
   defined in §63.09(g) of this chapter, with each foreign carrier named in the
   notification. See §63.09(g) of this chapter.

   (6)  With respect to each foreign carrier named in the notification, a
   statement as to whether the notification is subject to paragraph (a) or (c)
   of this section. In the case of a notification subject to paragraph (a) of
   this section, the licensee shall include the projected date of closing. In
   the case of a notification subject to paragraph (c) of this section, the
   licensee shall include the actual date of closing.

   (7) If a licensee relies on an exception in paragraph (b) of this section,
   then a certification as to which exception the foreign carrier satisfies and
   a citation to any adjudication upon which the licensee is relying. Licensees
   relying upon the exceptions in paragraph (b)(2) of this section must make
   the required certified demonstration in paragraph (b)(2)(i) of this section
   or the certified commitment to comply with the reporting requirements in
   paragraph  (b)(2)(ii)  of this section in the notification required by
   paragraph (c) of this section.

   (f) If the licensee seeks to be excepted from the reporting requirements
   contained in §1.767(l), the licensee should demonstrate that each foreign
   carrier affiliate named in the notification lacks market power pursuant to
   §63.10(a)(3) of this chapter. See §63.10(a)(3) of this chapter.

   (g)  Procedure.  After  the  Commission  issues a public notice of the
   submissions made under this section, interested parties may file comments
   within fourteen (14) days of the public notice.

   (1) If the Commission deems it necessary at any time before or after the
   deadline  for submission of public comments, the Commission may impose
   reporting requirements on the licensee based on the provisions of §1.767(l).
   See §1.767(l).

   (2) In the case of a prior notification filed pursuant to paragraph (a) of
   this section in which the foreign carrier is authorized to operate in, or
   own  a  cable  landing station in, a non-WTO Member, the licensee must
   demonstrate that it continues to serve the public interest for it to retain
   its interest in the cable landing license for that segment of the cable that
   lands in the non-WTO destination market by demonstrating either that the
   foreign carrier lacks market power in that destination market pursuant to
   §63.10(a)(3) of this chapter or the market offers effective opportunities
   for U.S. companies to land and operate a submarine cable in that country. If
   the licensee is unable to make either required showing or is notified that
   the affiliation may otherwise harm the public interest pursuant to the
   Commission's policies and rules under 47 U.S.C. 34 through 39 and Executive
   Order  No.  10530,  dated May 10, 1954, then the Commission may impose
   conditions necessary to address any public interest harms or may proceed to
   an immediate authorization revocation hearing.

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

   (h) All licensees are responsible for the continuing accuracy of information
   provided pursuant to this section for a period of forty-five (45) days after
   filing.  During  this period if the information furnished is no longer
   accurate, the licensee shall as promptly as possible, and in any event
   within ten (10) days, unless good cause is shown, file with the Commission a
   corrected notification referencing the FCC file numbers under which the
   original notification was provided.

   (i) A licensee that files a prior notification pursuant to paragraph (a) of
   this section may request confidential treatment of its filing, pursuant to
   §0.459 of this chapter, for the first twenty (20) days after filing.

   (j) Subject to the availability of electronic forms, all notifications
   described  in  this  section  must be filed electronically through the
   International  Bureau  Filing  System (IBFS). A list of forms that are
   available for electronic filing can be found on the IBFS homepage. For
   information on electronic filing requirements, see part 1, §§1.1000 through
   1.10018 and the IBFS homepage at http://www.fcc.gov/ibfs. See also §§63.20
   and 63.53.

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

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

Tariffs

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§ 1.771   Filing.

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   Schedules  of charges, and classifications, practices, and regulations
   affecting such charges, required under section 203 of the Communications Act
   shall be constructed, filed, and posted in accordance with and subject to
   the requirements of part 61 of this chapter.

§ 1.772   Application for special tariff permission.

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   Applications under section 203 of the Communications Act for special tariff
   permission shall be made in the form and manner, with the number of copies
   set out in part 61 of this chapter.

   [ 52 FR 5289 , Feb. 20, 1987]

§ 1.773   Petitions for suspension or rejection of new tariff filings.

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   (a) Petition —(1) Content. Petitions seeking investigation, suspension, or
   rejection of a new or revised tariff filing or any provision thereof shall
   specify the filing's Federal Communications Commission tariff number and
   carrier transmittal number, the items against which protest is made, and the
   specific reasons why the protested tariff filing warrants investigation,
   suspension, or rejection under the Communications Act. No petition shall
   include a prayer that it also be considered a formal complaint. Any formal
   complaint shall be filed as a separate pleading as provided in §1.721.

   (i) Petitions seeking investigation, suspension, or rejection of a new or
   revised tariff filing or any provision of such a publication, must specify
   the pertinent Federal Communications Commission tariff number and carrier
   transmittal number; the matters protested; and the specific reasons why the
   tariff warrants investigation, suspension, or rejection. When a single
   petition asks for more than one form of relief, it must separately and
   distinctly plead and support each form of relief. However, no petition may
   ask that it also be considered a formal complaint. Formal complaints must be
   separately lodged, as provided in §1.721.

   (ii) For purposes of this section, tariff filings by nondominant carriers
   will be considered prima facie lawful, and will not be suspended by the
   Commission unless the petition requesting suspension shows:

   (A) That there is a high probability the tariff would be found unlawful
   after investigation;

   (B) That the harm alleged to competition would be more substantial than the
   injury to the public arising from the unavailability of the service pursuant
   to the rates and conditions proposed in the tariff filing;

   (C)  That  irreparable  injury will result if the tariff filing is not
   suspended; and

   (D)  That the suspension would not otherwise be contrary to the public
   interest.

   (iii) For the purpose of this section, any tariff filing by a local exchange
   carrier filed pursuant to the requirements of §61.39 will be considered
   prima facie lawful and will not be suspended by the Commission unless the
   petition requesting suspension shows that the cost and demand studies or
   average schedule information was not provided upon reasonable request. If
   such a showing is not made, then the filing will be considered prima facie
   lawful and will not be suspended by the Commission unless the petition
   requesting suspension shows each of the following:

   (A) That there is a high probability the tariff would be found unlawful
   after investigation;

   (B)  That any unreasonable rate would not be corrected in a subsequent
   filing;

   (C)  That  irreparable  injury will result if the tariff filing is not
   suspended; and

   (D)  That the suspension would not otherwise be contrary to the public
   interest.

   (iv) For the purposes of this section, tariff filings made pursuant to
   §61.49(b) by carriers subject to price cap regulation will be considered
   prima facie lawful, and will not be suspended by the Commission unless the
   petition shows that the support information required in §61.49(b) was not
   provided, or unless the petition requesting suspension shows each of the
   following:

   (A) That there is a high probability the tariff would be found unlawful
   after investigation;

   (B)  That the suspension would not substantially harm other interested
   parties;

   (C)  That  irreparable  injury will result if the tariff filing is not
   suspended; and

   (D)  That the suspension would not otherwise be contrary to the public
   interest.

   (v) For the purposes of this section, any tariff filing by a price cap LEC
   filed pursuant to the requirements of §61.42(d)(4)(ii) of this chapter will
   be  considered  prima  facie  lawful, and will not be suspended by the
   Commission unless the petition requesting suspension shows each of the
   following:

   (A) That there is a high probability the tariff would be found unlawful
   after investigation;

   (B)  That any unreasonable rate would not be corrected in a subsequent
   filing;

   (C)  That  irreparable  injury will result if the tariff filing is not
   suspended; and

   (D)  That the suspension would not otherwise be contrary to the public
   interest.

   (2)  When  filed.  All petitions seeking investigation, suspension, or
   rejection  of  a  new  or  revised tariff filing shall meet the filing
   requirements of this paragraph. In case of emergency and within the time
   limits provided, a telegraphic request for such relief may be sent to the
   Commission setting forth succinctly the substance of the matters required by
   paragraph (a)(1) of this section. A copy of any such telegraphic request
   shall be sent simultaneously to the Chief, Wireline Competition Bureau, the
   Chief, Pricing Policy Division, and the publishing carrier. Thereafter, the
   request shall be confirmed by petition filed and served in accordance with
   §1.773(a)(4).

   (i) Petitions seeking investigation, suspension, or rejection of a new or
   revised tariff filed pursuant to section 204(a)(3) of the Communications Act
   made on 7 days notice shall be filed and served within 3 calendar days after
   the date of the tariff filing.

   (ii) Petitions seeking investigation, suspension, or rejection of a new or
   revised tariff filing made on less than 15 days notice shall be filed and
   served within 6 days after the date of the tariff filing.

   (iii) Petitions seeking investigation, suspension, or rejection of a new or
   revised tariff filing made on at least 15 but less than 30 days notice shall
   be filed and served within 7 days after the date of the tariff filing.

   (iv) Petitions seeking investigation, suspension, or rejection of a new or
   revised tariff filing made on at least 30 but less than 90 days notice shall
   be filed and served within 15 days after the date of the tariff filing.

   (v) Petitions seeking investigation, suspension, or rejection of a new or
   revised tariff filing mode on 90 or more days notice shall be filed and
   served within 25 days after the date of the tariff filing.

   (3)  Computation  of  time.  Intermediate holidays shall be counted in
   determining the above filing dates. If the date for filing the petition
   falls on a holiday, the petition shall be filed on the next succeeding
   business day.

   (4) Copies, service. An original and four copies of each petition shall be
   filed with the Commission as follows: The original and three copies of each
   petition shall be filed with the Secretary, 236 Massachusetts Ave., NE.,
   Washington,  DC  20002;  one  copy  must  be delivered directly to the
   Commission's copy contractor. Additional, separate copies shall be served
   simultaneously upon the Chief, Wireline Competition Bureau; and the Chief,
   Pricing Policy Division. Petitions seeking investigation, suspension, or
   rejection of a new or revised tariff made on 15 days or less notice shall be
   served  either personally or via facsimile on the filing carrier. If a
   petition is served via facsimile, a copy of the petition must also be sent
   to the filing carrier via first class mail on the same day of the facsimile
   transmission. Petitions seeking investigation, suspension, or rejection of a
   new or revised tariff filing made on more than 15 days notice may be served
   on the filing carrier by mail.

   (b) Reply —(1) When filed. A publishing carrier's reply to a petition for
   relief from a tariff filing shall be filed in accordance with the following
   periods:

   (i) Replies to petitions seeking investigation, suspension, or rejection of
   a new or revised tariff filed pursuant to section 204(a)(3) of the Act made
   on 7 days notice shall be filed and served within 2 days after the date the
   petition is filed with the Commission.

   (ii) Replies to petitions seeking investigation, suspension, or rejection of
   a new or revised tariff filing made on less than 15 days notice shall be
   filed and served within 3 days after the date the petition is due to be
   filed with the Commission.

   (iii) Replies to petitions seeking investigation, suspension, or rejection
   of a new or revised tariff filing made on at least 15 but less than 30 days
   notice  shall  be  filed and served within 4 days after service of the
   petition.

   (iv) Replies to petitions seeking investigation, suspension, or rejection of
   a new or revised tariff filing made on at least 30 but less than 90 days
   notice  shall  be  filed and served within 5 days after service of the
   petition.

   (v) Replies to petitions seeking investigation, suspension, or rejection of
   a new or revised tariff filing made on 90 or more days notice shall be filed
   and served within 8 days after service of the petition.

   (vi) Where all petitions against a tariff filing have not been filed on the
   same day, the publishing carrier may file a consolidated reply to all the
   petitions. The time for filing such a consolidated reply will begin to run
   on the last date for timely filed petitions, as fixed by paragraphs (a)(2)
   (i) through (iv) of this section, and the date on which the consolidated
   reply is due will be governed by paragraphs (b)(1) (i) through (iv) of this
   section.

   (2)  Computation  of  time.  Intermediate holidays shall be counted in
   determining  the  3-day  filing  date for replies to petitions seeking
   investigation, suspension, or rejection of a new or revised tariff filing
   made on less than 15 days notice. Intermediate holidays shall not be counted
   in determining filing dates for replies to petitions seeking investigation,
   suspension, or rejection of a new or revised tariff filing made on 15 or
   more days notice. When a petition is permitted to be served upon the filing
   carrier by mail, an additional 3 days (counting holidays) may be allowed for
   filing the reply. If the date for filing the reply falls on a holiday, the
   reply may be filed on the next succeeding business day.

   (3) Copies, service. An original and four copies of each reply shall be
   filed with the Commission, as follows: the original and three copies must be
   filed with the Secretary, 236 Massachusetts Ave., NE., Washington, DC 20002;
   one copy must be delivered directly to the Commission's copy contractor.
   Additional separate copies shall be served simultaneously upon the Chief,
   Wireline Competition Bureau, the Chief, Pricing Policy Division and the
   petitioner. Replies to petitions seeking investigation, suspension, or
   rejection of a new or revised tariff made on 15 days or less notice shall be
   served on petitioners personally or via facsimile. Replies to petitions
   seeking investigation, suspension, or rejection of a new or revised tariff
   made on more than 15 days notice may be served upon petitioner personally,
   by mail or via facsimile.

   [ 45 FR 64190 , Sept. 29, 1980, as amended at  49 FR 40876 , Oct. 18, 1984;  49 FR 49466 , Dec. 20, 1984;  52 FR 26682 , July 16, 1987;  54 FR 19840 , May 8,
   1989;  58 FR 17529 , Apr. 5, 1993;  58 FR 51247 , Oct. 1, 1993;  62 FR 5777 , Feb.
   7, 1997;  64 FR 51264 , Sept. 22, 1999;  65 FR 58466 , Sept. 29, 2000;  67 FR 13223 , Mar. 21, 2002;  71 FR 15618 , Mar. 29, 2006]

§ 1.774   Pricing flexibility.

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   (a) Petitions. (1) A petition seeking pricing flexibility for specific
   services pursuant to part 69, subpart H, of this chapter, with respect to a
   metropolitan  statistical area (MSA), as defined in §22.909(a) of this
   chapter, or the non-MSA parts of a study area, must show that the price cap
   LEC has met the relevant thresholds set forth in part 69, subpart H, of this
   chapter.

   (2) The petition must make a separate showing for each MSA for which the
   petitioner seeks pricing flexibility, and for the portion of the study area
   that falls outside any MSA.

   (3)  Petitions  seeking  pricing flexibility for services described in
   §§69.709(a) and 69.711(a) of this chapter must include:

   (i) The total number of wire centers in the relevant MSA or non-MSA parts of
   a study area, as described in §69.707 of this chapter;

   (ii) The number and location of the wire centers in which competitors have
   collocated  in  the  relevant MSA or non-MSA parts of a study area, as
   described in §69.707 of this chapter;

   (iii) In each wire center on which the price cap LEC bases its petition, the
   name of at least one collocator that uses transport facilities owned by a
   provider other than the price cap LEC to transport traffic from that wire
   center; and

   (iv)(A) The percentage of the wire centers in the relevant MSA or non-MSA
   area, as described in §69.707 of this chapter, in which competitors have
   collocated and use transport facilities owned by a provider other than the
   price cap LEC to transport traffic from that wire center; or

   (B) The percentage of total base period revenues generated by the services
   at  issue in the petition that are attributable to wire centers in the
   relevant MSA or non-MSA area, as described in §69.707 of this chapter, in
   which competitors have collocated and use transport facilities owned by a
   provider other than the price cap LEC to transport traffic from that wire
   center.

   (4)  Petitions  seeking  pricing flexibility for services described in
   §69.713(a)  of this chapter must make a showing sufficient to meet the
   relevant requirements of §69.713 of this chapter.

   (b) Confidential treatment. A price cap LEC wishing to request confidential
   treatment of information contained in a pricing flexibility petition should
   demonstrate, by a preponderance of the evidence, that the information should
   be withheld from public inspection in accordance with the requirements of
   §0.459 of this chapter.

   (c) Oppositions. Any interested party may file comments or oppositions to a
   petition for pricing flexibility. Comments and oppositions shall be filed no
   later than 15 days after the petition is filed. Time shall be computed
   pursuant to §1.4.

   (d) Replies. The petitioner may file a reply to any oppositions filed in
   response to its petition for pricing flexibility. Replies shall be filed no
   later than 10 days after comments are filed. Time shall be computed pursuant
   to §1.4.

   (e) Copies, service. (1)(i) Any price cap LEC filing a petition for pricing
   flexibility must submit its petition pursuant to the Commission's Electronic
   Tariff Filing System (ETFS), following the procedures set forth in §61.14(a)
   of this chapter.

   (ii) The price cap LEC must provide to each party upon which the price cap
   LEC relies to meet its obligations under paragraph (a)(3)(iii) of this
   section, the information it provides about that party in its petition, even
   if the price cap LEC requests that the information be kept confidential
   under paragraph (b) of this section.

   (A) The price cap LEC must certify in its pricing flexibility petition that
   it has made such information available to the party.

   (B)  The price cap LEC may provide data to the party in redacted form,
   revealing only that information to the party that relates to the party.

   (C)  The  price  cap  LEC must provide to the Commission copies of the
   information it provides to such parties.

   (2)(i) Interested parties filing oppositions or comments in response to a
   petition for pricing flexibility may file those comments through ETFS.

   (ii) Any interested party electing to file an opposition or comment in
   response to a pricing flexibility petition through a method other than ETFS
   must file an original and four copies of each opposition or comment with the
   Commission, as follows: the original and three copies of each pleading shall
   be filed with the Secretary, 236 Massachusetts Ave., NE., Washington, DC
   20002;  one  copy  must be delivered directly to the Commission's copy
   contractor. Additional, separate copies shall be served upon the Chief,
   Wireline Competition Bureau and the Chief, Pricing Policy Division.

   (iii)  In  addition,  oppositions  and comments shall be served either
   personally or via facsimile on the petitioner. If an opposition or comment
   is served via facsimile, a copy of the opposition or comment must be sent to
   the  petitioner  via first class mail on the same day as the facsimile
   transmission.

   (3) Replies shall be filed with the Commission through ETFS. In addition,
   petitioners choosing to file a reply must serve a copy on each party filing
   an opposition or comment, either personally or via facsimile. If a reply is
   served via facsimile, a copy of the reply must be sent to the recipient of
   that  reply  via  first  class  mail  on the same day as the facsimile
   transmission.

   (f)  Disposition. (1) A petition for pricing flexibility pertaining to
   special access and dedicated transport services shall be deemed granted
   unless the Chief, Wireline Competition Bureau, denies the petition no later
   than 90 days after the close of the pleading cycle. The period for filing
   applications for review begins the day the Bureau grants or denies the
   petition, or the day that the petition is deemed denied. Time shall be
   computed pursuant to §1.4.

   (2)  A  petition for pricing flexibility pertaining to common-line and
   traffic-sensitive services shall be deemed granted unless the Commission
   denies  the  petition no later than five months after the close of the
   pleading cycle. Time shall be computed pursuant to §1.4.

   [ 64 FR 51264 , Sept. 22, 1999, as amended at  67 FR 13223 , Mar. 21, 2002;  71 FR 15618 , Mar. 29, 2006]

Contracts, Reports, and Requests Required to be Filed by Carriers

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§ 1.781   Requests for extension of filing time.

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   Requests for extension of time within which to file contracts, reports, and
   requests referred to in §§1.783 through 1.814 shall be made in writing and
   may be granted for good cause shown.

Contracts

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§ 1.783   Filing.

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   Copies   of  carrier  contracts,  agreements,  concessions,  licenses,
   authorizations or other arrangements, shall be filed as required by part 43
   of this chapter.

Financial and Accounting Reports and Requests

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§ 1.785   Annual financial reports.

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   (a) An annual financial report shall be filed by telephone carriers and
   affiliates as required by part 43 of this chapter on form M.

   (b) Verified copies of annual reports filed with the Securities and Exchange
   Commission  on  its Form 10–K, Form 1–MD, or such other form as may be
   prescribed by that Commission for filing of equivalent information, shall be
   filed annually with this Commission by each person directly or indirectly
   controlling any communications common carrier in accordance with part 43 of
   this chapter.

   (c)  Carriers having separate departments or divisions for carrier and
   noncarrier operations shall file separate supplemental annual reports with
   respect to such carrier and non-carrier operations in accordance with part
   43 of this chapter.

   [ 28 FR 12450 , Nov. 22, 1963, as amended at  31 FR 747 , Jan. 20, 1966;  47 FR 50697 , Nov. 9, 1982;  49 FR 36503 , Sept. 18, 1984;  50 FR 41152 , Oct. 9, 1985;
    58 FR 36143 , July 6, 1993]

§ 1.786   [Reserved]

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§ 1.787   Reports of proposed changes in depreciation rates.

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   Carriers shall file reports regarding proposed changes in depreciation rates
   as required by part 43 of this chapter.

§ 1.788   Reports regarding pensions and benefits.

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   Carriers shall file reports regarding pensions and benefits as required by
   part 43 of this chapter.

§ 1.789   Reports regarding division of international telegraph communication
charges.

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   Carriers  engaging in international telegraph communication shall file
   reports in regard to the division of communication charges as required by
   part 43 of this chapter.

§ 1.790   Reports relating to traffic by international carriers.

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   Carriers shall file periodic reports regarding international point-to-point
   traffic as required by part 43 of this chapter.

   [ 57 FR 8579 , Mar. 11, 1992]

§ 1.791   Reports and requests to be filed under part 32 of this chapter.

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   Reports and requests shall be filed either periodically, upon the happening
   of  specified  events, or for specific approval by class A and class B
   telephone companies in accordance with and subject to the provisions of part
   32 of this chapter.

   [ 55 FR 30461 , July 26, 1990]

§ 1.795   Reports regarding interstate rates of return.

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   Carriers shall file reports regarding interstate rates of return on FCC Form
   492 as required by part 65 of this chapter.

   [ 52 FR 274 , Jan. 5, 1987]

Services and Facilities Reports

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§ 1.802   Reports relating to continuing authority to supplement facilities or
to provide temporary or emergency service.

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   Carriers  receiving authority under part 63 of this chapter shall file
   quarterly or semiannual reports as required therein.

§ 1.803   Reports relating to reduction in temporary experimental service.

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   As required in part 63 of this chapter, carriers shall report reductions in
   service which had previously been expanded on an experimental basis for a
   temporary period.

§ 1.805   Reports relating to service by carriers engaged in public radio
service operations.

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   Monthly  and  quarterly  reports  must be filed with the Commission in
   connection with certain fixed public radio service operations. No form is
   prescribed. A complete description of the contents of these reports is
   contained in part 23 of this chapter.

Miscellaneous Reports

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§ 1.811   Reports regarding amendments to charters, by-laws and partnership
agreements of carriers engaged in domestic public radio services.

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   Amendments to such documents shall be reported and filed in accordance with
   part 21 of this chapter.

§ 1.814   Reports regarding free service rendered the Government for national
defense.

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   Carriers rendering free service in connection with the national defense to
   any agency of the United States Government shall file reports in accordance
   with part 2 of this chapter.

§ 1.815   Reports of annual employment.

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   (a) Each common carrier licensee or permittee with 16 or more full time
   employees shall file with the Commission, on or before May 31 of each year,
   on FCC Form 395, an annual employment report.

   (b)  A copy of every annual employment report filed by the licensee or
   permittee pursuant to the provisions herein; and copies of all exhibits,
   letters, and other documents filed as part thereof, all amendments thereto,
   all correspondence between the permittee or licensee and the Commission
   pertaining to the reports after they have been filed and all documents
   incorporated herein by reference are open for public inspection at the
   offices of the Commission.

   (c) Cross references— 

   (1) [Reserved]

   (2) Applicability of cable television EEO reporting requirements for FSS
   facilities, see §25.601 of this chapter.

   [ 35 FR 12894 , Aug. 14, 1970, as amended at  36 FR 3119 , Feb. 18, 1971;  58 FR 42249 , Aug. 9, 1993;  69 FR 72026 , Dec. 10, 2004]

Grants by Random Selection

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§ 1.821   Scope.

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   The provisions of §§1.822 and 1.824 of this part apply as indicated to those
   applications for permits, licenses or authorizations in the Multichannel
   Multipoint  Distribution  Service for which action may be taken by the
   Wireless Telecommunications Bureau pursuant to delegated authority.

   [ 63 FR 68920 , Dec. 14, 1998, as amended at  67 FR 13224 , Mar. 21, 2002]

§ 1.822   General selection procedures.

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   (a) Mutually exclusive applications for permits and licenses in the services
   specified in §1.821 may be designated for random selection according to the
   procedures established for each service. Following the random selection, the
   Commission shall determine whether the applicant is qualified to receive the
   permit or license. If, after reviewing the tentative selectee's application
   and pleadings properly filed against it, the Commission determines that a
   substantial and material question of fact exists, it shall designate the
   qualifying issue(s) for an expedited hearing.

   (b) Expedited hearing procedures. (1) Hearings may be conducted by the
   Commission or an Administrative Law Judge. In the case of a question which
   requires oral testimony for its resolution, the hearing will be conducted by
   an Administrative Law Judge.

   (2) Parties have ten (10) days from publication in theFederal Registerof the
   hearing designation order to file notices of appearance.

   (3) When the Commission, under §1.221, issues an order stating the time,
   place, and nature of the hearing, this order shall instruct the applicant to
   submit its direct case in writing within thirty (30) days from the order's
   release date, or as otherwise specified in the order. The direct written
   case must set forth all those facts and circumstances related to the issues
   in the designation order. Documentary evidence upon which the applicant
   relies  must  be  attached.  Each exhibit must be numbered and must be
   accompanied by an affidavit from someone who has personal knowledge of the
   facts in the submission and who attests to the truth of the submission.

   (4) The order will also specify those petitioners that directly raised an
   issue  which  was  designated  and  will inform these parties of their
   opportunity to submit a written rebuttal case within twenty (20) days after
   the direct case is due. The procedures in paragraph (b)(3) of this section
   will apply as to documentary evidence, exhibits, and affidavits.

   (5) Appeal of initial decisions rendered by an Administrative Law Judge
   shall lie with the Commission.

   [ 48 FR 27201 , June 13, 1983. Redesignated and amended at  50 FR 5991 , Feb.
   13, 1985]

§ 1.824   Random selection procedures for Multichannel Multipoint Distribution
Service and Multipoint Distribution Service H-Channel stations.

   top

   (a) If there are mutually exclusive applications for an initial conditional
   license or license, the Commission may use the random selection process to
   select the conditional licensee or licensee. Each such random selection
   shall  be  conducted under the direction of the Office of the Managing
   Director in conjunction with the Office of the Secretary. Following the
   random selection, the Commission shall announce the tentative selectee and
   determine whether the applicant is qualified to receive the conditional
   license or license. If the Commission determines that the tentative selectee
   is  qualified,  it  shall grant the application. In the event that the
   tentative selectee's application is denied, a second random selection will
   be conducted. Petitions for Reconsideration, Motions to Stay or Applications
   for Review may be submitted at the time the Commission grants or denies the
   application of the tentative selectee. The filing periods specified in the
   rules shall apply for such pleadings.

   (b) Competing applications for conditional licenses and licenses shall be
   designated for random selection in accordance with §§1.1621, 1.1622 (a),
   (b), (c), (d), and (e), and 1.1623. No preferences pursuant to §1.1622
   (b)(2) or (b)(3) shall be granted to any MMDS or MDS H-channel applicant
   whose owners, when aggregated, have an ownership interest of more than 50
   percent in the media of mass communication whose service areas, as set forth
   at §1.1622 (e)(1) through (e)(7), wholly encompass or are encompassed by the
   protected service area contour, computed in accordance with §21.902(d) of
   this chapter, for which the license or conditional license is sought.

   (c) Petitions to Deny may be filed only against the tentative selectee.
   These petitions must be filed within 30 days of the Public Notice announcing
   such tentative selection. A consolidated reply may be filed within 15 days
   of the due date for Petitions to Deny.

   [ 50 FR 5992 , Feb. 13, 1985, as amended at  56 FR 57815 , Nov. 14, 1991]

Subpart F—Wireless Radio Services Applications and Proceedings

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   Source:    28 FR 12454 , Nov. 22, 1963, unless otherwise noted.

Scope and Authority

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§ 1.901   Basis and purpose.

   top

   These  rules are issued pursuant to the Communications Act of 1934, as
   amended, 47 U.S.C. 151 et seq. The purpose of these rules is to establish
   the requirements and conditions under which entities may be licensed in the
   Wireless Radio Services as described in this part and in parts 13, 20, 22,
   24, 26, 27, 74, 80, 87, 90, 95, 97 and 101 of this chapter.

   [ 68 FR 12755 , Mar. 17, 2003]

§ 1.902   Scope.

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   In case of any conflict between the rules set forth in this subpart and the
   rules set forth in Parts 13, 20, 22, 24, 26, 27, 74, 80, 87, 90, 95, 97, and
   101 of title 47, chapter I of the Code of Federal Regulations, the rules in
   part 1 shall govern.

   [ 68 FR 12755 , Mar. 17, 2003]

§ 1.903   Authorization required.

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   (a) General rule. Stations in the Wireless Radio Services must be used and
   operated only in accordance with the rules applicable to their particular
   service as set forth in this title and with a valid authorization granted by
   the Commission under the provisions of this part, except as specified in
   paragraph (b) of this section.

   (b) Restrictions. The holding of an authorization does not create any rights
   beyond the terms, conditions and period specified in the authorization.
   Authorizations may be granted upon proper application, provided that the
   Commission finds that the applicant is qualified in regard to citizenship,
   character, financial, technical and other criteria, and that the public
   interest, convenience and necessity will be served. See §§301, 308, and 309,
   310 of this chapter.

   (c)  Subscribers. Authority for subscribers to operate mobile or fixed
   stations in the Wireless Radio Services, except for certain stations in the
   Rural Radiotelephone Service, is included in the authorization held by the
   licensee providing service to them. Subscribers are not required to apply
   for, and the Commission does not accept, applications from subscribers for
   individual mobile or fixed station authorizations in the Wireless Radio
   Services. Individual authorizations are required to operate rural subscriber
   stations in the Rural Radiotelephone Service, except as provided in §22.703
   of this chapter. Individual authorizations are required for end users of
   certain Specialized Mobile Radio Systems as provided in §90.655 of this
   chapter.  In  addition,  certain ships and aircraft are required to be
   individually licensed under parts 80 and 87 of this chapter. See §§80.13,
   87.18 of this chapter.

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

§ 1.907   Definitions.

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   Antenna structure. The term antenna structure includes the radiating and
   receiving elements, its supporting structures, towers, and all appurtenances
   mounted thereon.

   Application. A request on a standard form for a station license as defined
   in §3(b) of the Communications Act, signed in accordance with §1.917 of this
   part, or a similar request to amend a pending application or to modify or
   renew an authorization. The term also encompasses requests to assign rights
   granted by the authorization or to transfer control of entities holding
   authorizations.

   Auctionable license. A Wireless Radio Service license identified in §1.2102
   of this part for which competitive bidding is used to select from among
   mutually exclusive applications.

   Auctionable  license  application.  A  Wireless  Radio Service license
   application identified in §1.2102 of this part for which competitive bidding
   is used if the application is subject to mutually exclusive applications.

   Authorization. A written instrument or oral statement issued by the FCC
   conveying authority to operate, for a specified term, to a station in the
   Wireless Telecommunications Services.

   Authorized  bandwidth. The maximum bandwidth permitted to be used by a
   station as specified in the station license. See §2.202 of this chapter.

   Authorized power. The maximum power a station is permitted to use. This
   power is specified by the Commission in the station's authorization or
   rules.

   Control station. A fixed station, the transmissions of which are used to
   control automatically the emissions or operations of a radio station, or a
   remote base station transmitter.

   Effective radiated power (ERP). The product of the power supplied to the
   antenna multiplied by the gain of the antenna referenced to a half-wave
   dipole.

   Equivalent Isotopically Radiated Power (EIRP). The product of the power
   supplied to the antenna multiplied by the antenna gain referenced to an
   isotropic antenna.

   Fixed station. A station operating at a fixed location.

   Harmful interference. Interference that endangers the functioning of a
   radionavigation service or of other safety services or seriously degrades,
   obstructs, or repeatedly interrupts a radio communications service operating
   in accordance with the Radio Regulations.

   Mobile  relay  station.  A  fixed  transmitter  used to facilitate the
   transmission of communications between mobile units.

   Mobile station. A radio communication station capable of being moved and
   which ordinarily does move.

   Non-auctionable license. A Wireless Radio Service license identified in
   §1.2102 of this part for which competitive bidding is not used to select
   from among mutually exclusive applications.

   Non-auctionable  license application. A Wireless Radio Service license
   application for which §1.2102 of this part precludes the use of competitive
   bidding if the application is subject to mutually exclusive applications.

   Private Wireless Services. Wireless Radio Services authorized by parts 80,
   87, 90, 95, 97, and 101 that are not Wireless Telecommunications Services,
   as defined in this part.

   Radio station. A separate transmitter or a group of transmitters under
   simultaneous common control, including the accessory equipment required for
   carrying on a radio communications service.

   Receipt date. The date an electronic or paper application is received at the
   appropriate location at the Commission or Mellon Bank. Amendments to pending
   applications  may  result  in  the assignment of a new receipt date in
   accordance with §1.927 of this part.

   Universal Licensing System. The Universal Licensing System (ULS) is the
   consolidated database, application filing system, and processing system for
   all  Wireless  Radio  Services.  ULS supports electronic filing of all
   applications  and related documents by applicants and licensees in the
   Wireless  Radio  Services,  and  provides  public  access to licensing
   information.

   Wireless Radio Services. All radio services authorized in parts 13, 20, 22,
   24,  26,  27,  74, 80, 87, 90, 95, 97 and 101 of this chapter, whether
   commercial or private in nature.

   Wireless Telecommunications Services. Wireless Radio Services, whether fixed
   or mobile, that meet the definition of “telecommunications service” as
   defined  by  47  U.S.C.  153, as amended, and are therefore subject to
   regulation on a common carrier basis. Wireless Telecommunications Services
   include all radio services authorized by parts 20, 22, 24, 26, and 27 of
   this chapter. In addition, Wireless Telecommunications Services include
   Public Coast Stations authorized by part 80 of this chapter, Commercial
   Mobile Radio Services authorized by part 90 of this chapter, and common
   carrier fixed microwave services, Local Television Transmission Service
   (LTTS), Local Multipoint Distribution Service (LMDS), and Digital Electronic
   Message Service (DEMS), authorized by part 101 of this chapter.

   [ 63 FR 68921 , Dec. 14, 1998]

Application Requirements and Procedures

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§ 1.911   Station files.

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   Applications, notifications, correspondence, electronic filings and other
   material, and copies of authorizations, comprising technical, legal, and
   administrative data relating to each station in the Wireless Radio Services
   are maintained by the Commission in ULS. These files constitute the official
   records for these stations and supersede any other records, database or
   lists from the Commission or other sources.

   [ 63 FR 68922 , Dec. 14, 1998]

§ 1.913   Application and notification forms; electronic and manual filing.

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   (a) Application and notification forms. Applicants, licensees, and spectrum
   lessees (see §1.9003) shall use the following forms and associated schedules
   for all applications and notifications:

   (1)  FCC Form 601, Application for Authorization in the Wireless Radio
   Services. FCC Form 601 and associated schedules is used to apply for initial
   authorizations, modifications to existing authorizations, amendments to
   pending applications, renewals of station authorizations, developmental
   authorizations, special temporary authority, notifications, requests for
   extension of time, and administrative updates.

   (2) FCC Form 602, Wireless Radio Services Ownership Form. FCC Form 602 is
   used by applicants and licensees in auctionable services to provide and
   update ownership information as required by §§1.919, 1.948, 1.2112, and any
   other section that requires the submission of such information.

   (3) FCC Form 603, Application for Assignment of Authorization or Transfer of
   Control. FCC Form 603 is used by applicants and licensees to apply for
   Commission consent to assignments of existing authorizations, to apply for
   Commission consent to transfer control of entities holding authorizations,
   to notify the Commission of the consummation of assignments or transfers,
   and  to  request extensions of time for consummation of assignments or
   transfers. It is also used for Commission consent to partial assignments of
   authorization, including partitioning and disaggregation.

   (4) FCC Form 605, Quick-form Application for Authorization for Wireless
   Radio Services. FCC Form 605 is used to apply for Amateur, Ship, Aircraft,
   and  General  Mobile  Radio  Service (GMRS) authorizations, as well as
   Commercial Radio Operator Licenses.

   (5)  FCC  Form  608,  Notification or Application for Spectrum Leasing
   Arrangement. FCC Form 608 is used by licensees and spectrum lessees ( see
   §1.9003)  to  notify the Commission regarding spectrum manager leasing
   arrangements and to apply for Commission consent for de facto transfer
   leasing arrangements pursuant to the rules set forth in part 1, subpart X.
   It is also used to notify the Commission if a licensee or spectrum lessee
   establishes a private commons ( see §1.9080).

   (6) FCC Form 609, Application to Report Eligibility Event. FCC Form 609 is
   used by licensees to apply for Commission approval of reportable eligibility
   events, as defined in §1.2114.

   (b) Electronic filing. Except as specified in paragraph (d) of this section
   or elsewhere in this chapter, all applications and other filings using the
   application and notification forms listed in this section or associated
   schedules must be filed electronically in accordance with the electronic
   filing instructions provided by ULS. For each Wireless Radio Service that is
   subject to mandatory electronic filing, this paragraph is effective on July
   1, 1999, or six months after the Commission begins use of ULS to process
   applications  in  the service, whichever is later. The Commission will
   announce by public notice the deployment date of each service in ULS.

   (1) Attachments to applications and notifications should be uploaded along
   with  the electronically filed applications and notifications whenever
   possible. The files, other than the ASCII table of contents, should be in
   Adobe Acrobat Portable Document Format (PDF) whenever possible.

   (2) Any associated documents submitted with an application or notification
   must be uploaded as attachments to the application or notification whenever
   possible.  The  attachment should be uploaded via ULS in Adobe Acrobat
   Portable Document Format (PDF) whenever possible.

   (c) Auctioned license applications. Auctioned license applications, as
   defined in §1.907 of this part, shall also comply with the requirements of
   subpart Q of this part and the applicable Commission orders and public
   notices issued with respect to each auction for a particular service and
   spectrum.

   (d)  Manual  filing. (1) ULS Forms 601, 603, 605, and 608 may be filed
   manually or electronically by applicants and licensees in the following
   services:

   (i) The part 90 Private Land Mobile Radio services for shared spectrum,
   spectrum in the public safety pool below 746 MHz, and spectrum in the public
   safety allocation above 746 MHz, except those filed by Commission-certified
   frequency coordinators;

   (ii) The part 97 Amateur Radio Service, except those filed by Volunteer
   Examination Coordinators;

   (iii) The part 95 General Mobile Radio Service and Personal Radio Service
   (excluding 218–219 MHz service);

   (iv) The part 80 Maritime Services (excluding the VHF 156–162 MHz Public
   Coast Stations);

   (v) The part 87 Aviation Services;

   (vi) Part 13 Commercial Radio Operators; and

   (vii) Part 101 licensees who are also members of any of the groups listed in
   paragraph (d)(1)(i) through (d)(1)(vi) of this section.

   (2) Manually filed applications must be submitted to the Commission at the
   appropriate address with the appropriate filing fee. The addresses for
   filing and the fee amounts for particular applications are listed in Subpart
   G of this part, and in the appropriate fee filing guide for each service
   available  from  the Commission's Forms Distribution Center by calling
   1–800–418-FORM (3676).

   (3) Manually filed applications requiring fees as set forth at Subpart G, of
   this part must be filed in accordance with §0.401(b).

   (4) Manually filed applications that do not require fees must be addressed
   and  sent  to  Federal Communications Commission, 1270 Fairfield Road,
   Gettysburg, Pennsylvania 17325–7245.

   (5) Standard forms may be reproduced and the copies used in accordance with
   the provisions of §0.409 of this chapter.

   (6) Attachments to manually filed applications may be filed on a standard
   3.5 magnetic diskette formatted to be readable by high density floppy drives
   operating under MS-DOS (version 3.X or later compatible versions). Each
   diskette submitted must contain an ASCII text file listing each filename and
   a  brief  description of the contents of each file and format for each
   document on the diskette. The files on the diskette, other than the table of
   contents, should be in Adobe Acrobat Portable Document Format (PDF) whenever
   possible. All diskettes submitted must be legibly labelled referencing the
   application and its filing date.

   (e) Applications requiring prior coordination. Parties filing applications
   that require frequency coordination shall, prior to filing, complete all
   applicable frequency coordination requirements in service-specific rules
   contained within this chapter. After appropriate frequency coordination,
   such applications may be electronically filed via ULS or, if filed manually,
   must be forwarded to the appropriate address with the appropriate filing fee
   (if applicable) in accordance with subparagraph (d). Applications filed by
   the  frequency  coordinator  on  behalf of the applicant must be filed
   electronically.

   (f) Applications for Amateur licenses. Each candidate for an amateur radio
   operator  license  which  requires  the  applicant to pass one or more
   examination elements must present the administering Volunteer Examiners (VE)
   with all information required by the rules prior to the examination. The VEs
   may collect the information required by these rules in any manner of their
   choosing,  including  creating their own forms. Upon completion of the
   examination, the administering VEs will immediately grade the test papers
   and will then issue a certificate for successful completion of an amateur
   radio operator examination (CSCE) if the applicant is successful. The VEs
   will  send  all  necessary  information  regarding  a candidate to the
   Volunteer-Examiner Coordinator (VEC) coordinating the examination session.
   Applications filed with the Commission by VECs must be filed electronically
   via  ULS.  All  other applications for amateur service licenses may be
   submitted manually to FCC, 1270 Fairfield Road, Gettysburg, PA 17325–7245,
   or may be electronically filed via ULS. Feeable requests for vanity call
   signs  must  be  filed  in  accordance  with §0.401 of this chapter or
   electronically filed via ULS.

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

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

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

§ 1.915   General application requirements.

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   (a)  General  requirement. Except as provided in paragraph (b) of this
   section, for all Wireless Radio Services, station licenses, as defined in
   section 308(a) of the Communications Act, as amended, operator licenses,
   modifications or renewals of licenses, assignments or transfers of control
   of station licenses or any rights thereunder, and waiver requests associated
   with any of the foregoing shall be granted only upon an application filed
   pursuant to §§1.913 through 1.917 of this part.

   (b)(1) Exception for emergency filings. The Commission may grant station
   licenses, or modifications or renewals thereof, without the filing of a
   formal application in the following cases:

   (i)  an emergency found by the Commission to involve danger to life or
   property or to be due to damage to equipment;

   (ii) a national emergency proclaimed by the President or declared by the
   Congress and during the continuance of any war in which the United States is
   engaged, when such action is necessary for the national defense or security
   or otherwise in furtherance of the war effort; or

   (iii) an emergency where the Commission finds that it would not be feasible
   to secure renewal applications from existing licensees or otherwise to
   follow normal licensing procedures.

   (2) No such authorization shall be granted for or continue in effect beyond
   the  period of the emergency or war requiring it. The procedures to be
   followed for emergency requests submitted under this subparagraph are the
   same as for seeking special temporary authority under §1.931 of this part.
   After the end of the period of emergency, the party must submit its request
   by filing the appropriate FCC form in accordance with paragraph (a) of this
   section.

   [ 63 FR 68923 , Dec. 14, 1998]

§ 1.917   Who may sign applications.

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   (a) Except as provided in paragraph (b) of this section, applications,
   amendments, and related statements of fact required by the Commission must
   be signed as follows (either electronically or manually, see paragraph (d)
   of this section): (1) By the applicant, if the applicant is an individual;
   (2) by one of the partners if the applicant is a partnership; (3) by an
   officer,  director, or duly authorized employee, if the applicant is a
   corporation; (4) by a member who is an officer, if the applicant is an
   unincorporated association; or (5) by the trustee if the applicant is an
   amateur radio service club. Applications, amendments, and related statements
   of fact filed on behalf of eligible government entities such as states and
   territories of the United States, their political subdivisions, the District
   of  Columbia,  and units of local government, including unincorporated
   municipalities, must be signed by a duly elected or appointed official who
   is authorized to do so under the laws of the applicable jurisdiction.

   (b) Applications, amendments, and related statements of fact required by the
   Commission  may  be  signed by the applicant's attorney in case of the
   applicant's physical disability or absence from the United States, or by
   applicant's designated vessel master when a temporary permit is requested
   for a vessel. The attorney shall, when applicable, separately set forth the
   reason why the application is not signed by the applicant. In addition, if
   any matter is stated on the basis of the attorney's or master's belief only
   (rather than knowledge), the attorney or master shall separately set forth
   the reasons for believing that such statements are true. Only the original
   of applications, amendments, and related statements of fact need be signed.

   (c) Applications, amendments, and related statements of fact need not be
   signed under oath. Willful false statements made therein, however, are
   punishable by fine and imprisonment, 18 U.S.C. 1001, and by appropriate
   administrative sanctions, including revocation of station license pursuant
   to 312(a)(1) of the Communications Act of 1934, as amended.

   (d)  “Signed,”  as  used  in  this  section, means, for manually filed
   applications only, an original hand-written signature or, for electronically
   filed applications only, an electronic signature. An electronic signature
   shall consist of the name of the applicant transmitted electronically via
   ULS and entered on the application as a signature.

   [ 63 FR 68923 , Dec. 14, 1998]

§ 1.919   Ownership information.

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   (a) Applicants or licensees in Wireless Radio Services that are subject to
   the ownership reporting requirements of §1.2112 shall use FCC Form 602 to
   provide all ownership information required by the chapter.

   (b) Any applicant or licensee that is subject to the reporting requirements
   of §1.2112 or §1.2114 shall file an FCC Form 602, or file an updated form if
   the ownership information on a previously filed FCC Form 602 is not current,
   at the time it submits:

   (1) An initial application for authorization (FCC Form 601);

   (2) An application for license renewal (FCC Form 601);

   (3) An application for assignment of authorization or transfer of control
   (FCC Form 603); or

   (4)  A  notification  of  consummation  of  a  pro forma assignment of
   authorization or transfer of control (FCC Form 603) under the Commission's
   forbearance procedures (see §1.948(c ) of this part).

   (5) An application reporting any reportable eligibility event, as defined in
   §1.2114.

   (c) Reporting of Cellular Cross-Ownership Interests. (1) A cellular licensee
   of one channel block in a cellular geographic service area (CGSA) must
   report current ownership information if the licensee, a party that owns a
   controlling or otherwise attributable interest in the licensee, or a party
   that actually controls the licensee, obtains a direct or indirect ownership
   interest of more than 10 percent in a cellular licensee, a party that owns a
   controlling or otherwise attributable interest in a cellular licensee, or a
   party that actually controls a cellular licensee, for the other channel
   block in an overlapping CGSA, if the overlap is located in whole or in part
   in a Rural Service Area (RSA), as defined in §22.909 of this chapter. The
   ownership information must be filed on a FCC Form 602 within 30 days of the
   date of consummation of the transaction and reflect the specific levels of
   investment.

   (2)  For  the purposes of paragraph (c) of this section, the following
   definitions and other provisions shall apply:

   (i)  Non-controlling  interests. A direct or indirect non-attributable
   interest in both systems is excluded from the reporting requirement set out
   in paragraph (c)(1) of this section.

   (ii) Ownership attribution. For purposes of paragraph (c) of this section,
   ownership and other interests in cellular licensees will be attributed to
   their holders pursuant to the following criteria:

   (A) Controlling interest shall be attributable. Controlling interest means
   majority voting equity ownership, any general partnership interest, or any
   means  of actual working control (including negative control) over the
   operation of the licensee, in whatever manner exercised.

   (B)  Partnership  and other ownership interests and any stock interest
   amounting to 20 percent or more of the equity, or outstanding stock, or
   outstanding voting stock of a cellular licensee shall be attributed.

   (C) Non-voting stock shall be attributed as an interest in the issuing
   entity if in excess of the amounts set forth in paragraph (c)(2)(ii)(B) of
   this section.

   (D) Debt and instruments such as warrants, convertible debentures, options,
   or other interests (except non-voting stock) with rights of conversion to
   voting interests shall not be attributed unless and until converted.

   (E) Limited partnership interests shall be attributed to limited partners
   and shall be calculated according to both the percentage of equity paid in
   and the percentage of distribution of profits and losses.

   (F) Officers and directors of a cellular licensee shall be considered to
   have  an  attributable  interest  in the entity with which they are so
   associated. The officers and directors of an entity that controls a cellular
   licensee  shall  be considered to have an attributable interest in the
   cellular licensee.

   (G) Ownership interests that are held indirectly by any party through one or
   more   intervening  corporations  will  be  determined  by  successive
   multiplication of the ownership percentages for each link in the vertical
   ownership chain and application of the relevant attribution benchmark to the
   resulting product, except that if the ownership percentage for an interest
   in any link in the chain exceeds 50 percent or represents actual control, it
   shall be treated as if it were a 100 percent interest. (For example, if A
   owns 20 percent of B, and B owns 40 percent of licensee C, then A's interest
   in licensee C would be 8 percent. If A owns 20 percent of B, and B owns 51
   percent of licensee C, then A's interest in licensee C would be 20 percent
   because B's ownership of C exceeds 50 percent.)

   (H) Any person who manages the operations of a cellular licensee pursuant to
   a management agreement shall be considered to have an attributable interest
   in such licensee if such person, or its affiliate, has authority to make
   decisions or otherwise engage in practices or activities that determine, or
   significantly influence:

   ( 1 ) The nature or types of services offered by such licensee;

   ( 2 ) The terms upon which such services are offered; or

   ( 3 ) The prices charged for such services.

   (I)  Any licensee, or its affiliate, who enters into a joint marketing
   arrangements with a cellular licensee, or its affiliate, shall be considered
   to  have  an  attributable interest, if such licensee or affiliate has
   authority to make decisions or otherwise engage in practices or activities
   that determine, or significantly influence:

   ( 1 ) The nature or types of services offered by such licensee;

   ( 2 ) The terms upon which such services are offered; or

   ( 3 ) The prices charged for such services.

   (3) Sunset Provisions. This notification requirement will sunset at the
   earlier of:

   (i) Five years after February 14, 2005, or

   (ii) At the cellular licensee's specific deadline for renewal.

   (d) A single FCC Form 602 may be associated with multiple applications filed
   by the same applicant or licensee. If an applicant or licensee already has a
   current FCC Form 602 on file when it files an initial application, renewal
   application,  application  for  assignment  or transfer of control, or
   notification of a pro forma assignment or transfer, it may certify that it
   has a current FCC Form 602 on file.

   (e) No filing fee is required to submit or update FCC Form 602.

   (f) Applicants or licensees in Wireless Radio Services that are not subject
   to the ownership reporting requirements of §1.2112 are not required to file
   FCC Form 602. However, such applicants and licensees may be required by the
   rules applicable to such services to disclose the real party (or parties) in
   interest to the application, including (as required) a complete disclosure
   of the identity and relationship of those persons or entities directly or
   indirectly owning or controlling (or both) the applicant or licensee.

   [ 63 FR 68923 , Dec. 14, 1998, as amended at  68 FR 42995 , July 21, 2003;  69 FR 75170 , Dec. 15, 2004;  71 FR 26251 , May 4, 2006]

§ 1.923   Content of applications.

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   (a) General. Applications must contain all information requested on the
   applicable form and any additional information required by the rules in this
   chapter and any rules pertaining to the specific service for which the
   application is filed.

   (b) Reference to material on file. Questions on application forms that call
   for specific technical data, or that can be answered yes or no or with
   another short answer, must be answered on the form. Otherwise, if documents,
   exhibits, or other lengthy showings already on file with the FCC contain
   information required in an application, the application may incorporate such
   information by reference, provided that:

   (1) The referenced information has been filed in ULS or, if manually filed
   outside of ULS, the information comprises more than one “81/2×11” page.

   (2) The referenced information is current and accurate in all material
   respects; and

   (3) The application states specifically where the referenced information can
   actually be found, including:

   (i) The station call sign or application file number and its location if the
   reference is to station files or previously filed applications;

   (ii)  The  title  of  the proceeding, the docket number, and any legal
   citations, if the reference is to a docketed proceeding.

   (c) Antenna locations. Applications for stations at fixed locations must
   describe each transmitting antenna site by its geographical coordinates and
   also  by  its  street  address,  or by reference to a nearby landmark.
   Geographical coordinates, referenced to NAD83, must be specified in degrees,
   minutes, and seconds to the nearest second of latitude and longitude.

   (d) Antenna structure registration. Owners of certain antenna structures
   must  notify the Federal Aviation Administration and register with the
   Commission as required by Part 17 of this chapter. Applications proposing
   the use of one or more new or existing antenna structures must contain the
   FCC Antenna Registration Number(s) of each structure for which registration
   is required. If registration is not required, the applicant must provide
   information in its application sufficient for the Commission to verify this
   fact.

   (e) Environmental concerns. Each applicant is required to indicate at the
   time its application is filed whether or not a Commission grant of the
   application may have a significant environmental effect, as defined by
   §1.1307  of  this chapter. If answered affirmatively, an Environmental
   Assessment, required by §1.1311 of this chapter, must be filed with the
   application and environmental review by the Commission must be completed
   prior to construction.

   (f) International coordination. Channel assignments and/or usage under this
   part are subject to the applicable provisions and requirements of treaties
   and other international agreements between the United States government and
   the governments of Canada and Mexico.

   (g)  Quiet zones. Each applicant is required to comply with the “Quiet
   Zone” rule (see §1.924).

   (h)  Taxpayer  Identification  Number  (TINs). Wireless applicants and
   licensees, including all attributable owners of auctionable licenses as
   defined by §1.2112 of this part, are required to provide their Taxpayer
   Identification  Numbers  (TINS)  (as defined in 26 U.S.C. 6109) to the
   Commission, pursuant to the Debt Collection Improvement Act of 1996 (DCIA).
   Under the DCIA, the FCC may use an applicant or licensee's TIN for purposes
   of collecting and reporting to the Department of the Treasury any delinquent
   amounts arising out of such person's relationship with the Government. The
   Commission will not publicly disclose applicant or licensee TINs unless
   authorized by law, but will assign a “public identification number” to each
   applicant or licensee registering a TIN. This public identification number
   will be used for agency purposes other than debt collection.

   (i)  Unless  an exception is set forth elsewhere in this chapter, each
   applicant must specify an address where the applicant can receive mail
   delivery by the United States Postal Service. This address will be used by
   the Commission to serve documents or direct correspondence to the applicant.

   [ 63 FR 68924 , Dec. 14, 1998, as amended at  64 FR 53238 , Oct. 1, 1999]

§ 1.924   Quiet zones.

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   Areas implicated by this paragraph are those in which it is necessary to
   restrict radiation so as to minimize possible impact on the operations of
   radio  astronomy  or  other  facilities  that  are highly sensitive to
   interference. Consent throughout this paragraph means written consent from
   the  quiet zone, radio astronomy, research, and receiving installation
   entity. The areas involved and procedures required are as follows:

   (a) NRAO, NRRO. The requirements of this paragraph are intended to minimize
   possible interference at the National Radio Astronomy Observatory site
   located at Green Bank, Pocahontas County, West Virginia, and at the Naval
   Radio Research Observatory site at Sugar Grove, Pendleton County, West
   Virginia.

   (1) Applicants and licensees planning to construct and operate a new or
   modified station at a permanent fixed location within the area bounded by N
   39°15'0.4" on the north, W 78°29'59.0" on the east, N 37°30'0.4" on the
   south, and W 80°29'59.2" on the west must notify the Director, National
   Radio  Astronomy  Observatory, Post Office Box No. 2, Green Bank, West
   Virginia  24944,  in writing, of the technical details of the proposed
   operation. The notification must include the geographical coordinates of the
   antenna location, the antenna height, antenna directivity (if any), the
   channel, the emission type and power.

   (2) When an application for authority to operate a station is filed with the
   FCC, the notification required in paragraph (a)(1) of this section may be
   made prior to, or simultaneously with the application. The application must
   state the date that notification in accordance with paragraph (a)(1) of this
   section was made. After receipt of such applications, the FCC will allow a
   period  of  20  days  for  comments  or  objections in response to the
   notifications indicated. If an applicant submits written consent from the
   National Radio Astronomy Observatory for itself or on behalf of the Naval
   Radio Research Observatory, the FCC will process the application without
   awaiting the conclusion of the 20-day period. For services that do not
   require  individual station authorization, entities that have obtained
   written consent from the National Radio Astronomy Observatory for itself or
   on behalf of the Naval Radio Research Observatory may begin to operate new
   or modified facilities prior to the end of the 20-day period. In instances
   in  which  notification  has been made to the National Radio Astronomy
   Observatory prior to application filing, the applicant must also provide
   notice to the quiet zone entity upon actual filing of the application with
   the  FCC. Such notice will be made simultaneous with the filing of the
   application and shall comply with the requirements of paragraph (a)(1) of
   this section.

   (3) If an objection is received during the 20-day period from the National
   Radio Astronomy Observatory for itself or on behalf of the Naval Radio
   Research Observatory, the FCC will, after consideration of the record, take
   whatever action is deemed appropriate.

   (b) Table Mountain. The requirements of this paragraph are intended to
   minimize possible interference at the Table Mountain Radio Receiving Zone of
   the Research Laboratories of the Department of Commerce located in Boulder
   County, Colorado.

   (1) Licensees and applicants planning to construct and operate a new or
   modified station at a permanent fixed location in the vicinity of Boulder
   County,  Colorado  are  advised to give consideration, prior to filing
   applications, to the need to protect the Table Mountain Radio Receiving Zone
   from interference. To prevent degradation of the present ambient radio
   signal level at the site, the Department of Commerce seeks to ensure that
   the field strengths of any radiated signals (excluding reflected signals)
   received on this 1800 acre site (in the vicinity of coordinates 40°07'49.9"
   North Latitude, 105°14'42.0" West Longitude) resulting from new assignments
   (other than mobile stations) or from the modification or relocation of
   existing facilities do not exceed the values given in the following table:

   Field Strength Limits for Table Mountain^1
   Frequency range Field strength
   (mV/m) Power flux density
   (dBW/m^2)
   Below 540 kHz 10 −65.8
   540 to 1600 kHz 20 −59.8
   1.6 to 470 MHz 10 −65.8
   470 to 890 MHz 30 −56.2
   890 MHz and above 1 −85.8

   ^1Note: Equivalent values of power flux density are calculated assuming free
   space characteristic impedance of 376.7Ω (120πΩ).

   (2) Advance consultation is recommended, particularly for applicants that
   have no reliable data to indicate whether the field strength or power flux
   density figures in the above table would be exceeded by their proposed radio
   facilities. In general, coordination is recommended for:

   (i) Stations located within 2.4 kilometers (1.5 miles) of the Table Mountain
   Radio Receiving Zone;

   (ii) Stations located within 4.8 kilometers (3 miles) transmitting with 50
   watts  or  more effective radiated power (ERP) in the primary plane of
   polarization  in  the  azimuthal direction of the Table Mountain Radio
   Receiving Zone;

   (iii) Stations located with 16 kilometers (10 miles) transmitting with 1 kW
   or more ERP in the primary plane of polarization in the azimuthal direction
   of Table Mountain Radio Receiving Zone;

   (iv) Stations located within 80 kilometers (50 miles) transmitting with 25
   kW  or  more ERP in the primary plane of polarization in the azimuthal
   direction of Table Mountain Receiving Zone.

   (3) Applicants concerned are urged to communicate with the Radio Frequency
   Management Coordinator, Department of Commerce, NOAA R/OM62, 325 Broadway,
   Boulder,  CO 80305; telephone 303–497–6548, in advance of filing their
   applications with the Commission.

   (4)  The FCC will not screen applications to determine whether advance
   consultation has taken place. However, such consultation may avoid the
   filing of objections from the Department of Commerce or institution of
   proceedings to modify the authorizations of stations that radiate signals
   with a field strength or power flux density at the site in excess of those
   specified herein.

   (c)  Federal  Communications  Commission  protected field offices. The
   requirements  of  this  paragraph  are  intended  to minimize possible
   interference to FCC monitoring activities.

   (1) Licensees and applicants planning to construct and operate a new or
   modified station at a permanent fixed location in the vicinity of an FCC
   protected field office are advised to give consideration, prior to filing
   applications,  to  the  need  to avoid interfering with the monitoring
   activities of that office. FCC protected field offices are listed in §0.121
   of this chapter.

   (2) Applications for stations (except mobile stations) that could produce on
   any channel a direct wave fundamental field strength of greater than 10 mV/m
   (−65.8 dBW/m^2 power flux density assuming a free space characteristic
   impedance of 120π Ω) in the authorized bandwidth at the protected field
   office may be examined to determine the potential for interference with
   monitoring activities. After consideration of the effects of the predicted
   field strength of the proposed station, including the cumulative effects of
   the signal from the proposed station with other ambient radio field strength
   levels  at  the  protected  field  office, the FCC may add a condition
   restricting radiation toward the protected field office to the station
   authorization.

   (3) In the event that the calculated field strength exceeds 10 mV/m at the
   protected field office site, or if there is any question whether field
   strength levels might exceed that level, advance consultation with the FCC
   to discuss possible measures to avoid interference to monitoring activities
   should be considered. Prospective applicants may communicate with: Chief,
   Enforcement Bureau, Federal Communications Commission, Washington, DC 20554.

   (4) Advance consultation is recommended for applicants that have no reliable
   data to indicate whether the field strength or power flux density figure
   indicated would be exceeded by their proposed radio facilities. In general,
   coordination is recommended for:

   (i) Stations located within 2.4 kilometers (1.5 miles) of the protected
   field office;

   (ii) Stations located within 4.8 kilometers (3 miles) with 50 watts or more
   average effective radiated power (ERP) in the primary plane of polarization
   in the azimuthal direction of the protected field offices.

   (iii) Stations located within 16 kilometers (10 miles) with 1 kw or more
   average ERP in the primary plane of polarization in the azimuthal direction
   of the protected field office;

   (iv) Stations located within 80 kilometers (50 miles) with 25 kw or more
   average ERP in the primary plane of polarization in the azimuthal direction
   of the protected field office;

   (v) Advance coordination for stations transmitting on channels above 1000
   MHz is recommended only if the proposed station is in the vicinity of a
   protected field office designated as a satellite monitoring facility in
   §0.121 of this chapter.

   (vi) The FCC will not screen applications to determine whether advance
   consultation has taken place. However, such consultation may serve to avoid
   the need for later modification of the authorizations of stations that
   interfere with monitoring activities at protected field offices.

   (d)  Notification to the Arecibo Observatory. The requirements in this
   section  are intended to minimize possible interference at the Arecibo
   Observatory  in Puerto Rico. Licensees must make reasonable efforts to
   protect the Observatory from interference. Licensees planning to construct
   and operate a new station at a permanent fixed location on the islands of
   Puerto  Rico,  Desecheo, Mona, Vieques or Culebra in services in which
   individual station licenses are issued by the FCC; planning to construct and
   operate a new station at a permanent fixed location on these islands that
   may cause interference to the operations of the Arecibo Observatory in
   services in which individual station licenses are not issued by the FCC; or
   planning  a  modification of any existing station at a permanent fixed
   location on these islands that would increase the likelihood of causing
   interference to the operations of the Arecibo Observatory must notify the
   Interference Office, Arecibo Observatory, HC3 Box 53995, Arecibo, Puerto
   Rico 00612, in writing or electronically (e-mail address: prcz@naic.edu ),
   of the technical parameters of the planned operation. Carriers may wish to
   use the interference guidelines provided by Cornell University as guidance
   in  designing facilities to avoid interference to the Observatory. The
   notification must include identification of the geographical coordinates of
   the antenna location (NAD–83 datum), the antenna height, antenna directivity
   (if  any),  proposed  channel and FCC Rule Part, type of emission, and
   effective isotropic radiated power.

   (1) In the Amateur radio service:

   (i)  The  provisions  of paragraph (d) of this section do not apply to
   repeaters that transmit on the 1.2 cm or shorter wavelength bands; and

   (ii) The coordination provision of paragraph (d) of this section does not
   apply  to  repeaters  that  are located 16 km or more from the Arecibo
   observatory.

   (2) In services in which individual station licenses are issued by the FCC,
   the notification required in paragraph (d) of this section may be made prior
   to, or simultaneously with, the filing of the application with the FCC, and
   at  least 20 days in advance of the applicant's planned operation. The
   application  must  state the date that notification in accordance with
   paragraph (d) of this section was made. In services in which individual
   station licenses are not issued by the FCC, the notification required in
   paragraph (d) of this section should be sent at least 45 days in advance of
   the applicant's planned operation. In the latter services, the Interference
   Office must inform the FCC of a notification by an applicant within 20 days
   if the Office plans to file comments or objections to the notification.
   After  the  FCC receives an application from a service applicant or is
   informed  by  the Interference Office of a notification from a service
   applicant, the FCC will allow the Interference Office a period of 20 days
   for comments or objections in response to the application or notification.
   If an applicant submits written consent from the Interference Office, the
   FCC will process the application without awaiting the conclusion of the
   20-day  period.  For  services  that do not require individual station
   authorization,  entities  that  have obtained written consent from the
   Interference Office may begin to operate new or modified facilities prior to
   the end of the 20-day period. In instances in which notification has been
   made to the Interference Office prior to application filing, the applicant
   must also provide notice to the Interference Office upon actual filing of
   the application with the FCC. Such notice will be made simultaneous with the
   filing  of  the  application and shall comply with the requirements of
   paragraph (d) of this section.

   (3) If an objection to any planned service operation is received during the
   20-day period from the Interference Office, the FCC will take whatever
   action is deemed appropriate.

   (4)  The  provisions  of paragraph (d) of this section do not apply to
   operations that transmit on frequencies above 15 GHz.

   (e) Government satellite earth stations. (1) To minimize or avoid harmful
   interference to Government Satellite Earth Stations located in the Denver,
   Colorado and Washington, DC areas, any application for a new station license
   to  operate in the 17.8–19.7 GHz band (except for low power operations
   governed by §101.147(r)(10) of this chapter), or for modification of an
   existing station license in this band which would change the frequency,
   power, emission, modulation, polarization, antenna height or directivity, or
   location of such a station, must be coordinated with the Federal Government
   by the Commission before an authorization will be issued, if the station or
   proposed station is located in whole or in part within any of the areas
   defined by the following rectangles or circles:

   Denver, CO Area

   Rectangle 1:

   41°30'00" N. Lat. on the north

   103°10'00" W. Long. on the east

   38°30'00" N. Lat. on the south

   106°30'00" W. Long. on the west

   Rectangle 2:

   38°30'00" N. Lat. on the north

   105°00'00" W. Long. on the east

   37°30'00" N. Lat. on the south

   105°50'00" W. Long. on the west

   Rectangle 3:

   40°08'00" N. Lat. on the north

   107°00'00" W. Long. on the east

   39°56'00" N. Lat. on the south

   07°15'00" W. Long. on the west

   Washington, DC Area

   Rectangle

   38°40'00" N. Lat. on the north

   78°50'00" W. Long. on the east

   38°10'00" N. Lat. on the south

   79°20'00" W. Long. on the west; or

   (2) Within a radius of 178 km of 38°48'00" N. Lat./76°52'00" W. Long.

   (3)  In  addition,  no application seeking authority to operate in the
   17.8–19.7 GHz band will be accepted for filing if the proposed station is
   located within 20 km (or within 55 km if the application is for an outdoor
   low power operation pursuant to §101.147(r)(10) of this chapter) of the
   following coordinated:

   Denver, CO area: 39°43'00" N. Lat./104°46'00" W. Long.

   Washington, DC area: 38°48'00" N. Lat./76°52'00" W. Long.

   (4) In the band 17.717.8 GHz, fixed service applications, under parts 74,
   78,  or 101 of this chapter, supporting Multichannel Video Programming
   Distributors  shall  be coordinated with the Federal Government by the
   Commission before an authorization will be issued if the station or proposed
   station is located in whole or in part within any of the areas defined in
   paragraphs (e)(1) or (e)(2) of this section.

   (f) 420–450 MHz band. (1) In the band 420–450 MHz, applicants should not
   expect to be accommodated if their area of service is within 160 kilometers
   (100 miles) of the following locations:

   (i) 41°45'00.2" N, 70°30'58.3" W.,

   (ii) 64°17'00.0" N., 149°10'00.0" W.,

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

   (iii) 48°43'00.0" N., 97°54'01.4" W.;

   (2) Within 200 kilometers (124 miles) of the following locations:

   (i) 32°38'00.5" N., 83°34'59.7" W.,

   (ii) 31°25'00.6" N., 100°24'01.3" W.;

   (3) Within 240 kilometers (150 miles) of the following location:

   (i) 39°07'59.6" N., 121°26'03.9" W.;

   (ii) [Reserved]

   (4) Within 320 kilometers (200 miles) of the following locations:

   (i) 28°21'01.0" N., 80°42'59.2" W.,

   (ii) 30°30'00.7" N., 86°29'59.8" W.,

   (iii) 34°08'59.6" N, 119°11'03.8" W;

   (5) Or in the following locations:

   (i) The state of Arizona,

   (ii) The state of Florida,

   (iii) Portions of California and Nevada south of 37°10' N.,

   (iv) And portions of Texas and New Mexico bounded by 31°45' N., 34°30' N.,
   104°00' W., and 107°30' W.

   (g)  GOES. The requirements of this paragraph are intended to minimize
   harmful interference to Geostationary Operational Environmental Satellite
   earth stations receiving in the band 1670–1675 MHz, which are located at
   Wallops Island, Virginia; Fairbanks, Alaska; and Greenbelt, Maryland.

   (1) Applicants and licensees planning to construct and operate a new or
   modified station within the area bounded by a circle with a radius of 100
   kilometers  (62.1  miles) that is centered on 37E56'47" N, 75E27'37" W
   (Wallops Island) or 64E58'36" N, 147E31'03" W (Fairbanks) or within the area
   bounded by a circle with a radius of 65 kilometers (40.4 miles) that is
   centered on 39E00'02" N, 76E50'31" W (Greenbelt) must notify the National
   Oceanic and Atmospheric Administration (NOAA) of the proposed operation. For
   this  purpose,  NOAA  maintains  the  GOES  coordination  web  page at
   http://www.osd.noaa.gov/radio/frequency.htm, which provides the technical
   parameters  of  the  earth  stations  and the point-of-contact for the
   notification. The notification shall include the following information:
   requested frequency, geographical coordinates of the antenna location,
   antenna height above mean sea level, antenna directivity, emission type,
   equivalent  isotropically  radiated power, antenna make and model, and
   transmitter make and model.

   (2) Protection. (i) Wallops Island and Fairbanks. Licensees are required to
   protect the Wallops Island and Fairbanks sites at all times.

   (ii) Greenbelt. Licensees are required to protect the Greenbelt site only
   when  it is active. Licensees should coordinate appropriate procedures
   directly with NOAA for receiving notification of times when this site is
   active.

   (3) When an application for authority to operate a station is filed with the
   FCC, the notification required in paragraph (f)(1) of this section should be
   sent at the same time. The application must state the date that notification
   in accordance with paragraph (f)(1) of this section was made. After receipt
   of such an application, the FCC will allow a period of 20 days for comments
   or objections in response to the notification.

   (4) If an objection is received during the 20-day period from NOAA, the FCC
   will, after consideration of the record, take whatever action is deemed
   appropriate.

   Note  to §1.924: Unless otherwise noted, all coordinates cited in this
   section are specified in terms of the North American Datum of 1983 (NAD 83).

   [ 63 FR 68924 , Dec. 14, 1998, as amended at  67 FR 6182 , Feb. 11, 2002;  67 FR 13224 , Mar. 21, 2002;  67 FR 41852 , June 20, 2002;  67 FR 71111 , Nov. 29,
   2002;  69 FR 17957 , Apr. 6, 2004;  70 FR 31372 , June 1, 2005;  71 FR 69046 ,
   Nov. 29, 2006]

§ 1.925   Waivers.

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   (a)  Waiver  requests  generally.  The  Commission  may waive specific
   requirements of the rules on its own motion or upon request. The fees for
   such waiver requests are set forth in §1.1102 of this part.

   (b) Procedure and format for filing waiver requests. (1) Requests for waiver
   of rules associated with licenses or applications in the Wireless Radio
   Services must be filed on FCC Form 601, 603, or 605.

   (2) Requests for waiver must contain a complete explanation as to why the
   waiver is desired. If the information necessary to support a waiver request
   is already on file, the applicant may cross-reference the specific filing
   where the information may be found.

   (3) The Commission may grant a request for waiver if it is shown that:

   (i) The underlying purpose of the rule(s) would not be served or would be
   frustrated by application to the instant case, and that a grant of the
   requested waiver would be in the public interest; or

   (ii) In view of unique or unusual factual circumstances of the instant case,
   application  of the rule(s) would be inequitable, unduly burdensome or
   contrary  to  the  public interest, or the applicant has no reasonable
   alternative.

   (4) Applicants requiring expedited processing of their request for waiver
   shall  clearly  caption  their  request  for  waiver  with  the  words
   “WAIVER—EXPEDITED ACTION REQUESTED.”

   (c) Action on Waiver Requests. (i) The Commission, in its discretion, may
   give public notice of the filing of a waiver request and seek comment from
   the public or affected parties.

   (ii) Denial of a rule waiver request associated with an application renders
   that application defective unless it contains an alternative proposal that
   fully complies with the rules, in which event, the application will be
   processed using the alternative proposal as if the waiver had not been
   requested.  Applications  rendered  defective may be dismissed without
   prejudice.

   [ 63 FR 68926 , Dec. 14, 1998]

§ 1.926   Application processing; initial procedures.

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   Applications  are  assigned file numbers and service codes in order to
   facilitate processing. Assignment of a file number to an application is for
   administrative convenience and does not constitute a determination that the
   application is acceptable for filing. Purpose and service codes appear on
   the Commission forms.

   [ 63 FR 68927 , Dec. 14, 1998]

§ 1.927   Amendment of applications.

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   (a) Pending applications may be amended as a matter of right if they have
   not been designated for hearing or listed in a public notice as accepted for
   filing for competitive bidding, except as provided in paragraphs (b) through
   (e) of this section.

   (b) Applicants for an initial license in auctionable services may amend such
   applications only in accordance with Subpart Q of this part.

   (c) Amendments to non-auction applications that are applied for under Part
   101 or that resolve mutual exclusivity may be filed at any time, subject to
   the requirements of §1.945 of this part.

   (d) Any amendment to an application for modification must be consistent
   with, and must not conflict with, any other application for modification
   regarding that same station.

   (e) Amendments to applications designated for hearing may be allowed by the
   presiding officer or, when a proceeding is stayed or otherwise pending
   before the full Commission, may be allowed by the Commission for good cause
   shown. In such instances, a written petition demonstrating good cause must
   be submitted and served upon the parties of record.

   (f) Amendments to applications are also subject to the service-specific
   rules in applicable parts of this chapter.

   (g) Where an amendment to an application specifies a substantial change in
   beneficial ownership or control ( de jure or de facto ) of an applicant, the
   applicant must provide an exhibit with the amendment application containing
   an affirmative, factual showing as set forth in §1.948(i)(2).

   (h) Where an amendment to an application constitutes a major change, as
   defined in §1.929, the amendment shall be treated as a new application for
   determination of filing date, public notice, and petition to deny purposes.

   (i) If a petition to deny or other informal objection has been filed, a copy
   of any amendment (or other filing) must be served on the petitioner. If the
   FCC has issued a public notice stating that the application appears to be
   mutually exclusive with another application (or applications), a copy of any
   amendment (or other filing) must be served on any such mutually exclusive
   applicant (or applicants).

   [ 63 FR 68927 , Dec. 14, 1998, as amended at  64 FR 53238 , Oct. 1, 1999;  70 FR 61058 , Oct. 20, 2005]

§ 1.928   Frequency coordination, Canada.

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   (a) As a result of mutual agreements, the Commission has, since May 1950 had
   an  arrangement with the Canadian Department of Communications for the
   exchange of frequency assignment information and engineering comments on
   proposed assignments along the Canada-United States borders in certain bands
   above 30 MHz. Except as provided in paragraph (b) of this section, this
   arrangement involves assignments in the following frequency bands.

   MHz

   30.56–32.00

   33.00–34.00

   35.00–36.00

   37.00–38.00

   39.00–40.00

   42.00–46.00

   47.00–49.60

   72.00–73.00

   75.40–76.00

   150.80–174.00

   450–470

   806.00–960.00

   1850.0–2200.0

   2450.0–2690.0

   3700.0–4200.0

   5925.0–7125.0

   GHz

   10.55–10.68

   10.70–13.25

   (b) The following frequencies are not involved in this arrangement because
   of the nature of the services:

   MHz

   156.3

   156.35

   156.4

   156.45

   156.5

   156.55

   156.6

   156.65

   156.7

   156.8

   156.9

   156.95

   157.0 and 161.6

   157.05

   157.1

   157.15

   157.20

   157.25

   157.30

   157.35

   157.40.

   (c) Assignments proposed in accordance with the railroad industry radio
   frequency allotment plan along the United States-Canada borders utilized by
   the Federal Communications Commission and the Department of Transport,
   respectively, may be excepted from this arrangement at the discretion of the
   referring agency.

   (d) Assignments proposed in any radio service in frequency bands below 470
   MHz appropriate to this arrangement, other than those for stations in the
   Domestic Public (land mobile or fixed) category, may be excepted from this
   arrangement at the discretion of the referring agency if a base station
   assignment has been made previously under the terms of this arrangement or
   prior to its adoption in the same radio service and on the same frequency
   and  in  the local area, and provided the basic characteristics of the
   additional station are sufficiently similar technically to the original
   assignment to preclude harmful interference to existing stations across the
   border.

   (e) For bands below 470 MHz, the areas which are involved lie between Lines
   A and B and between Lines C and D, which are described as follows:

   Line  A—Begins  at Aberdeen, Wash., running by great circle arc to the
   intersection of 48 deg. N., 120 deg. W., thence along parallel 48 deg. N.,
   to the intersection of 95 deg. W., thence by great circle arc through the
   southernmost point of Duluth, Minn., thence by great circle arc to 45 deg.
   N.,  85  deg.  W.,  thence southward along meridian 85 deg. W., to its
   intersection with parallel 41 deg. N., thence along parallel 41 deg. N., to
   its  intersection with meridian 82 deg. W., thence by great circle arc
   through the southernmost point of Bangor, Maine, thence by great circle arc
   through the southern-most point of Searsport, Maine, at which point it
   terminates; and

   Line  B—Begins  at  Tofino,  B.C.,  running by great circle arc to the
   intersection of 50 deg. N., 125 deg. W., thence along parallel 50 deg. N.,
   to  the  intersection of 90 deg. W., thence by great circle arc to the
   intersection of 45 deg. N., 79 deg. 30' W., thence by great circle arc
   through the northernmost point of Drummondville, Quebec (lat: 45 deg. 52'
   N., long: 72 deg. 30' W.), thence by great circle arc to 48 deg. 30' N., 70
   deg.  W., thence by great circle arc through the northernmost point of
   Campbellton, N.B., thence by great circle arc through the northernmost point
   of Liverpool, N.S., at which point it terminates.

   Line C—Begins at the intersection of 70 deg. N., 144 deg. W., thence by
   great circle arc to the intersection of 60 deg. N., 143 deg. W., thence by
   great circle arc so as to include all of the Alaskan Panhandle; and

   Line D—Begins at the intersection of 70 deg. N., 138 deg. W., thence by
   great  circle  arc to the intersection of 61 deg. 20' N., 139 deg. W.,
   (Burwash Landing), thence by great circle arc to the intersection of 60 deg.
   45' N., 135 deg. W., thence by great circle arc to the intersection of 56
   deg. N., 128 deg. W., thence south along 128 deg. meridian to Lat. 55 deg.
   N., thence by great circle arc to the intersection of 54 deg. N., 130 deg.
   W., thence by great circle arc to Port Clements, thence to the Pacific Ocean
   where it ends.

   (f) For all stations using bands between 470 MHz and 1000 MHz; and for any
   station of a terrestrial service using a band above 1000 MHz, the areas
   which are involved are as follows:

   (1) For a station the antenna of which looks within the 200 deg. sector
   toward the Canada-United States borders, that area in each country within 35
   miles of the borders;

   (2) For a station the antenna of which looks within the 160 deg. sector away
   from the Canada-United States borders, that area in each country within 5
   miles of the borders; and

   (3) The area in either country within coordination distance as described in
   Recommendation 1A of the Final Acts of the EARC, Geneva, 1963 of a receiving
   earth station in the other country which uses the same band.

   (g)  Proposed assignments in the space radiocommunication services and
   proposed assignments to stations in frequency bands allocated coequally to
   space  and  terrestrial  services above 1 GHz are not treated by these
   arrangements.  Such proposed assignments are subject to the regulatory
   provisions of the International Radio Regulations.

   (h) Assignments proposed in the frequency band 806–890 MHz shall be in
   accordance with the Canada-United States agreement, dated April 7, 1982.

   [ 64 FR 53238 , Oct. 1, 1999]

§ 1.929   Classification of filings as major or minor.

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   Applications and amendments to applications for stations in the wireless
   radio services are classified as major or minor ( see §1.947). Categories of
   major and minor filings are listed in §309 of the Communications Act of
   1934.

   (a)  For all stations in all Wireless Radio Services, whether licensed
   geographically  or on a site-specific basis, the following actions are
   classified as major:

   (1) Application for initial authorization;

   (2) Any substantial change in ownership or control, including requests for
   partitioning and disaggregation;

   (3) Application for renewal of authorization;

   (4) Application or amendment requesting authorization for a facility that
   would  have a significant environmental effect, as defined by §§1.1301
   through 1.1319 of the rules;

   (5) Application or amendment requiring frequency coordination pursuant to
   the Commission's rules or international treaty or agreement;

   (6) Application or amendment requesting to add a frequency or frequency
   block  for  which the applicant is not currently authorized, excluding
   removing a frequency.

   (b) In the Cellular Radiotelephone Service:

   (1) Request an authorization or an amendment to a pending application that
   would expand the cellular geographic service area (COSA) of an existing
   cellular system or, in the case of an amendment, as previously proposed in
   an application, except during the applicable five-year build-out period, if
   any;

   (2) Request that a CGSA boundary or portion of a CGSA boundary be determined
   using an alternative method; or,

   (3) Request an authorization for facilities that would produce a de minimis
   service area boundary extension into unserved area in an adjacent market.

   (c) In addition to those changes listed in paragraph (a) in this section,
   the following are major changes applicable to stations licensed to provide
   base-to-mobile, mobile-to-base, mobile-to-mobile on a site-specific basis:

   (1) In the Paging and Radiotelephone Service, Rural Radiotelephone Service
   and 800 MHz Specialized Mobile Radio Service (SMR), any change that would
   increase or expand the applicant's existing composite interference contour.

   (2) In the 900 MHz SMR and 220 MHz Service, any change that would increase
   or  expand  the  applicant's service area as defined in the rule parts
   governing the particular radio service.

   (3) In the Paging and Radiotelephone Service, Rural Radiotelephone Service,
   Offshore Radiotelephone Service, and Specialized Mobile Radio Service:

   (i) Request an authorization or an amendment to a pending application that
   would establish for the filer a new fixed transmission path;

   (ii) Request an authorization or an amendment to a pending application for a
   fixed station (i.e., control, repeater, central office, rural subscriber, or
   inter-office station) that would increase the effective radiated power,
   antenna height above average terrain in any azimuth, or relocate an existing
   transmitter;

   (4) In the Private Land Mobile Radio Services (PLMRS), the remote pickup
   broadcast auxiliary service, and GMRS systems licensed to non-individuals;

   (i)  Change  in frequency or modification of channel pairs, except the
   deletion of one or more frequencies from an authorization;

   (ii) Change in the type of emission;

   (iii) Change in effective radiated power from that authorized or, for GMRS
   systems licensed to non-individuals, an increase in the transmitter power of
   a station;

   (iv) Change in antenna height from that authorized;

   (v) Change in the authorized location or number of base stations, fixed,
   control, except for deletions of one or more such stations or, for systems
   operating on non-exclusive assignments in GMRS or the 470–512 MHz, 800 MHz
   or 900 MHz bands, a change in the number of mobile transmitters, or a change
   in  the area of mobile transmitters, or a change in the area of mobile
   operations from that authorized;

   (vi) Change in the class of a land station, including changing from multiple
   licensed to cooperative use, and from shared to unshared use.

   (d) In the microwave, aural broadcast auxiliary, and television broadcast
   auxiliary services:

   (1) Except as specified in paragraph (d)(2) and (d)(3) of this section, the
   following, in addition to those filings listed in paragraph (a) of this
   section, are major actions that apply to stations licensed to provide fixed
   point-to-point, point-to-multipoint, or multipoint-to-point, communications
   on  a  site-specific  basis,  or  fixed or mobile communications on an
   area-specific basis under part 101 of this chapter:

   (i)  Any change in transmit antenna location by more than 5 seconds in
   latitude or longitude for fixed point-to-point facilities ( e.g., a 5 second
   change  in latitude, longitude, or both would be minor); any change in
   coordinates of the center of operation or increase in radius of a circular
   area of operation, or any expansion in any direction in the latitude or
   longitude limits of a rectangular area of operation, or any change in any
   other kind of area operation;

   (ii) Any increase in frequency tolerance;

   (iii) Any increase in bandwidth;

   (iv) Any change in emission type;

   (v) Any increase in EIRP greater than 3 dB;

   (vi) Any increase in transmit antenna height (above mean sea level) more
   than 3 meters, except as specified in paragraph (d)(3) of this section;

   (vii) Any increase in transmit antenna beamwidth, except as specified in
   paragraph (d)(3) of this section;

   (viii) Any change in transmit antenna polarization;

   (ix) Any change in transmit antenna azimuth greater than 1 degree, except as
   specified in paragraph (d)(3) of this section ; or,

   (x) Any change which together with all minor modifications or amendments
   since the last major modification or amendment produces a cumulative effect
   exceeding any of the above major criteria.

   (2) Changes to transmit antenna location of Multiple Address System (MAS)
   Remote Units and Digital Electronic Message Service (DEMS) User Units are
   not major.

   (3)  Changes in accordance with paragraphs (d)(1)(vi), (d)(1)(vii) and
   (d)(1)(ix) of this section are not major for the following:

   (i) Fixed Two-Way MAS on the remote to master path,

   (ii) Fixed One-Way Inbound MAS on the remote to master path,

   (iii) Multiple Two-Way MAS on the remote to master and master to remote
   paths,

   (iv) Multiple One-Way Outbound MAS on the master to remote path,

   (v) Mobile MAS Master,

   (vi) Fixed Two-Way DEMS on the user to nodal path, and

   (vii) Multiple Two-Way DEMS on the nodal to user and user to nodal paths.

   Note to paragraph(d)(3)of §1.929: For the systems and path types described
   in paragraph (d)(3) of this section, the data provided by applicants is
   either a typical value for a certain parameter or a fixed value given in the
   Form instructions.

   (e) In addition to those filings listed in paragraph (a) of this section,
   the following are major actions that apply to stations licensed to provide
   service in the Air-ground Radiotelephone Service:

   (1) Request an authorization to relocate an existing General Aviation ground
   station; or,

   (2) Request the first authorization for a new Commercial Aviation ground
   station at a location other than those listed in §22.859 of this chapter.

   (f) In addition to those changes listed in paragraph (a), the following are
   major  changes  that  apply  to  stations  licensed  in the industrial
   radiopositioning stations for which frequencies are assigned on an exclusive
   basis, Maritime and Aviation services, except Maritime Public Coast VHF
   (CMRS), Ship and Aircraft stations:

   (1) Any change in antenna azimuth;

   (2) Any change in beamwidth;

   (3) Any change in antenna location;

   (4) Any change in emission type;

   (5) Any increase in antenna height;

   (6) Any increase in authorized power;

   (7) Any increase in emission bandwidth.

   (g)  In  addition to those changes listed in paragraph (a), any change
   requiring international coordination in the Maritime Public Coast VHF (CMRS)
   Service is major.

   (h) In addition to those changes listed in paragraph (a) of this section,
   the following are major changes that apply to ship stations:

   (1) Any request for additional equipment;

   (2) A change in ship category;

   (3) A request for assignment of a Maritime Mobile Service Identity (MMSI)
   number; or

   (4) A request to increase the number of ships on an existing fleet license.

   (i) In addition to those changes listed in paragraph (a) of this section,
   the following are major changes that apply to aircraft stations:

   (1)  A request to increase the number of aircraft on an existing fleet
   license; or

   (2) A request to change the type of aircraft (private or air carrier).

   (j) In addition to those changes listed in paragraph (a) of this section,
   the following are major changes that apply to amateur licenses:

   (1) An upgrade of an existing license; or

   (2) A change of call sign.

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

   (1) Any pro forma assignment or transfer of control;

   (2) Any name change not involving change in ownership or control of the
   license;

   (3) Any address and/or telephone number changes;

   (4) Any changes in contact person;

   (5) Any change to vessel name on a ship station license;

   (6) Any change to a site-specific license, except a PLMRS license under part
   90, or a license under part 101, where the licensee's interference contours
   are not extended and co-channel separation criteria are met, except those
   modifications defined in paragraph (c)(2) of this section; or

   (7)  Any  conversion  of multiple site-specific licenses into a single
   wide-area license, except a PLMRS license under part 90 or a license under
   part  101  of this chapter, where there is no change in the licensee's
   composite interference contour or service area as defined in paragraph
   (c)(2) of this section.

   [ 63 FR 68927 , Dec. 14, 1998, as amended at  64 FR 53239 , Oct. 1, 1999;  68 FR 12755 , Mar. 17, 2003;  70 FR 19306 , Apr. 13, 2005;  70 FR 61058 , Oct. 20,
   2005]

§ 1.931   Application for special temporary authority.

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   (a) Wireless Telecommunications Services. (1) In circumstances requiring
   immediate or temporary use of station in the Wireless Telecommunications
   Services, carriers may request special temporary authority (STA) to operate
   new or modified equipment. Such requests must be filed electronically using
   FCC Form 601 and must contain complete details about the proposed operation
   and the circumstances that fully justify and necessitate the grant of STA.
   Such requests should be filed in time to be received by the Commission at
   least 10 days prior to the date of proposed operation or, where an extension
   is  sought,  10 days prior to the expiration date of the existing STA.
   Requests received less than 10 days prior to the desired date of operation
   may be given expedited consideration only if compelling reasons are given
   for the delay in submitting the request. Otherwise, such late-filed requests
   are considered in turn, but action might not be taken prior to the desired
   date of operation. Requests for STA must be accompanied by the proper filing
   fee.

   (2) Grant without Public Notice. STA may be granted without being listed in
   a Public Notice, or prior to 30 days after such listing, if:

   (i) The STA is to be valid for 30 days or less and the applicant does not
   plan  to  file an application for regular authorization of the subject
   operation;

   (ii) The STA is to be valid for 60 days or less, pending the filing of an
   application for regular authorization of the subject operation;

   (iii) The STA is to allow interim operation to facilitate completion of
   authorized construction or to provide substantially the same service as
   previously authorized; or

   (iv)  The  STA  is  made  upon  a finding that there are extraordinary
   circumstances requiring operation in the public interest and that delay in
   the  institution  of such service would seriously prejudice the public
   interest.

   (3) Limit on STA term. The Commission may grant STA for a period not to
   exceed 180 days under the provisions of section 309(f) of the Communications
   Act of 1934, as amended, (47 U.S.C. 309(f)) if extraordinary circumstances
   so require, and pending the filing of an application for regular operation.
   The Commission may grant extensions of STA for a period of 180 days, but the
   applicant  must  show that extraordinary circumstances warrant such an
   extension.

   (b) Private Wireless Services. (1) A licensee of, or an applicant for, a
   station in the Private Wireless Services may request STA not to exceed 180
   days for (A) operation of a new station or (B) operation of a licensed
   station in a manner which is beyond the scope of that authorized by the
   existing license. See §§1.962(b)(5) and (f). Where the applicant, seeking a
   waiver of the 180 day limit, requests STA to operate as a private mobile
   radio  service  provider  for a period exceeding 180 days, evidence of
   frequency coordination is required. Requests for shorter periods do not
   require coordination and, if granted, will be authorized on a secondary,
   non-interference basis.

   (2) STA may be granted in the following circumstances:

   (i) In emergency situations;

   (ii) To permit restoration or relocation of existing facilities to continue
   communication service;

   (iii) To conduct tests to determine necessary data for the preparation of an
   application for regular authorization;

   (iv) For a temporary, non-recurring service where a regular authorization is
   not appropriate;

   (v)  In  other  situations  involving  circumstances which are of such
   extraordinary nature that delay in the institution of temporary operation
   would seriously prejudice the public interest.

   (3) The nature of the circumstance which, in the opinion of the applicant
   justifies  issuance  of  STA,  must be fully described in the request.
   Applications for STA must be filed at least 10 days prior to the proposed
   operation.  Applications filed less than 10 days prior to the proposed
   operation date will be accepted only upon a showing of good cause.

   (4) The Commission may grant extensions of STA for a period of 180 days, but
   the applicant must show that extraordinary circumstances warrant such an
   extension.

   (5) In special situations defined in §1.915(b)(1), a request for STA may be
   made by telephone or telegraph provided a properly signed application is
   filed within 10 days of such request.

   (6) An applicant for an Aircraft Radio Station License may operate the radio
   station  pending  issuance of an Aircraft Radio Station License by the
   Commission for a period of 90 days under temporary operating authority,
   evidenced by a properly executed certification made on FCC Form 605.

   (7)  Unless the Commission otherwise prescribes, a person who has been
   granted an operator license of Novice, Technician, Technician Plus, General,
   or Advanced class and who has properly submitted to the administering VEs an
   application document for an operator license of a higher class, and who
   holds a CSCE indicating that he/she has completed the necessary examinations
   within the previous 365 days, is authorized to exercise the rights and
   privileges of the higher operator class until final disposition of the
   application or until 365 days following the passing of the examination,
   whichever comes first.

   (8) An applicant for a Ship Radio station license may operate the radio
   station pending issuance of the ship station authorization by the Commission
   for a period of 90 days, under a temporary operating authority, evidenced by
   a properly executed certification made on FCC Form 605.

   (9) An applicant for a station license in the Industrial/Business pool
   (other  than an applicant who seeks to provide commercial mobile radio
   service  as  defined  in Part 20 of this chapter) utilizing an already
   authorized facility may operate the station for a period of 180 days, under
   a temporary permit, evidenced by a properly executed certification made on
   FCC Form 601, after filing an application for a station license together
   with evidence of frequency coordination, if required, with the Commission.
   The temporary operation of stations, other than mobile stations, within the
   Canadian coordination zone will be limited to stations with a maximum of 5
   watts effective radiated power and a maximum antenna height of 20 feet (6.1
   meters) above average terrain.

   (10) An applicant for a radio station license under Part 90, Subpart S, of
   this chapter (other than an applicant who seeks to provide commercial mobile
   radio service as defined in part 20 of this chapter) to utilize an already
   existing Specialized Mobile Radio System (SMR) facility or to utilize an
   already licensed transmitter may operate the radio station for a period of
   up to 180 days, under a temporary permit. Such request must be evidenced by
   a properly executed certification of FCC Form 601 after the filing of an
   application for station license, provided that the antenna employed by the
   control  station is a maximum of 20 feet (6.1 meters) above a man-made
   structure (other than an antenna tower) to which it is affixed.

   (11) An applicant for an itinerant station license, an applicant for a new
   private land mobile radio station license in the frequency bands below 470
   MHz and in the one-way paging 929–930 MHz band (other than a commercial
   mobile radio service applicant or licensee on these bands) or an applicant
   seeking to modify or acquire through assignment or transfer an existing
   station below 470 MHz or in the one-way paging 929–930 MHz band may operate
   the proposed station during the pendency of its application for a period of
   up  to 180 days under a conditional permit. Conditional operations may
   commence upon the filing of a properly completed application that complies
   with §90.127 if the application, when frequency coordination is required, is
   accompanied by evidence of frequency coordination in accordance with §90.175
   of this chapter. Operation under such a permit is evidenced by the properly
   executed Form 601 with certifications that satisfy the requirements of
   §90.159(b).

   (12) An applicant for a General Mobile Radio Service system license, sharing
   a multiple-licensed or cooperative shared base station used as a mobile
   relay station, may operate the system for a period of 180 days, under a
   Temporary Permit, evidenced by a properly executed certification made on FCC
   Form 605.

   [ 63 FR 68928 , Dec. 14, 1998]

§ 1.933   Public notices.

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   (a) Generally. Periodically, the Commission issues Public Notices in the
   Wireless  Radio  Services  listing information of public significance.
   Categories of Public Notice listings are as follows:

   (1) Accepted for filing. Acceptance for filing of applications and major
   amendments thereto.

   (2) Actions. Commission actions on pending applications previously listed as
   accepted for filing.

   (3) Environmental considerations. Special environmental considerations as
   required by Part 1 of this chapter.

   (4)  Informative  listings.  Information  that  the Commission, in its
   discretion, believes to be of public significance. Such listings do not
   create any rights to file petitions to deny or other pleadings.

   (b) Accepted for filing public notices. The Commission will issue at regular
   intervals public notices listing applications that have been received by the
   Commission in a condition acceptable for filing, or which have been returned
   to an applicant for correction. Any application that has been listed in a
   public  notice  as acceptable for filing and is (1) subject to a major
   amendment,  or  (2)  has  been returned as defective or incomplete and
   resubmitted  to the Commission, shall be listed in a subsequent public
   notice. Acceptance for filing shall not preclude the subsequent dismissal of
   an application as defective.

   (c) Public notice prior to grant. Applications for authorizations, major
   modifications, major amendments to applications, and substantial assignment
   or  transfer applications for the following categories of stations and
   services shall be placed on Public Notice as accepted for filing prior to
   grant:

   (1) Wireless Telecommunications Services.

   (2) Industrial radiopositioning stations for which frequencies are assigned
   on an exclusive basis.

   (3) Aeronautical enroute stations.

   (4) Aeronautical advisory stations.

   (5) Airport control tower stations.

   (6) Aeronautical fixed stations.

   (7) Alaska public fixed stations.

   (8) Broadband Radio Service; and

   (9) Educational Broadband Service.

   (d) No public notice prior to grant. The following types of applications,
   notices, and other filings need not be placed on Public Notice as accepted
   for filing prior to grant:

   (1)  Applications  or  notifications concerning minor modifications to
   authorizations or minor amendments to applications.

   (2) Applications or notifications concerning non-substantial ( pro forma )
   assignments and transfers.

   (3) Consent to an involuntary assignment or transfer under section 310(b) of
   the Communications Act.

   (4) Applications for licenses under section 319(c) of the Communications
   Act.

   (5) Requests for extensions of time to complete construction of authorized
   facilities.

   (6) Requests for special temporary authorization not to exceed 30 days where
   the applicant does not contemplate the filing of an application for regular
   operation,  or not to exceed 60 days pending or after the filing of an
   application for regular operation.

   (7)  Requests for emergency authorizations under section 308(a) of the
   Communications Act.

   (8) Any application for temporary authorization under section 101.31(a) of
   this chapter.

   (9) Any application for authorization in the Private Wireless Services.

   [ 63 FR 68929 , Dec. 14, 1998, as amended at  69 FR 72026 , Dec. 10, 2004]

§ 1.934   Defective applications and dismissal.

   top

   (a) Dismissal of applications. The Commission may dismiss any application in
   the  Wireless  Radio  Services at the request of the applicant; if the
   application is mutually exclusive with another application that is selected
   or  granted  in accordance with the rules in this part; for failure to
   prosecute or if the application is found to be defective; if the requested
   spectrum is not available; or if the application is untimely filed. Such
   dismissal may be “without prejudice,” meaning that the Commission may accept
   from the applicant another application for the same purpose at a later time,
   provided  that  the  application  is otherwise timely. Dismissal “with
   prejudice” means that the Commission will not accept another application
   from the applicant for the same purpose for a period of one year. Unless
   otherwise  provided  in this part, a dismissed application will not be
   returned to the applicant.

   (1) Dismissal at request of applicant. Any applicant may request that its
   application be withdrawn or dismissed. A request for the withdrawal of an
   application  after  it has been listed on Public Notice as tentatively
   accepted for filing is considered to be a request for dismissal of that
   application without prejudice.

   (i) If the applicant requests dismissal of its application with prejudice,
   the Commission will dismiss that application with prejudice.

   (ii)  If  the  applicant requests dismissal of its application without
   prejudice, the Commission will dismiss that application without prejudice,
   unless:

   (A) It has been designated for comparative hearing; or

   (B) It is an application for which the applicant submitted the winning bid
   in a competitive bidding process.

   (2) If an applicant who is a winning bidder for a license in a competitive
   bidding  process  requests  dismissal  of  its short-form or long-form
   application, the Commission will dismiss that application with prejudice.
   The applicant will also be subject to default payments under Subpart Q of
   this part.

   (3)  An applicant who requests dismissal of its application after that
   application has been designated for comparative hearing may submit a written
   petition requesting that the dismissal be without prejudice. Such petition
   must demonstrate good cause and be served upon all parties of record. The
   Commission may grant such petition and dismiss the application without
   prejudice or deny the petition and dismiss the application with prejudice.

   (b) Dismissal of mutually exclusive applications not granted. The Commission
   may dismiss mutually exclusive applications:

   (1) For which the applicant did not submit the winning bid in a competitive
   bidding process; or

   (2) That receive comparative consideration in a hearing but are not granted
   by order of the presiding officer.

   (c)  Dismissal  for  failure  to prosecute. The Commission may dismiss
   applications for failure of the applicant to prosecute or for failure of the
   applicant  to  respond substantially within a specified time period to
   official  correspondence  or requests for additional information. Such
   dismissal will generally be without prejudice if the failure to prosecute or
   respond occurred prior to designation of the application for comparative
   hearing, but may be with prejudice in cases of non-compliance with §1.945 of
   this part. Dismissal will generally be with prejudice if the failure to
   prosecute or respond occurred after designation of the application for
   comparative hearing. The Commission may dismiss applications with prejudice
   for  failure of the applicant to comply with requirements related to a
   competitive bidding process.

   (d) Dismissal as defective. The Commission may dismiss without prejudice an
   application that it finds to be defective. An application is defective if:

   (1)  It  is unsigned or incomplete with respect to required answers to
   questions, informational showings, or other matters of a formal character;

   (2) It requests an authorization that would not comply with one or more of
   the Commission's rules and does not contain a request for waiver of these
   rule(s), or in the event the Commission denies such a waiver request, does
   not contain an alternative proposal that fully complies with the rules;

   (3) The appropriate filing fee has not been paid; or

   (4) The FCC Registration Number (FRN) has not been provided.

   (5) It requests a vanity call sign and the applicant has pending another
   vanity call sign application with the same receipt date.

   (e) Dismissal because spectrum not available. The Commission may dismiss
   applications that request spectrum which is unavailable because:

   (1) It is not allocated for assignment in the specific service requested;

   (2) It was previously assigned to another licensee on an exclusive basis or
   cannot be assigned to the applicant without causing harmful interference; or

   (3) Reasonable efforts have been made to coordinate the proposed facility
   with foreign administrations under applicable international agreements, and
   an  unfavorable  response  (harmful interference anticipated) has been
   received.

   (f) Dismissal as untimely. The Commission may dismiss without prejudice
   applications that are premature or late filed, including applications filed
   prior to the opening date or after the closing date of a filing window, or
   after the cut-off date for a mutually exclusive application filing group.

   [ 63 FR 68930 , Dec. 14, 1998, as amended at  66 FR 47895 , Sept. 14, 2001;  71 FR 66461 , Nov. 15, 2006]

§ 1.935   Agreements to dismiss applications, amendments or pleadings.

   top

   Parties that have filed applications that are mutually exclusive with one or
   more other applications, and then enter into an agreement to resolve the
   mutual  exclusivity  by  withdrawing  or  requesting  dismissal of the
   application(s), specific frequencies on the application or an amendment
   thereto, must obtain the approval of the Commission. Parties that have filed
   or  threatened to file a petition to deny, informal objection or other
   pleading  against  an application and then seek to withdraw or request
   dismissal of, or refrain from filing, the petition, either unilaterally or
   in exchange for a financial consideration, must obtain the approval of the
   Commission.

   (a) The party withdrawing or requesting dismissal of its application (or
   specific  frequencies  on the application), petition to deny, informal
   objection or other pleading or refraining from filing a pleading must submit
   to the Commission a request for approval of the withdrawal or dismissal, a
   copy of any written agreement related to the withdrawal or dismissal, and an
   affidavit setting forth:

   (1) A certification that neither the party nor its principals has received
   or will receive any money or other consideration in excess of the legitimate
   and prudent expenses incurred in preparing and prosecuting the application,
   petition to deny, informal objection or other pleading in exchange for the
   withdrawal or dismissal of the application, petition to deny, informal
   objection or other pleading, or threat to file a pleading, except that this
   provision does not apply to dismissal or withdrawal of applications pursuant
   to bona fide merger agreements;

   (2) The exact nature and amount of any consideration received or promised;

   (3) An itemized accounting of the expenses for which it seeks reimbursement;
   and

   (4) The terms of any oral agreement related to the withdrawal or dismissal
   of the application, petition to deny, informal objection or other pleading,
   or threat to file a pleading.

   (b) In addition, within 5 days of the filing date of the applicant's or
   petitioner's request for approval, each remaining party to any written or
   oral agreement must submit an affidavit setting forth:

   (1) A certification that neither the applicant nor its principals has paid
   or will pay money or other consideration in excess of the legitimate and
   prudent expenses of the petitioner in exchange for withdrawing or dismissing
   the application, petition to deny, informal objection or other pleading; and

   (2) The terms of any oral agreement relating to the withdrawal or dismissal
   of the application, petition to deny, informal objection or other pleading.

   (c) No person shall make or receive any payments in exchange for withdrawing
   a threat to file or refraining from filing a petition to deny, informal
   objection, or any other pleading against an application. For the purposes of
   this section, reimbursement by an applicant of the legitimate and prudent
   expenses of a potential petitioner or objector, incurred reasonably and
   directly in preparing to file a petition to deny, will not be considered to
   be payment for refraining from filing a petition to deny or an informal
   objection. Payments made directly to a potential petitioner or objector, or
   a  person  related to a potential petitioner or objector, to implement
   non-financial promises are prohibited unless specifically approved by the
   Commission.

   (d) For the purposes of this section:

   (1) Affidavits filed pursuant to this section must be executed by the filing
   party, if an individual; a partner having personal knowledge of the facts,
   if a partnership; or an officer having personal knowledge of the facts, if a
   corporation or association.

   (2) Each application, petition to deny, informal objection or other pleading
   is deemed to be pending before the Commission from the time the petition to
   deny  is  filed  with  the  Commission  until such time as an order or
   correspondence of the Commission granting, denying or dismissing it is no
   longer subject to reconsideration by the Commission or to review by any
   court.

   (3) “Legitimate and prudent expenses” are those expenses reasonably incurred
   by a party in preparing to file, filing, prosecuting and/or settling its
   application, petition to deny, informal objection or other pleading for
   which reimbursement is sought.

   (4) “Other consideration” consists of financial concessions, including, but
   not  limited  to,  the transfer of assets or the provision of tangible
   pecuniary benefit, as well as non-financial concessions that confer any type
   of benefit on the recipient.

   (e) Notwithstanding the provisions of this section, any payments made or
   received  in  exchange  for withdrawing a short-form application for a
   Commission  authorization awarded through competitive bidding shall be
   subject to the restrictions set forth in §1.2105(c) of this chapter.

   [ 63 FR 68931 , Dec. 14, 1998]

§ 1.937   Repetitious or conflicting applications.

   top

   (a) Where the Commission has, for any reason, dismissed with prejudice or
   denied any license application in the Wireless Radio Services, or revoked
   any such license, the Commission will not consider a like or new application
   involving  service  of the same kind to substantially the same area by
   substantially the same applicant, its successor or assignee, or on behalf of
   or for the benefit of the original parties in interest, until after the
   lapse of 12 months from the effective date of final Commission action.

   (b) [Reserved]

   (c) If an appeal has been taken from the action of the Commission dismissing
   with prejudice or denying any application in the Wireless Radio Services, or
   if  the  application  is  subsequently  designated for hearing, a like
   application for service of the same type to the same area, in whole or in
   part, filed by that applicant or by its successor or assignee, or on behalf
   or for the benefit of the parties in interest to the original application,
   will not be considered until the final disposition of such appeal.

   (d)  While  an  application is pending, any subsequent inconsistent or
   conflicting application submitted by, on behalf of, or for the benefit of
   the same applicant, its successor or assignee will not be accepted for
   filing.

   [ 63 FR 68931 , Dec. 14, 1998, as amended at  68 FR 25842 , May 14, 2003]

§ 1.939   Petitions to deny.

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   (a) Who may file. Any party in interest may file with the Commission a
   petition to deny any application listed in a Public Notice as accepted for
   filing, whether as filed originally or upon major amendment as defined in
   §1.929 of this part.

   (1) For auctionable license applications, petitions to deny and related
   pleadings are governed by the procedures set forth in §1.2108 of this part.

   (2) Petitions to deny for non-auctionable applications that are subject to
   petitions under §309(d) of the Communications Act must comply with the
   provisions of this section and must be filed no later than 30 days after the
   date of the Public Notice listing the application or major amendment to the
   application as accepted for filing.

   (b) Filing of petitions. Petitions to deny and related pleadings may be
   filed electronically via ULS. Manually filed petitions to deny must be filed
   with the Office of the Secretary, 236 Massachusetts Ave., NE., Washington,
   DC 20002. Attachments to manually filed applications may be filed on a
   standard 31/4" magnetic diskette formatted to be readable by high density
   floppy  drives operating under MS–DOS (version 3.X or later compatible
   versions). Each diskette submitted must contain an ASCII text file listing
   each filename and a brief description of the contents of each file on the
   diskette. The files on the diskette, other than the table of contents,
   should be in Adobe Acrobat Portable Document Format (PDF) whenever possible.
   Petitions to deny and related pleadings must reference the file number of
   the pending application that is the subject of the petition.

   (c) Service. A petitioner shall serve a copy of its petition to deny on the
   applicant and on all other interested parties pursuant to §1.47. Oppositions
   and replies shall be served on the petitioner and all other interested
   parties.

   (d) Content. A petition to deny must contain specific allegations of fact
   sufficient to make a prima facie showing that the petitioner is a party in
   interest and that a grant of the application would be inconsistent with the
   public interest, convenience and necessity. Such allegations of fact, except
   for those of which official notice may be taken, shall be supported by
   affidavit of a person or persons with personal knowledge thereof.

   (e)  Petitions to deny amended applications. Petitions to deny a major
   amendment to an application may raise only matters directly related to the
   major amendment that could not have been raised in connection with the
   application  as  originally  filed.  This  paragraph does not apply to
   petitioners who gain standing because of the major amendment.

   (f) Oppositions and replies. The applicant and any other interested party
   may file an opposition to any petition to deny and the petitioner may file a
   reply thereto in which allegations of fact or denials thereof, except for
   those of which official notice may be taken, shall be supported by affidavit
   of a person or persons with personal knowledge thereof. Time for filing of
   oppositions  and  replies  is  governed  by  §1.45  of  this  part for
   non-auctionable services and §1.2108 of this part for auctionable services.

   (g) Dismissal of petition. The Commission may dismiss any petition to deny
   that does not comply with the requirements of this section if the issues
   raised become moot, or if the petitioner or his/her attorney fails to appear
   at a settlement conference pursuant to §1.956 of this part. The reasons for
   the  dismissal will be stated in the dismissal letter or order. When a
   petition to deny is dismissed, any related responsive pleadings are also
   dismissed

   (h) Grant of petitioned application. If a petition to deny has been filed
   and the Commission grants the application, the Commission will dismiss or
   deny  the petition by issuing a concise statement of the reason(s) for
   dismissing or denying the petition, disposing of all substantive issues
   raised in the petition.

   [ 63 FR 68931 , Dec. 14, 1998, as amended at  64 FR 53240 , Oct. 1, 1999;  70 FR 61058 , Oct. 20, 2005;  71 FR 15619 , Mar. 29, 2006]

§ 1.945   License grants.

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   (a) License grants—auctionable license applications. Procedures for grant of
   licenses that are subject to competitive bidding under section 309(j) of the
   Communications Act are set forth in §§1.2108 and 1.2109 of this part.

   (b) License grants—non-auctionable license applications. No application that
   is not subject to competitive bidding under §309(j) of the Communications
   Act will be granted by the Commission prior to the 31st day following the
   issuance of a Public Notice of the acceptance for filing of such application
   or of any substantial amendment thereof, unless the application is not
   subject to §309(b) of the Communications Act.

   (c)  Grant  without  hearing.  In the case of both auctionable license
   applications   and   non-mutually  exclusive  non-auctionable  license
   applications, the Commission will grant the application without a hearing if
   it is proper upon its face and if the Commission finds from an examination
   of  such application and supporting data, any pleading filed, or other
   matters which it may officially notice, that:

   (1) There are no substantial and material questions of fact;

   (2)  The applicant is legally, technically, financially, and otherwise
   qualified;

   (3) A grant of the application would not involve modification, revocation,
   or non-renewal of any other existing license;

   (4) A grant of the application would not preclude the grant of any mutually
   exclusive application; and

   (5) A grant of the application would serve the public interest, convenience,
   and necessity.

   (d) Grant of petitioned applications. The FCC may grant, without a formal
   hearing, an application against which petition(s) to deny have been filed.
   If any petition(s) to deny are pending (i.e. have not been dismissed or
   withdrawn by the petitioner) when an application is granted, the FCC will
   deny the petition(s) and issue a concise statement of the reason(s) for the
   denial, disposing of all substantive issues raised in the petitions.

   (e) Partial and conditional grants. The FCC may grant applications in part,
   and/or  subject  to  conditions  other  than those normally applied to
   authorizations of the same type. When the FCC does this, it will inform the
   applicant of the reasons therefor. Such partial or conditional grants are
   final  unless the FCC revises its action in response to a petition for
   reconsideration. Such petitions for reconsideration must be filed by the
   applicant within thirty days after the date of the letter or order stating
   the  reasons for the partial or conditional grant, and must reject the
   partial or conditional grant and return the instrument of authorization.

   (f)  Designation  for hearing. If the Commission is unable to make the
   findings prescribed in subparagraph (c), it will formally designate the
   application for hearing on the grounds or reasons then obtaining and will
   notify the applicant and all other known parties in interest of such action.

   (1)  Orders  designating  applications  for  hearing will specify with
   particularity the matters in issue.

   (2) Parties in interest, if any, who are not notified by the Commission of
   its action in designating a particular application for hearing may acquire
   the  status  of  a  party  to  the proceeding by filing a petition for
   intervention showing the basis of their interest not more than 30 days after
   publication in theFederal Registerof the hearing issues or any substantial
   amendment thereto.

   (3) The applicant and all other parties in interest shall be permitted to
   participate  in  any hearing subsequently held upon such applications.
   Hearings may be conducted by the Commission or by the Chief of the Wireless
   Telecommunications Bureau, or, in the case of a question which requires oral
   testimony for its resolution, an Administrative Law Judge. The burden of
   proceeding with the introduction of evidence and burden of proof shall be
   upon the applicant, except that with respect to any issue presented by a
   petition to deny or a petition to enlarge the issues, such burdens shall be
   as  determined  by  the  Commission  or  the  Chief  of  the  Wireless
   Telecommunications Bureau.

   [ 63 FR 68932 , Dec. 14, 1998]

§ 1.946   Construction and coverage requirements.

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   Link to an amendment published at  72 FR 48842 , Aug. 24, 2007.

   (a) Construction and commencement of service requirements. For each of the
   Wireless Radio Services, requirements for construction and commencement of
   service  or  commencement of operations are set forth in the rule part
   governing the specific service. For purposes of this section, the period
   between the date of grant of an authorization and the date of required
   commencement of service or operations is referred to as the construction
   period.

   (b) Coverage and substantial service requirements. In certain Wireless Radio
   Services, licensees must comply with geographic coverage requirements or
   substantial service requirements within a specified time period. These
   requirements are set forth in the rule part governing each specific service.
   For purposes of this section, the period between the date of grant of an
   authorization  and  the  date  that a particular degree of coverage or
   substantial service is required is referred to as the coverage period.

   (c) Termination of authorizations. If a licensee fails to commence service
   or operations by the expiration of its construction period or to meet its
   coverage  or  substantial service obligations by the expiration of its
   coverage  period,  its authorization terminates automatically, without
   specific Commission action, on the date the construction or coverage period
   expires.

   (d) Licensee notification of compliance. A licensee who commences service or
   operations  within  the  construction  period or meets its coverage or
   substantial services obligations within the coverage period must notify the
   Commission by filing FCC Form 601. The notification must be filed within 15
   days of the expiration of the applicable construction or coverage period.
   Where the authorization is site-specific, if service or operations have
   begun  using  some,  but  not all, of the authorized transmitters, the
   notification must show to which specific transmitters it applies.

   (e)  Requests for extension of time. Licensees may request to extend a
   construction period or coverage period by filing FCC Form 601. The request
   must be filed before the expiration of the construction or coverage period.

   (1) An extension request may be granted if the licensee shows that failure
   to meet the construction or coverage deadline is due to involuntary loss of
   site or other causes beyond its control.

   (2)  Extension  requests  will  not  be  granted for failure to meet a
   construction or coverage deadline due to delays caused by a failure to
   obtain financing, to obtain an antenna site, or to order equipment in a
   timely  manner. If the licensee orders equipment within 90 days of its
   initial license grant, a presumption of diligence is established.

   (3)  Extension  requests  will  not  be  granted for failure to meet a
   construction or coverage deadline because the licensee undergoes a transfer
   of control or because the licensee intends to assign the authorization. The
   Commission will not grant extension requests solely to allow a transferee or
   assignee to complete facilities that the transferor or assignor failed to
   construct.

   (4) The filing of an extension request does not automatically extend the
   construction or coverage period unless the request is based on involuntary
   loss of site or other circumstances beyond the licensee's control, in which
   case the construction period is automatically extended pending disposition
   of the extension request.

   (5) A request for extension of time to construct a particular transmitter or
   other  facility  does  not  extend  the  construction period for other
   transmitters and facilities under the same authorization.

   [ 63 FR 68933 , Dec. 14, 1998, as amended at  69 FR 46397 , Aug. 3, 2004;  71 FR 52749 , Sept. 7, 2006]

§ 1.947   Modification of licenses.

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   (a) All major modifications, as defined in §1.929 of this part, require
   prior Commission approval. Applications for major modifications also shall
   be treated as new applications for determination of filing date, Public
   Notice, and petition to deny purposes.

   (b) Licensees may make minor modifications to station authorizations, as
   defined  in  §1.929  of  this part (other than pro forma transfers and
   assignments), as a matter of right without prior Commission approval. Where
   other rule parts permit licensees to make permissive changes to technical
   parameters without notifying the Commission (e.g., adding, modifying, or
   deleting internal sites), no notification is required. For all other types
   of minor modifications (e.g., name, address, point of contact changes),
   licensees must notify the Commission by filing FCC Form 601 within thirty
   (30) days of implementing any such changes.

   (c) Multiple pending modification applications requesting changes to the
   same or related technical parameters on an authorization are not permitted.
   If a modification application is pending, any additional changes to the same
   or related technical parameters may be requested only in an amendment to the
   pending modification application.

   (d) Any proposed modification that requires a fee as set forth at part 1,
   subpart G, of this chapter must be filed in accordance with §1.913.

   [ 63 FR 68933 , Dec. 14, 1998, as amended at  64 FR 53240 , Oct. 1, 1999]

§ 1.948   Assignment of authorization or transfer of control, notification of
consummation.

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   (a) General. Except as provided in this section, authorizations in the
   Wireless Radio Services may be assigned by the licensee to another party,
   voluntarily or involuntarily, directly or indirectly, or the control of a
   licensee  holding  such  authorizations  may be transferred, only upon
   application to and approval by the Commission.

   (b) Limitations on transfers and assignments. (1) A change from less than
   50% ownership to 50% or more ownership shall always be considered a transfer
   of control.

   (2) In other situations a controlling interest shall be determined on a
   case-by-case  basis considering the distribution of ownership, and the
   relationships of the owners, including family relationships.

   (3) Designated Entities, as defined in §1.2110(a) of this part, must comply
   with §§1.2110 and 1.2111 of this part when seeking to assign or transfer
   control of an authorization.

   (4) Stations must meet all applicable requirements regarding transfers and
   assignments contained in the rules pertaining to the specific service in
   which the station is licensed.

   (5) Licenses, permits, and authorizations for stations in the Amateur, Ship,
   Aircraft, Commercial Operator and Personal Radio Services (except 218–219
   MHz Service) may not be assigned or transferred, unless otherwise stated.

   (c) Application required. In the case of an assignment of authorization or
   transfer of control, the assignor must file an application for approval of
   the assignment on FCC Form 603. If the assignee or transferee is subject to
   the ownership reporting requirements of §1.2112, the assignee or transferee
   must also file an updated FCC Form 602 or certify that a current FCC Form
   602 is on file.

   (1) In the case of a non-substantial ( pro forma ) transfer or assignment
   involving  a telecommunications carrier, as defined in §153(44) of the
   Communications  Act, filing of the Form 603 and Commission approval in
   advance of the proposed transaction is not required, provided that:

   (i) the affected license is not subject to unjust enrichment provisions
   under subpart Q of this part;

   (ii) the transfer or assignment does not involve a proxy contest; and

   (iii) the transferee or assignee provides notice of the transaction by
   filing FCC Form 603 within 30 days of its completion, and provides any
   necessary updates of ownership information on FCC Form 602.

   (2) In the case of an involuntary assignment or transfer, FCC Form 603 must
   be filed no later than 30 days after the event causing the involuntary
   assignment or transfer.

   (d) Notification of consummation. In all Wireless Radio Services, licensees
   are  required  to notify the Commission of consummation of an approved
   transfer or assignment using FCC Form 603. The assignee or transferee is
   responsible  for  providing  this notification, including the date the
   transaction was consummated. For transfers and assignments that require
   prior  Commission  approval,  the  transaction must be consummated and
   notification provided to the Commission within 180 days of public notice of
   approval, and notification of consummation must occur no later than 30 days
   after actual consummation, unless a request for an extension of time to
   consummate is filed on FCC Form 603 prior to the expiration of this 180-day
   period. For transfers and assignments that do not require prior Commission
   approval, notification of consummation must be provided on FCC Form 603 no
   later than 30 days after consummation, along with any necessary updates of
   ownership information on FCC Form 602.

   (e) Partial assignment of authorization. If the authorization for some, but
   not all, of the facilities of a radio station in the Wireless Radio Services
   is assigned to another party, voluntarily or involuntarily, such action is a
   partial assignment of authorization. To request Commission approval of a
   partial assignment of authorization, the assignor must notify the Commission
   on  FCC  Form  603  of  the  facilities  that will be deleted from its
   authorization upon consummation of the assignment.

   (f) Partitioning and disaggregation. Where a licensee proposes to partition
   or  disaggregate  a portion of its authorization to another party, the
   application  will  be  treated  as a request for partial assignment of
   authorization. The assignor must notify the Commission on FCC Form 603 of
   the geographic area or spectrum that will be deleted from its authorization
   upon consummation of the assignment.

   (g) Involuntary transfer and assignment. In the event of the death or legal
   disability of a permittee or licensee, a member of a partnership, or a
   person  directly  or indirectly in control of a corporation which is a
   permittee or licensee, the Commission shall be notified promptly of the
   occurrence of such death or legal disability. Within 30 days after the
   occurrence of such death or legal disability (except in the case of a ship
   or  amateur  station),  an  application  shall be filed for consent to
   involuntary  assignment  of such permit or license, or for involuntary
   transfer of control of such corporation, to a person or entity legally
   qualified to succeed to the foregoing interests under the laws of the place
   having jurisdiction over the estate involved. The procedures and forms to be
   used are the same procedures and forms as those specified in paragraph (b)
   of  this  section. In the case of Ship, aircraft, Commercial Operator,
   Amateur,  and Personal Radio Services (except for 218–219 MHz Service)
   involuntary assignment of licenses will not be granted; such licenses shall
   be surrendered for cancellation upon the death or legal disability of the
   licensee. Amateur station call signs assigned to the station of a deceased
   licensee shall be available for reassignment pursuant to §97.19 of this
   chapter.

   (h)  Disclosure requirements. Applicants for transfer or assignment of
   licenses  in  auctionable  services  must  comply  with the disclosure
   requirements of §§1.2111 and 1.2112 of this part.

   (i) Trafficking. Applications for approval of assignment or transfer may be
   reviewed by the Commission to determine if the transaction is for purposes
   of trafficking in service authorizations.

   (1)  Trafficking  consists  of  obtaining  or  attempting to obtain an
   authorization for the principal purpose of speculation or profitable resale
   of the authorization rather than for the provision of telecommunication
   services to the public or for the licensee's own private use.

   (2)  The  Commission may require submission of an affirmative, factual
   showing, supported by affidavit of persons with personal knowledge thereof,
   to demonstrate that the assignor did not acquire the authorization for the
   principal purpose of speculation or profitable resale of the authorization.
   This showing may include, for example, a demonstration that the proposed
   assignment is due to changed circumstances (described in detail) affecting
   the licensee after the grant of the authorization, or that the proposed
   assignment  is incidental to a sale of other facilities or a merger of
   interests.

   (j) Processing of applications. Applications for assignment of authorization
   or transfer of control relating to the Wireless Radio Services will be
   processed pursuant either to general approval procedures or the immediate
   approval procedures, as discussed herein.

   (1) General approval procedures. Applications will be processed pursuant to
   the general approval procedures set forth in this paragraph unless they are
   submitted and qualify for the immediate approval procedures set forth in
   paragraph (j)(2) of this section.

   (i) To be accepted for filing under these general approval procedures, the
   application  must  be  sufficiently complete and contain all necessary
   information and certifications requested on the applicable form, FCC Form
   603, including any information and certifications (including those of the
   proposed   assignee  or  transferee  relating  to  eligibility,  basic
   qualifications, and foreign ownership) required by the rules of this chapter
   and any rules pertaining to the specific service for which the application
   is filed, and must include payment of the required application fee(s) ( see
   §1.1102).

   (ii) Once accepted for filing, the application will be placed on public
   notice, except no prior public notice will be required for applications
   involving authorizations in the Private Wireless Services, as specified in
   §1.933(d)(9).

   (iii) Petitions to deny filed in accordance with section 309(d) of the
   Communications Act must comply with the provisions of §1.939, except that
   such petitions must be filed no later than 14 days following the date of the
   public notice listing the application as accepted for filing.

   (iv) No later than 21 days following the date of the public notice listing
   an application as accepted for filing, the Wireless Telecommunications
   Bureau (Bureau) will affirmatively consent to the application, deny the
   application, or determine to subject the application to further review. For
   applications for which no prior public notice is required, the Bureau will
   affirmatively consent to the application, deny the application, or determine
   to subject the application to further review no later than 21 days following
   the date on which the application has been filed, if filed electronically,
   and any required application fee has been paid ( see §1.1102); if filed
   manually, the Bureau will affirmatively consent to the application, deny the
   application, or determine to subject the application to further review no
   later  than  21  days  after  the necessary data in the manually filed
   application is entered into ULS.

   (v) If the Bureau determines to subject the application to further review,
   it will issue a public notice so indicating. Within 90 days following the
   date of that public notice, the Bureau will either take action upon the
   application or provide public notice that an additional 90-day period for
   review is needed.

   (vi) Consent to the application is not deemed granted until the Bureau
   affirmatively acts upon the application.

   (vii) Grant of consent to the application will be reflected in a public
   notice (see §1.933(a)) promptly issued after the grant.

   (viii)  If  any  petition  to deny is filed, and the Bureau grants the
   application,  the Bureau will deny the petition(s) and issue a concise
   statement of the reason(s) for denial, disposing of all substantive issues
   raised in the petition(s).

   (2) Immediate approval procedures. Applications that meet the requirements
   of paragraph (j)(2)(i) of this section qualify for the immediate approval
   procedures.

   (i) To qualify for the immediate approval procedures, the application must
   be  sufficiently  complete,  contain  all  necessary  information  and
   certifications   (including   those  relating  to  eligibility,  basic
   qualifications, and foreign ownership), and include payment of the requisite
   application fee(s), as required for an application processed under the
   general approval procedures set forth in paragraph (j)(1) of this section,
   and  also  must  establish, through certifications, that the following
   additional qualifications are met:

   (A) The license does not involve spectrum licensed in a Wireless Radio
   Service that may be used to provide interconnected mobile voice and/or data
   services under the applicable service rules and that would, if assigned or
   transferred, create a geographic overlap with spectrum in any licensed
   Wireless Radio Service (including the same service) in which the proposed
   assignee or transferee already holds a direct or indirect interest of 10% or
   more ( see §1.2112), either as a licensee or a spectrum lessee, and that
   could be used by the assignee or transferee to provide interconnected mobile
   voice and/or data services;

   (B) The licensee is not a designated entity or entrepreneur subject to
   unjust enrichment requirements and/or transfer restrictions under applicable
   Commission rules ( see §§1.2110 and 1.2111, and §§24.709, 24.714, and 24.839
   of this chapter); and,

   (C) The assignment or transfer of control does not require a waiver of, or
   declaratory ruling pertaining to, any applicable Commission rules, and there
   is no pending issue as to whether the license is subject to revocation,
   cancellation, or termination by the Commission.

   (ii) Provided that the application establishes that it meets all of the
   requisite elements to qualify for these immediate approval procedures,
   consent to the assignment or transfer of control will be reflected in ULS.
   If the application is filed electronically, consent will be reflected in ULS
   on the next business day after the filing of the application; if filed
   manually, consent will be reflected in ULS on the next business day after
   the necessary data in the manually filed application is entered into ULS.
   Consent  to  the  application  is  not deemed granted until the Bureau
   affirmatively acts upon the application.

   (iii) Grant of consent to the application under these immediate approval
   procedures will be reflected in a public notice ( see §1.933(a)) promptly
   issued after the grant, and is subject to reconsideration ( see §§1.106(f),
   1.108, 1.113).

   [ 63 FR 68933 , Dec. 14, 1998, as amended at  64 FR 62120 , Nov. 16, 1999;  68 FR 42995 , July 21, 2003;  68 FR 66276 , Nov. 25, 2003;  69 FR 77944 , Dec. 29,
   2004;  69 FR 77549 , Dec. 27, 2004]

   Effective Date Note:   At  69 FR 77549 , Dec. 27, 2004, §1.948(j)(2) was
   revised. This paragraph contains information collection and recordkeeping
   requirements and will not become effective until approval has been given by
   the Office of Management and Budget.

§ 1.949   Application for renewal of license.

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   (a)  Applications  for renewal of authorizations in the Wireless Radio
   Services  must  be  filed  no  later  than  the expiration date of the
   authorization for which renewal is sought, and no sooner than 90 days prior
   to  expiration. Renewal applications must be filed on the same form as
   applications for initial authorization in the same service, i.e., FCC Form
   601 or 605. Additional renewal requirements applicable to specific services
   are set forth in the subparts governing those services.

   (b) Licensees with multiple authorizations in the same service may request a
   common  day  and month on which such authorizations expire for renewal
   purposes. License terms may be shortened by up to one year but will not be
   extended to accommodate the applicant's selection.

   [ 63 FR 68934 , Dec. 14, 1998]

§ 1.951   Duty to respond to official communications.

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   Licensees or applicants in the Wireless Radio Services receiving official
   notice  of  an  apparent  or  actual  violation  of a federal statute,
   international  agreement, Executive Order, or regulation pertaining to
   communications shall respond in writing within 10 days to the office of the
   FCC  originating  the notice, unless otherwise specified. Responses to
   official  communications  must  be complete and self-contained without
   reference to other communications unless copies of such other communications
   are attached to the response. Licensees or applicants may respond via ULS.

   [ 63 FR 68934 , Dec. 14, 1998]

§ 1.955   Termination of authorizations.

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   Link to an amendment published at  72 FR 48843 , Aug. 24, 2007.

   (a) Authorizations in general remain valid until terminated in accordance
   with this section, except that the Commission may revoke an authorization
   pursuant to section 312 of the Communications Act of 1934, as amended. See
   47 U.S.C. 312.

   (1) Expiration . Authorizations automatically terminate, without specific
   Commission action, on the expiration date specified therein, unless a timely
   application for renewal is filed. See §1.949 of this part. No authorization
   granted under the provisions of this part shall be for a term longer than
   ten years, except to the extent a longer term is authorized under §27.13 of
   part 27 of this chapter.

   (2) Failure to meet construction or coverage requirements . Authorizations
   automatically terminate, without specific Commission action, if the licensee
   fails  to  meet  applicable construction or coverage requirements. See
   §1.946(c) of this part.

   (3) Service discontinued. Authorizations automatically terminate, without
   specific Commission action, if service is permanently discontinued. The
   Commission  authorization  or  the individual service rules govern the
   definition of permanent discontinuance for purposes of this section. A
   licensee who discontinues operations shall notify the Commission of the
   discontinuance of operations by submitting FCC Form 601 or 605 requesting
   license cancellation.

   (b) Special temporary authority (STA) automatically terminates without
   specific  Commission  action upon failure to comply with the terms and
   conditions therein, or at the end of the period specified therein, unless a
   timely request for an extension of the STA term is filed in accordance with
   §1.931 of this part. If a timely filed request for extension of the STA term
   is dismissed or denied, the STA automatically terminates, without specific
   Commission  action,  on the day after the applicant or the applicant's
   attorney is notified of the Commission's action dismissing or denying the
   request for extension.

   (c) Authorizations submitted by licensees for cancellation terminate when
   the Commission gives Public Notice of such action.

   [ 63 FR 68934 , Dec. 14, 1998, as amended at  64 FR 53240 , Oct. 1, 1999;  70 FR 61058 , Oct. 20, 2005;  72 FR 27708 , May 16, 2007]

   Editorial  Note:   At  64 FR 53240 , Oct. 1, 1999, §1.955 was amended by
   revising the last sentence of paragraph (b)(2) to read “ See §1.946(c) of
   this part.”, effective Nov. 30, 1999. However, paragraph (b)(2) does not
   exist in the 1998 volume.

§ 1.956   Settlement conferences.

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   Parties are encouraged to use alternative dispute resolution procedures to
   settle disputes. See subpart E of this part. In any contested proceeding,
   the Commission, in its discretion, may direct the parties or their attorneys
   to appear before it for a conference.

   (a) The purposes of such conferences are:

   (1) To obtain admissions of fact or stipulations between the parties as to
   any or all of the matters in controversy;

   (2) To consider the necessity for or desirability of amendments to the
   pleadings, or of additional pleadings or evidentiary submissions;

   (3) To consider simplification or narrowing of the issues;

   (4) To encourage settlement of the matters in controversy by agreement
   between the parties; and

   (5)  To  consider  other matters that may aid in the resolution of the
   contested proceeding.

   (b) Conferences are scheduled by the Commission at a time and place it may
   designate, to be conducted in person or by telephone conference call.

   (c) The failure of any party or attorney, following reasonable notice, to
   appear at a scheduled conference will be deemed a failure to prosecute,
   subjecting  that  party's  application or petition to dismissal by the
   Commission.

   [ 63 FR 68935 , Dec. 14, 1998]

§ 1.957   Procedure with respect to amateur radio operator license.

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   Each candidate for an amateur radio license which requires the applicant to
   pass one or more examination elements must present the Volunteer Examiners
   (VEs) with a properly completed FCC Form 605 prior to the examination. Upon
   completion of the examination, the VEs will grade the test papers. If the
   applicant is successful, the VEs will forward the candidate's application to
   a  Volunteer-Examiner  Coordinator  (VEC).  The  VEs will then issue a
   certificate  for  sucessful  completion  of  an amateur radio operator
   examination.  The VEC will forward the application to the Commission's
   Gettysburg, Pennsylvania, facility.

   [ 63 FR 68935 , Dec. 14, 1998]

§ 1.958   Distance computation.

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   The  method given in this section must be used to compute the distance
   between  any  two  locations, except that, for computation of distance
   involving stations in Canada and Mexico, methods for distance computation
   specified in the applicable international agreement, if any, must be used
   instead. The result of a distance calculation under parts 21 and 101 of this
   chapter must be rounded to the nearest tenth of a kilometer. The method set
   forth  in this paragraph is considered to be sufficiently accurate for
   distances not exceeding 475 km (295 miles).

   (a)  Convert the latitudes and longitudes of each reference point from
   degree-minute-second format to degree-decimal format by dividing minutes by
   60 and seconds by 3600, then adding the results to degrees.
   [er13ap05.008.gif]

   (b) Calculate the mean geodetic latitude between the two reference points by
   averaging the two latitudes:
   [er13ap05.009.gif]

   (c) Calculate the number of kilometers per degree latitude difference for
   the mean geodetic latitude calculated in paragraph (b) of this section as
   follows:

   KPD[lat]= 111.13209 − 0.56605 cos 2ML + 0.00120 cos 4ML

   (d) Calculate the number of kilometers per degree of longitude difference
   for the mean geodetic latitude calculated in paragraph (b) of this section
   as follows:

   KPD[lon]= 111.41513 cos 5ML − 0.09455 cos 3ML + 0.00012 cos 5ML

   (e) Calculate the North-South distance in kilometers as follows:

   NS = KPD[lat]× (LAT1[dd]− LAT2[dd])

   (f) Calculate the East-West distance in kilometers as follows:

   EW = KPD[lon]× (LON1[dd]− LON2[dd])

   (g) Calculate the distance between the locations by taking the square root
   of the sum of the squares of the East-West and North-South distances:
   [er13ap05.010.gif]

   (h) Terms used in this section are defined as follows:

   (1)  LAT1[dd]and  LON1[dd]are the coordinates of the first location in
   degree-decimal format.

   (2)  LAT2[dd]and LON2[dd]are the coordinates of the second location in
   degree-decimal format.

   (3) ML is the mean geodetic latitude in degree-decimal format.

   (4) KPD[lat]is the number of kilometers per degree of latitude at a given
   mean geodetic latitude.

   (5) KPD[lon]is the number of kilometers per degree of longitude at a given
   mean geodetic latitude.

   (6) NS is the North-South distance in kilometers.

   (7) EW is the East-West distance in kilometers.

   (8) DIST is the distance between the two locations, in kilometers.

   [ 70 FR 19306 , Apr. 13, 2005]

§ 1.959   Computation of average terrain elevation.

   top

   Except as otherwise specified in §90.309(a)(4) of this chapter, average
   terrain elevation must be calculated by computer using elevations from a 30
   second point or better topographic data file. The file must be identified.
   If a 30 second point data file is used, the elevation data must be processed
   for intermediate points using interpolation techniques; otherwise, the
   nearest point may be used. In cases of dispute, average terrain elevation
   determinations  can  also  be  done  manually,  if  the results differ
   significantly from the computer derived averages.

   (a) Radial average terrain elevation is calculated as the average of the
   elevation along a straight line path from 3 to 16 kilometers (2 and 10
   miles) extending radially from the antenna site. If a portion of the radial
   path extends over foreign territory or water, such portion must not be
   included in the computation of average elevation unless the radial path
   again passes over United States land between 16 and 134 kilometers (10 and
   83 miles) away from the station. At least 50 evenly spaced data points for
   each radial should be used in the computation.

   (b) Average terrain elevation is the average of the eight radial average
   terrain elevations (for the eight cardinal radials).

   (c)  For  locations  in Dade and Broward Counties, Florida, the method
   prescribed above may be used or average terrain elevation may be assumed to
   be 3 meters (10 feet).

   [ 70 FR 19306 , Apr. 13, 2005]

Reports To Be Filed With the Commission

   top

§ 1.981   Reports, annual and semiannual.

   top

   (a) Licensees of stations authorized for developmental operation shall
   submit a report on the results of the developmental program. The report
   shall be filed with and made a part of each application for renewal of
   authorization. The report shall be filed at the Commission's offices in
   Washington, DC or alternatively may be sent to the commission electronically
   via the ULS.

   (b) The report shall include comprehensive and detailed information on the
   following:

   (1) The final objective.

   (2) Results of operation to date.

   (3) Analysis of the results obtained.

   (4) Copies of any published reports.

   (5) Need for continuation of the program.

   (6) Number of hours of operation on each frequency.

   (c) Where required by the particular service rules, licensees who have
   entered into agreements with other persons for the cooperative use of radio
   station facilities must submit annually an audited financial statement
   reflecting the nonprofit cost-sharing nature of the arrangement to the
   Commission's offices in Washington, DC or alternatively may be sent to the
   Commission electronically via the ULS, no later than three months after the
   close of the licensee's fiscal year.

   [ 63 FR 68935 , Dec. 14, 1998]

Subpart G—Schedule of Statutory Charges and Procedures for Payment

   top

   Source:    52 FR 5289 , Feb. 20, 1987, unless otherwise noted.

§ 1.1101   Authority.

   top

   Authority to impose and collect these charges is contained in title III,
   section 3001 of the Omnibus Budget Reconciliation Act of 1989 (Pub. L.
   101–239), revising 47 U.S.C. 158, which directs the Commission to prescribe
   charges for certain of the regulatory services it provides to many of the
   communications entities within its jurisdiction. This law revises section 8
   of the Communications Act of 1934, as amended, which contains a Schedule of
   Charges as well as procedures for modifying and collecting these charges.

   [ 55 FR 19155 , May 8, 1990]

§ 1.1102   Schedule of charges for applications and other filings in the
wireless telecommunications services.

   top

   Those services designated with an asterisk in the payment type code column
   have associated regulatory fees that must be paid at the same time the
   application  fee  is paid. Please refer to §1.1152 for the appropriate
   regulatory fee that must be paid for this service.
   Service FCC form No. Fee amount Payment type code Address
   1. Marine Coast:
   a. New; Renewal/Modification 601 & 159 $115.00 PBMR* Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   b. Modification; Public Coast CMRS; Non-Profit 601 & 159 115.00 PBMM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   c. Assignment of Authorization 603 & 159 115.00 PBMM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   d. Transfer of Control
   Spectrum Leasing for Public Coast 603 & 159
   603–T/608** & 159 60.00 PATM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   e. Duplicate License 601 & 159 60.00 PADM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   f. Special Temporary Authority 601 & 159 160.00 PCMM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   g. Renewal Only 601 & 159 115.00 PBMR^* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358245
   Pittsburgh, PA 15251–5245.
   h.  Renewal  (Electronic  Filing)  601  &  159  115.00  PBMR^* Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   i.  Renewal  Only  (Non-Profit;  CMRS)  601  & 159 115.00 PBMM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358245
   Pittsburgh, PA 15251–5245.
   j.  Renewal (Electronic Filing) Non-profit, CMRS 601 & 159 115.00 PBMM
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   k.  Rule  Waiver  601,  603  or  603–T/608** & 159 170.00 PDWM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   l. Modification for Spectrum Leasing for Public Coast Stations 608** & 159
   115.00 PBMM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   2. Aviation Ground:
   a. New; Renewal/Modification 601 & 159 115.00 PBVR^* Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   b. Modification; Non-Profit 601 & 159 115.00 PBVM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   c. Assignment of Authorization 603 & 159 115.00 PBVM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   d.  Transfer  of  Control  603 & 159 60.00 PATM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   e. Duplicate License 601 & 159 60.00 PADM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   f. Special Temporary Authority 601 & 159 160.00 PCVM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   g. Renewal Only 601 & 159 115.00 PBVR^* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358245
   Pittsburgh, PA 15251–5245.
   h.  Renewal  (Electronic  Filing)  601  &  159  115.00  PBVR^* Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   i. Renewal Only Non-Profit 601 & 159 115.00 PBVM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358245
   Pittsburgh, PA 15251–5245.
   j. Renewal Non-Profit (Electronic Filing) 601 & 159 115.00 PBVM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   k.  Rule  Waiver  601  or 603 & 159 170.00 PDWM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   3. Ship:
   a. New; Renewal/Modification; Renewal Only 605 & 159 60.00 PASR* Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   b. New; Renewal/Modification; Renewal Only (Electronic Filing) 605 & 159
   60.00 PASR^* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   c. Renewal Only Non-profit 605 & 159 60.00 PASM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   d. Renewal Only Non-profit (Electronic Filing) 605 & 159 60.00 PASM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   e. Modification; Non-profit 605 & 159 60.00 PASM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   f. Modification; Non-profit (Electronic Filing) 605 & 159 60.00 PASM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   g. Duplicate License 605 & 159 60.00 PADM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   h.  Duplicate License (Electronic Filing) 605 & 159 60.00 PADM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   i. Exemption from Ship Station Requirements 605 & 159 170.00 PDWM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   j. Rule Waiver 605 & 159 170.00 PDWM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   k. Exemption from Ship Station Requirements (Electronic Filing) 605 & 159
   170.00 PDWM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   l.  Rule  Waiver  (Electronic  Filing)  605  & 159 170.00 PDWM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   4. Aircraft:
   a.  New; Commission Renewal/Modification 605 & 159 60.00 PAAR* Federal
   Communications
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   b. New; Renewal/Modification (Electronic Filing) 605 & 159 60.00 PAAR*
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   c. Modification; Non-Profit 605 & 159 60.00 PAAM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   d. Modification Non-Profit (Electronic Filing) 605 & 159 60.00 PAAM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   e. Renewal Only 605 & 159 60.00 PAAR* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358245
   Pittsburgh, PA 15251–5245.
   f. Renewal (Electronic Filing) 605 & 159 60.00 PAAR* Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   g. Renewal Only Non-Profit 605 & 159 60.00 PAAM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358245
   Pittsburgh, PA 15251–5245.
   h. Renewal; Renewal/Modification Non-Profit (Electronic Filing) 605 & 159
   60.00 PAAM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   i. Duplicate License 605 & 159 60.00 PADM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   j.  Duplicate License (Electronic Filing) 605 & 159 60.00 PADM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   k. Rule Waiver 605 & 159 170.00 PDWM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   l.  Rule  Waiver  (Electronic  Filing)  605  & 159 170.00 PDWM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   5. Private Operational Fixed Microwave and Private DEMS:
   a. New; Renewal/Modification 601 & 159 245.00 PEOR* Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   b. New; Renewal/Modification (Electronic Filing) 601 & 159 245.00 PEOR*
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   c. Modification; Consolidate Call Signs; Non-Profit 601 & 159 245.00 PEOM
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   d. Modification; Consolidate Call Signs; Non-Profit (Electronic Filing) 601
   & 159 245.00 PEOM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   e. Renewal Only 601 & 159 245.00 PEOR* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358245
   Pittsburgh, PA 15251–5245.
   f. Renewal (Electronic Filing) 601 & 159 245.00 PEOR* Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   g. Renewal Only Non-Profit 601 & 159 245.00 PEOM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358245
   Pittsburgh, PA 15251–5245.
   h. Renewal Non-Profit (Electronic Filing) 601 & 159 245.00 PEOM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   i. Assignment 603 & 159 245.00 PEOM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   j.  Assignment  (Electronic  Filing)  603  &  159  245.00 PEOM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   k. Transfer of Control; Spectrum Leasing 603 & 159
   603–T/608** & 159 60.00 PATM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   l. Transfer of Control; Spectrum Leasing (Electronic Filing) 603 & 159
   603–T/608** & 159 60.00 PATM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   m. Duplicate License 601 & 159 60.00 PADM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   n.  Duplicate License (Electronic Filing) 601 & 159 60.00 PADM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   o. Special Temporary Authority 601 & 159 60.00 PAOM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   p. Special Temporary Authority (Electronic Filing) 601 & 159 60.00 PAOM
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   q.  Rule  Waiver  601,  603  or  603–T/608** & 159 170.00 PDWM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   r. Rule Waiver (Electronic Filing) 601, 603 or 603–T/608** & 159 170.00 PDWM
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   s.  Modification  for Spectrum Leasing 608** & 159 245.00 PEOM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   t. Modification for Spectrum Leasing (Electronic Filing) 608** & 159 245.00
   PEOM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   6. Land MobilePMRS; Intelligent Transportation Service:
   a. New or Renewal/Modification (Frequencies below 470 MHz (except 220 MHz)
   902–928 MHz & RS) 601 & 159 60.00 PALR* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   b. New; Renewal/Modification (Frequencies below 470 MHz (except 220 MHz))
   (Electronic Filing) 601 & 159 60.00 PALR* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   c. New; Renewal/Modification (Frequencies 470 MHz and above and 220 MHz
   Local) 601 & 159 60.00 PALS* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   d. New; Renewal/Modification (Frequencies 470 MHz and above and 220 MHz
   Local) (Electronic Filing) 601 & 159 60.00 PALS* Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   e. New; Renewal/Modification (220 MHz Nationwide) 601 & 159 60.00 PALT*
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   f. New; Renewal/Modification (220 MHz Nationwide) (Electronic Filing) 601 &
   159 60.00 PALT* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   g. Modification; Non-Profit; For Profit Special Emergency and Public Safety;
   and CMRS 601 & 159 60.00 PALM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   h. Modification; Non-Profit; For Profit Special Emergency and Public Safety;
   and CMRS (Electronic Filing) 601 & 159 60.00 PALM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   i. Renewal Only 601 & 159 60.00
   60.00
   60.00 PALR*
   PALS*
   PALT* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358245
   Pittsburgh, PA 15251–5245.
   j. Renewal (Electronic Filing) 601 & 159 60.00
   60.00
   60.00 PALR*
   PALS*
   PALT* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   k. Renewal Only (Non-Profit; CMRS; For-Profit Special Emergency and Public
   Safety) 601 & 159 60.00 PALM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358245
   Pittsburgh, PA 15251–5245.
   l.  Renewal (Non-Profit; CMRS; For-Profit Special Emergency and Public
   Safety) (Electronic Filing) 601 & 159 60.00 PALM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   m. Assignment of Authorization (PMRS & CMRS) 603 & 159 60.00 PALM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   n. Assignment of Authorization (PMRS & CMRS) (Electronic Filing) 603 & 159
   60.00 PALM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   o. Transfer of Control (PMRS & CMRS);
   Spectrum Leasing 603 & 159
   603–T/608** & 159 60.00
   60.00 PATM
   PATM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   p. Transfer of Control (PMRS & CMRS);
   Spectrum Leasing (Electronic Filing) 603 & 159
   603–T/608** & 159 60.00
   60.00 PATM
   PATM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   q. Duplicate License 601 & 159 60.00 PADM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   r.  Duplicate License (Electronic Filing) 601 & 159 60.00 PADM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   s. Special Temporary Authority 601 & 159 60.00 PALM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   t. Special Temporary Authority (Electronic Filing) 601 & 159 60.00 PALM
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   u.  Rule  Waiver  601,  603  or  603–T/608** & 159 170.00 PDWM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   v. Rule Waiver (Electronic Filing) 601, 603 or
   603–T/608** & 159 170.00 PDWM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   w.  Consolidate Call Signs 601 & 159 60.00 PALM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   x. Consolidate Call Signs (Electronic Filing) 601 & 159 60.00 PALM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   y.  Modification  for  Spectrum Leasing 608** & 159 60.00 PALM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   z. Modification for Spectrum Leasing (Electronic Filing) 608** & 159 60.00
   PALM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   7. 218–219 MHz (previously IVDS):
   a. New; Renewal/Modification 601 & 159 60.00 PAIR* Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   b. New; Renewal/Modification (Electronic Filing) 601 & 159 60.00 PAIR*
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   c. Modification; Non-Profit 601 & 159 60.00 PAIM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   d. Modification; Non-Profit (Electronic Filing) 601 & 159 60.00 PAIM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   e. Renewal Only 601 & 159 60.00 PAIR* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358245
   Pittsburgh, PA 15251–5245
   f. Renewal (Electronic Filing) 601 & 159 60.00 PAIR* Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   g. Assignment of Authorization 603 & 159 60.00 PAIM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   h. Assignment of Authorization (Electronic Filing) 603 & 159 60.00 PAIM
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   i. Transfer of Control
   Spectrum Leasing (Electronic Filing) 603 & 159
   603–T/608** & 159 60.00
   60.00 PATM
   PATM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   j. Transfer of Control
   Spectrum Leasing (Electronic Filing) 603 & 159
   603–T/608** & 159 60.00
   60.00 PATM
   PATM Federal Communication Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   k. Duplicate License 601 & 159 60.00 PADM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   l.  Duplicate License (Electronic Filing) 601 & 159 60.00 PADM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   m. Special Temporary Authority 601 & 159 60.00 PAIM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   n. Special Temporary Authority (Electronic Filing) 601 & 159 60.00 PAIM
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   o.  Modification  for  Spectrum Leasing 608** & 159 60.00 PAIM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   p. Modification for Spectrum Leasing (Electronic Filing) 608** & 159 60.00
   PAIM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   8. General Mobile Radio (GMRS):
   a. New; Renewal/Modification 605 & 159 60.00 PAZR* Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   b. New; Renewal/Modification (Electronic Filing) 605 & 159 60.00 PAZR*
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   c. Modification 605 & 159 60.00 PAZM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   d.  Modification  (Electronic  Filing)  601  &  159 60.00 PAZM Federal
   Communications Non-Profit Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   e. Renewal Only 601 & 159 60.00 PAZR* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358245
   Pittsburg, PA 15251–5245.
   f. Renewal (Electronic Filing) 605 & 159 60.00 PAZR* Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   g. Duplicate License 605 & 159 60.00 PADM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   h.  Duplicate License (Electronic Filing) 605 & 159 60.00 PADM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   i. Special Temporary Authority 605& 159 60.00 PAZM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   j. Special Temporary Authority (Electronic Filing) 605 & 159 60.00 PAZM
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   k. Rule Waiver 605 & 159 170.00 PDWM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   l.  Rule  Waiver  (Electronic  Filing)  605  & 159 170.00 PDWM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   9. Restricted Radiotelephone:
   a. New (Lifetime Permit)
   New (Limited Use) 605 & 159
   605 & 159 60.00 PARR Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358245
   Pittsburgh, PA 15251–5245.
   b. Duplicate/Replacement Permit
   Duplicate/Replacement Permit (Limited Use) 605 & 159
   605 & 159 60.00
   60.00 PADM
   PADM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358245
   Pittsburgh, PA 15251–5245.
   10. Commercial Radio Operator:
   a.  Renewal  Only;  Renewal/Modification  605 & 159 60.00 PACS Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358245
   Pittsburgh, PA 15251–5245.
   b. Duplicate 605 & 159 60.00 PADM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   11. Hearing Corres & 159 10,680.00 PFHM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   12. Common Carrier Microwave:(Pt. To Pt., Local TV Trans. & Millimeter Wave
   Service):
   a. New; Renewal/Modification (Electronic Filing Required) 601 & 159 245.00
   CJPR* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   b. Major Modification; Consolidate Call Signs (Electronic Filing Required)
   601 & 159 245.00 CJPM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   c. Renewal (Electronic Filing Required) 601 & 159 245.00 CJPR* Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   d. Assignment of Authorization; Transfer of Control:
   Spectrum Leasing
   Additional Stations (Electronic Filing Required) 603 & 159

   603–T/608** & 159
   603 or 603–T/608** & 159 90.00

   90.00
   60.00 CCPM

   CCPM
   CAPM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   e. Duplicate License (Electronic Filing Required) 601 & 159 60.00 PADM
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   f. Extension of Construction Authority (Electronic Filing Required) 601 &
   159 90.00 CCPM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   g. Special Temporary Authority 601 & 159 115.00 CEPM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   h. Special Temporary Authority (Electronic Filing) 601 & 159 115.00 CEPM
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   i. Major Modification for Spectrum Leasing (Electronic Filing Required)
   608** & 159 245.00 CJPM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   13. Common Carrier Microwave (DEMS):
   a. New; Renewal/Modification (Electronic Filing Required)
   601 & 159
   245.00
   CJLR* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   b. Major Modification; Consolidate Call Signs (Electronic Filing Required)
   601 & 159 245.00 CJLM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   c. Renewal (Electronic Filing Required) 601 & 159 245.00 CJLR* Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   d. Assignment of Authorization; Transfer of Control;
   Spectrum Leasing
   Additional Stations (Electronic Filing Required) 603 & 159

   603–T/608** & 159
   603 or 603–T/608** & 159 90.00

   90.00
   60.00 CCLM

   CCLM
   CALM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   e. Duplicate License (Electronic Filing Required) 601 & 159 60.00 PADM
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   f. Extension of Construction Authority (Electronic Filing Required) 601 &
   159 90.00 CCLM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   g. Special Temporary Authority 601 & 159 115.00 CELM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   h. Special Temporary Authority (Electronic Filing) 601 & 159 115.00 CELM
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   i. Major Modification for Spectrum Leasing (Electronic Filing Required)
   608** & 159 90.00 CJLM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   14. Broadcast Auxiliary (Aural and TV Microwave):
   a. New; Modification; Renewal/Modification
   601 & 159
   135.00
   MEA Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   b. New; Modification; Renewal/Modification (Electronic Filing) 601 & 159
   135.00 MEA Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   c. Special Temporary Authority 601 & 159 160.00 MGA Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   d. Special Temporary Authority (Electronic Filing) 601 & 159 160.00 MGA
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   e. Renewal Only 601 & 159 60.00 MAA Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358245
   Pittsburgh, PA 15251–5245.
   f. Renewal (Electronic Filing) 601 & 159 60.00 MAA Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   15. Broadcast Auxiliary (Remote and Low Power):
   a. New; Modification; Renewal/Modification 601 & 159 135.00 MEA Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   b. New; Modification; Renewal/Modification (Electronic Filing) 601 & 159
   135.00 MEA Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   c. Renewal Only 601 & 159 60.00 MAA Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358245
   Pittsburgh, PA 15251–5245.
   d.  Renewal (Electronic Commission Filing) 601 & 159 60.00 MAA Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   e. Special Temporary Authority 601 & 159 160.00 MGA Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   f. Special Temporary Authority (Electronic Filing) 601 & 159 160.00 MGA
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   16. Pt 22 Paging & Radiotelephone:
   a. New; Major Mod; Additional Facility; Major Amendment; Major Renewal/Mod;
   Fill in Transmitter (Per Transmitter) (Electronic Filing Required) 601 & 159
   365.00 CMD Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   b. Minor Mod; Renewal; Minor Renewal/Mod; (Per Call Sign) 900 MHz Nationwide
   Renewal Net Organ; New Operator (Per Operator/Per City) Notice of Completion
   of  Construction  or  Extension of Time to Construct (Per Application)
   (Electronic Filing Required) 601 & 159 60.00 CAD Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   c. Auxiliary Test (Per Transmitter); Consolidate Call Signs (Per Call Sign)
   (Electronic Filing Required) 601 & 159 320.00 CLD Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   d. Special Temporary Authority (Per Location/Per Frequency) 601 & 159 320.00
   CLD Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   e. Special Temporary Authority (Per Location/Per Frequency) (Electronic
   Filing) 601 & 159 320.00 CLD Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   f. Assignment of License or Transfer of Control;
   Spectrum Leasing (Full or Partial) (Per First Call Sign);
   Additional Call Signs (Per Call Signs) (Electronic Filing Required) 603 &
   159

   603–T/608** & 159

   603 or 603–T/608** & 159 365.00

   365.00

   60.00 CMD

   CMD

   CAD Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   g. Subsidiary Comm. Service (Per Request) (Electronic Filing Required) 601 &
   159 160.00 CFD Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   h. Major Modification for Spectrum Leasing (Electronic Filing Required)
   608** & 159 365.00 CMD Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   i. Minor Modification for Spectrum Leasing (Electronic Filing Required)
   608** & 159 60.00 CAD Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   17. Cellular:
   a. New; Major Mod; Additional Facility; Major Renewal/Mod (Per Call Sign)
   (Electronic Filing Required) 601 & 159 365.00 CMC Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   b. Minor Modification; Minor Renewal/Mod (Per Call Sign) (Electronic Filing
   Required) 601 & 159 95.00 CDC Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   c. Assignment of License; Transfer of Control (Full or Partial) (Per Call
   Sign)
   Spectrum Leasing (Electronic Filing Rquired) 603 & 159
   603–T/608 ** & 159 365.00 CMC Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   d. Notice of Extension of Time to Complete Construction; (Per Request)
   Renewal (Per Call Sign) (Electronic Filing Required) 601 & 159 60.00 CAC
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   e. Special Temporary Authority (Per Request) 601 & 159 320.00 CLC Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   f. Special Temporary Authority (Per Request) (Electronic Filing) 601 & 159
   320.00 CLC Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   g.  Combining  Cellular Geographic Areas (Per Area) (Electronic Filing
   Required) 601 & 159 80.00 CBC Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   h. Major Modification for Spectrum Leasing (Electronic Filing Required)
   608** & 159 365.00 CMC Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   i. Minor Modification for Spectrum Leasing (Electronic Filing Required)
   608** & 159 95.00 CDC Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   18. Rural Radio:
   a. New; Major Renew/Mod; Additional Facility (Per Transmitter) (Electronic
   Filing Required) 601 & 159 170.00 CGRR* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   b. Major Mod; Major Amendment (Per Transmitter) (Electronic Filing Required)
   601 & 159 170.00 CGRM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   c. Minor Modification; (Per Transmitter) (Electronic Filing Required) 601 &
   159 60.00 CARM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   d. Assignment of License; Transfer of Control (Full or Partial) (Per Call
   Sign)
   Spectrum Leasing
   Additional Calls (Per Call Sign) (Electronic Filing Required) 603 & 159

   603–T/608** & 159
   603 or 603–T/608** & 159 170.00

   170.00
   60.00 CGRM

   CGRM
   CARM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   e. Renewal (Per Call Sign); Minor Renewal/Mod (Per Transmitter) (Electronic
   Filing Required) 601 & 159 60.00 CARR* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   f. Notice of Completion of Construction Extension of Time to Construct (Per
   Application) (Electronic Filing Required) 601 & 159 60.00 CARM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   g. Special Temporary Authority (Per Transmitter) 601 & 159 320.00 CLRM
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   h. Special Temporary Authority (Per Transmitter) (Electronic Filing) 601 &
   159 320.00 CLRM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   i. Combining Call Signs (Per Call Sign) (Electronic Filing Required) 601 &
   159 320.00 CLRM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   j. Auxiliary Test Station (Per Transmitter) (Electronic Filing Required) 601
   & 159 320.00 CLRM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   k. Major Modification for Spectrum Leasing (Electronic Filing Required)
   608** & 159 170.00 CGRM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   l. Minor Modification for Spectrum Leasing (Electronic Filing Required)
   608** & 159 60.00 CARM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   19. Offshore Radio:
   a. New; Major Mod; Additional Facility; Major Amendment; Major Renew/Mod;
   Fill in Transmitters (Per Transmitter) (Electronic Filing Required) 601 &
   159 170.00 CGF Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   b. Consolidate Call Signs (Per Call Sign); Auxiliary Test (Per Transmitter)
   (Electronic Filing Required) 601 & 159 320.00 CLF Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   c. Minor Modification; Minor Renewal/Modification (Per Transmitter); Notice
   of  Completion  of Construction or Extension of Time to Construct (Per
   Application); Renewal (Per Call Sign) (Electronic Filing Required) 601 & 159
   60.00 CAF Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   d. Assignment of License; Transfer of Control (Full or Partial)
   Spectrum Leasing
   Additional Calls (Electronic Filing Required) 603 & 159

   603–T/608** & 159
   603 or 603–T/608** & 159 170.00

   170.00
   60.00 CGF

   CGF
   CAF Federal Communications Commission.
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   e.  Special Temporary Authority (Per Transmitter) 601 & 159 320.00 CLF
   Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.
   f. Special Temporary Authority (Per Transmitter) (Electronic Filing) 601 &
   159 320.00 CLF Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 3548994
   Pittsburgh, PA 15251–5994.
   g. Major Modification for Spectrum Leasing (Electronic Filing Required)
   608** & 159 170.00 CGF Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   h. Minor Modification for Spectrum Leasing (Electronic Filing Required)
   608** & 159 60.00 CAF Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5994.
   20. Broadband Radio Service(Previously Multipoint Distribution Service):
   a. New station (Electronic Filing Required) 601 & 159 245.00 CJM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5130.
   b. Major Modification of Licenses (Electronic Filing Required) 601 & 159
   245.00 CJM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5130.
   c. Certification of Completion of Construction (Electronic Filing Required)
   601 & 159 720.00 CPM* Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5130.
   d. License Renewal (Electronic Filing Required) 601 & 159 245.00 CJM Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5130.
   e.  Assignment  of  Authorization; Transfer of Control (first station)
   (Electronic Filing Required)
   Spectrum Leasing (first station)
   Additional Station 603 & 159


   603–T/608** & 159
   603–T/608** & 159 90.00


   90.00
   60.00 CCM


   CCM
   CAM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5130.
   f. Extension of Construction Authorization (Electronic Filing Required) 601
   & 159 210.00 CHM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5130.
   g. Special Temporary Authority or Request for Waiver of Prior Construction
   Authorization  (Electronic  Filing)  601  &  159  115.00  CEM  Federal
   Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5130.
   h. Special Temporary Authority 601 & 159 115.00 CEM Federal Communications
   Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5130.
   i. Major Modification for Spectrum Leasing (Electronic Filing Required)
   608** & 159 245.00 CJM Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358994
   Pittsburgh, PA 15251–5130.
   21. Communication Assistance for Law Enforcement (CALEA) Petitions: Corres &
   159 5,605.00 CALA Federal Communications Commission
   Wireless Bureau Applications
   P.O. Box 358130
   Pittsburgh, PA 15251–5130.

   **FCC Form 608, which is pending OMB approval, will upon its effective date
   replace FCC Form 603–T, as noted in §1.1102, above.

   [ 71 FR 54205 , Sept. 14, 2006]

§ 1.1103   Schedule of charges for equipment approval, experimental radio
services, and international telecommunications settlement services.

   top
   Service FCC form No. Fee amount Payment type code Address
   1. Certification:
   a. Receivers (except TV and FM) (Electronic Filing Only) 731 & 159 455.00
   EEC Federal Communications Commission
   Equipment Approval Services
   P.O. Box 358315
   Pittsburgh, PA 15251–5315.
   b. Devices Under Parts 11, 15 & 18 (except receivers) (Electronic Filing
   Only) 731 & 159 1,165.00 EGC Federal Communications Commission
   Equipment Approval Services
   P.O. Box 358315
   Pittsburgh, PA 15251–5315.
   c. All Other Devices (Electronic Filing Only) 731 & 159 585.00 EFT Federal
   Communications Commission
   Equipment Approval Services
   P.O. Box 358315
   Pittsburgh, PA 15251–5315.
   d. Modifications and Class II Permissive Changes (Electronic Filing Only)
   731 & 159 60.00 EAC Federal Communications Commission
   Equipment Approval Services
   P.O. Box 358315
   Pittsburgh, PA 15251–5315.
   e. Request for Confidentiality under Certification (Electronic Filing Only)
   731 & 159 170.00 EBC Federal Communications Commission
   Equipment Approval Services
   P.O. Box 358315
   Pittsburgh, PA 15251–5315.
   f. Class III Permissive Changes (Electronic Filing Only) 731 & 159 585.00
   ECC Federal Communications Commission
   Equipment Approval Services
   P.O. Box 358315
   Pittsburgh, PA 15251–5315.
   2. Advance Approval of Subscription TV Systems: Corres & 159 3,565.00 EIS
   Federal Communications Commission
   Equipment Approval Services
   P.O. Box 358315
   Pittsburgh, PA 15251–5315.
   a. Request for Confidentiality For Advance Approval of Subscription TV
   Systems Corres & 159 170.00 EBS Federal Communications Commission
   Equipment Approval Services
   P.O. Box 358315
   Pittsburgh, PA 15251–5315.
   3. Assignment of Grantee Code:
   a. For all Application Types, except Subscription TV (Electronic Filing
   Only—Optional  Electronic Payment) Electronic Assignment & Form 159 or
   Optional Electronic Payment 60.00 EAG Federal Communications Commission
   Equipment Approval Services
   P.O. Box 358315
   Pittsburgh, PA 15251–5315.
   4. Experimental Radio Service:
   a. New Station Authorization 442 & 159 60.00 EAE Federal Communications
   Commission
   Equipment Radio Services
   P.O. Box 358320
   Pittsburg, PA 15251–5320.
   b. Modification of Authorization 442 & 159 60.00 EAE Federal Communications
   Commission
   Equipment Radio Services
   P.O. Box 358320
   Pittsburg, PA 15251–5320.
   c.  Renewal  of  Station  Authorization  405  &  159 60.00 EAE Federal
   Communications Commission
   Equipment Radio Services
   P.O. Box 358320
   Pittsburg, PA 15251–5320.
   d. Assignment of Transfer of Control 702 & 159 or
   703 & 159 60.00 EAE Federal Communications Commission
   Equipment Radio Services
   P.O. Box 358320
   Pittsburg, PA 15251–5320.
   e. Special Temporary Authority Corres & 159 60.00 EAE Federal Communications
   Commission
   Equipment Radio Services
   P.O. Box 358320
   Pittsburg, PA 15251–5320.
   f. Additional fee required for any of the above applications that request
   withholding  from  public  inspection  Corres  & 159 60.00 EAE Federal
   Communications Commission
   Equipment Radio Services
   P.O. Box 358320
   Pittsburg, PA 15251–5320.
   5. International Telecommunications 99 & 159 2.00 IAT Federal Communications
   Commission
   International Telecommunications Settlements
   P.O. Box 358001
   Pittsburgh, PA 15251–5001.

   [ 71 FR 54219 , Sept. 14, 2006]

§ 1.1104   Schedule of charges for applications and other filings for media
services.

   top

   Those services designated with an asterisk in the Payment Type Code column
   accept multiples if filing in the same post office box.
   Service FCC form No. Fee amount Payment type code Address
   1. Commercial TV Services:
   a. New and Major Change Construction Permits (per application) (Electronic
   Filing) 301 & 159 $4,005.00 MVT Federal Communications Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   b. Minor Change (per application) (Electronic Filing) 301 & 159 895.00 MPT
   Federal Communications Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   c.  Main Studio Request Corres & 159 895.00 MPT Federal Communications
   Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   d. New License (per application) (Electronic Filing) 302–TV & 159
   302–DTV & 159 270.00 MJT Federal Communications Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   e. License Renewal (per application) (Electronic Filing) 303–S & 159 160.00
   MGT Federal Communications Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   f. License Assignment
   (i)  Long  Form  (Electronic  Filing)  314  &  159 895.00 MPT* Federal
   Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   (ii)  Short  Form  (Electronic  Filing)  316 & 159 130.00 MDT* Federal
   Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   g. Transfer of Control
   (i)  Long  Form  (Electronic  Filing)  315  &  159 895.00 MPT* Federal
   Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   (ii)  Short  Form  (Electronic  Filing)  316 & 159 130.00 MDT* Federal
   Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   h. Call Sign (Electronic Filing) 380 & 159 90.00 MBT Federal Communications
   Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   i.  Special  Temporary  Authority  Corres  &  159  160.00  MGT Federal
   Communications Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   j. Petition for Rulemaking for New Community of License (Electronic Filing)
   301 & 159
   302–TV & 159 2,475.00 MRT Federal Communications Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   k. Ownership Report (Electronic Filing) 323 & 159
   Corres & 159 60.00 MAT* Federal Communications Commission
   Media Services
   P.O. Box 358180
   Pittsburgh, PA 15251–5180.
   2. Commercial AM Radio Stations:
   a. New or Major Change Construction Permit (Electronic Filing) 301 & 159
   3,565.00 MUR Federal Communications Commission
   Media Services
   P.O. Box 358190
   Pittsburgh, PA 15251–5190.
   b. Minor Change (per application) (Electronic Filing) 301 & 159 895.00 MPR
   Federal Communications Commission
   Media Services
   P.O. Box 358190
   Pittsburgh, PA 15251–5190.
   c.  Main  Studio Request (per request) Corres & 159 895.00 MPR Federal
   Communications Commission
   Media Services
   P.O. Box 358190
   Pittsburgh, PA 15251–5190.
   d. New License (per application) (Electronic Filing) 302–AM & 159 585.00 MMR
   Federal Communications Commission
   Media Services
   P.O. Box 358190
   Pittsburgh, PA 15251–5190.
   e. AM Directional Antenna (per application) (Electronic Filing) 302–AM & 159
   675.00 MOR Federal Communications Commission
   Media Services
   P.O. Box 358190
   Pittsburgh, PA 15251–5190.
   f. AM Remote Control (per application) (Electronic Filing) 301 & 159 60.00
   MAR Federal Communications Commission
   Media Services
   P.O. Box 358190
   Pittsburgh, PA 15251–5190.
   g. License Renewal (per application) (Electronic Filing) 303–S & 159 160.00
   MGR Federal Communications Commission
   Media Services
   P.O. Box 358190
   Pittsburgh, PA 15251–5190.
   h. License Assignment
   (i)  Long  Form  (Electronic  Filing)  314  &  159 895.00 MPR* Federal
   Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   (ii)  Short  Form  (Electronic  Filing)  316 & 159 130.00 MDR* Federal
   Communications Commission
   Mass Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   i. Transfer of Control
   (i)  Long  Form  (Electronic  Filing)  315  &  159 895.00 MPR* Federal
   Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   (ii)  Short  Form  (Electronic  Filing)  316 & 159 130.00 MDR* Federal
   Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   j. Call Sign (Electronic Filing) 380 & 159 90.00 MBR Federal Communications
   Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   k.  Special  Temporary  Authority  Corres  &  159  160.00  MGR Federal
   Communications Commission
   Media Services
   P.O. Box 358190
   Pittsburgh, PA 15251–5190.
   l. Ownership Report (Electronic Filing) 323 & 159 or Corres & 159 60.00 MAR
   Federal Communications Commission
   Media Services
   P.O. Box 358180
   Pittsburgh, PA 15251–5180.
   3. Commercial FM Radio Stations:
   a. New or Major Change Construction Permit (Electronic Filing) 301 & 159
   3,210.00 MTR Federal Communications Commission
   Media Services
   P.O. Box 358195
   Pittsburgh, PA 15251–5195.
   b.  Minor  Change  (Electronic  Filing)  301  & 159 895.00 MPR Federal
   Communications Commission
   Mass Media Services
   P.O. Box 358195
   Pittsburgh, PA 15251–5195.
   c.  Main  Studio Request (per request) Corres & 159 895.00 MPR Federal
   Communications Commission
   Media Services
   P.O. Box 358195
   Pittsburgh, PA 15251–5195.
   d.  New  License  (Electronic  Filing) 302–FM & 159 185.00 MHR Federal
   Communications Commission
   Media Services
   P.O. Box 358195
   Pittsburgh, PA 15251–5195.
   e.  FM Directional Antenna (Electronic Filing) 302–FM & 159 565.00 MLR
   Federal Communications Commission
   Media Services
   P.O. Box 358195
   Pittsburgh, PA 15251–5195.
   f. License Renewal (per application) (Electronic Filing) 303–S & 159 160.00
   MGR Federal Communications Commission
   Media Services
   P.O. Box 358190
   Pittsburgh, PA 15251–5190.
   g. License Assignment
   (i)  Long  Form  (Electronic  Filing)  314  &  159 895.00 MPR* Federal
   Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   (ii)  Short  Form  (Electronic  Filing)  316 & 159 130.00 MDR* Federal
   Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   h. Transfer of Control
   (i)  Long  Form  (Electronic  Filing)  315  &  159 895.00 MPR* Federal
   Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   (ii)  Short  Form  (Electronic  Filing)  316 & 159 130.00 MDR* Federal
   Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   i. Call Sign (Electronic Filing) 380 & 159 90.00 MBR Federal Communications
   Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   j.  Special  Temporary  Authority  Corres  &  159  160.00  MGR Federal
   Communications Commission
   Media Services
   P.O. Box 358195
   Pittsburgh, PA 15251–5195.
   k. Petition for Rulemaking for New Community of License or Higher Class
   Channel (Electronic Filing) 301 & 159 or 302–FM & 159 2,475.00 MRR Federal
   Communications Commission
   Media Services
   P.O. Box 358195
   Pittsburgh, PA 15251–5195.
   l. Ownership Report (Electronic Filing) 323 & 159 or Corres & 159 60.00 MAR
   Federal Communications Commission
   Media Services
   P.O. Box 358180
   Pittsburgh, PA 15251–5180.
   4. FM Translators:
   a. New or Major Change Construction Permit (Electronic Filing) 349 & 159
   675.00 MOF Federal Communications Commission
   Media Services
   P.O. Box 358200
   Pittsburgh, PA 15251–5200.
   b.  New  License  (Electronic  Filing)  350  &  159 135.00 MEF Federal
   Communications Commission
   Media Services
   P.O. Box 358200
   Pittsburgh, PA 15251–5200.
   c.  License  Renewal (Electronic Filing) 303–S & 159 60.00 MAF Federal
   Communications Commission
   Media Services
   P.O. Box 358190
   Pittsburgh, PA 15251–5190.
   d.  Special  Temporary  Authority  Corres  &  159  160.00  MGF Federal
   Communications Commission
   Media Services
   P.O. Box 358200
   Pittsburgh, PA 15251–5200.
   e. License Assignment (Electronic Filing) 345 & 159 314 & 159 316 & 159
   130.00 MDF* Federal Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   f. Transfer of Control (Electronic Filing) 345 & 159 315 & 159 316 & 159
   130.00 MDF* Federal Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   5. TV Translators and LPTV Stations:
   a. New or Major Change Construction Permit (per application) (Electronic
   Filing) 346 & 159 675.00 MOL Federal Communications Commission
   Media Services
   P.O. Box 358185
   Pittsburgh, PA 15251–5185.
   b. New License (per application) (Electronic Filing) 347 & 159 135.00 MEL
   Federal Communications Commission
   Media Services
   P.O. Box 358185
   Pittsburgh, PA 15251–5185.
   c.  License Renewal (Electronic Filing) 303–S & 159 60.00 MAL* Federal
   Communications Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   d.  Special  Temporary  Authority  Corres  &  159  160.00  MGL Federal
   Communications Commission
   Media Services
   P.O. Box 358185
   Pittsburgh, PA 15251–5185.
   e. License Assignment (Electronic Filing) 345 & 159 314 & 159 316 & 159
   130.00 MDL* Federal Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   f. Transfer of Control (Electronic Filing) 345 & 159 315 & 159 316 & 159
   130.00 MDL* Federal Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   g. Call Sign (Electronic Filing) 380 & 159 90.00 MBT Federal Communications
   Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   6. FM Booster Stations:
   a. New or Major Change Construction Permit (Electronic Filing) 349 & 159
   675.00 MOF Federal Communications Commission
   Media Services
   P.O. Box 358200
   Pittsburgh, PA 15251–5200.
   b.  New  License  (Electronic  Filing)  350  &  159 135.00 MEF Federal
   Communications Commission
   Media Services
   P.O. Box 358200
   Pittsburgh, PA 15251–5200.
   c.  Special  Temporary  Authority  Corres  &  159  160.00  MGF Federal
   Communications Commission
   Media Services
   P.O. Box 358200
   Pittsburgh, PA 15251–5200.
   7. TV Booster Stations:
   a. New or Major Change (Electronic Filing) 346 & 159 675.00 MOF Federal
   Communications Commission
   Media Services
   P.O. Box 358185
   Pittsburgh, PA 15251–5185.
   b.  New  License  (Electronic  Filing)  347  &  159 135.00 MEF Federal
   Communications Commission
   Media Services
   P.O. Box 358185
   Pittsburgh, PA 15251–5185.
   c.  Special  Temporary  Authority  Corres  &  159  160.00  MGF Federal
   Communications Commission
   Media Services
   P.O. Box 358185
   Pittsburgh, PA 15251–5185.
   8. Class A TV Services:
   a. New and Major Change Construction Permits (per application) (Electronic
   Filing) 301–CA & 159 4,005.00 MVT Federal Communications Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   b. New License (per application) (Electronic Filing) 302–CA & 159 270.00 MJT
   Federal Communications Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   c. License Renewal (per application) (Electronic Filing) 303–S & 159 160.00
   MGT Federal Communications Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   d.  Special  Temporary  Authority  Corres  &  159  160.00  MGT Federal
   Communications Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   e. License Assignment
   (i)  Long  Form  (Electronic  Filing)  314  &  159 895.00 MPT* Federal
   Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   (ii)  Short  Form  (Electronic  Filing)  316 & 159 130.00 MDT* Federal
   Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   f. Transfer of Control
   (i)  Long  Form  (Electronic  Filing)  315  &  159 895.00 MPT* Federal
   Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   (ii)  Short  Form  (Electronic  Filing)  316 & 159 130.00 MDT* Federal
   Communications Commission
   Media Services
   P.O. Box 358350
   Pittsburgh, PA 15251–5350.
   g.  Main Studio Request Corres & 159 895.00 MPT Federal Communications
   Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   h. Call Sign (Electronic Filing) 380 & 159 90.00 MBT Federal Communications
   Commission
   Media Services
   P.O. Box 358165
   Pittsburgh, PA 15251–5165.
   9. Cable Television Services:
   a. CARS License 327 & 159 245.00 TIC Federal Communications Commission
   Media Services
   P.O. Box 358205
   Pittsburgh, PA 15215–5205.
   b. CARS Modifications 327 & 159 245.00 TIC Federal Communications Commission
   Media Services
   P.O. Box 358205
   Pittsburgh, PA 15215–5205.
   c.  CARS  License  Renewal 327 & 159 245.00 TIC Federal Communications
   Commission
   Media Services
   P.O. Box 358205
   Pittsburgh, PA 15215–5205.
   d. CARS License Assignment 327 & 159 245.00 TIC Federal Communications
   Commission
   Media Services
   P.O. Box 358205
   Pittsburgh, PA 15215–5205.
   e. CARS Transfer of Control 327 & 159 245.00 TIC Federal Communications
   Commission
   Media Services
   P.O. Box 358205
   Pittsburgh, PA 15215–5205.
   f.  Special  Temporary  Authority  Corres  &  159  160.00  TGC Federal
   Communications Commission
   Media Services
   P.O. Box 358205
   Pittsburgh, PA 15215–5205.
   g.  Cable  Special  Relief  Petition Corres & 159 1,250.00 TQC Federal
   Communications Commission
   Media Services
   P.O. Box 358205
   Pittsburgh, PA 15215–5205.
   h. Cable Community Registration (Electronic Filing) 321 & 159 60.00 TAC
   Federal Communications Commission
   Media Services
   P.O. Box 358205
   Pittsburgh, PA 15215–5205.
   i. Aeronautical Frequency Usage Notifications (Electronic Filing) 321 & 159
   60.00 TAC Federal Communications Commission
   Media Services
   P.O. Box 358205
   Pittsburgh, PA 15215–5205.

   [ 71 FR 54221 , Sept. 14, 2006]

§ 1.1105   Schedule of charges for applications and other filings for the
wireline competition services.

   top
   Service FCC form No. Fee amount Payment type code Address
   1. Communication Assistance for Law Enforcement (CALEA):
   Petitions Corres & 159 $5,605.00 CLEA Federal Communications Commission
   Wireline Competition Bureau—IA&TD CALEA
   P.O. Box 358140
   Pittsburgh, PA 15251–5140.
   2. Domestic 214 Applications:
   a.  Domestic  Cable  Construction  Corres  &  159  $965.00 CUT Federal
   Communications Commission
   Wireline Competition Bureau—CPD—214 Appls.
   P.O. Box 358145
   Pittsburgh, PA 15251–5145.
   b. Other Corres & 159 $965.00 CUT Federal Communications Commission
   Wireline Competition Bureau—CPD—214 Appls.
   P.O. Box 358145
   Pittsburgh, PA 15251–5145.
   3. Tariff Filings:
   a. Filing Fees (per transmittal or cover letter) Corres & 159 $775.00 CQK
   Federal Communications Commission
   Wireline Competition Bureau—PPD Tariffs Filings
   P.O. Box 358150
   Pittsburgh, PA 15251–5150.
   b. Application for Special Permission Filing (request for waiver of any rule
   in Part 61 of the Commission's Rules) (per request) Corres & 159 $775.00 CQK
   Federal Communications Commission
   Wireline Competition Bureau—PPD Tariffs Filings
   P.O. Box 358150
   Pittsburgh, PA 15251–5150.
   c. Waiver of Part 69 Tariff Rules (per request) Corres & 159 $775.00 CQK
   Federal Communications Commission
   Wireline Competition Bureau—PPD Tariffs Filings
   P.O. Box 358150
   Pittsburgh, PA 15251–5150.
   4. Accounting:
   a.  Review  of  Depreciation  Update Study (single state) Corres & 159
   $32,680.00 BKA Federal Communications Commission
   Wireline Competition Bureau—PPD—Accounting Rule Depreciation
   P.O. Box 358140
   Pittsburgh, PA 15251–5140.
   (i) Each Additional State Corres & 159 $1,075.00 CVA Federal Communications
   Commission
   Wireline Competition Bureau—PPD—Accounting Rule Depreciation
   P.O. Box 358140
   Pittsburgh, PA 15251–5140.
   b. Petition for Waiver (per petition)
   Waiver of Part 69 Accounting Rules & Part 32 Accounting Rules, Part 36
   Separation Rules, Part 43 Reporting Requirements, Part 64 Allocation of
   Costs Rules, Part 65 Rate of Return & Rate Base Rules Corres & 159 $7,365.00
   BEA Federal Communications Commission
   Wireline Competition Services—PPD Tariffs Accounting Rule Waiver
   P.O. Box 358140
   Pittsburgh, PA 15251–5140.

   [ 71 FR 54227 , Sept. 14, 2006]

§ 1.1106   Schedule of charges for applications and other filings for the
enforcement services.

   top
   Service FCC form No. Fee amount Payment type code Address
   1. Formal Complaints: Corres & 159 $190.00 CIZ Federal Communications
   Commission
   Enforcement
   P.O. Box 358120
   Pittsburgh, PA 15251–5120.
   2. Accounting and Audits:
   a. Field Audit N/A $98,400.00 BMA Carriers will be billed.
   b. Review of Attest Audit N/A $53,710.00 BLA Carriers will be billed.
   3. Development and Review of Agreed upon—Procedures Engagement: Corres & 159
   $53,710.00 BLA Federal Communications Commission
   Enforcement
   P.O. Box 358125
   Pittsburgh, PA 15251–5125.
   4.  Pole  Attachment  Complaint:  Corres  &  159  $240.00  TPC Federal
   Communications Commission
   Enforcement
   P.O .Box 358110
   Pittsburgh, PA 15215–5110.

   [ 71 FR 54228 , Sept. 14, 2006]

§ 1.1107   Schedule of charges for applications and other filings for the
international services.

   top
   Service FCC form No. Fee amount Payment type code Address
   1. International Fixed Public Radio(Public & Control Stations):
   a. Initial Construction Permit (per station) 407 & 159 $810.00 CSN Federal
   Communications Commission
   International Bureau—Fixed Public Radio
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   b. Assignment or Transfer (per Application) 702 & 159 or 704 & 159 810.00
   CSN Federal Communications Commission
   International Bureau—Fixed Public Radio
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   c.  Renewal  (per license) 405 & 159 585.00 CON Federal Communications
   Commission
   International Bureau—Fixed Public Radio
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   d. Modification (per station) 403 & 159 585.00 CON Federal Communications
   Commission
   International Bureau—Fixed Public Radio
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   e. Extension of Construction Authorization (per station) 701 & 159 295.00
   CKN Federal Communications Commission
   International Bureau—Fixed Public Radio
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   f. Special Temporary Authority or request for Waiver (per request) Corres &
   159 295.00 CKN Federal Communications Commission
   International Bureau—Fixed Public Radio
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   2. Section 214 Applications:
   a.  Overseas  Cable  Construction  Corres & 159 14, 415.00 BIT Federal
   Communications Commission
   International Bureau—Policy
   P.O. Box 358115
   Pittsburgh, PA 15251–5115.
   b. Cable Landing License
   (i)  Common  Carrier  Corres & 159 1,620.00 CXT Federal Communications
   Commission
   International Bureau—Policy
   P.O. Box 358115
   Pittsburgh, PA 15251–5115.
   (ii) Non-Common Carrier Corres & 159 16,035.00 BJT Federal Communications
   Commission
   International Bureau—Policy
   P.O. Box 358115
   Pittsburgh, PA 15251–5115.
   c. All other International 214 Applications Corres & 159 965.00 CUT Federal
   Communications Commission
   International Bureau—Policy
   P.O. Box 358115
   Pittsburgh, PA 15251–5115.
   d.  Special Temporary Authority (all services) Corres & 159 965.00 CUT
   Federal Communications Commission
   International Bureau—Policy
   P.O. Box 358115
   Pittsburgh, PA 15251–5115.
   e. Assignments or transfers (all services) Corres & 159 965.00 CUT Federal
   Communications Commission
   International Bureau—Policy
   P.O. Box 358115
   Pittsburgh, PA 15251–5115.
   3. Fixed Satellite Transmit/Receive Earth Stations:
   a. Initial Application (per station) 312 Main & Schedule B & 159 2,410.00
   BAX Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   b. Modification of License (per station) 312 Main & Schedule B & 159 170.00
   CGX Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   c. Assignment or Transfer
   (i)  First  station  312  Main  &  Schedule A & 159 475.00 CNX Federal
   Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   (ii) Each Additional Station Attachment to 312—Schedule A 160.00 CFX Federal
   Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   d.  Renewal  of  License  (per station) 312–R & 159 170.00 CGX Federal
   Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   e. Special Temporary Authority (per request) 312 Main & Corres & 159 170.00
   CGX Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   f. Amendment of Pending Application (per station) 312 Main & Schedule B &
   159 170.00 CGX Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   g. Extension of Construction Permit (modification) (per station) 312 Main &
   159 170.00 CGX Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   4.  Fixed  Satellite transmit/receive Earth Stations (2 meters or less
   operating in the 4/6 GHz frequency band):
   a.  Lead  Application 312 Main & Schedule B & 159 5,340.00 BDS Federal
   Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   b. Routine Application (per station) 312 Main & Schedule B & 159 60.00 CAS
   Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   c. Modification of License (per station) 312 Main & Schedule B & 159 170.00
   CGS Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   d. Assignment or Transfer
   (i)  First  Station  312  Main  &  Schedule A & 159 475.00 CNS Federal
   Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   (ii) Each Additional Station Attachment to 312—Schedule A 60.00 CAS Federal
   Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   e.  Renewal  of  License  (per station) 312–R & 159 170.00 CGS Federal
   Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   f. Special Temporary Authority (per request) 312 Main & 159 170.00 CGS
   Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   g. Amendment of Pending Application (per station) 312 Main & Schedule A or B
   & 159 170.00 CGS Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   h. Extension of Construction Permit (modification) (per station) 312 & 159
   170.00 CGS Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   5. Receive Only Earth Stations:
   a. Initial Applications for Registration or License (per station) 312 Main &
   Schedule B & 159 365.00 CMO Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   b. Modification of License or Registration (per station) 312 Main & Schedule
   B & 159 170.00 CGO Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   c. Assignment or Transfer
   (i)  First  Station  312  Main  &  Schedule A & 159 475.00 CNO Federal
   Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   (ii) Each Additional Station Attachment to 312—Schedule A 160.00 CFO Federal
   Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   d.  Renewal  of  License  (per station) 312–R & 159 170.00 CGO Federal
   Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   e. Amendment of Pending Application (per station) 312 Main & Schedule A or B
   & 159 170.00 CGO Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   f. Extension of Construction Permit (modification) (per station) 312 Main &
   159 170.00 CGO Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   g. Waivers (per request) Corres & 159 170.00 CGO Federal Communications
   Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   6. Fixed Satellite Very Small Aperture Terminal (VSAT) Systems:
   a. Initial Application (per station) 312 Main & Schedule B & 159 8,895.00
   BGV Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   b. Modification of License (per system) 312 Main & Schedule B & 159 170.00
   CGV Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   c. Assignment or Transfer of System 312 Main & Schedule A & 159 2,380.00 CZV
   Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   d.  Renewal  of  License  (per  system) 312–R & 159 170.00 CGV Federal
   Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   e. Special Temporary Authority (per request) 312 & 159 170.00 CGV Federal
   Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   f. Amendment of Pending Application (per system) 312 Main & Schedule A or B
   & 159 170.00 CGV Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   g. Extension of Construction Permit (modification) (per system) 312 & 159
   170.00 CGV Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   7. Mobile Satellite Earth Stations
   a. Initial Applications of Blanket Authorization 312 Main & Schedule B & 159
   8,895.00 BGB Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   b. Initial Application for Individual Earth Station 312 Main & Schedule B &
   159 2,135.00 CYB Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   c. Modication of License (per system) 312 Main & Schedule B & 159 170.00 CGB
   Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   d. Assignment or Transfer (per system) 312 Main & Schedule A & 159 2,380.00
   CZB Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   e.  Renewal  of  License  (per  system) 312–R & 159 170.00 CGB Federal
   Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   f. Special Temporary Authority (per request) 312 & 159 170.00 CGB Federal
   CommunicationS Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   g. Amendment of Pending Application (per system) 312 Main & Schedule B & 159
   170.00 CGB Federal CommunicationS Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   h. Extension of Construction Permit (modification) (per system) 312 & 159
   170.00 CGB Federal Communications Commission
   International Bureau—Earth Stations
   P.O. Box 358160
   Pittsburgh, PA 15251–5160.
   8. Space Stations (Geostationary):
   a. Application for Authority to Launch & Operate (per satellite)
   (i) Initial Application 312 Main & Schedule S & 159 110,580.00 BNY Federal
   Communications Commission
   International Bureau—Satellites
   P.O. Box 358210
   Pittsburgh, PA 15251–5210.
   (ii) Replacement Satellite 312 Main & Schedule S & 159 110,580.00 BNY
   b.  Assignment or Transfer (per satellite) 312 Main & Schedule A & 159
   7,900.00 BFY Federal Communications Commission
   International Bureau—Satellites
   P.O. Box 358210
   Pittsburgh, PA 15251–5210.
   c. Modification (per satellite) 312 Main & Schedule S (if needed) & 159
   7,900.00 BFY Federal Communications Commission
   International Bureau—Satellites
   P.O. Box 358210
   Pittsburgh, PA 15251–5210.
   d. Special Temporary Authority (per satellite) 312 & 159 790.00 CRY Federal
   Communications Commission
   International Bureau—Satellites
   P.O. Box 358210
   Pittsburgh, PA 15251–5210.
   e. Amendment of Pending Application (per satellite) 312 Main & Schedule S
   (if needed) & 159 1,580.00 CWY Federal Communications Commission
   International Bureau—Satellites
   P.O. Box 358210
   Pittsburgh, PA 15251–5210.
   f. Extension of Launch Authority (per satellite) 312 Main & Corres & 159
   790.00 CRY Federal Communications Commission
   International Bureau—Satellites
   P.O. Box 358210
   Pittsburgh, PA 15251–5210.
   9. Space Stations (NGSO)
   a. Application for Authority to Launch & Operate (per system of technically
   identical satellites) satellites 312 Main & Schedule S & 159 380,835.00 CLW
   Federal Communications Commission
   International Bureau—Satellites
   P.O. Box 358210
   Pittsburgh, PA 15251–5210.
   b. Assignment or Transfer (per system) 312 Main & Schedule A & 159 10,885.00
   CZW Federal Communications Commission
   International Bureau—Satellites
   P.O. Box 358210
   Pittsburgh, PA 15251–5210.
   c.  Modification  (per system) 312 Main & Schedule S (if needed) & 159
   27,205.00 CGW Federal Communications Commission
   International Bureau—Satellites
   P.O. Box 358210
   Pittsburgh, PA 15251–5210.
   d. Special Temporary Authority (per request) Corres & 159 2,725.00 CXW
   Federal Communications Commission
   International Bureau—Satellites
   P.O. Box 358210
   Pittsburgh, PA 15251–5210.
   e. Amendment of Pending Application (per request) 312 Main & Schedule S &
   159 5,445.00 CAW Federal Communications Commission
   International Bureau—Satellites
   P.O. Box 358210
   Pittsburgh, PA 15251–5210.
   f. Extension of Launch Authority (per system) 312 Main & 159 2,725.00 CXW
   Federal Communications Commission
   International Bureau—Satellites
   P.O. Box 358210
   Pittsburgh, PA 15251–5210.
   10. Direct Boradcast Satellites
   a. Authorization to Constructor Major Modification (per satellite) 312 Main
   & Schedule S & 159 3,210.00 MTD Federal Communication Commission
   International Bureau—Satellites
   P.O. Box 358210
   Pittsburgh, PA 15251–5210.
   b. Construction Permit and Launch Authority (per satellite) 312 Main &
   Schedule S & 159 31,140.00 MXD Federal Communications Commission
   International Bureau—Satellites
   P.O. Box 358210
   Pittsburgh, PA 15251–5210.
   c. License to Operate (per satellite) 312 Main & Schedule S & 159 31,140.00
   MXD Federal Communications Commission
   International Bureau—Satellites
   P.O. Box 358210
   Pittsburgh, PA 15251–5210.
   d. Special Temporary Authority (per satellite) 312 Main & 159 160.00 MGD
   Federal Communications Commission
   International Bureau—Satellites
   P.O. Box 358210
   Pittsburgh, PA 15251–5210.
   11. International Broadcast Stations
   a. New Station & Facilities Change Construction Permit (per application) 309
   & 159 2,695.00 MSN Federal Communications Commission
   International Bureau
   P.O. Box 358175
   Pittsburgh, PA 15251–5175.
   b. New License (per application) 310 & 159 610.00 MNN Federal Communications
   Commission application)
   International Bureau
   P.O. Box 358175
   Pittsburgh, PA 15251–5175.
   c.  License  Renewal  (per  application)  311 & 159 155.00 MFN Federal
   Communications Commission
   International Bureau
   P.O. Box 358175
   Pittsburgh, PA 15251–5175.
   d. License Assignment or Transfer of Control (per station license) 314 & 159
   or
   315 & 159 or
   316 & 159 95.00 MCN Federal Communications Commission
   International Bureau
   P.O. Box 358175
   Pittsburgh, PA 15251–5175.
   e. Frequency Assignment & Coordination (per frequency hour) Corres & 159
   60.00 MAN Federal Communications Commission
   International Bureau
   P.O. Box 358175
   Pittsburgh, PA 15251–5175.
   f. Special Temporary Authorization (per application) Corres & 159 160.00 MGN
   Federal Communications Commission
   International Bureau
   P.O. Box 358175
   Pittsburgh, PA 15251–5175.
   12.  Permit  to  Deliver  Programs  to  Foreign Broadcast Stations(per
   application):
   a. Commercial Television Stations 308 & 159 90.00 MBT Federal Communications
   Commission
   International Bureau
   P.O. Box 358175
   Pittsburgh, PA 15251–5175.
   b.  Commercial  AM  or  FM  Radio Stations 308 & 159 90.00 MBR Federal
   Communications Commission
   International Bureau
   P.O. Box 358175
   Pittsburgh, PA 15251–5175.
   13. Recognized Operating Agency(per application) Corres & 159 965.00 CUG
   Federal Communications Commission
   International Bureau
   P.O. Box 358115
   Pittsburgh, PA 15251–5115.

   [ 71 FR 54228 , Sept. 14, 2006]

§ 1.1108   Attachment of charges.

   top

   The charges required to accompany a request for the Commission regulatory
   services listed in §§1.1102 through 1.1107 of this subpart will not be
   refundable to the applicant irrespective of the Commission's disposition of
   that request. Return or refund of charges will be made in certain limited
   instances as set out at §1.1113 of this subpart.

   [ 65 FR 49762 , Aug. 15, 2000]

§ 1.1109   Payment of charges.

   top

   (a)  Electronic fee payments do not require the use of a FCC Form 159,
   Remittance Advice. An electronic fee payment must be made on or before the
   day the application and appropriate processing form are filed.

   (b) The schedule of fees for applications and other filings lists those
   applications and other filings that must be accompanied by a FCC Form 159,
   Remittance Advice. A separate FCC Form 159 will not be required once the
   information requirements of that form (payor information) is incorporated
   into the underlying application form.

   (c) Applications and other filings that are not submitted in accordance with
   these instructions will be returned as unprocessable.

   Note: This requirement for the simultaneous submission of fees forms with
   applications or other filings does not apply to the payment of fees for
   which the Commission has established a billing process. See §1.1119 of this
   subpart.

   (d)  Applications returned to applicants for additional information or
   corrections will not require an additional fee when resubmitted, unless the
   additional information results in an increase of the original fee amount.
   Those applications not requiring an additional fee should be resubmitted
   directly to the Bureau/Office requesting the additional information. The
   original fee will be forfeited if the additional information or corrections
   are not resubmitted to the appropriate Bureau/Office by the prescribed
   deadline. A forfeited application fee will not be refunded. If an additional
   fee is required, the original fee will be returned and the application must
   be resubmitted with a new remittance in the amount of the required fee to
   the  Commission's lockbox bank. Applicants should attach a copy of the
   Commission's  request for additional or corrected information to their
   resubmission.

   (1)  If  the  Bureau/Office  staff  discovers within 30 days after the
   resubmission that the required fee was not submitted, the application will
   be dismissed.

   (2) If after 30 days the Bureau/Office staff discovers the required fee has
   not been paid, the application will be retained and a 25 percent late fee
   will  be  assessed  on the deficient amount even if the Commission has
   completed its action on the application. Any Commission actions taken prior
   to timely payment of these charges are contingent and subject to recession.

   (e) Should the staff change the status of an application, resulting in an
   increase in the fee due, the applicant will be billed for the remainder
   under the conditions established by §1.1116(b) of the rules.

   Note: Due to the statutory requirements applicable to tariff filings, the
   procedures for handling tariff filings may vary from the procedures set out
   in the rules.

   [ 52 FR 5289 , Feb. 20, 1987, as amended at  53 FR 40888 , Oct. 19, 1988;  55 FR 19171 , May 8, 1990. Redesignated and amended at  59 FR 30998 , June 16, 1994.
   Redesignated at  60 FR 5326 , Jan. 27, 1995, as amended at  67 FR 67337 , Nov.
   5, 2002]

§ 1.1110   Form of payment.

   top

   (a) Fee payments should be in the form of a check, bank draft, on money
   order denominated in U.S. dollars and drawn on a United States financial
   institution and made payable to the Federal Communications Commission or by
   a Visa, MasterCard, American Express, or Discover credit card. No other
   credit card is acceptable. Fees for applications and other filings paid by
   credit card will not be accepted unless the credit card section of FCC Form
   159  is  completed in full. The Commission discourages applicants from
   submitting cash and will not be responsible for cash sent through the mail.
   Personal or corporate checks dated more than six months prior to their
   submission to the Commission's lockbox bank and postdated checks will not be
   accepted and will be returned as deficient. Third party checks (i.e., checks
   with a third party as maker or endorser) will not be accepted.

   (1)  Specific  procedures  for  electronic  payments  are announced in
   Bureau/Office fee filing guides.

   (2) It is the responsibility of the payer to insure that any electronic
   payment is made in the manner required by the Commission. Failure to comply
   with  the  Commission's  procedures  will  result in the return of the
   application or other filing and the fee payment.

   (3) Payments by wire transfer will be accepted; however, to insure proper
   credit, applicants must follow the instructions set out in the appropriate
   Bureau/Office fee filing guide.

   (b) Applicants are required to submit one payment instrument (check, bank
   draft or money order) and FCC Form 159 with each application or filing.
   Multiple payment instruments for a single application or filing are not
   permitted.  Except that a separate Fee Form (FCC Form 159) will not be
   required once the information requirements of that form (the Fee Code, fee
   amount,  and  total fee remitted) are incorporated into the underlying
   application form.

   (c) The Commission may accept multiple money orders in payment of a fee for
   a single application where the fee exceeds the maximum amount for a money
   order established by the issuing agency and the use of multiple money orders
   is the only practical method available for fee payment.

   (d) The Commission may require payment of fees with a cashier's check upon
   notification to an applicant or filer or prospective group of applicants
   under the conditions set forth below in paragraphs (d) (1) and (2) of this
   section.

   (1) Payment by cashier's check may be required when a person or organization
   has made payment, on one or more occasions with a payment instrument on
   which the Commission does not receive final payment and such failure is not
   excused by bank error.

   (2) The Commission will notify the party in writing that future payments
   must be made by cashier's check until further notice. If, subsequent to such
   notice, payment is not made by cashier's check, the party's payment will not
   be accepted and its application or other filing will be returned.

   (e) All fees collected will be paid into the general fund of the United
   States Treasury in accordance with Pub. L. 99–272.

   (f) The Commission will furnish a stamped receipt of an application only
   upon request that complies with the following instructions. In order to
   obtain  a  stamped  receipt  for an application (or other filing), the
   application  package  must  include  a  copy  of the first page of the
   application, clearly marked “copy”, submitted expressly for the purpose of
   serving as a receipt of the filing. The copy should be the top document in
   the package. The copy will be date-stamped immediately and provided to the
   bearer of the submission, if hand delivered. For submissions by mail, the
   receipt copy will be provided through return mail if the filer has attached
   to the receipt copy a stamped self-addressed envelope of sufficient size to
   contain the date stamped copy of the application. No remittance receipt
   copies will be furnished.

   [ 52 FR 5289 , Feb. 20, 1987;  52 FR 38232 , Oct. 15, 1987, as amended at  53 FR 40888 , Oct. 19, 1988;  55 FR 19171 , May 8, 1990. Redesignated at  59 FR 30998 ,
   June 16, 1994, as amended at  59 FR 30999 , June 16, 1994. Redesignated at  60 FR 5326 , Jan. 27, 1995, as amended at  65 FR 49762 , Aug. 15, 2000;  67 FR 46303 , July 12, 2002;  67 FR 67337 , Nov. 5, 2002]

§ 1.1111   Filing locations.

   top

   (a) Except as noted in this section, applications and other filings, with
   attached fees and FCC Form 159, must be submitted to the locations and
   addresses set forth in §§1.1102 through 1.1107.

   (1) Tariff filings shall be filed with the Secretary, Federal Communications
   Commission, Washington, DC 20554. On the same day, the filer should submit a
   copy of the cover letter, the FCC Form 159, and the appropriate fee to the
   Commission's lockbox bank at the address established in §1.1105.

   (2) Bills for collection will be paid at the Commission's lockbox bank at
   the address of the appropriate service as established in §§1.1102 through
   1.1107, as set forth on the bill sent by the Commission. Payments must be
   accompanied by the bill sent by the Commission. Payments must be accompanied
   by the bill to ensure proper credit.

   (3)  Petitions  for  reconsideration or applications for review of fee
   decisions pursuant to §1.1117(b) of this subpart must be accompanied by the
   required  fee  for the application or other filing being considered or
   reviewed.

   (4)  Applicants  claiming  an  exemption from a fee requirement for an
   application or other filing under 47 U.S.C. 158(d)(1) or §1.1114 of this
   subpart shall file their applications in the appropriate location as set
   forth in the rules for the service for which they are applying, except that
   request for waiver accompanied by a tentative fee payment should be filed at
   the Commission's lockbox bank at the address for the appropriate service set
   forth in §§1.1102 through 1.1107.

   (b) Except as provided for in paragraph (c) of this section, all materials
   must  be  submitted  as  one  package.  The  Commission  will not take
   responsibility  for matching fees, forms and applications submitted at
   different times or locations. Materials submitted at other than the location
   and address required by §0.401(b) and paragraph (a) of this section will be
   returned to the applicant or filer.

   (c) Fees for applications and other filings pertaining to the Wireless Radio
   Services  that  are  submitted  electronically  via  ULS  may  be paid
   electronically or sent to the Commission's lock box bank manually. When
   paying  manually,  applicants must include the application file number
   (assigned by the ULS electronic filing system on FCC Form 159) and submit
   such number with the payment in order for the Commission to verify that the
   payment was made. Manual payments must be received no later than ten (10)
   days after receipt of the application on ULS or the application will be
   dismissed. Payment received more than ten (10) days after electronic filing
   of an application on a Bureau/Office electronic filing system ( e.g. , ULS)
   will be forfeited ( see §§1.934 and 1.1109.)

   (d) Fees for applications and other filings pertaining to the Multichannel
   Video and Cable Television Service (MVCTS) and the Cable Television Relay
   Service (CARS) that are submitted electronically via the Cable Operations
   and Licensing System (COALS) may be paid electronically or sent to the
   Commission's lock box bank manually. When paying manually, applicants must
   include the FCC Form 159 generated by COALS (pre-filled with the transaction
   confirmation number) and completed with the necessary additional payment
   information to allow the Commission to verify that payment was made. Manual
   payments must be received no later than ten (10) days after receipt of the
   application  or  filing  in COALS or the application or filing will be
   dismissed.

   [ 55 FR 19171 , May 8, 1990. Redesignated at  59 FR 30998 , June 16, 1994, as
   amended at  59 FR 30999 , June 16, 1994. Redesignated at  60 FR 5326 , Jan. 27,
   1995, as amended at  63 FR 68941 , Dec. 14, 1998;  65 FR 49762 , Aug. 15, 2000;
    68 FR 27001 , May 19, 2003;  69 FR 41176 , July 7, 2004]

§ 1.1112   Conditionality of Commission or staff authorizations.

   top

   (a) Any instrument of authorization granted by the Commission, or by its
   staff under delegated authority, will be conditioned upon final payment of
   the applicable fee or delinquent fees and timely payment of bills issued by
   the Commission. As applied to checks, bank drafts and money orders, final
   payment shall mean receipt by the Treasury of funds cleared by the financial
   institution on which the check, bank draft or money order is drawn.

   (1) If, prior to a grant of an instrument of authorization, the Commission
   is notified that final payment has not been made, the application or filing
   will be:

   (i) Dismissed and returned to the applicant;

   (ii) Shall lose its place in the processing line;

   (iii) And will not be accorded nunc pro tunc treatment if resubmitted after
   the relevant filing deadline.

   (2)  If,  subsequent to a grant of an instrument of authorization, the
   Commission is notified that final payment has not been made, the Commission
   will:

   (i) Automatically rescind that instrument of authorization for failure to
   meet the condition imposed by this subsection; and

   (ii) Notify the grantee of this action; and

   (iii)  Not  permit nunc pro tunc treatment for the resubmission of the
   application or filing if the relevant deadline has expired.

   (3) Upon receipt of a notification of rescision of the authorization, the
   grantee  will  immediately  cease operations initiated pursuant to the
   authorization.

   (b)  In those instances where the Commission has granted a request for
   deferred payment of a fee or issued a bill payable at a future date, further
   processing of the application or filing, or the grant of authority, shall be
   conditioned upon final payment of the fee, plus other required payments for
   late payments, by the date prescribed by the deferral decision or bill.
   Failure to comply with the terms of the deferral decision or bill shall
   result in the automatic dismissal of the submission or rescision of the
   Commission authorization for failure to meet the condition imposed by this
   subpart. The Commission reserves the right to return payments received after
   the date established on the bill and exercise the conditions attached to the
   application. The Commission shall:

   (1) Notify the grantee that the authorization has been rescinded;

   (i) Upon such notification, the grantee will immediately cease operations
   initiated pursuant to the authorization.

   (2) Not permit nunc pro tunc treatment to applicants who attempt to refile
   after the original deadline for the underlying submission.

   (c) (1) Where an applicant is found to be delinquent in the payment of
   application  fees,  the Commission will make a written request for the
   delinquent fee, together with any penalties that may be due under this
   subpart. Such request shall inform the applicant/filer that failure to pay
   or make satisfactory payment arrangements will result in the Commission's
   withholding action on, and/or as appropriate, dismissal of, any applications
   or  requests  filed  by the applicant. The staff shall also inform the
   applicant of the procedures for seeking Commission review of the staff's fee
   determination.

   (2) If, after final determination that the fee is due or that the applicant
   is delinquent in the payment of fees, and payment is not made in a timely
   manner, the staff will withhold action on the application or filing until
   payment  or  other  satisfactory  arrangement  is  made. If payment or
   satisfactory arrangement is not made within 30 days of the date of the
   original notification, the application will be dismissed.

   [ 52 FR 5289 ,  Feb. 20, 1987, as amended at  55 FR 19171 , May 8, 1990.
   Redesignated at  59 FR 30998 , June 16, 1994. Redesignated at  60 FR 5326 , Jan.
   27, 1995, as amended at  69 FR 27847 , May 17, 2004]

§ 1.1113   Return or refund of charges.

   top

   (a) All refunds will be issued to the payer named in the appropriate block
   of the FCC Form 159. The full amount of any fee submitted will be returned
   or refunded, as appropriate, under the authority granted at §0.231.

   (1) When no fee is required for the application or other filing. ( see
   §1.1109).

   (2)  When the fee processing staff or bureau/office determines that an
   insufficient fee has been submitted within 30 calendar days of receipt of
   the application or filing and the application or filing is dismissed.

   (3) When the application is filed by an applicant who cannot fulfill a
   prescribed age requirement.

   (4) When the Commission adopts new rules that nullify applications already
   accepted for filing, or new law or treaty would render useless a grant or
   other positive disposition of the application.

   (5) When a waiver is granted in accordance with this subpart.

   Note: Payments in excess of an application fee will be refunded only if the
   overpayment is $10 or more.

   (6) When an application for new or modified facilities is not timely filed
   in accordance with the filing window as established by the Commission in a
   public notice specifying the earliest and latest dates for filing such
   applications.

   (b) Comparative hearings are no longer required.

   (c)  Applicants  in  the  Media  Services for first-come, first-served
   construction permits will be entitled to a refund of the fee, if, within
   fifteen days of the issuance of a Public Notice, applicant indicates that
   there is a previously filed pending application for the same vacant channel,
   such  applicant notifies the Commission that they no longer wish their
   application to remain on file behind the first applicant and any other
   applicants  filed  before  his  or  her application, and the applicant
   specifically requests a refund of the fee paid and dismissal of his or her
   application.

   (d) Applicants for space station licenses under the first-come, first served
   procedure set forth in part 25 of this title will be entitled to a refund of
   the fee if, before the Commission has placed the application on public
   notice, the applicant notifies the Commission that it no longer wishes to
   keep its application on file behind the licensee and any other applicants
   who  filed their applications before its application, and specifically
   requests a refund of the fee and dismissal of its application.

   [ 52 FR 5289 , Feb. 20, 1987, as amended at  53 FR 40889 , Oct. 19, 1988;  56 FR 795 , Jan. 9, 1991;  56 FR 56602 , Nov. 6, 1991. Redesignated at  59 FR 30998 ,
   June 16, 1994. Redesignated at  60 FR 5326 , Jan. 27, 1995, as amended at  65 FR 49762 , Aug. 15, 2000;  67 FR 46303 , July 12, 2002;  67 FR 67337 , Nov. 5,
   2002;  68 FR 51502 , Aug. 27, 2003;  69 FR 41177 , July 7, 2004; 71 54234, Sept.
   14, 2006]

§ 1.1114   General exemptions to charges.

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   No  fee  established  in 1.1102 through 1.1107 of this subpart, unless
   otherwise qualified herein, shall be required for:

   (a)  Applications  filed for the sole purpose of modifying an existing
   authorization (or a pending application for authorization) in order to
   comply with new or additional requirements of the Commission's rules or the
   rules of another Federal agency. However, if the applicant also requests an
   additional modification, renewal, or other action, the appropriate fee for
   such additional request must accompany the application. Cases in which a fee
   will be paid include applications by FM and TV licensees or permittees
   seeking to upgrade channel after a rulemaking.

   (b)  Applicants in the Special Emergency Radio and Public Safety Radio
   Services that are government entities or nonprofit entities. Applicants
   claiming nonprofit status must include a current Internal Revenue Service
   Determination Letter documenting this nonprofit status.

   (c) Applicants, permittees or licensees of noncommercial educational (NCE)
   broadcast stations in the FM or TV services, as well as AM applicants,
   permittees  or  licensees operating in accordance with §73.503 of this
   chapter.

   (d) Applicants, permittees, or licensees qualifying under paragraph (c) of
   this section requesting Commission authorization in any other mass media
   radio service (except the international broadcast (HF) service) private
   radio service, or common carrier radio communications service otherwise
   requiring a fee, if the radio service is used in conjunction with the NCE
   broadcast station on an NCE basis.

   (e) Other applicants, permittees, or licensees providing, or proposing to
   provide, an NCE or instructional service, but not qualifying under paragraph
   (c) of this section, may be exempt from filing fees, or be entitled to a
   refund, in the following circumstances.

   (1) An applicant is exempt from filing fees if it is an organization that,
   like the Public Broadcasting Service or National Public Radio, receives
   funding directly or indirectly through the Public Broadcasting Fund, 47
   U.S.C. 396(k), distributed by the Corporation for Public Broadcasting, where
   the  authorization  requested  will  be  used  in conjunction with the
   organization on an NCE basis;

   (2) An applicant for a translator or low power television station that
   proposes an NCE service will be entitled to a refund of fees paid for the
   filing of the application when, after grant, it provides proof that it has
   received funding for the construction of the station through the National
   Telecommunications and Information Administration (NTIA) or other showings
   as required by the Commission.

   (3) An applicant that has qualified for a fee refund under paragraph (e)(2)
   of this section and continues to operate as an NCE station is exempt from
   fees for broadcast auxiliary stations (subparts D, E, and F of part 74) or
   stations  in  the  private radio or common carrier services where such
   authorization is to be used in conjunction with the NCE translator or low
   power station.

   (4) An applicant that is the licensee in the Educational Broadband Service
   (EBS) (formerly, Instructional Television Fixed Service (ITFS)) (parts 27
   and 74, e.g., §§27.1200, et seq. , and 74.832(b), of this chapter) is exempt
   from filing fees where the authorization requested will be used by the
   applicant in conjunction with the provision of the EBS.

   (f)  Applicants,  permittees  or licensees who qualify as governmental
   entities. For purposes of this exemption a governmental entity is defined as
   any state, possession, city, county, town, village, municipal corporation or
   similar political organization or subpart thereof controlled by publicly
   elected or duly appointed public officials exercising sovereign direction
   and control over their respective communities or programs.

   (g) Applications for Restricted Radiotelephone Operator Permits where the
   applicant  intends to use the permit solely in conjunction with duties
   performed at radio facilities qualifying for fee exemption under paragraphs
   (c), (d), or (e) of this section.

   Note: Applicants claiming exemptions under the terms of this subpart must
   certify as to their eligibility for the exemption through a cover letter
   accompanying the application or filing. This certification is not required
   if  the  applicable  FCC  Form requests the information justifying the
   exemption.

   [ 52 FR 5289 , Feb. 20, 1987, as amended at  53 FR 40889 , Oct. 19, 1988;  55 FR 19172 , May 8, 1990;  56 FR 56602 , Nov. 6, 1991. Redesignated and amended at
    59 FR 30998 , June 16, 1994. Redesignated at  60 FR 5326 , Jan. 27, 1995, as
   amended at  65 FR 49762 , Aug. 15, 2000;  69 FR 41177 , July 7, 2004;  71 FR 54234 , Sept. 14, 2006]

§ 1.1115   Adjustments to charges.

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   (a) The Schedule of Charges established by §§1.1102 through 1.1107 of this
   subpart shall be reviewed by the Commission on October 1, 1999 and every two
   years thereafter, and adjustments made, if any, will be reflected in the
   next publication of Schedule of Charges.

   (1) The fees will be adjusted by the Commission to reflect the percentage
   change in the Consumer Price Index for all Urban Consumers (CPI-U) from the
   date of enactment of the authorizing legislation (December 19, 1989) to the
   date  of  adjustment,  and  every two years thereafter, to reflect the
   percentage change in the CPI-U in the period between the enactment date and
   the adjustment date.

   (2)  Adjustments based upon the percentage change in the CPI-U will be
   applied against the base fees as enacted or amended by Congress in the year
   the fee was enacted or amended.

   (b) Increases or decreases in charges will apply to all categories of fees
   covered by this subpart. Individual fees will not be adjusted until the
   increase or decrease, as determined by the net change in the CPI-U since the
   date of enactment of the authorizing legislation, amounts to at least $5 in
   the case of fees under $100, or 5% or more in the case of fees of $100 or
   greater. All fees will be adjusted upward to the next $5 increment.

   (c)  Adjustments to fees made pursuant to these procedures will not be
   subject to notice and comment rulemakings, nor will these decisions be
   subject to petitions for reconsideration under §1.429 of the rules. Requests
   for modifications will be limited to correction of arithmetical errors made
   during an adjustment cycle.

   [ 52 FR 5289 , Feb. 20, 1987, as amended at  53 FR 40889 , Oct. 19, 1988;  55 FR 19172 , May 8, 1990. Redesignated and amended at  59 FR 30998 , June 16, 1994.
   Redesignated at  60 FR 5326 , Jan. 27, 1995, as amended at  65 FR 49762 , Aug.
   15, 2000;  69 FR 41177 , July 7, 2004]

§ 1.1116   Penalty for late or insufficient payments.

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   (a) Filings subject to fees and accompanied by defective fee submissions
   will be dismissed under §1.1109 (d) of this subpart where the defect is
   discovered  by the Commission's staff within 30 calendar days from the
   receipt of the application or filing by the Commission.

   (1) A defective fee may be corrected by resubmitting the application or
   other filing, together with the entire correct fee.

   (2) For purposes of determining whether the filing is timely, the date of
   resubmission with the correct fee will be considered the date of filing.
   However,  in  cases  where  the  fee payment fails due to error of the
   applicant's bank, as evidenced by an affidavit of an officer of the bank,
   the date of the original submission will be considered the date of filing.

   (b) Applications or filings accompanied by insufficient fees or no fees, or
   where such applications or filings are made by persons or organizations that
   are  delinquent in fees owed to the Commission, that are inadvertently
   forwarded to Commission staff for substantive review will be billed for the
   amount due if the discrepancy is not discovered until after 30 calendar days
   from  the  receipt  of  the  application  or filing by the Commission.
   Applications or filings that are accompanied by insufficient fees or no fees
   will have a penalty charge equaling 25 percent of the amount due added to
   each bill. Any Commission action taken prior to timely payment of these
   charges is contingent and subject to rescission.

   (c) Applicants to whom a deferral of payment is granted under the terms of
   this subsection will be billed for the amount due plus a charge equalling 25
   percent of the amount due. Any Commission actions taken prior to timely
   payment of these charges are contingent and subject to rescission.

   (d) Failure to submit fees, following notice to the applicant of failure to
   submit the required fee, is subject to collection of the fee, including
   interest thereon, any associated penalties, and the full cost of collection
   to the Federal government pursuant to the provisions of the Debt Collection
   Improvement Act, 31 U.S.C. 3717 and 3720A. See 47 CFR 1.1901 through 1.1952.
   The debt collection processes described above may proceed concurrently with
   any other sanction in this paragraph.

   [ 52 FR 5289 , Feb. 20, 1987, as amended at  53 FR 40889 , Oct. 19, 1988;  55 FR 19172 , May 8, 1990. Redesignated and amended at  59 FR 30998 , June 16, 1994.
   Redesignated at  60 FR 5326 , Jan. 27, 1995, as amended at  67 FR 67337 , Nov.
   5, 2002;  69 FR 41177 , July 7, 2004;  69 FR 27847 , May 17, 2004;  69 FR 41177 ,
   July 7, 2004]

   Editorial Note:   At  69 FR 57230 , Sept. 24, 2004, §1.1116(a) introductory
   text  was  corrected by changing the reference to “§1.1109(b)” to read
   “§1.1109(d)”; however, the amendment could not be incorporated because that
   reference does not exist in the paragraph.

§ 1.1117   Petitions and applications for review.

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   (a)  The fees established by this subpart may be waived or deferred in
   specific instances where good cause is shown and where waiver or deferral of
   the fee would promote the public interest.

   (b) Requests for waivers or deferrals will only be considered when received
   from applicants acting in respect to their own applications. Requests for
   waivers or deferrals of entire classes of services will not be considered.

   (c) Petitions for waivers, deferrals, fee determinations, reconsiderations
   and applications for review will be acted upon by the Managing Director with
   the concurrence of the General Counsel. All such filings within the scope of
   the fee rules shall be filed as a separate pleading and clearly marked to
   the attention of the Managing Director. Any such request that is not filed
   as a separate pleading will not be considered by the Commission. Requests
   for deferral of a fee payment for financial hardship must be accompanied by
   supporting documentation.

   (1) Petitions and applications for review submitted with a fee must be
   submitted  to  the  Commission's  lock box bank at the address for the
   appropriate service set forth in §§1.1102 through 1.1107.

   (2) If no fee payment is submitted, the request should be filed with the
   Commission's Secretary.

   (d) Deferrals of fees will be granted for an established period of time not
   to exceed six months.

   (e) Applicants seeking waivers must submit the request for waiver with the
   application or filing, required fee and FCC Form 159, or a request for
   deferral. A petition for waiver and/or deferral of payment must be submitted
   to the Office of the Managing Director as specified in paragraph (c) of this
   section.  Waiver  requests that do not include these materials will be
   dismissed in accordance with §1.1109 of this subpart. Submitted fees will be
   returned if a waiver is granted. The Commission will not be responsible for
   delays in acting upon these requests.

   (f)  Petitions for waiver of a fee based on financial hardship will be
   subject to the provisions of paragraph 1.1166(e).

   [ 52 FR 5289 , Feb. 20, 1987, as amended at  55 FR 19172 , May 8, 1990;  55 FR 38065 , Sept. 17, 1990. Redesignated and amended at  59 FR 30998 , June 16,
   1994, as further amended at  59 FR 30999 , June 16, 1994. Redesignated at  60 FR 5326 , Jan. 27, 1995, as amended at  65 FR 49762 , Aug. 15, 2000;  66 FR 36202 , July 11, 2001;  67 FR 67337 , Nov. 5, 2002;  68 FR 48467 , Aug. 13, 2003]

§ 1.1118   Error claims.

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   (a)  Applicants  who  wish  to  challenge  a staff determination of an
   insufficient fee or delinquent debt may do so in writing. A challenge to a
   determination that a party is delinquent in paying the full application fee
   must be accompanied by suitable proof that the fee had been paid or waived
   (or deferred from payment during the period in question), or by the required
   application payment and any assessment penalty payment (see §1.1116) of this
   subpart). Failure to comply with these procedures will result in dismissal
   of  the  challenge.  These  claims  should be addressed to the Federal
   Communications Commission, Attention: Financial Operations, 445 12th St.
   SW., Washington, DC 20554 or emailed to ARINQUIRIES@fcc.gov. 

   (b)  Actions  taken  by  Financial Operations staff are subject to the
   reconsideration and review provisions of §§1.106 and 1.115 of this part,
   EXCEPT THAT reconsideration and/or review will only be available where the
   applicant has made the full and proper payment of the underlying fee as
   required by this subpart.

   (1) Petitions for reconsideration and/or applications for review submitted
   by applicants that have not made the full and proper fee payment will be
   dismissed; and

   (2) If the fee payment should fail while the Commission is considering the
   matter, the petition for reconsideration or application for review will be
   dismissed.

   [ 52 FR 5289 , Feb. 20, 1987, as amended at  53 FR 40889 , Oct. 19, 1988.
   Redesignated at  59 FR 30998 , June 16, 1994. Redesignated at  60 FR 5326 , Jan.
   27, 1995, as amended at  65 FR 49763 , Aug. 15, 2000;  69 FR 27848 , May 17,
   2004]

§ 1.1119   Billing procedures.

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   (a) The fees required for the International Telecommunications Settlements
   (§1.1103 of this subpart), Accounting and Audits Field Audits and Review of
   Arrest Audits (§1.1106 of this subpart) should not be paid with the filing
   or submission of the request. The fees required for requests for Special
   Temporary Authority ( see generally §§1.1102, 1.1104, 1.1106 & 1.1107 of
   this subpart) that the applicant believes is of an urgent or emergency
   nature and are filed directly with the appropriate Bureau or Office should
   not be paid with the filing of the request with that Bureau or Office.

   (b) In these cases, the appropriate fee will be determined by the Commission
   and the filer will be billed for that fee. The bill will set forth the
   amount to be paid, the date on which payment is due, and the address to
   which the payment should be submitted. See also §1.1111 of this subpart.

   [ 55 FR 19172 , May 8, 1990, as amended at  58 FR 68541 , Dec. 28, 1993.
   Redesignated and amended at  59 FR 30998 , June 16, 1994. Redesignated at  60 FR 5326 , Jan. 27, 1995, as amended at  65 FR 49763 , Aug. 15, 2000;  67 FR 67337 , Nov. 5, 2002;  69 FR 41177 , July 7, 2004]

§ 1.1151   Authority to prescribe and collect regulatory fees.

   top

   Authority to impose and collect regulatory fees is contained in title VI,
   section 6002(a) of the Omnibus Budget Reconciliation Act of 1993 (Pub. L.
   103–66, 107 Stat. 397), enacting section 9 of the Communications Act, 47
   U.S.C. 159, which directs the Commission to prescribe and collect annual
   regulatory fees from designated regulatees in order to recover the costs of
   certain of its regulatory activities in the private radio, mass media,
   common carrier, and cable television services.

   [ 59 FR 30999 , June 16, 1994]

§ 1.1152   Schedule of annual regulatory fees and filing locations for wireless
radio services.

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   Exclusive use services
   (per license) Fee amount^1 Address
   1. Land Mobile (Above 470 MHz and 220 MHz Local, Base Station & SMRS) (47
   CFR Part 90)
   (a) New, Renew/Mod (FCC 601 & 159) $35.00 FCC, P.O. Box 358130, Pittsburgh,
   PA 15251–5130.
   (b) New, Renew/Mod (Electronic Filing) (FCC 601 & 159) 35.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   (c) Renewal Only (FCC 601 & 159) 35.00 FCC, P.O. Box 358245, Pittsburgh, PA
   15251–5245.
   (d) Renewal Only (Electronic Filing) (FCC 601 & 159) 35.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   220 MHz Nationwide
   (a) New, Renew/Mod (FCC 601 & 159) 35.00 FCC, P.O. Box 358130, Pittsburgh,
   PA 15251–5130.
   (b) New, Renew/Mod (Electronic Filing) (FCC 601 & 159) 35.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   (c) Renewal Only (FCC 601 & 159) 35.00 FCC, P.O. Box 358245, Pittsburgh, PA
   15251–5245.
   (d) Renewal Only (Electronic Filing) (FCC 601 & 159) 35.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   2. Microwave (47 CFR Part 101) (Private)
   (a) New, Renew/Mod (FCC 601 & 159) 40.00 FCC, P.O. Box 358130, Pittsburgh,
   PA 15251–5130.
   (b) New, Renew/Mod (Electronic Filing) (FCC 601 & 159) 40.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   (c) Renewal Only (FCC 601 & 159) 40.00 FCC, P.O. Box 358245, Pittsburgh, PA
   15251–5245.
   (d) Renewal Only (Electronic Filing) (FCC 601 & 159) 40.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   3. 218–219 MHz Service
   (a) New, Renew/Mod (FCC 601 & 159) 55.00 FCC, P.O. Box 358130, Pittsburgh,
   PA 15251–5130.
   (b) New, Renew/Mod (Electronic Filing) (FCC 601 & 159) 55.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   (c) Renewal Only (FCC 601 & 159) 55.00 FCC, P.O. Box 358245, Pittsburgh, PA
   15251–5245.
   (d) Renewal Only (Electronic Filing) (FCC 601 & 159) 55.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   4. Shared Use Services
   Land Mobile (Frequencies Below 470 MHz—except 220 MHz)
   (a) New, Renew/Mod (FCC 601 & 159) 15.00 FCC, P.O. Box 358130, Pittsburgh,
   PA 15251–5130.
   (b) New, Renew/Mod (Electronic Filing) (FCC 601 & 159) 15.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   (c) Renewal Only (FCC 601 & 159) 15.00 FCC, P.O. Box 358245, Pittsburgh, PA
   15251–5245.
   (d) Renewal Only (Electronic Filing) (FCC 601 & 159) 15.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   General Mobile Radio Service
   (a) New, Renew/Mod (FCC 605 & 159) 5.00 FCC, P.O. Box 358130, Pittsburgh, PA
   15251–5130.
   (b) New, Renew/Mod (Electronic Filing) (FCC 605 & 159) 5.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   (c) Renewal Only (FCC 605 & 159) 5.00 FCC, P.O. Box 358245, Pittsburgh, PA
   15251–5245.
   (d) Renewal Only (Electronic Filing) (FCC 605 & 159) 5.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   Rural Radio (Part 22)
   (a) New, Additional Facility, Major Renew/Mod (Electronic Filing) (FCC 601 &
   159) 15.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994.
   (b) Renewal, Minor Renew/Mod (Electronic Filing) (FCC 601 & 159) 15.00 FCC,
   P.O. Box 358994, Pittsburgh, PA 15251–5994.
   Marine Coast
   (a) New Renewal/Mod (FCC 601 & 159) 30.00 FCC, P.O. Box 358130, Pittsburgh,
   PA 15251–5130.
   (b) New, Renewal/Mod (Electronic Filing) (FCC 601 & 159) 30.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   (c) Renewal Only (FCC 601 & 159) 30.00 FCC, P.O. Box 358245, Pittsburgh, PA
   15251–5245.
   (d) Renewal Only (Electronic Filing) (FCC 601 & 159) 30.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   Aviation Ground
   (a) New, Renewal/Mod (FCC 601 & 159) 10.00 FCC, P.O. Box 358130, Pittsburgh,
   PA 15251–5130.
   (b) New, Renewal/Mod (Electronic Filing) (FCC 601 & 159) 10.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   (c) Renewal Only (FCC 601 & 159) 10.00 FCC, P.O. Box 358245, Pittsburgh, PA
   15251–5245.
   (d) Renewal Only (Electronic Only) (FCC 601 & 159) 10.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   Marine Ship
   (a) New, Renewal/Mod (FCC 605 & 159) 10.00 FCC, P.O. Box 358130, Pittsburgh,
   PA 15251–5130.
   (b) New, Renewal/Mod (Electronic Filing) (FCC 605 & 159) 10.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   (c) Renewal Only (FCC 605 & 159) 10.00 FCC, P.O. Box 358245, Pittsburgh, PA
   15251–5245.
   (d) Renewal Only (Electronic Filing) (FCC 605 & 159) 10.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   Aviation Aircraft
   (a) New, Renew/Mod (FCC 605 & 159) 5.00 FCC, P.O. Box 358130, Pittsburgh, PA
   15251–5130.
   (b) New, Renew/Mod (Electronic Filing) (FCC 605 & 159) 5.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   (c) Renewal Only (FCC 605 & 159) 5.00 FCC, P.O. Box 358245, Pittsburgh, PA
   15251–5245.
   (d) Renewal Only (Electronic Filing) (FCC 605 & 159) 5.00 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   5. Amateur Vanity Call Signs
   (a) Initial or Renew (FCC 605 & 159) 1.17 FCC, P.O. Box 358130, Pittsburgh,
   PA 15251–5130.
   (b) Initial or Renew (Electronic Filing) (FCC 605 & 159) 1.17 FCC, P.O. Box
   358994, Pittsburgh, PA 15251–5994.
   6. CMRS Mobile Services (per unit) (FCC 159) ^2.18 FCC, P.O. Box 358835,
   Pittsburgh, PA 15251–5835.
   7. CMRS Messaging Services (per unit) (FCC 159) ^2.08 FCC, P.O. Box 358835,
   Pittsburgh, PA 15251–5835.
   8. Broadband Radio Service (formerly MMDS and MDS) 325 FCC, Multipoint, P.O.
   Box 358835, Pittsburgh, PA 15251–5835.
   9. Local Multipoint Distribution Service 325 FCC, Multipoint, P.O. Box
   358835, Pittsburgh, PA 15251–5835.

   ^1Note that “small fees” are collected in advance for the entire license
   term. Therefore, the annual fee amount shown in this table that is a small
   fee (categories 1 through 5) must be multiplied by the 5- or 10-year license
   term, as appropriate, to arrive at the total amount of regulatory fees owed.
   It should be further noted that application fees may also apply as detailed
   in section 1.1102 of this chapter.

   ^2These are standard fees that are to be paid in accordance with §1.1157(b)
   of this chapter.

   [ 72 FR 45934 , Aug. 16, 2007]

§ 1.1153   Schedule of annual regulatory fees and filing locations for mass
media services.

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      Fee amount Address
   Radio [AM and FM] (47 CFR part 73)
   1. AM Class A:
   <=25,000 population $625 FCC, Radio, P.O. Box 358835, Pittsburgh, PA
   15251–5835.
   25,001–75,000 population 1,225
   75,001–150,000 population 1,825
   150,001–500,000 population 2,750
   500,001–1,200,000 population 3,950
   1,200,001–3,000,000 population 6,075
   >3,000,000 population 7,275
   2. AM Class B:
   <=25,000 population 475
   25,001–75,000 population 925
   75,001–150,000 population 1,150
   150,001–500,000 population 1,950
   500,001–1,200,000 population 2,975
   1,200,001–3,000,000 population 4,575
   >3,000,000 population 5,475
   3. AM Class C:
   <=25,000 population 400
   25,001–75,000 population 600
   75,001–150,000 population 800
   150,001–500,000 population 1,200
   500,001–1,200,000 population 2,000
   1,200,001–3,000,000 population 3,000
   >3,000,000 population 3,800
   4. AM Class D:
   <=25,000 population 475
   25,001–75,000 population 725
   75,001–150,000 population 1,200
   150,001–500,000 population 1,425
   500,001–1,200,000 population 2,375
   1,200,001–3,000,000 population 3,800
   >3,000,000 population 4,750
   5. AM Construction Permit 400
   6. FM Classes A, B1 and C3:
   <=25,000 population 575
   25,001–75,000 population 1,150
   75,001–150,000 population 1,600
   150,001–500,000 population 2,475
   500,001–1,200,000 population 3,900
   1,200,001–3,000,000 population 6,350
   >3,000,000 population 8,075
   7. FM Classes B, C, C0, C1 and C2:
   <=25,000 population 725
   25,001–75,000 population 1,250
   75,001–150,000 population 2,300
   150,001–500,000 population 3,000
   500,001–1,200,000 population 4,400
   1,200,001–3,000,000 population 7,025
   >3,000,000 population 9,125
   8. FM Construction Permits 575
   TV (47 CFR part 73) VHF Commercial:
   1. Markets 1 thru 10 64,300 FCC, TV Branch, P.O. Box 358835, Pittsburgh, PA
   15251–5835.
   2. Markets 11 thru 25 46,350
   3. Markets 26 thru 50 31,075
   4. Markets 51 thru 100 20,000
   5. Remaining Markets 5,125
   6. Construction Permits 5,125
   UHF Commercial:
   1.  Markets  1  thru  10  19,650 FCC, UHF Commercial, P.O. Box 358835,
   Pittsburgh, PA 15251–5835.
   2. Markets 11 thru 25 19,450
   3. Markets 26 thru 50 10,800
   4. Markets 51 thru 100 6,300
   5. Remaining Markets 1,750
   6. Construction Permits 1,750
   Satellite UHF/VHF Commercial:
   1. All Markets 1,100 FCC Satellite TV, P.O. Box 358835, Pittsburgh, PA
   15251–5835.
   2. Construction Permits 550
   Low Power TV, Class A TV, TV/FM Translator, & TV/FM Booster (47 CFR part 74)
   345 FCC, Low Power, P.O. Box 358835, Pittsburgh, PA 15251–5835.
   Broadcast Auxiliary 10 FCC, Auxiliary, P.O. Box 358835, Pittsburgh, PA
   15251–5835.

   [ 72 FR 45935 , Aug. 16, 2007]

§ 1.1154   Schedule of annual regulatory charges and filing locations for
common carrier services.

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      Fee amount Address
   Radio Facilities:
   1. Microwave (Domestic Public Fixed) (Electronic Filing) (FCC Form 601 &
   159) $40.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994.
   Carriers:
   1. Interstate Telephone Service Providers (per interstate and international
   end-user  revenues (see FCC Form 499–A) .00266 FCC, Carriers, P.O. Box
   358835, Pittsburgh, PA 15251–5835.

   [ 72 FR 45936 , Aug. 16, 2007]

§ 1.1155   Schedule of regulatory fees and filing locations for cable
television services.

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      Fee amount Address
   1. Cable Television Relay Service $185 FCC, Cable, P.O. Box 358835,
   Pittsburgh, PA 15251–5835.
   2. Cable TV System (per subscriber) .75

   [ 72 FR 45936 , Aug. 16, 2007]

§ 1.1156   Schedule of regulatory fees and filing locations for international
services.

   top
      Fee amount Address
   Radio Facilities:
   1. International (HF) Broadcast $795 FCC, International, P.O. Box 358835,
   Pittsburgh, PA 15251–5835.
   2. International Public Fixed 1,875 FCC, International, P.O. Box 358835,
   Pittsburgh, PA 15251–5835.
   Space Stations (Geostationary Orbit) 109,200 FCC, Space Stations, P.O. Box
   358835, Pittsburgh, PA 15251–5835.
   Space Stations (Non-Geostationary Orbit) 116,475 FCC, Space Stations, P.O.
   Box 358835, Pittsburgh, PA 15251–5835.
   Earth Stations:
   Transmit/Receive & Transmit Only (per authorization or registration) 185
   FCC, Earth Station, P.O. Box 358835, Pittsburgh, PA 15251–5835.
   Carriers:
   International Bearer Circuits (per active 64KB circuit or equivalent) 1.05
   FCC, International, P.O. Box 358835, Pittsburgh, PA 15251–5835.

   [ 72 FR 45937 , Aug. 16, 2007]

§ 1.1157   Payment of charges for regulatory fees.

   top

   Payment of a regulatory fee, required under §§1.1152 through 1.1156, shall
   be filed in the following manner:

   (a)  (1) The amount of the regulatory fee payment that is due with any
   application for authorization shall be the multiple of the number of years
   in  the  entire  term  of the requested license or other authorization
   multiplied by the annual fee payment required in the Schedule of Regulatory
   Fees, effective at the time the application is filed. Except as set forth in
   §1.1160, advance payments shall be final and shall not be readjusted during
   the term of the license or authorization, notwithstanding any subsequent
   increase  or decrease in the annual amount of a fee required under the
   Schedule of Regulatory Fees.

   (2) Failure to file the appropriate regulatory fee due with an application
   for authorization will result in the return of the accompanying application,
   including an application for which the Commission has assigned a specific
   filing deadline.

   (b)(1) Payments of standard regulatory fees applicable to certain wireless
   radio, mass media, common carrier, cable and international services shall be
   filed in full on an annual basis at a time announced by the Commission or
   the Managing Director, pursuant to delegated authority, and published in
   theFederal Register.

   (2) Large regulatory fees, as annually defined by the Commission, may be
   submitted in installment payments or in a single payment on a date certain
   as  announced  by the Commission or the Managing Director, pursuant to
   delegated authority, and published in theFederal Register.

   (c) Standard regulatory fee payments, as well as any installment payment,
   must be filed with a FCC Form 159, FCC Remittance Advice, and a FCC Form
   159C, Remittance Advice Continuation Sheet, if additional space is needed.
   Failure to submit a copy of FCC Form 159 with a standard regulatory fee
   payment,  or  an installment payment, will result in the return of the
   submission and a 25 percent penalty if the payment is resubmitted after the
   date the Commission establishes for the payment of standard regulatory fees
   and for any installment payment.

   (1) Any late filed regulatory fee payment will be subject to the penalties
   set forth in section 1.1164.

   (2)  If one or more installment payments are untimely submitted or not
   submitted  at  all, the eligibility of the subject regulatee to submit
   installment payments may be cancelled.

   (d) Any Commercial Mobile Radio Service (CMRS) licensee subject to payment
   of an annual regulatory fee shall retain for a period of two (2) years from
   the date on which the regulatory fee is paid, those business records which
   were used to calculate the amount of the regulatory fee.

   [ 60 FR 34031 , June 29, 1995, as amended at  62 FR 59825 , Nov. 5, 1997;  67 FR 46306 , July 12, 2002]

§ 1.1158   Form of payment for regulatory fees.

   top

   Any regulatory fee payment must be submitted in the form of a check, bank
   draft or money order denominated in U.S. dollars and drawn on a United
   States financial institution and made payable to the Federal Communications
   Commission or by Visa, Mastercard, American Express or Discover credit cards
   only. The Commission discourages applicants from submitting cash payments
   and will not be responsible for cash sent through the mail. Personal or
   corporate checks dated more than six months prior to their submission to the
   Commission's lockbox bank and postdated checks will not be accepted and will
   be returned as deficient.

   (a) Upon authorization from the Commission following a written request,
   electronic fund transfer (EFT) payment of a regulatory fee may be made as
   follows:

   (1)(i) The payor may instruct its bank to make payment of the regulatory fee
   directly to the Commission's lockbox bank, or

   (ii) The payor may authorize the Commission to direct its lockbox bank to
   withdraw funds directly from the payor's bank account.

   (2) No EFT payment of a regulatory fee will be accepted unless the payor has
   obtained the written authorization of the Commission to submit regulatory
   fees electronically. Procedures for electronic payment of regulatory fees
   will be announced by Public Notice. It is the responsibility of the payor to
   insure that any electronic payment is made in the manner required by the
   Commission.  Failure  to  comply  with the Commission's procedures for
   electronic fee payment will result in the return of the fee payment, and a
   penalty fee of 25 percent if the subsequent refiling of the fee payment is
   late. Failure to comply will also subject the payor to the penalties set
   forth in §1.1164.

   (b)  Multiple  payment instruments for a single regulatory fee are not
   permitted, except that the Commission will accept multiple money orders in
   payment of any fee where the fee exceeds the maximum amount for a money
   order established by the issuing entity and the use of multiple money orders
   is the only practicable means available for payment.

   (c) Payment of multiple standard regulatory fees (including an installment
   payment) due on the same date, may be made with a single payment instrument
   and cover mass media, common carrier, international, and cable service fee
   payments. Each regulatee is solely responsible for accurately accounting for
   and listing each license or authorization and the number of subscribers,
   access lines, or other relevant units on the accompanying FCC Form 159 and,
   if needed, FCC Form 159C and for making full payment for every regulatory
   fee listed on the accompanying form. Any omission or payment deficiency of a
   regulatory fee will result in a 25 percent penalty of the amount due and
   unpaid.

   (d) Any regulatory fee payment (including a regulatory fee payment submitted
   with an application in the wireless radio service) made by credit card or
   money order must be submitted with a completed FCC Form 159. Failure to
   accurately enter the credit card number and date of expiration and the
   payor's signature in the appropriate blocks on FCC Form 159 will result in
   rejection of the credit card payment.

   [ 60 FR 34031 , June 29, 1995, as amended at  67 FR 46306 , July 12, 2002]

§ 1.1159   Filing locations and receipts for regulatory fees.

   top

   (a) Regulatory fee payments must be directed to the location and address set
   forth in §§1.1152 through 1.1156 for the specific category of fee involved.
   Any regulatory fee required to be submitted with an application must be
   filed as a part of the application package accompanying the application. The
   Commission  will  not take responsibility for matching fees, forms and
   applications submitted at different times or locations.

   (b)  Petitions  for  reconsideration or applications for review of fee
   decisions submitted with a standard regulatory fee payment pursuant to
   §§1.1152 through 1.1156 of the rules are to be filed with the Commission's
   lockbox bank in the manner set forth in §§1.1152 through 1.1156 for payment
   of the fee subject to the petition for reconsideration or the application
   for review. Petitions for reconsideration and applications for review that
   are  submitted  with  no accompanying payment should be filed with the
   Secretary, Federal Communications Commission, Attention: Managing Director,
   Washington, D.C. 20554.

   (c) Any request for exemption from a regulatory fee shall be filed with the
   Secretary, Federal Communications Commission, Attention: Managing Director,
   Washington, D.C. 20554, except that requests for exemption accompanied by a
   tentative  fee payment shall be filed at the lockbox set forth for the
   appropriate service in §§1.1152 through 1.1156.

   (d) The Commission will furnish a receipt for a regulatory fee payment only
   upon request. In order to obtain a receipt for a regulatory fee payment, the
   package must include an extra copy of the Form FCC 159 or, if a Form 159 is
   not required with the payment, a copy of the first page of the application
   or  other  filing submitted with the regulatory fee payment, submitted
   expressly for the purpose of serving as a receipt for the regulatory fee
   payment and application fee payment, if required. The document should be
   clearly marked “copy” and should be the top document in the package. The
   copy will be date stamped immediately and provided to the bearer of the
   submission, if hand delivered. For submissions by mail, the receipt copy
   will  be provided through return mail if the filer has attached to the
   receipt copy a stamped self-addressed envelope of sufficient size to contain
   the receipt document.

   (e) The Managing Director may issue annually, at his discretion, a Public
   Notice setting forth the names of all commercial regulatees that have paid a
   regulatory fee and shall publish the Public Notice in theFederal Register.

   [ 60 FR 34032 , June 29, 1995, as amended at  62 FR 59825 , Nov. 5, 1997]

§ 1.1160   Refunds of regulatory fees.

   top

   (a) Regulatory fees will be refunded, upon request, only in the following
   instances:

   (1) When no regulatory fee is required or an excessive fee has been paid. In
   the  case  of  an  overpayment, the refund amount will be based on the
   applicants', permittees', or licensees' entire submission. All refunds will
   be issued to the payor named in the appropriate block of the FCC Form 159.
   Payments  in  excess  of a regulatory fee will be refunded only if the
   overpayment is $10.00 or more.

   (2) In the case of advance payment of regulatory fees, subject to §1.1152, a
   refund will be issued based on unexpired full years:

   (i) When the Commission adopts new rules that nullify a license or other
   authorization,  or  a  new  law  or  treaty renders a license or other
   authorization useless;

   (ii) When a licensee in the wireless radio service surrenders the license or
   other authorization subject to a fee payment to the Commission; or

   (iii) When the Commission declines to grant an application submitted with a
   regulatory fee payment.

   (3) When a waiver is granted in accordance with §1.1166.

   (b) No pro-rata refund of an annual fee will be issued.

   (c) No refunds will be issued based on unexpired partial years.

   (d)  No  refunds  will be processed without a written request from the
   applicant, permittee, licensee or agent.

   [ 60 FR 34032 , June 29, 1995, as amended at  67 FR 46307 , July 12, 2002]

§ 1.1161   Conditional license grants and delegated authorizations.

   top

   (a) Grant of any application or an instrument of authorization or other
   filing for which a regulatory fee is required to accompany the application
   or  filing,  will  be conditioned upon final payment of the current or
   delinquent regulatory fees. Final payment shall mean receipt by the U.S.
   Treasury of funds cleared by the financial institution on which the check,
   bank draft, money order, credit card (Visa, MasterCard, American Express, or
   Discover), wire or electronic payment is drawn.

   (1) If, prior to a grant of an instrument of authorization, the Commission
   is notified that final payment of the regulatory fee has not been made, the
   application or filing:

   (i) Will be dismissed and returned;

   (ii) Shall lose its place in the processing line; and

   (iii) Will not be treated as timely filed if resubmitted after the relevant
   filing deadline.

   (2) If, subsequent to a grant of an instrument of authorization or other
   filing, the Commission is notified that final payment has not been made, the
   Commission will:

   (i) Automatically rescind that instrument of authorization for failure to
   meet the condition imposed by this subsection;

   (ii) Notify the grantee of this action; and

   (iii) Treat as late filed any application resubmitted after the original
   deadline for filing the application.

   (3) Upon receipt of a notification of rescission of the authorization, the
   grantee  will  immediately  cease operations initiated pursuant to the
   authorization.

   (b)  In those instances where the Commission has granted a request for
   deferred payment of a regulatory fee, further processing of the application
   or filing or the grant of authority shall be conditioned upon final payment
   of the regulatory fee and any required penalties for late payment prescribed
   by the deferral decision. Failure to comply with the terms of the deferral
   decision  shall result in the automatic dismissal of the submission or
   rescission of the Commission authorization. Further, the Commission shall:

   (1) Notify the grantee that the authorization has been rescinded. Upon such
   notification,  the grantee will immediately cease operations initiated
   pursuant to the authorization; and

   (2) Treat as late filed any application resubmitted after the original
   deadline for filing the application.

   (c)(1)  Where an applicant is found to be delinquent in the payment of
   regulatory fees, the Commission will make a written request for the fee,
   together with any penalties that may be rendered under this subpart. Such
   request shall inform the regulatee that failure to pay may result in the
   Commission withholding action on any application or request filed by the
   applicant. The staff shall also inform the regulatee of the procedures for
   seeking Commission review of the staff's determination.

   (2) If, after final determination that the fee is due or that the applicant
   is delinquent in the payment of fees and payment is not made in a timely
   manner, the staff will withhold action on the application or filing until
   payment  or  other  satisfactory  arrangement  is  made. If payment or
   satisfactory arrangement is not made within 30 days, the application will be
   dismissed.

   [ 60 FR 34032 , June 29, 1995, as amended at  69 FR 27848 , May 17, 2004]

§ 1.1162   General exemptions from regulatory fees.

   top

   No regulatory fee established in §§1.1152 through 1.1156, unless otherwise
   qualified herein, shall be required for: (a) Applicants, permittees or
   licensees in the Amateur Radio Service, except that any person requesting a
   vanity call-sign shall be subject to the payment of a regulatory fee, as
   prescribed in §1.1152.

   (b) Applicants, permittees, or licensees who qualify as government entities.
   For purposes of this exemption, a government entity is defined as any state,
   possession, city, county, town, village, municipal corporation, or similar
   political organization or subpart thereof controlled by publicly elected or
   duly appointed public officials exercising sovereign direction and control
   over their respective communities or programs.

   (c)  Applicants  and permittees who qualify as nonprofit entities. For
   purposes  of  this  exemption,  a  nonprofit  entity is defined as: an
   organization duly qualified as a nonprofit, tax exempt entity under section
   501 of the Internal Revenue Code, 26 U.S.C. 501; or an entity with current
   certification as a nonprofit corporation or other nonprofit entity by state
   or other governmental authority.

   (1) Any permittee, licensee or other entity subject to a regulatory fee and
   claiming an exemption from a regulatory fee based upon its status as a
   nonprofit entity, as described above, shall file with the Secretary of the
   Commission (Attn: Managing Director) written documentation establishing the
   basis for its exemption within 60 days of its coming under the regulatory
   jurisdiction  of  the  Commission or at the time its fee payment would
   otherwise be due, whichever is sooner, or at such other time as required by
   the Managing Director. Acceptable documentation may include Internal Revenue
   Service determination letters, state or government certifications or other
   documentation that non-profit status has been approved by a state or other
   governmental authority. Applicants, permittees and licensees are required to
   file documentation of their nonprofit status only once, except upon request
   of the Managing Director.

   (2) Within sixty (60) days of a change in nonprofit status, a licensee or
   permittee previously claiming a 501(C) exemption is required to file with
   the Secretary of the Commission (Attn: Managing Director) written notice of
   such change in its nonprofit status or ownership. Additionally, for-profit
   purchasers  or  assignees of a license, station or facility previously
   licensed or operated by a non-profit entity not subject to regulatory fees
   must notify the Secretary of the Commission (Attn: Managing Director) of
   such purchase or reassignment within 60 days of the effective date of the
   purchase or assignment.

   (d) Applicants, permittees or licensees in the Special Emergency Radio and
   Public Safety Radio services.

   (e) Applicants, permittees or licensees of noncommercial educational (NCE)
   broadcast stations in the FM or TV services, as well as AM applicants,
   permittees  or  licensees operating in accordance with §73.503 of this
   chapter.

   (f) Applicants, permittees, or licensees qualifying under paragraph (e) of
   this section requesting Commission authorization in any other mass media
   radio service (except the international broadcast (HF) service), wireless
   radio service, common carrier radio service, or international radio service
   requiring payment of a regulatory fee, if the service is used in conjunction
   with their NCE broadcast station on an NCE basis.

   (g) Other applicants, permittees or licensees providing, or proposing to
   provide, a NCE or instructional service, but not qualifying under paragraph
   (e) of this section, may be exempt from regulatory fees, or be entitled to a
   refund, in the following circumstances:

   (1) The applicant, permittee or licensee is an organization that, like the
   Public Broadcasting Service or National Public Radio, receives funding
   directly or indirectly through the Public Broadcasting Fund, 47 U.S.C.
   396(k), distributed by the Corporation for Public Broadcasting, where the
   authorization requested will be used in conjunction with the organization on
   an NCE basis;

   (2)  An  applicant, permittee or licensee of a translator or low power
   television station operating or proposing to operate an NCE service who,
   after  grant,  provides  proof  that  it  has received funding for the
   construction of the station through the National Telecommunications and
   Information Administration (NTIA) or other showings as required by the
   Commission; or

   (3) An applicant, permittee, or licensee provided a fee refund under §1.1160
   and operating as an NCE station, is exempt from fees for broadcast auxiliary
   stations (subparts D, E, F, and G of part 74 of this chapter) or stations in
   the wireless radio, common carrier, or international services where such
   authorization is to be used in conjunction with the NCE translator or low
   power station.

   (h)  An  applicant,  permittee or licensee that is the licensee in the
   Educational Broadband Service (EBS) (formerly, Instructional Television
   Fixed Service (ITFS)) (parts 27 and 74, e.g. , §§27.1200, et seq. , and
   74.832(b),  of  this chapter) is exempt from regulatory fees where the
   authorization requested will be used by the applicant in conjunction with
   the provision of the EBS.

   (i) Applications filed in the wireless radio service for the sole purpose of
   modifying  an  existing  authorization  (or  a pending application for
   authorization).  However,  if the applicant also requests a renewal or
   reinstatement of its license or other authorization for which the submission
   of a regulatory fee is required, the appropriate regulatory fee for such
   additional request must accompany the application.

   [ 60 FR 34033 , June 29, 1995, as amended at  60 FR 34904 , July 5, 1995;  62 FR 59825 , Nov. 5, 1997;  71 FR 43872 , Aug. 2, 2006]

§ 1.1163   Adjustments to regulatory fees.

   top

   (a) For Fiscal Year 1995, the amounts assessed for regulatory fees are set
   forth in §§1.1152 through 1.1156.

   (b) For Fiscal year 1996 and thereafter, the Schedule of Regulatory Fees,
   contained  in §§1.1152 through 1.1156, may be adjusted annually by the
   Commission pursuant to section 9 of the Communications Act. 47 U.S.C. 159.
   Adjustments to the fees established for any category of regulatory fee
   payment shall include projected cost increases or decreases and an estimate
   of  the  volume of licensees or units upon which the regulatory fee is
   calculated.

   (c) The fees assessed shall:

   (1) Be derived by determining the full-time equivalent number of employees
   performing enforcement activities, policy and rulemaking activities, user
   information services, and international activities within the Wireline
   Competition Bureau, Media Bureau, International Bureau and other offices of
   the Commission, adjusted to take into account factors that are reasonably
   related to the benefits provided to the payor of the fee by the Commission's
   activities, including such factors as service coverage area, shared use
   versus exclusive use, and other factors that the Commission determines are
   necessary in the public interest;

   (2) Be established at amounts that will result in collection, during each
   fiscal year, of an amount that can reasonably be expected to equal the
   amount  appropriated  for  such fiscal year for the performance of the
   activities described in paragraph (c)(1) of this section.

   (d) The Commission shall by rule amend the Schedule of Regulatory Fees by
   proportionate  increases or decreases that reflect, in accordance with
   paragraph (c)(2) of this section, changes in the amount appropriated for the
   performance of the activities described in paragraph (c)(1) of this section,
   for such fiscal year. Such proportionate increases or decreases shall be
   adjusted to reflect unexpected increases or decreases in the number of
   licensees or units subject to payment of such fees and result in collection
   of an aggregate amount of fees that will approximately equal the amount
   appropriated for the subject regulatory activities.

   (e) The Commission shall, by rule, amend the Schedule of Regulatory Fees if
   the Commission determines that the Schedule requires amendment to comply
   with the requirements of paragraph (c)(1) of this section. In making such
   amendments, the Commission shall add, delete or reclassify services in the
   Schedule to reflect additional deletions or changes in the nature of its
   services as a consequence of Commission rulemaking proceedings or changes in
   law.

   (f) In making adjustments to regulatory fees, the Commission will round such
   fees to the nearest $5.00 in the case of fees under $1,000.00, or to the
   nearest $25.00 in the case of fees of $1,000.00 or more.

   [ 60 FR 34033 , June 29, 1995, as amended at  67 FR 13224 , Mar. 21, 2002]

§ 1.1164   Penalties for late or insufficient regulatory fee payments.

   top

   Any late payment or insufficient payment of a regulatory fee, not excused by
   bank error, shall subject the regulatee to a 25 percent penalty of the
   amount of the fee of installment payment which was not paid in a timely
   manner. A timely fee payment or installment payment is one received at the
   Commission's lockbox bank by the due date specified by the Commission or by
   the Managing Director. A payment will also be considered late filed if the
   payment  instrument (check, money order, bank draft or credit card) is
   uncollectible.

   (a) The Commission may, in its discretion, following one or more late filed
   installment payments, require a regulatee to pay the entire balance of its
   regulatory fee by a date certain, in addition to assessing a 25 percent
   penalty.

   (b) In cases were a fee payment fails due to error by the payor's bank, as
   evidenced  by  an affidavit of an officer of the bank, the date of the
   original submission will be considered the date of filing.

   (c) If a regulatory fee is paid in a timely manner, the regulatee will be
   notified of its deficiency. This notice will automatically assess a 25
   percent penalty, subject the delinquent payor's pending applications to
   dismissal, and may require a delinquent payor to show cause why its existing
   instruments of authorization should not be subject to rescission.

   (d)(1) Where a regulatee's new, renewal or reinstatement application is
   required to be filed with a regulatory fee (as is the case with wireless
   radio services), the application will be dismissed if the regulatory fee is
   not included with the application package. In the case of a renewal or
   reinstatement application, the application may not be refiled unless the
   appropriate regulatory fee plus the 25 percent penalty charge accompanies
   the refiled application.

   (2) If the application that must be accompanied by a regulatory fee is a
   mutually  exclusive  application  with a filing deadline, or any other
   application that must be filed by a date certain, the application will be
   dismissed  if not accompanied by the proper regulatory fee and will be
   treated as late filed if resubmitted after the original date for filing
   application.

   (e) Any pending or subsequently filed application submitted by a party will
   be  dismissed if that party is determined to be delinquent in paying a
   standard regulatory fee or an installment payment. The application may be
   resubmitted only if accompanied by the required regulatory fee and by any
   assessed penalty payment.

   (f) In instances where the Commission may revoke an existing instrument of
   authorization for failure to file a regulatory fee, the Commission will
   provide prior notice to the regulatee of such action and shall allow the
   licensee no less than 60 days to either pay the fee or show cause why the
   payment assessed is inapplicable or should otherwise be waived or deferred.

   (1) An adjudicatory hearing will not be designated unless the response by
   the regulatee to the Order to Show Cause presents a substantial and material
   question of fact.

   (2) Disposition of the proceeding shall be based upon written evidence only
   and the burden of proceeding with the introduction of evidence and the
   burden of proof shall be on the respondent regulatee.

   (3)  Unless  the  regulatee substantially prevails in the hearing, the
   Commission may assess costs for the conduct of the proceeding against the
   respondent regulatee. See 47 U.S.C. 402(b)(5).

   (4) Any regulatee failing to submit a regulatory fee, following notice to
   the  regulatee  of  failure  to submit the required fee, is subject to
   collection of the fee, including interest thereon, any associated penalties,
   and  the full cost of collection to the Federal government pursuant to
   section 3720A of the Internal Revenue Code, 31 U.S.C. 3717, and to the
   provisions of the Debt Collection Act, 31 U.S.C. 3717. See 47 CFR 1.1901
   through 1.1952. The debt collection processes described above may proceed
   concurrently with any other sanction in this paragraph.

   (5) An application or filing by a regulatee that is delinquent in its debt
   to the Commission is also subject to dismissal under 47 CFR 1.1910.

   [ 60 FR 34034 , June 29, 1995, as amended at  69 FR 27848 , May 17, 2004]

§ 1.1165   Payment by cashier's check for regulatory fees.

   top

   Payment by cashier's check may be required when a person or organization
   makes payment, on one or more occasions, with a payment instrument on which
   the Commission does not receive final payment and such error is not excused
   by bank error.

   [ 60 FR 34034 , June 29, 1995]

§ 1.1166   Waivers, reductions and deferrals of regulatory fees.

   top

   The  fees established by sections 1.1152 through 1.1156 may be waived,
   reduced or deferred in specific instances, on a case-by-case basis, where
   good cause is shown and where waiver, reduction or deferral of the fee would
   promote the public interest. Requests for waivers, reductions or deferrals
   of regulatory fees for entire categories of payors will not be considered.

   (a) Requests for waivers, reductions or deferrals will be acted upon by the
   Managing Director with the concurrence of the General Counsel. All such
   filings within the scope of the fee rules shall be filed as a separate
   pleading and clearly marked to the attention of the Managing Director. Any
   such request that is not filed as a separate pleading will not be considered
   by the Commission.

   (1) If the request for waiver, reduction or deferral is accompanied by a fee
   payment, the request must be submitted to the Commission's lockbox bank at
   the address for the appropriate service set forth in §§1.1152 through 1.1156
   of this subpart.

   (2) If no fee payment is submitted, the request should be filed with the
   Commission's Secretary.

   (b) Deferrals of fees will be granted for a period of six months following
   the date that the fee is initially due.

   (c) Petitions for waiver of a regulatory fee must be accompanied by the
   required fee and FCC Form 159. Submitted fees will be returned if a waiver
   is granted. Waiver requests that do not include the required fees or forms
   will be dismissed unless accompanied by a petition to defer payment due to
   financial hardship, supported by documentation of the financial hardship.

   (d) Petitions for reduction of a fee must be accompanied by the full fee
   payment and Form 159. Petitions for reduction accompanied by a fee payment
   must be addressed to the Federal Communications Commission, Attention:
   Petitions, Post Office Box 358835, Pittsburgh, Pennsylvania, 15251–5835.
   Petitions for reduction that do not include the required fees or forms will
   be  dismissed unless accompanied by a petition to defer payment due to
   financial hardship, supported by documentation of the financial hardship.

   (e) Petitions for waiver of a fee based on financial hardship, including
   bankruptcy,  will  not  be  granted, even if otherwise consistent with
   Commission policy, to the extent that the total regulatory and application
   fees  for  which waiver is sought exceeds $500,000 in any fiscal year,
   including regulatory fees due in any fiscal year, but paid prior to the due
   date.  In computing this amount, the amounts owed by an entity and its
   subsidiaries and other affiliated entities will be aggregated. In cases
   where the claim of financial hardship is not based on bankruptcy, waiver,
   partial waiver, or deferral of fees above the $500,000 cap may be considered
   on a case-by-case basis.

   [ 60 FR 34034 , June 29, 1995, as amended at  65 FR 78989 , Dec. 18, 2000;  66 FR 36206 , July 11, 2001;  68 FR 48469 , Aug. 13, 2003]

§ 1.1167   Error claims related to regulatory fees.

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   (a) Challenges to determinations or an insufficient regulatory fee payment
   or delinquent fees should be made in writing. A challenge to a determination
   that a party is delinquent in paying a standard regulatory fee must be
   accompanied by suitable proof that the fee had been paid or waived (deferred
   from payment during the period in question), or by the required regulatory
   payment and any assessed penalty payment (see §1.1164(c) of this subpart).
   Challenges submitted with a fee payment must be submitted to address stated
   on the invoice or billing statement. Challenges not accompanied by a fee
   payment should be filed with the Commission's Secretary and clearly marked
   to the attention of the Managing Director or emailed to ARINQUIRIES@fcc.gov.
   
   (b) The filing of a petition for reconsideration or an application for
   review  of  a  fee  determination  will not relieve licensees from the
   requirement that full and proper payment of the underlying fee payment be
   submitted, as required by the Commission's action, or delegated action, on a
   request for waiver, reduction or deferment. Petitions for reconsideration
   and applications for review submitted with a fee payment must be submitted
   to  the  same  location  as  the  original  fee payment. Petitions for
   reconsideration and applications for review not accompanied by a fee payment
   should be filed with the Commission's Secretary and clearly marked to the
   attention of the Managing Director.

   (1)  Failure to submit the fee by the date required will result in the
   assessment of a 25 percent penalty.

   (2) If the fee payment should fail while the Commission is considering the
   matter, the petition for reconsideration or application for review will be
   dismissed.

   [ 60 FR 34035 , June 29, 1995, as amended at  69 FR 27848 , May 17, 2004]

§ 1.1181   Authority to prescribe and collect fees for competitive
bidding-related services and products.

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   Authority to prescribe, impose, and collect fees for expenses incurred by
   the government is governed by the Independent Offices Appropriation Act of
   1952, as amended, 31 U.S.C. 9701, which authorizes agencies to prescribe
   regulations that establish charges for the provision of government services
   and products. Under this authority, the Federal Communications Commission
   may prescribe and collect fees for competitive bidding-related services and
   products as specified in §1.1182.

   [ 60 FR 38280 , July 26, 1995]

§ 1.1182   Schedule of fees for products and services provided by the
Commission in connection with competitive bidding procedures.

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   Product or service Fee amount Payment procedure
   On-line remote access 900 Number Telephone Service) 2.30 per minute Charges
   included on customer's long distance telephone bill.
   Remote Bidding Software $175.00 per package Payment to auction contractor by
   credit card or check. (Public Notice will specify exact payment procedures.)
   Bidder Information Package First package free; $16.00 per additional package
   (including postage) to same person or entity Payment to auction contractor
   by  credit  card  or  check. (Public Notice will specify exact payment
   procedures.)

   [ 60 FR 38280 , July 26, 1995]

Subpart H—Ex Parte Communications

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   Source:    52 FR 21052 , June 4, 1987, unless otherwise noted.

General

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§ 1.1200   Introduction.

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   (a) Purpose. To ensure the fairness and integrity of its decision-making,
   the Commission has prescribed rules to regulate ex parte presentations in
   Commission proceedings. These rules specify “exempt” proceedings, in which
   ex    parte   presentations   may   be   made   freely   (§1.1204(b)),
   “permit-but-disclose”  proceedings, in which ex parte presentations to
   Commission decision-making personnel are permissible but subject to certain
   disclosure requirements (§1.1206), and “restricted” proceedings in which ex
   parte presentations to and from Commission decision-making personnel are
   generally prohibited (§1.1208). In all proceedings, a certain period (”the
   Sunshine  Agenda  period”) is designated in which all presentations to
   Commission  decision-making  personnel  are  prohibited (§1.1203). The
   limitations on ex parte presentations described in this section are subject
   to certain general exceptions set forth in §1.1204(a). Where the public
   interest so requires in a particular proceeding, the Commission and its
   staff retain the discretion to modify the applicable ex parte rules by
   order, letter, or public notice. Joint Boards may modify the ex parte rules
   in proceedings before them.

   (b) Inquiries concerning the propriety of ex parte presentations should be
   directed to the Office of General Counsel.

   [ 62 FR 15853 , Apr. 3, 1997]

§ 1.1202   Definitions.

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   For the purposes of this subpart, the following definitions apply:

   (a) Presentation. A communication directed to the merits or outcome of a
   proceeding,  including  any  attachments to a written communication or
   documents shown in connection with an oral presentation directed to the
   merits  or  outcome  of  a  proceeding.  Excluded  from  this term are
   communications  which  are  inadvertently  or casually made, inquiries
   concerning compliance with procedural requirements if the procedural matter
   is  not  an  area of controversy in the proceeding, statements made by
   decisionmakers that are limited to providing publicly available information
   about pending proceedings, and inquiries relating solely to the status of a
   proceeding, including inquiries as to the approximate time that action in a
   proceeding may be taken. However, a status inquiry which states or implies a
   view as to the merits or outcome of the proceeding or a preference for a
   particular party, which states why timing is important to a particular party
   or indicates a view as to the date by which a proceeding should be resolved,
   or  which otherwise is intended to address the merits or outcome or to
   influence the timing of a proceeding is a presentation.

   Note   to  paragraph(a):  A  communication  expressing  concern  about
   administrative delay or expressing concern that a proceeding be resolved
   expeditiously will be treated as a permissible status inquiry so long as no
   reason is given as to why the proceeding should be expedited other than the
   need to resolve administrative delay, no view is expressed as to the merits
   or outcome of the proceeding, and no view is expressed as to a date by which
   the proceeding should be resolved. A presentation by a party in a restricted
   proceeding not designated for hearing requesting action by a particular date
   or giving reasons that a proceeding should be expedited other than the need
   to  avoid  administrative delay (and responsive presentations by other
   parties) may be made on an ex parte basis subject to the provisions of
   §1.1204(a)(11).

   (b) Ex parte presentation. Any presentation which:

   (1) If written, is not served on the parties to the proceeding; or

   (2) If oral, is made without advance notice to the parties and without
   opportunity for them to be present.

   Note to paragraph(b): Written communications include electronic submissions
   transmitted in the form of texts, such as by Internet electronic mail.

   (c) Decision-making personnel. Any member, officer, or employee of the
   Commission, or, in the case of a Joint Board, its members or their staffs,
   who  is  or may reasonably be expected to be involved in formulating a
   decision, rule, or order in a proceeding. Any person who has been made a
   party to a proceeding or who otherwise has been excluded from the decisional
   process  shall not be treated as a decision-maker with respect to that
   proceeding. Thus, any person designated as part of a separate trial staff
   shall  not  be  considered  a decision-making person in the designated
   proceeding.  Unseparated  Bureau  or  Office staff shall be considered
   decision-making personnel with respect to decisions, rules, and orders in
   which  their  Bureau or Office participates in enacting, preparing, or
   reviewing.

   (d) Party. Unless otherwise ordered by the Commission, the following persons
   are parties:

   (1) In a proceeding not designated for hearing, any person who files an
   application, waiver request, petition, motion, request for a declaratory
   ruling, or other filing seeking affirmative relief (including a Freedom of
   Information Act request), and any person (other than an individual viewer or
   listener  filing comments regarding a pending broadcast application or
   members of Congress or their staffs or branches of the federal government or
   their staffs) filing a written submission referencing and regarding such
   pending  filing  which  is  served on the filer, or, in the case of an
   application, any person filing a mutually exclusive application;

   Note 1 to paragraph(d)(1): Persons who file mutually exclusive applications
   for  services  that  the  Commission  has announced will be subject to
   competitive bidding or lotteries shall not be deemed parties with respect to
   each others' applications merely because their applications are mutually
   exclusive.  Therefore,  such  applicants may make presentations to the
   Commission about their own applications provided that no one has become a
   party with respect to their application by other means, e.g., by filing a
   petition or other opposition against the applicant or an associated waiver
   request, if the petition or opposition has been served on the applicant.

   (2) Any person who files a complaint or request to revoke a license or other
   authorization or for an order to show cause which shows that the complainant
   has served it on the subject of the complaint or which is a formal complaint
   under 47 U.S.C. 208 and §1.721 of this chapter or 47 U.S.C. 255 and either
   §§6.21 or 7.21 of this chapter, and the person who is the subject of such a
   complaint or request that shows service or is a formal complaint under 47
   U.S.C. 208 and §1.721 of this chapter or 47 U.S.C. 255 and either §§6.21 or
   7.21 of this chapter;

   (3) The subject of an order to show cause, hearing designation order, notice
   of apparent liability, or similar notice or order, or petition for such
   notice or order;

   (4) In a proceeding designated for hearing, any person who has been given
   formal party status; and

   (5) In an informal rulemaking proceeding conducted under section 553 of the
   Administrative Procedure Act (other than a proceeding for the allotment of a
   broadcast  channel) or a proceeding before a Joint Board or before the
   Commission to consider the recommendation of a Joint Board, members of the
   general public after the issuance of a notice of proposed rulemaking or
   other order as provided under §1.1206(a) (1) or (2).

   (6) In an informal rulemaking proceeding conducted under section 553 of the
   Administrative Procedure Act (other than a proceeding for the allotment of a
   broadcast  channel) or a proceeding before a Joint Board or before the
   Commission to consider the recommendation of a Joint Board, members of the
   general public after the issuance of a notice of proposed rulemaking or
   other order as provided under §1.1206(a) (1) or (2).

   Note  2  to paragraph(d): To be deemed a party, a person must make the
   relevant filing with the Secretary, the relevant Bureau or Office, or the
   Commission as a whole. Written submissions made only to the Chairman or
   individual Commissioners will not confer party status.

   Note  3  to paragraph(d): The fact that a person is deemed a party for
   purposes of this subpart does not constitute a determination that such
   person has satisfied any other legal or procedural requirements, such as the
   operative  requirements  for  petitions  to deny or requirements as to
   timeliness. Nor does it constitute a determination that such person has any
   other  procedural  rights,  such  as the right to intervene in hearing
   proceedings. The Commission or the staff may also determine in particular
   instances that persons who qualify as “parties” under §1.1202(d) should
   nevertheless not be deemed parties for purposes of this subpart.

   Note 4 to paragraph(d): Individual listeners or viewers submitting comments
   regarding a pending broadcast application pursuant to §1.1204(a)(8) will not
   become parties simply by service of the comments. The Media Bureau may, in
   its  discretion,  make  such a commenter a party, if doing so would be
   conducive to the Commission's consideration of the application or would
   otherwise be appropriate.

   Note 5 to paragraph(d): A member of Congress or his or her staff, or other
   agencies or branches of the federal government or their staffs will not
   become  a party by service of a written submission regarding a pending
   proceeding that has not been designated for hearing unless the submission
   affirmatively seeks and warrants grant of party status.

   (e) Matter designated for hearing. Any matter that has been designated for
   hearing before an administrative law judge or which is otherwise designated
   for hearing in accordance with procedures in 5 U.S.C. 554.

   [ 62 FR 15854 , Apr. 3, 1997, as amended at  64 FR 68947 , Dec. 9, 1999;  64 FR 72571 , Dec. 28, 1999;  65 FR 56261 , Sept. 18, 2000;  67 FR 13224 , Mar. 21,
   2002]

Sunshine Period Prohibition

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§ 1.1203   Sunshine period prohibition.

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   (a)  With  respect  to any Commission proceeding, all presentations to
   decisionmakers concerning matters listed on a Sunshine Agenda, whether ex
   parte or not, are prohibited during the period prescribed in paragraph (b)
   of this section unless:

   (1) The presentation is exempt under §1.1204(a);

   (2)  The presentation relates to settlement negotiations and otherwise
   complies with any ex parte restrictions in this subpart;

   (3) The presentation occurs in the course of a widely attended speech or
   panel  discussion  and  concerns a Commission action in an exempt or a
   permit-but-disclose proceeding that has been adopted (not including private
   presentations  made  on  the site of a widely attended speech or panel
   discussion); or

   (4) The presentation is made by a member of Congress or his or her staff, or
   by other agencies or branches of the Federal government or their staffs in a
   proceeding  exempt  under  §1.1204  or  subject to permit-but-disclose
   requirements  under  §1.1206.  If  the  presentation is of substantial
   significance and clearly intended to affect the ultimate decision, the
   presentation (or, if oral, a summary of the presentation) must be placed in
   the record of the proceeding by Commission staff or by the presenter in
   accordance with the procedures set forth in §1.1206(b).

   (b) The prohibition set forth in paragraph (a) of this section applies from
   the release of a public notice that a matter has been placed on the Sunshine
   Agenda until the Commission:

   (1) Releases the text of a decision or order relating to the matter;

   (2) Issues a public notice stating that the matter has been deleted from the
   Sunshine Agenda; or

   (3) Issues a public notice stating that the matter has been returned to the
   staff for further consideration, whichever occurs first.

   [ 62 FR 15855 , Apr. 3, 1997, as amended at  64 FR 68947 , Dec. 9, 1999]

General Exemptions

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§ 1.1204   Exempt ex parte presentations and proceedings.

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   (a) Exempt ex parte presentations. The following types of presentations are
   exempt  from the prohibitions in restricted proceedings (§1.1208), the
   disclosure requirements in permit-but-disclose proceedings (§1.1206), and
   the prohibitions during the Sunshine Agenda period prohibition (§1.1203):

   (1) The presentation is authorized by statute or by the Commission's rules
   to be made without service, see, e.g., §1.333(d), or involves the filing of
   required forms;

   (2) The presentation is made by or to the General Counsel and his or her
   staff and concerns judicial review of a matter that has been decided by the
   Commission;

   (3) The presentation directly relates to an emergency in which the safety of
   life is endangered or substantial loss of property is threatened, provided
   that, if not otherwise submitted for the record, Commission staff promptly
   places the presentation or a summary of the presentation in the record and
   discloses it to other parties as appropriate.

   (4) The presentation involves a military or foreign affairs function of the
   United States or classified security information;

   (5)  The presentation is to or from an agency or branch of the Federal
   Government or its staff and involves a matter over which that agency or
   branch and the Commission share jurisdiction provided that, any new factual
   information obtained through such a presentation that is relied on by the
   Commission in its decision-making process will, if not otherwise submitted
   for the record, be disclosed by the Commission no later than at the time of
   the release of the Commission's decision;

   (6) The presentation is to or from the United States Department of Justice
   or Federal Trade Commission and involves a telecommunications competition
   matter in a proceeding which has not been designated for hearing and in
   which  the relevant agency is not a party or commenter (in an informal
   rulemaking  or  Joint board proceeding) provided that, any new factual
   information obtained through such a presentation that is relied on by the
   Commission  in  its  decision-making  process will be disclosed by the
   Commission no later than at the time of the release of the Commission's
   decision;

   Note 1 to paragraph(a): Under paragraphs (a)(5) and (a)(6) of this section,
   information will be relied on and disclosure will be made only after advance
   coordination with the agency involved in order to ensure that the agency
   involved retains control over the timing and extent of any disclosure that
   may have an impact on that agency's jurisdictional responsibilities. If the
   agency  involved  does  not wish such information to be disclosed, the
   Commission will not disclose it and will disregard it in its decision-making
   process, unless it fits within another exemption not requiring disclosure
   (e.g., foreign affairs). The fact that an agency's views are disclosed under
   paragraphs (a)(5) and (a)(6) does not preclude further discussions pursuant
   to, and in accordance with, the exemption.

   (7)  The  presentation  is  between  Commission  staff and an advisory
   coordinating committee member with respect to the coordination of frequency
   assignments  to  stations in the private land mobile services or fixed
   services as authorized by 47 U.S.C. 332;

   (8) The presentation is a written presentation made by a listener or viewer
   of a broadcast station who is not a party under §1.1202(d)(1), and the
   presentation relates to a pending application that has not been designated
   for hearing for a new or modified broadcast station or license, for renewal
   of a broadcast station license or for assignment or transfer of control of a
   broadcast permit or license;

   (9) The presentation is made pursuant to an express or implied promise of
   confidentiality to protect an individual from the possibility of reprisal,
   or there is a reasonable expectation that disclosure would endanger the life
   or physical safety of an individual;

   (10) The presentation is requested by (or made with the advance approval of)
   the Commission or staff for the clarification or adduction of evidence, or
   for resolution of issues, including possible settlement, subject to the
   following limitations:

   (i) This exemption does not apply to restricted proceedings designated for
   hearing;

   (ii) In restricted proceedings not designated for hearing, any new written
   information  elicited  from  such request or a summary of any new oral
   information elicited from such request shall promptly be served by the
   person making the presentation on the other parties to the proceeding.
   Information relating to how a proceeding should or could be settled, as
   opposed to new information regarding the merits, shall not be deemed to be
   new information for purposes of this section. The Commission or its staff
   may waive the service requirement if service would be too burdensome because
   the  parties  are  numerous  or because the materials relating to such
   presentation are voluminous. If the service requirement is waived, copies of
   the presentation or summary shall be placed in the record of the proceeding
   and the Commission or its staff shall issue a public notice which states
   that copies of the presentation or summary are available for inspection. The
   Commission or its staff may determine that service or public notice would
   interfere with the effective conduct of an investigation and dispense with
   the service and public notice requirements;

   (iii)  If  the  presentation  is  made  in  a  proceeding  subject  to
   permit-but-disclose requirements, disclosure of any new written information
   elicited from such request or a summary of any new oral information elicited
   from  such request must be made in accordance with the requirements of
   §1.1206(b),  provided,  however,  that the Commission or its staff may
   determine that disclosure would interfere with the effective conduct of an
   investigation and dispense with the disclosure requirement. As in paragraph
   (a)(10)(ii) of this section, information relating to how a proceeding should
   or could be settled, as opposed to new information regarding the merits,
   shall not be deemed to be new information for purposes of this section;

   Note 2 to paragraph(a): If the Commission or its staff dispenses with the
   service or notice requirement to avoid interference with an investigation, a
   determination will be made in the discretion of the Commission or its staff
   as to when and how disclosure should be made if necessary. See Amendment of
   Subpart H, Part I, 2 FCC Rcd 6053, 6054 ¶¶10–14 (1987).

   (iv) If the presentation is made in a proceeding subject to the Sunshine
   period  prohibition,  disclosure  must  be made in accordance with the
   requirements of §1.1206(b) or by other adequate means of notice that the
   Commission deems appropriate;

   (v) In situations where new information regarding the merits is disclosed
   during settlement discussions, and the Commission or staff intends that the
   product of the settlement discussions will be disclosed to the other parties
   or the public for comment before any action is taken, the Commission or
   staff in its discretion may defer disclosure of such new information until
   comment is sought on the settlement proposal or the settlement discussions
   are terminated.

   (11) The presentation is an oral presentation in a restricted proceeding not
   designated for hearing requesting action by a particular date or giving
   reasons that a proceeding should be expedited other than the need to avoid
   administrative delay. A detailed summary of the presentation shall promptly
   be filed in the record and served by the person making the presentation on
   the  other  parties  to  the proceeding, who may respond in support or
   opposition  to  the request for expedition, including by oral ex parte
   presentation, subject to the same service requirement.

   (12) The presentation is between Commission staff and:

   (i) The administrator of the interstate telecommunications relay services
   fund relating to administration of the telecommunications relay services
   fund pursuant to 47 U.S.C. 225;

   (ii) The North American Numbering Plan Administrator or the North American
   Numbering Plan Billing and Collection Agent relating to the administration
   of the North American Numbering Plan pursuant to 47 U.S.C. 251(e);

   (iii)  The  Universal  Service  Administrative Company relating to the
   administration of universal service support mechanisms pursuant to 47 U.S.C.
   254; or

   (iv) The Number Portability Administrator relating to the administration of
   local number portability pursuant to 47 U.S.C. 251(b)(2) and (e); provided
   that  the  relevant  administrator has not filed comments or otherwise
   participated as a party in the proceeding.

   (b) Exempt proceedings. Unless otherwise provided by the Commission or the
   staff pursuant to §1.1200(a), ex parte presentations to or from Commission
   decision-making personnel are permissible and need not be disclosed with
   respect to the following proceedings, which are referred to as “exempt”
   proceedings:

   (1) A notice of inquiry proceeding;

   (2)  A  petition  for rulemaking, except for a petition requesting the
   allotment of a broadcast channel (see also §1.1206(a)(1)), or other request
   that the Commission modify its rules, issue a policy statement or issue an
   interpretive rule, or establish a Joint Board;

   (3) A tariff proceeding (including directly associated waiver requests or
   requests for special permission) prior to it being set for investigation
   (see also §1.1206(a)(4));

   (4) A proceeding relating to prescription of common carrier depreciation
   rates under section 220(b) of the Communications Act prior to release of a
   public  notice  of  specific  proposed  depreciation  rates  (see also
   §1.1206(a)(9));

   (5) An informal complaint proceeding under 47 U.S.C. 208 and §1.717 of this
   chapter or 47 U.S.C. 255 and either §§6.17 or 7.17 of this chapter; and

   (6) A complaint against a cable operator regarding its rates that is not
   filed on the standard complaint form required by §76.951 of this chapter
   (FCC Form 329).

   Notes 1–3 to paragraph(b): [Reserved]

   Note 4 to paragraph(b): In the case of petitions for rulemaking that seek
   Commission preemption of state or local regulatory authority, the petitioner
   must serve the original petition on any state or local government, the
   actions  of  which  are  specifically  cited as a basis for requesting
   preemption. Service should be made on those bodies within the state or local
   governments that are legally authorized to accept service of legal documents
   in a civil context. Such pleadings that are not served will be dismissed
   without consideration as a defective pleading and treated as a violation of
   the ex parte rules unless the Commission determines that the matter should
   be entertained by making it part of the record under §1.1212(d) and the
   parties are so informed.

   [ 62 FR 15855 , Apr. 3, 1997, as amended at  64 FR 63251 , Nov. 19, 1999;  64 FR 68948 , Dec. 9, 1999]

Non-Restricted Proceedings

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§ 1.1206   Permit-but-disclose proceedings.

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   (a) Unless otherwise provided by the Commission or the staff pursuant to
   §1.1200(a), until the proceeding is no longer subject to administrative
   reconsideration or review or to judicial review, ex parte presentations
   (other than ex parte presentations exempt under §1.1204(a)) to or from
   Commission  decision-making personnel are permissible in the following
   proceedings, which are referred to as permit-but-disclose proceedings,
   provided that ex parte presentations to Commission decision-making personnel
   are disclosed pursuant to paragraph (b) of this section:

   Note 1 to paragraph(a): In the case of petitions for declaratory ruling that
   seek  Commission preemption of state or local regulatory authority and
   petitions for relief under 47 U.S.C. 332(c)(7)(B)(v), the petitioner must
   serve the original petition on any state or local government, the actions of
   which are specifically cited as a basis for requesting preemption. Service
   should be made on those bodies within the state or local governments that
   are legally authorized to accept service of legal documents in a civil
   context.  Such pleadings that are not served will be dismissed without
   consideration as a defective pleading and treated as a violation of the ex
   parte rules unless the Commission determines that the matter should be
   entertained by making it part of the record under §1.1212(d) and the parties
   are so informed.

   (1) An informal rulemaking proceeding conducted under section 553 of the
   Administrative Procedure Act other than a proceeding for the allotment of a
   broadcast channel, upon release of a Notice of Proposed Rulemaking (see also
   §1.1204(b)(2));

   (2) A proceeding involving a rule change, policy statement or interpretive
   rule adopted without a Notice of Proposed Rule Making upon release of the
   order adopting the rule change, policy statement or interpretive rule;

   (3) A declaratory ruling proceeding;

   (4) A tariff proceeding which has been set for investigation under section
   204 or 205 of the Communications Act (including directly associated waiver
   requests or requests for special permission) (see also §1.1204(b)(4));

   (5) Unless designated for hearing, a proceeding under section 214(a) of the
   Communications Act that does not also involve applications under Title III
   of the Communications Act (see also §1.1208);

   (6) Unless designated for hearing, a proceeding involving an application for
   a Cable Landing Act license that does not also involve applications under
   Title III of the Communications Act (see also §1.1208);

   (7) A proceeding involving a request for information filed pursuant to the
   Freedom of Information Act;

   Note 2 to paragraph(a): Where the requested information is the subject of a
   request  for  confidentiality,  the  person  filing  the  request  for
   confidentiality shall be deemed a party.

   (8) A proceeding before a Joint Board or a proceeding before the Commission
   involving a recommendation from a Joint Board;

   (9) A proceeding conducted pursuant to section 220(b) of the Communications
   Act for prescription of common carrier depreciation rates upon release of a
   public  notice  of  specific  proposed  depreciation  rates  (see also
   §1.1204(b)(4));

   (10) A proceeding to prescribe a rate of return for common carriers under
   section 205 of the Communications Act; and

   (11) A cable rate complaint proceeding pursuant to section 623(c) of the
   Communications Act where the complaint is filed on FCC Form 329.

   (12) A modification request filed pursuant to §64.1001 of this chapter;

   (13)  Applications  by  Bell Operating Companies to provide in-region,
   interLATA services pursuant to §271(d) of the Communications Act; and

   (14)  Petitions  for  Commission  preemption  of  authority  to review
   interconnection agreements under §252(e)(5) of the Communications Act and
   petitions for preemption under §253 of the Communications Act.

   Note 3 to paragraph(a): In a permit-but-disclose proceeding involving only
   one “party,” as defined in §1.1202(d) of this section, the party and the
   Commission may freely make presentations to each other and need not comply
   with the disclosure requirements of paragraph (b) of this section.

   (b) The following disclosure requirements apply to ex parte presentations in
   permit but disclose proceedings:

   (1)  Written  presentations.  A  person  who  makes a written ex parte
   presentation subject to this section shall, no later than the next business
   day after the presentation, submit two copies of the presentation to the
   Commission's secretary under separate cover for inclusion in the public
   record. The presentation (and cover letter) shall clearly identify the
   proceeding to which it relates, including the docket number, if any, shall
   indicate that two copies have been submitted to the Secretary, and must be
   labeled as an ex parte presentation. If the presentation relates to more
   than  one  proceeding,  two copies shall be filed for each proceeding.
   Alternatively, in rulemaking proceedings governed by §1.49(f), the person
   making  the  presentation  may  file  one  copy  of  the  presentation
   electronically; no additional paper copies need to be filed.

   (2) Oral presentations. A person who makes an oral ex parte presentation
   subject  to  this  section that presents data or arguments not already
   reflected in that person's written comments, memoranda or other filings in
   that  proceeding  shall, no later than the next business day after the
   presentation, submit to the Commission's Secretary, an original and one copy
   of  a memorandum which summarizes the new data or arguments. Except in
   proceedings subject to §1.49(f) in which pleadings are filed electronically,
   a copy of the memorandum must also be submitted to the Commissioners or
   Commission employees involved in the oral presentation. In proceedings
   governed by §1.49(f), the person making the presentation may, alternatively,
   electronically file one copy of the memorandum, which will be available to
   Commissioners and Commission employees involved in the presentation through
   the Commission's electronic comment filing system. Memoranda must contain a
   summary of the substance of the ex parte presentation and not merely a
   listing  of  the  subjects  discussed. More than a one or two sentence
   description of the views and arguments presented is generally required. The
   memorandum (and cover letter) shall clearly identify the proceeding to which
   it relates, including the docket number, if any, shall indicate that an
   original and one copy have been submitted to the Secretary or that one copy
   has  been  filed  electronically,  and  must be labeled as an ex parte
   presentation. If the presentation relates to more than one proceeding, two
   copies of the memorandum (or an original and one copy) shall be filed for
   each proceeding.

   Note 1 to paragraph(b): Where, for example, presentations occur in the form
   of discussion at a widely attended meeting, preparation of a memorandum as
   specified in the rule might be cumbersome. Under these circumstances, the
   rule may be satisfied by submitting a transcript or tape recording of the
   discussion as an alternative to a memorandum.

   (3)  Notwithstanding  paragraphs (b)(1) and (b)(2) of this section, in
   permit-but-disclose proceedings presentations made by members of Congress or
   their staffs or by an agency or branch of the Federal Government or its
   staff shall be treated as ex parte presentations only if the presentations
   are of substantial significance and clearly intended to affect the ultimate
   decision. The Commission staff shall prepare a written summary of any such
   oral presentations and place them in the record in accordance with paragraph
   (b)(2) of this section and place any such written presentations in the
   record in accordance with paragraph (b)(1) of this section.

   (4) Notice of ex parte presentations. The Commission's Secretary or, in the
   case of non-docketed proceedings, the relevant Bureau or Office shall place
   in  the  public  file  or  record  of  the proceeding written ex parte
   presentations and memoranda reflecting oral ex parte presentations. The
   Secretary  shall  issue  a  public notice listing any written ex parte
   presentations or written summaries of oral ex parte presentations received
   by his or her office relating to any permit-but-disclose proceeding. Such
   public notices should generally be released at least twice per week.

   Note 2 to paragraph(b): Interested persons should be aware that some ex
   parte  filings,  for  example,  those not filed in accordance with the
   requirements of this paragraph (b), might not be placed on the referenced
   public notice. All ex parte presentations and memoranda filed under this
   section will be available for public inspection in the public file or record
   of the proceeding, and parties wishing to ensure awareness of all filings
   should review the public file or record.

   Note 3 to paragraph(b): As a matter of convenience, the Secretary may also
   list  on the referenced public notices materials, even if not ex parte
   presentations, that are filed after the close of the reply comment period
   or, if the matter is on reconsideration, the reconsideration reply comment
   period.

   [ 62 FR 15856 , Apr. 3, 1997, as amended at  63 FR 24126 , May 1, 1998;  64 FR 68948 , Dec. 9, 1999;  66 FR 3501 , Jan. 16, 2001]

Restricted Proceedings

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§ 1.1208   Restricted proceedings.

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   Unless  otherwise  provided by the Commission or its staff pursuant to
   §1.1200(a) of this section, ex parte presentations (other than ex parte
   presentations exempt under §1.1204(a) of this section) to or from Commission
   decision-making personnel are prohibited in all proceedings not listed as
   exempt in §1.1204(b) or permit-but-disclose in §1.1206(a) of this section
   until the proceeding is no longer subject to administrative reconsideration
   or review or judicial review. Proceedings in which ex parte presentations
   are prohibited, referred to as “restricted” proceedings, include, but are
   not limited to, all proceedings that have been designated for hearing,
   proceedings involving amendments to the broadcast table of allotments,
   applications for authority under Title III of the Communications Act, and
   all waiver proceedings (except for those directly associated with tariff
   filings).

   Note 1 to §1.1208: In a restricted proceeding involving only one “party,” as
   defined  in  §1.1202(d),  the party and the Commission may freely make
   presentations to each other because there is no other party to be served or
   with  a  right  to  have an opportunity to be present. See §1.1202(b).
   Therefore,  to  determine  whether  presentations are permissible in a
   restricted proceeding without service or notice and an opportunity for other
   parties to be present the definition of a “party” should be consulted.

   Examples:    After  the filing of an uncontested application or waiver
   request,  the  applicant or other filer would be the sole party to the
   proceeding. The filer would have no other party to serve with or give notice
   of  any  presentations to the Commission, and such presentations would
   therefore not be “ex parte presentations” as defined by §1.1202(b) and would
   not be prohibited. On the other hand, in the example given, because the
   filer is a party, a third person who wished to make a presentation to the
   Commission concerning the application or waiver request would have to serve
   or  notice the filer. Further, once the proceeding involved additional
   “parties” as defined by §1.1202(d) (e.g., an opponent of the filer who
   served the opposition on the filer), the filer and other parties would have
   to serve or notice all other parties.

   Note 2 to §1.1208: Consistent with §1.1200(a), the Commission or its staff
   may  determine that a restricted proceeding not designated for hearing
   involves primarily issues of broadly applicable policy rather than the
   rights  and  responsibilities of specific parties and specify that the
   proceeding will be conducted in accordance with the provisions of §1.1206
   governing permit-but-disclose proceedings.

   [ 62 FR 15857 , Apr. 3, 1997, as amended at  64 FR 68948 , Dec. 9, 1999]

Prohibition on Solicitation of Presentations

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§ 1.1210   Prohibition on solicitation of presentations.

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   No  person  shall  solicit  or  encourage  others to make any improper
   presentation under the provisions of this section.

   [ 64 FR 68949 , Dec. 9, 1999]

Procedures for Handling of Prohibited Ex Parte Presentations

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§ 1.1212   Procedures for handling of prohibited ex parte presentations.

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   (a) Commission personnel who believe that an oral presentation which is
   being  made to them or is about to be made to them is prohibited shall
   promptly advise the person initiating the presentation that it is prohibited
   and shall terminate the discussion.

   (b) Commission personnel who receive oral ex parte presentations which they
   believe are prohibited shall forward to the Office of General Counsel a
   statement containing the following information:

   (1) The name of the proceeding;

   (2) The name and address of the person making the presentation and that
   person's relationship (if any) to the parties to the proceeding;

   (3)  The  date  and  time  of  the presentation, its duration, and the
   circumstances under which it was made;

   (4) A full summary of the substance of the presentation;

   (5) Whether the person making the presentation persisted in doing so after
   being advised that the presentation was prohibited; and

   (6) The date and time that the statement was prepared.

   (c) Commission personnel who receive written ex parte presentations which
   they believe are prohibited shall forward them to the Office of General
   Counsel. If the circumstances in which the presentation was made are not
   apparent  from  the  presentation itself, a statement describing those
   circumstances shall be submitted to the Office of General Counsel with the
   presentation.

   (d) Prohibited written ex parte presentations and all documentation relating
   to prohibited written and oral ex parte presentations shall be placed in a
   public file which shall be associated with but not made part of the record
   of the proceeding to which the presentations pertain. Such materials may be
   considered in determining the merits of a restricted proceeding only if they
   are made part of the record and the parties are so informed.

   (e) If the General Counsel determines that an ex parte presentation or
   presentation during the Sunshine period is prohibited by this subpart, he or
   she  shall  notify  the  parties  to  the proceeding that a prohibited
   presentation has occurred and shall serve on the parties copies of the
   presentation (if written) and any statements describing the circumstances of
   the presentation. Service by the General Counsel shall not be deemed to cure
   any violation of the rules against prohibited ex parte presentations.

   (f) If the General Counsel determines that service on the parties would be
   unduly burdensome because the parties to the proceeding are numerous, he or
   she may issue a public notice in lieu of service. The public notice shall
   state that a prohibited presentation has been made and may also state that
   the presentation and related materials are available for public inspection.

   (g) The General Counsel shall forward a copy of any statement describing the
   circumstances in which the prohibited ex parte presentation was made to the
   person who made the presentation. Within ten days thereafter, the person who
   made the presentation may file with the General Counsel a sworn declaration
   regarding the presentation and the circumstances in which it was made. The
   General Counsel may serve copies of the sworn declaration on the parties to
   the proceeding.

   (h) Where a restricted proceeding precipitates a substantial amount of
   correspondence from the general public, the procedures in paragraphs (c)
   through  (g) of this section will not be followed with respect to such
   correspondence. The correspondence will be placed in a public file and be
   made available for public inspection.

   [ 62 FR 15857 , Apr. 3, 1997]

§ 1.1214   Disclosure of information concerning violations of this subpart.

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   Any party to a proceeding or any Commission employee who has substantial
   reason to believe that any violation of this subpart has been solicited,
   attempted, or committed shall promptly advise the Office of General Counsel
   in writing of all the facts and circumstances which are known to him or her.

   [ 62 FR 15858 , Apr. 3, 1997]

Sanctions

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§ 1.1216   Sanctions.

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   (a) Parties. Upon notice and hearing, any party to a proceeding who directly
   or indirectly violates or causes the violation of any provision of this
   subpart, or who fails to report the facts and circumstances concerning any
   such violation as required by this subpart, may be disqualified from further
   participation in that proceeding. In proceedings other than a rulemaking, a
   party who has violated or caused the violation of any provision of this
   subpart may be required to show cause why his or her claim or interest in
   the proceeding should not be dismissed, denied, disregarded, or otherwise
   adversely  affected. In any proceeding, such alternative or additional
   sanctions as may be appropriate may also be imposed.

   (b) Commission personnel. Commission personnel who violate provisions of
   this subpart may be subject to appropriate disciplinary or other remedial
   action as provided in part 19 of this chapter.

   (c)  Other  persons.  Such  sanctions  as may be appropriate under the
   circumstances shall be imposed upon other persons who violate the provisions
   of this subpart.

   [ 62 FR 15858 , Apr. 3, 1997]

Subpart I—Procedures Implementing the National Environmental Policy Act of 1969

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   Source:    51 FR 15000 , Apr. 22, 1986, unless otherwise noted.

§ 1.1301   Basis and purpose.

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   The  provisions of this subpart implement Subchapter I of the National
   Environmental Policy Act of 1969, as amended, 42 U.S.C. 4321–4335.

§ 1.1302   Cross-reference; Regulations of the Council on Environmental
Quality.

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   A further explanation regarding implementation of the National Environmental
   Policy  Act  is  provided  by the regulations issued by the Council on
   Environmental Quality, 40 CFR 1500–1508.28.

§ 1.1303   Scope.

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   The provisions of this subpart shall apply to all Commission actions that
   may  or  will  have  a  significant impact on the quality of the human
   environment. To the extent that other provisions of the Commission's rules
   and regulations are inconsistent with the subpart, the provisions of this
   subpart shall govern.

   [ 55 FR 20396 , May 16, 1990]

§ 1.1304   Information and assistance.

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   For general information and assistance concerning the provisions of this
   subpart, the Office of General Counsel may be contacted, (202) 632–6990. For
   more specific information, the Bureau responsible for processing a specific
   application should be contacted.

§ 1.1305   Actions which normally will have a significant impact upon the
environment, for which Environmental Impact Statements must be prepared.

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   Any Commission action deemed to have a significant effect upon the quality
   of the human environment requires the preparation of a Draft Environmental
   Impact Statement (DEIS) and Final Environmental Impact Statement (FEIS)
   (collectively referred to as EISs) ( see §§1.1314, 1.1315 and 1.1317). The
   Commission has reviewed representative actions and has found no common
   pattern  which  would  enable  it  to  specify  actions that will thus
   automatically require EISs.

   Note: Our current application forms refer applicants to §1.1305 to determine
   if their proposals are such that the submission of environmental information
   is required ( see §1.1311). Until the application forms are revised to
   reflect our new environmental rules, applicants should refer to §1.1307.
   Section 1.1307 now delineates those actions for which applicants must submit
   environmental information.

§ 1.1306   Actions which are categorically excluded from environmental
processing.

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   (a)  Except as provided in §1.1307 (c) and (d), Commission actions not
   covered by §1.1307 (a) and (b) are deemed individually and cumulatively to
   have no significant effect on the quality of the human environment and are
   categorically excluded from environmental processing.

   (b) Specifically, any Commission action with respect to any new application,
   or minor or major modifications of existing or authorized facilities or
   equipment, will be categorically excluded, provided such proposals do not:

   (1) Involve a site location specified under §1.1307(a) (1)–(7), or

   (2) Involve high intensity lighting under §1.1307(a)(8).

   (3) Result in human exposure to radiofrequency radiation in excess of the
   applicable safety standards specified in §1.1307(b).

   Note 1: The provisions of §1.1307(a) of this part requiring the preparation
   of EAs do not encompass the mounting of antenna(s) on an existing building
   or antenna tower unless §1.1307(a)(4) of this part is applicable. Such
   antennas are subject to §1.1307(b) of this part and require EAs if their
   construction would result in human exposure to radiofrequency radiation in
   excess of the applicable health and safety guidelines cited in §1.1307(b) of
   this  part.  The provisions of §1.1307 (a) and (b) of this part do not
   encompass the installation of aerial wire or cable over existing aerial
   corridors of prior or permitted use or the underground installation of wire
   or cable along existing underground corridors of prior or permitted use,
   established by the applicant or others. The use of existing buildings,
   towers or corridors is an environmentally desirable alternative to the
   construction  of  new  facilities and is encouraged. The provisions of
   §1.1307(a) and (b) of this part do not encompass the construction of new
   submarine cable systems.

   Note 2: The specific height of an antenna tower or supporting structure, as
   well  as the specific diameter of a satellite earth station, in and of
   itself, will not be deemed sufficient to warrant environmental processing,
   see §§1.1307 and 1.1308.

   Note 3: The construction of an antenna tower or supporting structure in an
   established “antenna farm”: (i.e., an area in which similar antenna towers
   are clustered, whether or not such area has been officially designated as an
   antenna farm), will be categorically excluded unless one or more of the
   antennas  to  be  mounted on the tower or structure are subject to the
   provisions of §1.1307(b) and the additional radiofrequency radiation from
   the antenna(s) on the new tower or structure would cause human exposure in
   excess of the applicable health and safety guidelines cited in §1.1307(b).

   [ 51 FR 15000 , Apr. 22, 1986, as amended at  51 FR 18889 , May 23, 1986;  53 FR 28393 , July 28, 1988;  56 FR 13414 , Apr. 2, 1991;  64 FR 19061 , Apr. 19, 1999]

§ 1.1307   Actions that may have a significant environmental effect, for which
Environmental Assessments (EAs) must be prepared.

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   (a) Commission actions with respect to the following types of facilities may
   significantly affect the environment and thus require the preparation of EAs
   by  the  applicant  (see  §§1.1308 and 1.1311) and may require further
   Commission environmental processing ( see §§1.1314, 1.1315 and 1.1317):

   (1) Facilities that are to be located in an officially designated wilderness
   area.

   (2) Facilities that are to be located in an officially designated wildlife
   preserve.

   (3) Facilities that: (i) May affect listed threatened or endangered species
   or  designated critical habitats; or (ii) are likely to jeopardize the
   continued existence of any proposed endangered or threatened species or
   likely to result in the destruction or adverse modification of proposed
   critical habitats, as determined by the Secretary of the Interior pursuant
   to the Endangered Species Act of 1973.

   Note: The list of endangered and threatened species is contained in 50 CFR
   17.11, 17.22, 222.23(a) and 227.4. The list of designated critical habitats
   is contained in 50 CFR 17.95, 17.96 and part 226. To ascertain the status of
   proposed species and habitats, inquiries may be directed to the Regional
   Director of the Fish and Wildlife Service, Department of the Interior.

   (4) Facilities that may affect districts, sites, buildings, structures or
   objects,  significant  in  American history, architecture, archeology,
   engineering or culture, that are listed, or are eligible for listing, in the
   National Register of Historic Places. (See 16 U.S.C. 470w(5); 36 CFR part 60
   and 800.) To ascertain whether a proposed action may affect properties that
   are listed or eligible for listing in the National Register of Historic
   Places, an applicant shall follow the procedures set forth in the rules of
   the Advisory Council on Historic Preservation, 36 CFR part 800, as modified
   and  supplemented  by  the  Nationwide  Programmatic Agreement for the
   Collocation of Wireless Antennas, Appendix B to Part 1 of this Chapter, and
   the Nationwide Programmatic Agreement Regarding the Section 106 National
   Historic Preservation Act Review Process, Appendix C to Part 1 of this
   Chapter.

   (5) Facilities that may affect Indian religious sites.

   (6) Facilities to be located in a flood Plain ( See Executive Order 11988.)

   (7) Facilities whose construction will involve significant change in surface
   features (e.g., wetland fill, deforestation or water diversion). (In the
   case of wetlands on Federal property, see Executive Order 11990.)

   (8) Antenna towers and/or supporting structures that are to be equipped with
   high  intensity  white  lights  which are to be located in residential
   neighborhoods, as defined by the applicable zoning law.

   (b) In addition to the actions listed in paragraph (a) of this section,
   Commission actions granting construction permits, licenses to transmit or
   renewals thereof, equipment authorizations or modifications in existing
   facilities, require the preparation of an Environmental Assessment (EA) if
   the particular facility, operation or transmitter would cause human exposure
   to levels of radiofrequency radiation in excess of the limits in §§1.1310
   and 2.1093 of this chapter. Applications to the Commission for construction
   permits, licenses to transmit or renewals thereof, equipment authorizations
   or modifications in existing facilities must contain a statement confirming
   compliance with the limits unless the facility, operation, or transmitter is
   categorically excluded, as discussed below. Technical information showing
   the  basis for this statement must be submitted to the Commission upon
   request. Such compliance statements may be omitted from license applications
   for transceivers subject to the certification requirement in §25.129 of this
   chapter.

   (1) The appropriate exposure limits in §§1.1310 and 2.1093 of this chapter
   are generally applicable to all facilities, operations and transmitters
   regulated by the Commission. However, a determination of compliance with the
   exposure limits in §1.1310 or §2.1093 of this chapter (routine environmental
   evaluation),  and  preparation of an EA if the limits are exceeded, is
   necessary only for facilities, operations and transmitters that fall into
   the categories listed in table 1, or those specified in paragraph (b)(2) of
   this  section.  All  other facilities, operations and transmitters are
   categorically excluded from making such studies or preparing an EA, except
   as indicated in paragraphs (c) and (d) of this section. For purposes of
   table  1,  building-mounted antennas means antennas mounted in or on a
   building structure that is occupied as a workplace or residence. The term
   power  in  column  2 of table 1 refers to total operating power of the
   transmitting operation in question in terms of effective radiated power
   (ERP), equivalent isotropically radiated power (EIRP), or peak envelope
   power  (PEP),  as defined in §2.1 of this chapter. For the case of the
   Cellular Radiotelephone Service, subpart H of part 22 of this chapter; the
   Personal Communications Service, part 24 of this chapter and the Specialized
   Mobile Radio Service, part 90 of this chapter, the phrase total power of all
   channels in column 2 of table 1 means the sum of the ERP or EIRP of all
   co-located simultaneously operating transmitters owned and operated by a
   single licensee. When applying the criteria of table 1, radiation in all
   directions should be considered. For the case of transmitting facilities
   using sectorized transmitting antennas, applicants and licensees should
   apply the criteria to all transmitting channels in a given sector, noting
   that  for  a  highly  directional  antenna  there is relatively little
   contribution to ERP or EIRP summation for other directions.

   Table  1—Transmitters,  Facilities  and  Operations Subject to Routine
   Environmental Evaluation
   Service (title 47 CFR rule part) Evaluation required if:
   Experimental Radio Services (part 5) Power > 100 W ERP (164 W EIRP).
   Paging   and   Radiotelephone   Service   (subpart   E   of  part  22)
   Non-building-mounted antennas: height above ground level to lowest point of
   antenna < 10 m and power > 1000 W ERP (1640 W EIRP).
      Building-mounted antennas: power > 1000 W ERP (1640 W EIRP).
   Cellular Radiotelephone Service (subpart H of part 22) Non-building-mounted
   antennas: height above ground level to lowest point of antenna < 10 m and
   total power of all channels > 1000 W ERP (1640 W EIRP).
      Building-mounted antennas: total power of all channels > 1000 W ERP (1640
   W EIRP).
   Personal Communications Services (part 24) (1) Narrowband PCS (subpart D):
        Non-building-mounted antennas: height above ground level to lowest
   point of antenna < 10 m and total power of all channels > 1000 W ERP (1640 W
   EIRP).
        Building-mounted antennas: total power of all channels > 1000 W ERP
   (1640 W EIRP).
      (2) Broadband PCS (subpart E):
        Non-building-mounted antennas: height above ground level to lowest
   point of antenna < 10 m and total power of all channels > 2000 W ERP (3280 W
   EIRP).
        Building-mounted antennas: total power of all channels > 2000 W ERP
   (3280 W EIRP).
   Satellite Communications Services (part 25) All included.
      In addition, for NGSO subscriber equipment, licensees are required to
   attach a label to subscriber transceiver antennas that:
        (1) provides adequate notice regarding potential radiofrequency safety
   hazards, e.g., information regarding the safe minimum separation distance
   required between users and transceiver antennas; and
        (2) references the applicable FCC-adopted limits for radiofrequency
   exposure specified in §1.1310 of this chapter.
   Miscellaneous Wireless Communications Services (part 27 except subpart M)
   (1) For the 1390–1392 MHz, 1392–1395 MHz, 1432–1435 MHz, 1670–1675 MHz, and
   2385–2390 MHz bands:
        Non-building-mounted antennas: height above ground level to lowest
   point of antenna < 10 m and total power of all channels > 2000 W ERP (3280 W
   EIRP).
        Building-mounted antennas: total power of all channels > 2000 W ERP
   (3280 W EIRP).
      (2) For the 698–746 MHz, 746–764 MHz, 776–794 MHz, 2305–2320 MHz, and
   2345–2360 MHz bands:
        Total power of all channels > 1000 W ERP (1640 W EIRP).
   Broadband Radio Service and Educational Broadband Service (subpart M of part
   27) Non-building-mounted antennas: height above ground level to lowest point
   of antenna < 10 m and power > 1640 W EIRP.
      Building-mounted antennas: power > 1640 W EIRP.
       BRS and EBS licensees are required to attach a label to subscriber
   transceiver or transverter antennas that:
      (1) provides adequate notice regarding potential radiofrequency safety
   hazards, e.g., information regarding the safe minimum separation distance
   required between users and transceiver antennas; and
      (2) references the applicable FCC-adopted limits for radiofrequency
   exposure specified in §1.1310.
   Radio Broadcast Services (part 73) All included.
   Experimental  Radio,  Auxiliary,  Special  Broadcast and Other Program
   Distributional Services (part 74) Subparts A, G, L: power > 100 W ERP.
   Stations in the Maritime Services (part 80) Ship earth stations only.
   Private Land Mobile Radio Services Paging Operations (subpart P of part 90)
   Non-building-mounted antennas: height above ground level to lowest point of
   antenna < 10 m and power > 1000 W ERP (1640 W EIRP).
      Building-mounted antennas: power > 1000 W ERP (1640 W EIRP).
   Private Land Mobile Radio Services Specialized Mobile Radio (subpart S of
   part 90) Non-building-mounted antennas: height above ground level to lowest
   point of antenna < 10 m and total power of all channels > 1000 W ERP (1640 W
   EIRP).
      Building-mounted antennas: Total power of all channels > 1000 W ERP (1640
   W EIRP).
   Amateur Radio Service (part 97) Transmitter output power > levels specified
   in §97.13(c)(1) of this chapter.
   Local Multipoint Distribution Service (subpart L of part 101) and 24 GHz
   (subpart G of part 101) Non-building-mounted antennas: height above ground
   level to lowest point of antenna < 10 m and power > 1640 W EIRP.
      Building-mounted antennas: power > 1640 W EIRP.
      LMDS and 24 GHz Service licensees are required to attach a label to
   subscriber transceiver antennas that:
        (1) provides adequate notice regarding potential radiofrequency safety
   hazards, e.g., information regarding the safe minimum separation distance
   required between users and transceiver antennas; and
        (2) references the applicable FCC-adopted limits for radiofrequency
   exposure specified in §1.1310.
   70/80/90 GHz Bands (subpart Q of part 101) Non-building-mounted antennas:
   height above ground level to lowest point of antenna < 10 m and power > 1640
   W EIRP.
      Building-mounted antennas: power > 1640 W EIRP.
      Licensees are required to attach a label to transceiver antennas that:
        (1) provides adequate notice regarding potential radiofrequency safety
   hazards, e.g., information regarding the safe minimum separation distance
   required between users and transceiver antennas; and
        (2) references the applicable FCC-adopted limits for radiofrequency
   exposure specified in §1.1310.

   (2) Mobile and portable transmitting devices that operate in the Cellular
   Radiotelephone Service, the Personal Communications Services (PCS), the
   Satellite Communications Services, the Wireless Communications Service, the
   Maritime Services (ship earth stations only), the Specialized Mobile Radio
   Service, and the 3650MHz Wireless Broadband Service authorized under Subpart
   H of parts 22, 24, 25, 27, 80, and 90 of this chapter are subject to routine
   environmental evaluation for RF exposure prior to equipment authorization or
   use, as specified in §§2.1091 and 2.1093 of this chapter. Unlicensed PCS,
   unlicensed NII and millimeter wave devices are also subject to routine
   environmental evaluation for RF exposure prior to equipment authorization or
   use, as specified in §§15.253(f), 15.255(g), 15.319(i), and 15.407(f) of
   this  chapter. Portable transmitting equipment for use in the Wireless
   Medical  Telemetry  Service  (WMTS)  is subject to routine environment
   evaluation as specified in §§2.1093 and 5.1125 of this chapter. Equipment
   authorized for use in the Medical Implant Communications Service (MICS) as a
   medical implant transmitter (as defined in Appendix 1 to Subpart E of part
   95 of this chapter) is subject to routine environmental evaluation for RF
   exposure prior to equipment authorization, as specified in §2.1093 of this
   chapter  by  finite  difference  time domain computational modeling or
   laboratory measurement techniques. Where a showing is based on computational
   modeling, the Commission retains the discretion to request that specific
   absorption rate measurement data be submitted. All other mobile, portable,
   and unlicensed transmitting devices are categorically excluded from routine
   environmental evaluation for RF exposure under §§2.1091, 2.1093 of this
   chapter except as specified in paragraphs (c) and (d) of this section.

   (3) In general, when the guidelines specified in §1.1310 are exceeded in an
   accessible area due to the emissions from multiple fixed transmitters,
   actions  necessary  to  bring  the area into compliance are the shared
   responsibility of all licensees whose transmitters produce, at the area in
   question, power density levels that exceed 5% of the power density exposure
   limit applicable to their particular transmitter or field strength levels
   that, when squared, exceed 5% of the square of the electric or magnetic
   field strength limit applicable to their particular transmitter. Owners of
   transmitter sites are expected to allow applicants and licensees to take
   reasonable steps to comply with the requirements contained in §1.1307(b)
   and, where feasible, should encourage co-location of transmitters and common
   solutions for controlling access to areas where the RF exposure limits
   contained in §1.1310 might be exceeded.

   (i)  Applicants  for  proposed  (not otherwise excluded) transmitters,
   facilities or modifications that would cause non-compliance with the limits
   specified in §1.1310 at an accessible area previously in compliance must
   submit an EA if emissions from the applicant's transmitter or facility would
   result, at the area in question, in a power density that exceeds 5% of the
   power density exposure limit applicable to that transmitter or facility or
   in a field strength that, when squared, exceeds 5% of the square of the
   electric or magnetic field strength limit applicable to that transmitter or
   facility.

   (ii) Renewal applicants whose (not otherwise excluded) transmitters or
   facilities  contribute  to  the  field strength or power density at an
   accessible area not in compliance with the limits specified in §1.1310 must
   submit an EA if emissions from the applicant's transmitter or facility
   results, at the area in question, in a power density that exceeds 5% of the
   power density exposure limit applicable to that transmitter or facility or
   in a field strength that, when squared, exceeds 5% of the square of the
   electric or magnetic field strength limit applicable to that transmitter of
   facility.

   (4) Transition Provisions. Applications filed with the Commission prior to
   October 15, 1997 (or January 1, 1998, for the Amateur Radio Service only),
   for  construction  permits,  licenses to transmit or renewals thereof,
   modifications in existing facilities or other authorizations or renewals
   thereof  require the preparation of an Environmental Assessment if the
   particular facility, operation or transmitter would cause human exposure to
   levels of radiofrequency radiation that are in excess of the requirements
   contained in paragraphs (b)(4)(i) through (b)(4)(iii) of this section. In
   accordance with §1.1312, if no new application or Commission action is
   required for a licensee to construct a new facility or physically modify an
   existing facility, e.g., geographic area licensees, and construction begins
   on or after October 15, 1997, the licensee will be required to prepare an
   Environmental Assessment if construction or modification of the facility
   would not comply with the provisions of paragraph (b)(1) of this section.
   These transition provisions do not apply to applications for equipment
   authorization  or  use  for mobile, portable and unlicensed devices as
   specified in paragraph (b)(2) of this section.

   (i) For facilities and operations licensed or authorized under parts 5, 21
   (subpart K), 25, 73, 74 (subparts A, G, I, and L), and 80 of this chapter,
   the “Radio Frequency Protection Guides” recommended in “American National
   Standard Safety Levels with Respect to Human Exposure to Radio Frequency
   Electromagnetic Fields, 300 kHz to 100 GHz”, (ANSI C95.1–1982), issued by
   the American National Standards Institute (ANSI) and copyright 1982 by the
   Institute of Electrical and Electronics Engineers, Inc., New York, New York
   shall apply. With respect to subpart K of part 21 and subpart I of part 74
   of this chapter, these requirements apply only to multipoint distribution
   service and instructional television fixed service stations transmitting
   with an equivalent isotropically radiated power (EIRP) in excess of 200
   watts.  With  respect  to  subpart L of part 74 of this chapter, these
   requirements apply only to FM booster and translator stations transmitting
   with an effective radiated power (ERP) in excess of 100 watts. With respect
   to part 80 of this chapter, these requirements apply only to ship earth
   stations.

   (ii) For facilities and operations licensed or authorized under part 24 of
   this chapter, licensees and manufacturers are required to ensure that their
   facilities and equipment comply with IEEE C95.1–1991 (ANSI/IEEE C95.1–1992),
   “Safety  Levels  With  Respect  to  Human  Exposure to Radio Frequency
   Electromagnetic Fields, 3 kHz to 300 GHz.” Measurement methods are specified
   in IEEE C95.3–1991, “Recommended Practice for the Measurement of Potentially
   Hazardous  Electromagnetic  Fields—RF  and Microwave.” Copies of these
   standards are available from IEEE Standards Board, 445 Hoes Lane, P.O. Box
   1331, Piscataway, NJ 08855–1331. Telephone: 1–800–678–4333. The limits for
   both  “controlled” and “uncontrolled” environments, as defined by IEEE
   C95.1–1991, will apply to all PCS base and mobile stations, as appropriate.

   (iii) Applications for all other types of facilities and operations are
   categorically  excluded from routine RF radiation evaluation except as
   provided in paragraphs (c) and (d) of this section.

   (5) Existing transmitting facilities, devices and operations: All existing
   transmitting facilities, operations and devices regulated by the Commission
   must be in compliance with the requirements of paragraphs (b)(1) through
   (b)(3) of this section by September 1, 2000, or, if not in compliance, file
   an Environmental Assessment as specified in §1.1311.

   (c) If an interested person alleges that a particular action, otherwise
   categorically excluded, will have a significant environmental effect, the
   person shall submit to the Bureau responsible for processing that action a
   written  petition  setting  forth  in detail the reasons justifying or
   circumstances   necessitating   environmental   consideration  in  the
   decision-making  process.  ( See §1.1313). The Bureau shall review the
   petition and consider the environmental concerns that have been raised. If
   the Bureau determines that the action may have a significant environmental
   impact,  the  Bureau will require the applicant to prepare an EA ( see
   §§1.1308 and 1.1311), which will serve as the basis for the determination to
   proceed with or terminate environmental processing.

   (d) If the Bureau responsible for processing a particular action, otherwise
   categorically excluded, determines that the proposal may have a significant
   environmental impact, the Bureau, on its own motion, shall require the
   applicant to submit an EA. The Bureau will review and consider the EA as in
   paragraph (c) of this section.

   (e) No State or local government or instrumentality thereof may regulate the
   placement, construction, and modification of personal wireless service
   facilities on the basis of the environmental effects of radio frequency
   emissions to the extent that such facilities comply with the regulations
   contained in this chapter concerning the environmental effects of such
   emissions. For purposes of this paragraph:

   (1) The term personal wireless service means commercial mobile services,
   unlicensed wireless services, and common carrier wireless exchange access
   services;

   (2) The term personal wireless service facilities means facilities for the
   provision of personal wireless services;

   (3)  The  term  unlicensed  wireless  services  means  the offering of
   telecommunications services using duly authorized devices which do not
   require  individual  licenses,  but  does  not  mean  the provision of
   direct-to-home satellite services; and

   (4) The term direct-to-home satellite services means the distribution or
   broadcasting  of  programming or services by satellite directly to the
   subscriber's premises without the use of ground receiving or distribution
   equipment, except at the subscriber's premises or in the uplink process to
   the satellite.

   [ 51 FR 15000 , Apr. 22, 1986]

   Editorial Note:   ForFederal Registercitations affecting §1.1307, see the
   List of CFR Sections Affected, which appears in the Finding Aids section of
   the printed volume and on GPO Access.

§ 1.1308   Consideration of environmental assessments (EAs); findings of no
significant impact.

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   (a) Applicants shall prepare EAs for actions that may have a significant
   environmental impact ( see §1.1307). An EA is described in detail in §1.1311
   of this part of the Commission rules.

   (b) The EA is a document which shall explain the environmental consequences
   of the proposal and set forth sufficient analysis for the Bureau or the
   Commission to reach a determination that the proposal will or will not have
   a significant environmental effect. To assist in making that determination,
   the  Bureau or the Commission may request further information from the
   applicant, interested persons, and agencies and authorities which have
   jurisdiction by law or which have relevant expertise.

   Note: With respect to actions specified under §1.1307 (a)(3) and (a)(4), the
   Commission shall solicit and consider the comments of the Department of
   Interior, and the State Historic Preservation Officer and the Advisory
   Council on Historic Preservation, respectively, in accordance with their
   established procedures. See Interagency Cooperation—Endangered Species Act
   of 1973, as amended, 50 CFR part 402; Protection of Historic and Cultural
   Properties, 36 CFR part 800. In addition, when an action interferes with or
   adversely affects an American Indian tribe's religious site, the Commission
   shall solicit the views of that American Indian tribe. See §1.1307(a)(5).

   (c) If the Bureau or the Commission determines, based on an independent
   review of the EA and any applicable mandatory consultation requirements
   imposed upon Federal agencies ( see note above), that the proposal will have
   a  significant  environmental  impact  upon  the  quality of the human
   environment, it will so inform the applicant. The applicant will then have
   an  opportunity to amend its application so as to reduce, minimize, or
   eliminate environmental problems. See §1.1309. If the environmental problem
   is not eliminated, the Bureau will publish in theFederal Registera Notice of
   Intent ( see §1.1314) that EISs will be prepared ( see §§1.1315 and 1.1317),
   or

   (d) If the Bureau or Commission determines, based on an independent review
   of the EA, and any mandatory consultation requirements imposed upon Federal
   agencies ( see the note to paragraph (b) of this section), that the proposal
   would  not  have  a  significant  impact, it will make a finding of no
   significant impact. Thereafter, the application will be processed without
   further documentation of environmental effect. Pursuant to CEQ regulations,
   see 40 CFR 1501.4 and 1501.6, the applicant must provide the community
   notice of the Commission's finding of no significant impact.

   [ 51 FR 15000 , Apr. 22, 1986;  51 FR 18889 , May 23, 1986, as amended at  53 FR 28394 , July 28, 1988]

§ 1.1309   Application amendments.

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   Applicants are permitted to amend their applications to reduce, minimize or
   eliminate  potential  environmental  problems. As a routine matter, an
   applicant will be permitted to amend its application within thirty (30) days
   after the Commission or the Bureau informs the applicant that the proposal
   will have a significant impact upon the quality of the human environment (
   see §1.1308(c)). The period of thirty (30) days may be extended upon a
   showing of good cause.

§ 1.1310   Radiofrequency radiation exposure limits.

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   The criteria listed in table 1 shall be used to evaluate the environmental
   impact of human exposure to radiofrequency (RF) radiation as specified in
   §1.1307(b), except in the case of portable devices which shall be evaluated
   according to the provisions of §2.1093 of this chapter. Further information
   on evaluating compliance with these limits can be found in the FCC's OST/OET
   Bulletin Number 65, “Evaluating Compliance with FCC-Specified Guidelines for
   Human Exposure to Radiofrequency Radiation.”

   Note  to  Introductory  Paragraph: These limits are generally based on
   recommended  exposure  guidelines published by the National Council on
   Radiation Protection and Measurements (NCRP) in “Biological Effects and
   Exposure Criteria for Radiofrequency Electromagnetic Fields,” NCRP Report
   No. 86, Sections 17.4.1, 17.4.1.1, 17.4.2 and 17.4.3. Copyright NCRP, 1986,
   Bethesda, Maryland 20814. In the frequency range from 100 MHz to 1500 MHz,
   exposure limits for field strength and power density are also generally
   based on guidelines recommended by the American National Standards Institute
   (ANSI) in Section 4.1 of “IEEE Standard for Safety Levels with Respect to
   Human Exposure to Radio Frequency Electromagnetic Fields, 3 kHz to 300
   GHz,” ANSI/IEEE C95.1–1992, Copyright 1992 by the Institute of Electrical
   and Electronics Engineers, Inc., New York, New York 10017.

   Table 1—Limits for Maximum Permissible Exposure (MPE)
   Frequency range
   (MHz) Electric field strength
   (V/m) Magnetic field strength
   (A/m) Power density
   (mW/cm^2) Averaging time
   (minutes)
             (A) Limits for Occupational/Controlled Exposures
             0.3–3.0                   614   1.63     *(100)  6
             3.0–30                 1842/f 4.89/f *(900/f^2)  6
             30–300                   61.4  0.163        1.0  6
             300–1500                                  f/300  6
             1500–100,000                                  5  6
             (B) Limits for General Population/Uncontrolled Exposure
             0.3–1.34                  614   1.63     *(100) 30
             1.34–30                 824/f 2.19/f *(180/f^2) 30
             30–300                   27.5  0.073        0.2 30
             300–1500                                 f/1500 30
             1500–100,000                                1.0 30

   f = frequency in MHz

   * = Plane-wave equivalent power density

   Note 1 to Table 1: Occupational/controlled limits apply in situations in
   which persons are exposed as a consequence of their employment provided
   those persons are fully aware of the potential for exposure and can exercise
   control over their exposure. Limits for occupational/controlled exposure
   also apply in situations when an individual is transient through a location
   where occupational/controlled limits apply provided he or she is made aware
   of the potential for exposure.

   Note  2 to Table 1: General population/uncontrolled exposures apply in
   situations in which the general public may be exposed, or in which persons
   that are exposed as a consequence of their employment may not be fully aware
   of  the  potential for exposure or can not exercise control over their
   exposure.

   [ 61 FR 41016 , Aug. 7, 1996]

§ 1.1311   Environmental information to be included in the environmental
assessment (EA).

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   (a) The applicant shall submit an EA with each application that is subject
   to  environmental  processing ( see §1.1307). The EA shall contain the
   following information:

   (1) For antenna towers and satellite earth stations, a description of the
   facilities  as  well as supporting structures and appurtenances, and a
   description of the site as well as the surrounding area and uses. If high
   intensity white lighting is proposed or utilized within a residential area,
   the EA must also address the impact of this lighting upon the residents.

   (2)  A  statement  as  to  the  zoning classification of the site, and
   communications with, or proceedings before and determinations (if any) made
   by  zoning,  planning,  environmental or other local, state or Federal
   authorities on matters relating to environmental effect.

   (3) A statement as to whether construction of the facilities has been a
   source of controversy on environmental grounds in the local community.

   (4) A discussion of environmental and other considerations which led to the
   selection of the particular site and, if relevant, the particular facility;
   the nature and extent of any unavoidable adverse environmental effects, and
   any alternative sites or facilities which have been or might reasonably be
   considered.

   (5) Any other information that may be requested by the Bureau or Commission.

   (6) If endangered or threatened species or their critical habitats may be
   affected, the applicant's analysis must utilize the best scientific and
   commercial data available, see 50 CFR 402.14(c).

   (b) The information submitted in the EA shall be factual (not argumentative
   or  conclusory)  and  concise  with  sufficient  detail to explain the
   environmental consequences and to enable the Commission or Bureau, after an
   independent  review of the EA, to reach a determination concerning the
   proposal's environmental impact, if any. The EA shall deal specifically with
   any feature of the site which has special environmental significance (e.g.,
   wilderness areas, wildlife preserves, natural migration paths for birds and
   other wildlife, and sites of historic, architectural, or archeological
   value). In the case of historically significant sites, it shall specify the
   effect of the facilities on any district, site, building, structure or
   object listed, or eligible for listing, in the National Register of Historic
   Places. It shall also detail any substantial change in the character of the
   land utilized (e.g., deforestation, water diversion, wetland fill, or other
   extensive change of surface features). In the case of wilderness areas,
   wildlife preserves, or other like areas, the statement shall discuss the
   effect of any continuing pattern of human intrusion into the area (e.g.,
   necessitated by the operation and maintenance of the facilities).

   (c) The EA shall also be accompanied with evidence of site approval which
   has been obtained from local or Federal land use authorities.

   (d) To the extent that such information is submitted in another part of the
   application,  it  need  not  be  duplicated  in  the  EA, but adequate
   cross-reference to such information shall be supplied.

   (e) An EA need not be submitted to the Commission if another agency of the
   Federal Government has assumed responsibility for determining whether of the
   facilities in question will have a significant effect on the quality of the
   human environment and, if it will, for invoking the environmental impact
   statement process.

   [ 51 FR 15000 , Apr. 22, 1986, as amended at  51 FR 18889 , May 23, 1986;  53 FR 28394 , July 28, 1988]

§ 1.1312   Facilities for which no preconstruction authorization is required.

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   (a) In the case of facilities for which no Commission authorization prior to
   construction is required by the Commission's rules and regulations the
   licensee  or  applicant shall initially ascertain whether the proposed
   facility may have a significant environmental impact as defined in §1.1307
   of this part or is categorically excluded from environmental processing
   under §1.1306 of this part.

   (b)  If a facility covered by paragraph (a) of this section may have a
   significant environmental impact, the information required by §1.1311 of
   this part shall be submitted by the licensee or applicant and ruled on by
   the  Commission,  and  environmental  processing (if invoked) shall be
   completed, see §1.1308 of this part, prior to the initiation of construction
   of the facility.

   (c) If a facility covered by paragraph (a) of this section is categorically
   excluded  from environmental processing, the licensee or applicant may
   proceed with construction and operation of the facility in accordance with
   the applicable licensing rules and procedures.

   (d) If, following the initiation of construction under this section, the
   licensee  or applicant discovers that the proposed facility may have a
   significant environmental effect, it shall immediately cease construction
   which may have that effect, and submit the information required by §1.1311
   of this part. The Commission shall rule on that submission and complete
   further environmental processing (if invoked), see §1.1308 of this part,
   before such construction is resumed.

   (e)  Paragraphs (a) through (d) of this section shall not apply to the
   construction of mobile stations.

   [ 55 FR 20396 , May 16, 1990, as amended at  56 FR 13414 , Apr. 2, 1991]

§ 1.1313   Objections.

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   (a)  In  the  case  of  an  application to which section 309(b) of the
   Communications Act applies, objections based on environmental considerations
   shall be filed as petitions to deny.

   (b) Informal objections which are based on environmental considerations must
   be  filed  prior  to  grant  of  the  construction permit, or prior to
   authorization for facilities that do not require construction permits, or
   pursuant to the applicable rules governing services subject to lotteries.

§ 1.1314   Environmental impact statements (EISs).

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   (a)  Draft Environmental Impact Statements (DEISs) (§1.1315) and Final
   Environmental Impact Statements (FEISs) (referred to collectively as EISs)
   (§1.1317) shall be prepared by the Bureau responsible for processing the
   proposal when the Commission's or the Bureau's analysis of the EA (§1.1308)
   indicates  that  the  proposal will have a significant effect upon the
   environment and the matter has not been resolved by an amendment.

   (b) As soon as practically feasible, the Bureau will publish in theFederal
   Registera  Notice  of Intent to prepare EISs. The Notice shall briefly
   identify the proposal, concisely describe the environmental issues and
   concerns  presented  by  the subject application, and generally invite
   participation from affected or involved agencies, authorities and other
   interested persons.

   (c)  The  EISs  shall not address non-environmental considerations. To
   safeguard  against repetitive and unnecessarily lengthy documents, the
   Statements, where feasible, shall incorporate by reference material set
   forth in previous documents, with only a brief summary of its content. In
   preparing the EISs, the Bureau will identify and address the significant
   environmental issues and eliminate the insignificant issues from analysis.

   (d) To assist in the preparation of the EISs, the Bureau may request further
   information  from  the  applicant, interested persons and agencies and
   authorities,  which  have  jurisdiction  by law or which have relevant
   expertise. The Bureau may direct that technical studies be made by the
   applicant  and that the applicant obtain expert opinion concerning the
   potential environmental problems and costs associated with the proposed
   action, as well as comparative analyses of alternatives. The Bureau may also
   consult experts in an effort to identify measures that could be taken to
   minimize the adverse effects and alternatives to the proposed facilities
   that are not, or are less, objectionable. The Bureau may also direct that
   objections be raised with appropriate local, state or Federal land use
   agencies or authorities (if their views have not been previously sought).

   (e) The Bureau responsible for processing the particular application and,
   thus,  preparing  the EISs shall draft supplements to Statements where
   significant  new circumstances occur or information arises relevant to
   environmental concerns and bearing upon the application.

   (f)  The  Application,  the EA, the DEIS, and the FEIS and all related
   documents, including the comments filed by the public and any agency, shall
   be part of the administrative record and will be routinely available for
   public inspection.

   (g) If EISs are to be prepared, the applicant must provide the community
   with  notice  of  the  availability of environmental documents and the
   scheduling of any Commission hearings in that action.

   (h) The timing of agency action with respect to applications subject to EISs
   is set forth in 40 CFR 1506.10. No decision shall be made until ninety (90)
   days after the Notice of Availability of the Draft Environmental Impact
   Statement is published in the Federal Register, and thirty (30) days after
   the Notice of Availability of the Final Environmental Impact Statement is
   published in theFederal Register,which time period may run concurrently, See
   40 CFR 1506.10(c); see also §§1.1315(b) and 1.1317(b).

   (i) Guidance concerning preparation of the Draft and Final Environmental
   Statements is set out in 40 CFR part 1502.

   [ 51 FR 15000 , Apr. 22, 1986, as amended at  53 FR 28394 , July 28, 1988]

§ 1.1315   The Draft Environmental Impact Statement (DEIS); Comments.

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   (a) The DEIS shall include:

   (1) A concise description of the proposal, the nature of the area affected,
   its  uses,  and  any  specific  feature  of  the area that has special
   environmental significance;

   (2) An analysis of the proposal, and reasonable alternatives exploring the
   important consequent advantages and/or disadvantages of the action and
   indicating the direct and indirect effects and their significance in terms
   of the short and long-term uses of the human environment.

   (b) When a DEIS and supplements, if any, are prepared, the Commission shall
   send five copies of the Statement, or a summary, to the Office of Federal
   Activities,  Environmental  Protection  Agency.  Additional copies, or
   summaries,  will  be  sent  to  the appropriate regional office of the
   Environmental Protection Agency. Public Notice of the availability of the
   DEIS will be published in theFederal Registerby the Environmental Protection
   Agency.

   (c) When copies or summaries of the DEIS are sent to the Environmental
   Protection Agency, the copies or summaries will be mailed with a request for
   comment to Federal agencies having jurisdiction by law or special expertise,
   to the Council on Environmental Quality, to the applicant, to individuals,
   groups  and  state and local agencies known to have an interest in the
   environmental consequences of a grant, and to any other person who has
   requested a copy.

   (d) Any person or agency may comment on the DEIS and the environmental
   effect of the proposal described therein within 45 days after notice of the
   availability of the statement is published in theFederal Register.A copy of
   those comments shall be mailed to the applicant by the person who files them
   pursuant to 47 CFR 1.47. An original and one copy shall be filed with the
   Commission. If a person submitting comments is especially qualified in any
   way to comment on the environmental impact of the facilities, a statement of
   his or her qualifications shall be set out in the comments. In addition,
   comments submitted by an agency shall identify the person(s) who prepared
   them.

   (e) The applicant may file reply comments within 15 days after the time for
   filing  comments  has  expired. Reply comments shall be filed with the
   Commission  in the same manner as comments, and shall be served by the
   applicant on persons or agencies which filed comments.

   (f) The preparation of a DEIS and the request for comments shall not open
   the application to attack on other grounds.

§ 1.1317   The Final Environmental Impact Statement (FEIS).

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   (a) After receipt of comments and reply comments, the Bureau will prepare a
   FEIS, which shall include a summary of the comments, and a response to the
   comments, and an analysis of the proposal in terms of its environmental
   consequences, and any reasonable alternatives, and recommendations, if any,
   and shall cite the Commission's internal appeal procedures ( See 47 CFR
   1.101–1.120).

   (b) The FEIS and any supplements will be distributed and published in the
   same  manner as specified in §1.1315. Copies of the comments and reply
   comments, or summaries thereof where the record is voluminous, shall be
   attached to the FEIS.

§ 1.1319   Consideration of the environmental impact statements.

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   (a) If the action is subject to a hearing:

   (1) In rendering his initial decision, the Administrative Law Judge shall
   utilize the FEIS in considering the environmental issues, together with all
   other non-environmental issues. In a comparative context, the respective
   parties shall be afforded the opportunity to comment on the FEIS, and the
   Administrative Law Judge's decision shall contain an evaluation of the
   respective applications based on environmental and non-environmental public
   interest factors.

   (2) Upon review of an initial decision, the Commission will consider and
   assess all aspects of the FEIS and will render its decision, giving due
   consideration to the environmental and nonenvironmental issues.

   (b)  In  all  non-hearing  matters,  the  Commission,  as  part of its
   decision-making process, will review the FEIS, along with other relevant
   issues, to ensure that the environmental effects are specifically assessed
   and given comprehensive consideration.

   [ 51 FR 15000 , Apr. 22, 1986, as amended at  62 FR 4171 , Jan. 29, 1997]

Subpart J—Pole Attachment Complaint Procedures

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   Source:    43 FR 36094 , Aug. 15, 1978, unless otherwise noted.

§ 1.1401   Purpose.

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   The  rules and regulations contained in subpart J of this part provide
   complaint and enforcement procedures to ensure that telecommunications
   carriers and cable system operators have nondiscriminatory access to utility
   poles, ducts, conduits, and rights-of-way on rates, terms, and conditions
   that are just and reasonable.

   [ 61 FR 45618 , Aug. 29, 1996]

§ 1.1402   Definitions.

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   (a) The term utility means any person that is a local exchange carrier or an
   electric,  gas, water, steam, or other public utility, and who owns or
   controls poles, ducts, conduits, or rights-of-way used, in whole or in part,
   for any wire communications. Such term does not include any railroad, any
   person that is cooperatively organized, or any person owned by the Federal
   Government or any State.

   (b) The term pole attachment means any attachment by a cable television
   system or provider of telecommunications service to a pole, duct, conduit,
   or right-of-way owned or controlled by a utility.

   (c)  With respect to poles, the term usable space means the space on a
   utility  pole  above the minimum grade level which can be used for the
   attachment of wires, cables, and associated equipment, and which includes
   space occupied by the utility. With respect to conduit, the term usable
   space means capacity within a conduit system which is available, or which
   could,  with reasonable effort and expense, be made available, for the
   purpose  of  installing  wires,  cable  and  associated  equipment for
   telecommunications or cable services, and which includes capacity occupied
   by the utility.

   (d) The term complaint means a filing by a cable television system operator,
   a  cable  television  system association, a utility, an association of
   utilities,   a   telecommunications  carrier,  or  an  association  of
   telecommunications carriers alleging that it has been denied access to a
   utility pole, duct, conduit, or right-of-way in violation of this subpart
   and/or that a rate, term, or condition for a pole attachment is not just and
   reasonable.

   (e) The term complainant means a cable television system operator, a cable
   television system association, a utility, an association of utilities, a
   telecommunications carrier, or an association of telecommunications carriers
   who files a complaint.

   (f) The term respondent means a cable television system operator, a utility,
   or a telecommunications carrier against whom a complaint is filed.

   (g) The term State means any State, territory, or possession of the United
   States, the District of Columbia, or any political subdivision, agency, or
   instrumentality thereof.

   (h) For purposes of this subpart, the term telecommunications carrier means
   any provider of telecommunications services, except that the term does not
   include aggregators of telecommunications services (as defined in 47 U.S.C.
   226) or incumbent local exchange carriers (as defined in 47 U.S.C. 251(h)).

   (i) The term conduit means a structure containing one or more ducts, usually
   placed in the ground, in which cables or wires may be installed.

   (j) The term conduit system means a collection of one or more conduits
   together with their supporting infrastructure.

   (k) The term duct means a single enclosed raceway for conductors, cable
   and/or wire.

   (l) With respect to poles, the term unusable space means the space on a
   utility pole below the usable space, including the amount required to set
   the depth of the pole.

   (m)  The  term  attaching  entity  includes  cable  system  operators,
   telecommunications carriers, incumbent and other local exchange carriers,
   utilities,  governmental  entities  and other entities with a physical
   attachment to the pole, duct, conduit or right of way. It does not include
   governmental entities with only seasonal attachments to the pole.

   (n) The term inner-duct means a duct-like raceway smaller than a duct that
   is inserted into a duct so that the duct may carry multiple wires or cables.

   [ 43 FR 36094 , Aug. 15, 1978, as amended at  52 FR 31770 , Aug. 24, 1987;  61 FR 43024 , Aug. 20, 1996;  61 FR 45618 , Aug. 29, 1996;  63 FR 12024 , Mar. 12,
   1998;  65 FR 31281 , May 17, 2000;  66 FR 34580 , June 29, 2001]

§ 1.1403   Duty to provide access; modifications; notice of removal, increase
or modification; petition for temporary stay; and cable operator notice.

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   (a)  A  utility  shall  provide  a  cable  television  system  or  any
   telecommunications carrier with nondiscriminatory access to any pole, duct,
   conduit, or right-of-way owned or controlled by it. Notwithstanding this
   obligation,  a  utility  may  deny  a  cable  television system or any
   telecommunications  carrier  access  to its poles, ducts, conduits, or
   rights-of-way, on a non-discriminatory basis where there is insufficient
   capacity or for reasons of safety, reliability and generally applicable
   engineering purposes.

   (b)  Requests  for  access  to  a  utility's poles, ducts, conduits or
   rights-of-way by a telecommunications carrier or cable operator must be in
   writing. If access is not granted within 45 days of the request for access,
   the  utility  must  confirm the denial in writing by the 45th day. The
   utility's denial of access shall be specific, shall include all relevant
   evidence and information supporting its denial, and shall explain how such
   evidence and information relate to a denial of access for reasons of lack of
   capacity, safety, reliability or engineering standards.

   (c)  A  utility  shall  provide  a cable television system operator or
   telecommunications carrier no less than 60 days written notice prior to:

   (1) Removal of facilities or termination of any service to those facilities,
   such removal or termination arising out of a rate, term or condition of the
   cable television system operator's of telecommunications carrier's pole
   attachment agreement;

   (2) Any increase in pole attachment rates; or

   (3)  Any  modification of facilities other than routine maintenance or
   modification in response to emergencies.

   (d) A cable television system operator or telecommunications carrier may
   file a “Petition for Temporary Stay” of the action contained in a notice
   received pursuant to paragraph (c) of this section within 15 days of receipt
   of such notice. Such submission shall not be considered unless it includes,
   in concise terms, the relief sought, the reasons for such relief, including
   a showing of irreparable harm and likely cessation of cable television
   service  or  telecommunication  service,  a  copy  of  the notice, and
   certification of service as required by §1.1404(b). The named respondent may
   file an answer within 7 days of the date the Petition for Temporary Stay was
   filed. No further filings under this section will be considered unless
   requested or authorized by the Commission and no extensions of time will be
   granted unless justified pursuant to §1.46.5.

   (e) Cable operators must notify pole owners upon offering telecommunications
   services.

   [ 61 FR 45618 , Aug. 29, 1996, as amended at  63 FR 12025 , Mar. 12, 1998]

   Effective Date Note:   At  63 FR 12025 , Mar. 12, 1998, §1.1403 was amended by
   revising the heading and adding new paragraph (e). The added text contains
   information collection and recordkeeping requirements and will not become
   effective until approval has been given by the Office of Management and
   Budget.

§ 1.1404   Complaint.

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   (a) The complaint shall contain the name and address of the complainant,
   name and address of the respondent, and shall contain a verification (in the
   form  in  §1.721(b)),  signed by the complainant or officer thereof if
   complainant is a corporation, showing complainant's direct interest in the
   matter complained of. Counsel for the complainant may sign the complaint.
   Complainants may join together to file a joint complaint. Complaints filed
   by associations shall specifically identify each utility, cable television
   system  operator,  or telecommunications carrier who is a party to the
   complaint and shall be accompanied by a document from each identified member
   certifying that the complaint is being filed on its behalf.

   (b) The complaint shall be accompanied by a certification of service on the
   named respondent, and each of the Federal, State, and local governmental
   agencies  that  regulate  any  aspect  of the services provided by the
   complainant or respondent.

   (c) In a case where it is claimed that a rate, term, or condition is unjust
   or unreasonable, the complaint shall contain a statement that the State has
   not certified to the Commission that it regulates the rates, terms and
   conditions for pole attachments. The complaint shall include a statement
   that  the  utility  is  not  owned  by any railroad, any person who is
   cooperatively organized or any person owned by the Federal Government or any
   State.

   (d) The complaint shall be accompanied by a copy of the pole attachment
   agreement, if any, between the cable system operator or telecommunications
   carrier and the utility. If there is no present pole attachment agreement,
   the complaint shall contain:

   (1) A statement that the utility uses or controls poles, ducts, or conduits
   used or designated, in whole or in part, for wire communication; and

   (2)   A  statement  that  the  cable  television  system  operator  or
   telecommunications carrier currently has attachments on the poles, ducts,
   conduits, or rights-of-way.

   (e) The complaint shall state with specificity the pole attachment rate,
   term or condition which is claimed to be unjust or unreasonable.

   (f) In any case, where it is claimed that a term or condition is unjust or
   unreasonable, the claim shall specify all information and argument relied
   upon to justify said claim.

   (g) For attachments to poles, where it is claimed that either a rate is
   unjust or unreasonable, or a term or condition is unjust or unreasonable and
   examination of such term or condition requires review of the associated
   rate, the complaint shall provide data and information in support of said
   claim.

   (1) The data and information shall include, where applicable:

   (i) The gross investment by the utility for pole lines;

   (ii) The investment in crossarms and other items which do not reflect the
   cost of owning and maintaining poles, if available;

   (iii) The depreciation reserve from the gross pole line investment;

   (iv) The depreciation reserve from the investment in crossarms and other
   items which do not reflect the cost of owning and maintaining poles, if
   available;

   (v) The total number of poles:

   (A) Owned; and

   (B) Controlled or used by the utility. If any of these poles are jointly
   owned, the complaint shall specify the number of such jointly owned poles
   and the percentage of each joint pole or the number of equivalent poles
   owned by the subject utility;

   (vi) The total number of poles which are the subject of the complaint;

   (vii) The number of poles included in paragraph (g)(1)(vi) of this section
   that are controlled or used by the utility through lease between the utility
   and other owner(s), and the annual amounts paid by the utility for such
   rental;

   (viii) The number of poles included in paragraph (g)(1)(vi) of this section
   that are owned by the utility and that are leased to other users by the
   utility, and the annual amounts paid to the utility for such rental;

   (ix) The annual carrying charges attributable to the cost of owning a pole.
   These charges may be expressed as a percentage of the net pole investment.
   With its pleading, the utility shall file a copy of the latest decision of
   the state regulatory body or state court which determines the treatment of
   accumulated deferred taxes if it is at issue in the proceeding and shall
   note the section which specifically determines the treatment and amount of
   accumulated deferred taxes.

   (x) The rate of return authorized for the utility for intrastate service.
   With its pleading, the utility shall file a copy of the latest decision of
   the state regulatory body or state court which establishes this authorized
   rate of return if the rate of return is at issue in the proceeding and shall
   note the section which specifically establishes this authorized rate and
   whether the decision is subject to further proceedings before the state
   regulatory body or a court. In the absence of a state authorized rate of
   return, the rate of return set by the Commission for local exchange carriers
   shall be used as a default rate of return;

   (xi) The average amount of usable space per pole for those poles used for
   pole attachments (13.5 feet may be in lieu of actual measurement, but may be
   rebutted);

   (xii) The average amount of unusable space per pole for those poles used for
   pole  attachments (a 24 foot presumption may be used in lieu of actual
   measurement, but the presumption may be rebutted); and

   (xiii) Reimbursements received from CATV operators and telecommunications
   carriers for non-recurring costs.

   (2) Data and information should be based upon historical or original cost
   methodology, insofar as possible. Data should be derived from ARMIS, FERC 1,
   or other reports filed with state or federal regulatory agencies (identify
   source).  Calculations made in connection with these figures should be
   provided to the complainant. The complainant shall also specify any other
   information and argument relied upon to attempt to establish that a rate,
   term, or condition is not just and reasonable.

   (h) With respect to attachments within a duct or conduit system, where it is
   claimed that either a rate is unjust or unreasonable, or a term or condition
   is unjust or unreasonable and examination of such term or condition requires
   review  of  the  associated rate, the complaint shall provide data and
   information in support of said claim.

   (1) The data and information shall include, where applicable:

   (i) The gross investment by the utility for conduit;

   (ii) The accumulated depreciation from the gross conduit investment;

   (iii) The system duct length or system conduit length and the method used to
   determine it;

   (iv) The length of the conduit subject to the complaint;

   (v) The number of ducts in the conduit subject to the complaint;

   (vi) The number of inner-ducts in the duct occupied, if any. If there are no
   inner-ducts, the attachment is presumed to occupy one-half duct.

   (vii)  The  annual carrying charges attributable to the cost of owning
   conduit. These charges may be expressed as a percentage of the net linear
   cost of a conduit. With its pleading, the utility shall file a copy of the
   latest decision of the state regulatory body or state court which determines
   the  treatment  of accumulated deferred taxes if it is at issue in the
   proceeding and shall note the section which specifically determines the
   treatment and amount of accumulated deferred taxes.

   (viii) The rate of return authorized for the utility for intrastate service.
   With its pleading, the utility shall file a copy of the latest decision of
   the state regulatory body or state court which establishes this authorized
   rate of return if the rate of return is at issue in the proceeding and shall
   note the section which specifically establishes this authorized rate and
   whether the decision is subject to further proceedings before the state
   regulatory body or a court. In the absence of a state authorized rate of
   return, the rate of return set by the Commission for local exchange carriers
   shall be used as a default rate of return; and

   (ix)  Reimbursements  received  by  utilities  from CATV operators and
   telecommunications carriers for non-recurring costs.

   (2) Data and information should be based upon historical or original cost
   methodology, insofar as possible. Data should be derived from ARMIS, FERC 1,
   or other reports filed with state or federal regulatory agencies (identify
   source).  Calculations made in connection with these figures should be
   provided to the complainant. The complainant shall also specify any other
   information and argument relied upon to attempt to establish that a rate,
   term, or condition is not just and reasonable.

   (i) With respect to rights-of-way, where it is claimed that either a rate is
   unjust or unreasonable, or a term or condition is unjust or unreasonable and
   examination of such term or condition requires review of the associated
   rate, the complaint shall provide data and information in support of said
   claim. The data and information shall include, where applicable, equivalent
   information as specified in paragraph (g) of this section.

   (j) If any of the information and data required in paragraphs (g), (h) and
   (i) of this section is not provided to the cable television operator or
   telecommunications carrier by the utility upon reasonable request, the cable
   television operator or telecommunications carrier shall include a statement
   indicating the steps taken to obtain the information from the utility,
   including  the  dates  of  all requests. No complaint filed by a cable
   television operator or telecommunications carrier shall be dismissed where
   the utility has failed to provide the information required under paragraphs
   (g),  (h) or (i) of this section, as applicable, after such reasonable
   request.  A  utility  must  supply  a  cable  television  operator  or
   telecommunications carrier the information required in paragraph (g), (h) or
   (i) of this section, as applicable, along with the supporting pages from its
   ARMIS, FERC Form 1, or other report to a regulatory body, within 30 days of
   the request by the cable television operator or telecommunications carrier.
   The cable television operator or telecommunications carrier, in turn, shall
   submit these pages with its complaint. If the utility did not supply these
   pages to the cable television operator or telecommunications carrier in
   response  to  the  information  request, the utility shall supply this
   information in its response to the complaint.

   (k)  The complaint shall include a brief summary of all steps taken to
   resolve  the problem prior to filing. If no such steps were taken, the
   complaint  shall  state  the reason(s) why it believed such steps were
   fruitless.

   (l) Factual allegations shall be supported by affidavit of a person or
   persons with actual knowledge of the facts, and exhibits shall be verified
   by the person who prepares them.

   (m) In a case where a cable television system operator or telecommunications
   carrier claims that it has been denied access to a pole, duct, conduit or
   right-of-way despite a request made pursuant to section 47 U.S.C. §224(f),
   the complaint shall be filed within 30 days of such denial. In addition to
   meeting the other requirements of this section, the complaint shall include
   the data and information necessary to support the claim, including:

   (1) The reasons given for the denial of access to the utility's poles,
   ducts, conduits and rights-of-way;

   (2) The basis for the complainant's claim that the denial of access is
   improper;

   (3) The remedy sought by the complainant;

   (4) A copy of the written request to the utility for access to its poles,
   ducts, conduits or rights-of-way; and

   (5) A copy of the utility's response to the written request including all
   information  given  by  the utility to support its denial of access. A
   complaint alleging improper denial of access will not be dismissed if the
   complainant is unable to obtain a utility's written response, or if the
   utility denies the complainant any other information needed to establish a
   prima facie case.

   [ 43 FR 36094 , Aug. 15, 1978, as amended at  44 FR 31649 , June 1, 1979;  45 FR 17014 , Mar. 17, 1980;  52 FR 31770 , Aug. 24, 1987;  61 FR 43025 , Aug. 20,
   1996;  61 FR 45619 , Aug. 29, 1996;  63 FR 12025 , Mar. 12, 1998;  65 FR 31282 ,
   May 17, 2000;  65 FR 34820 , May 31, 2000]

   Effective Date Note 1:   At  63 FR 12025 , Mar. 12, 1998, §1.1404 was amended
   by redesignating paragraphs (g)(12) and (h) through (k) as (g)(13) and (k)
   through (n) and adding new paragraphs (g)(12) and (h) through (j). The added
   text contains information collection and recordkeeping requirements and will
   not  become  effective  until approval has been given by the Office of
   Management and Budget.

   Effective Date Note 2:   At  65 FR 31282 , May 17, 2000, §1.1404 was amended
   by removing paragraph (k), redesignating paragraphs (l), (m), and (n) as
   (k), (l), and (m), respectively, and revising paragraphs (g), (h), and the
   third sentence of paragraph (j). The revised text contains information
   collection and recordkeeping requirements and will not become effective
   until approval has been given by the Office of Management and Budget.

§ 1.1405   File numbers.

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   Each complaint which appears to be essentially complete under §1.1404 will
   be  accepted  and  assigned  a  file  number.  Such  assignment is for
   administrative  purposes  only  and does not necessarily mean that the
   complaint has been found to be in full compliance with other sections in
   this subpart. Petitions for temporary stay will also be assigned a file
   number upon receipt.

   [ 44 FR 31650 , June 1, 1979]

§ 1.1406   Dismissal of complaints.

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   (a) The complaint shall be dismissed for lack of jurisdiction in any case
   where a suitable certificate has been filed by a State pursuant to §1.1414
   of this subpart. Such certificate shall be conclusive proof of lack of
   jurisdiction of this Commission. A complaint against a utility shall also be
   dismissed if the utility does not use or control poles, ducts, or conduits
   used or designated, in whole or in part, for wire communication or if the
   utility does not meet the criteria of §1.1402(a) of this subpart.

   (b) If the complaint does not contain substantially all the information
   required under §1.1404 the Commission may dismiss the complaint or may
   require the complainant to file additional information. The complaint shall
   not be dismissed if the information is not available from public records or
   from the respondent utility after reasonable request.

   (c) Failure by the complainant to respond to official correspondence or a
   request for additional information will be cause for dismissal.

   (d) Dismissal under provisions of paragraph (b) of this section above will
   be with prejudice if the complaint has been dismissed previously. Such a
   complaint may be refiled no earlier than six months from the date it was so
   dismissed.

   [ 43 FR 36094 , Aug. 15, 1978, as amended at  44 FR 31650 , June 1, 1979]

§ 1.1407   Response and reply.

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   (a) Respondent shall have 30 days from the date the complaint was filed
   within which to file a response. Complainant shall have 20 days from the
   date the response was filed within which to file a reply. Extensions of time
   to file are not contemplated unless justification is shown pursuant to
   §1.46. Except as otherwise provided in §1.1403, no other filings and no
   motions  other  than  for  extension of time will be considered unless
   authorized by the Commission. The response should set forth justification
   for the rate, term, or condition alleged in the complaint not to be just and
   reasonable. Factual allegations shall be supported by affidavit of a person
   or persons with actual knowledge of the facts and exhibits shall be verified
   by the person who prepares them. The response, reply, and other pleadings
   may be signed by counsel.

   (b) The response shall be served on the complainant and all parties listed
   in complainant's certificate of service.

   (c) The reply shall be served on the respondent and all parties listed in
   respondent's certificate of service.

   (d) Failure to respond may be deemed an admission of the material factual
   allegations contained in the complaint.

   [ 44 FR 31650 , June 1, 1979]

§ 1.1408   Number of copies and form of pleadings.

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   (a) An original and three copies of the complaint, response, and reply shall
   be filed with the Commission.

   (b) All papers filed in the complaint proceeding must be drawn in conformity
   with the requirements of §§1.49, 1.50 and 1.52.

§ 1.1409   Commission consideration of the complaint.

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   (a)  In  its  consideration of the complaint, response, and reply, the
   Commission  may  take  notice of any information contained in publicly
   available filings made by the parties and may accept, subject to rebuttal,
   studies that have been conducted. The Commission may also request that one
   or  more  of the parties make additional filings or provide additional
   information. Where one of the parties has failed to provide information
   required to be provided by these rules or requested by the Commission, or
   where costs, values or amounts are disputed, the Commission may estimate
   such  costs,  values or amounts it considers reasonable, or may decide
   adversely to a party who has failed to supply requested information which is
   readily available to it, or both.

   (b) The complainant shall have the burden of establishing a prima facie case
   that the rate, term, or condition is not just and reasonable or that the
   denial of access violates 47 U.S.C. §224(f). If, however, a utility argues
   that the proposed rate is lower than its incremental costs, the utility has
   the burden of establishing that such rate is below the statutory minimum
   just  and reasonable rate. In a case involving a denial of access, the
   utility shall have the burden of proving that the denial was lawful, once a
   prima facie case is established by the complainant.

   (c) The Commission shall determine whether the rate, term or condition
   complained of is just and reasonable. For the purposes of this paragraph, a
   rate is just and reasonable if it assures a utility the recovery of not less
   than the additional costs of providing pole attachments, nor more than an
   amount determined by multiplying the percentage of the total usable space,
   or the percentage of the total duct or conduit capacity, which is occupied
   by the pole attachment by the sum of the operating expenses and actual
   capital costs of the utility attributable to the entire pole, duct, conduit,
   or right-of-way.

   (d)  The Commission shall deny the complaint if it determines that the
   complainant has not established a prima facie case, or that the rate, term
   or  condition is just and reasonable, or that the denial of access was
   lawful.

   (e)  When parties fail to resolve a dispute regarding charges for pole
   attachments and the Commission's complaint procedures under Section 1.1404
   are  invoked,  the  Commission  will  apply the following formulas for
   determining a maximum just and reasonable rate:

   (1) The following formula shall apply to attachments to poles by cable
   operators  providing  cable services. This formula shall also apply to
   attachments to poles by any telecommunications carrier (to the extent such
   carrier is not a party to a pole attachment agreement) or cable operator
   providing telecommunications services until February 8, 2001:
   [MATH:  :MATH]
   [MATH:  :MATH]

   (2) Subject to paragraph (f) of this section the following formula shall
   apply to attachments to poles by any telecommunications carrier (to the
   extent such carrier is not a party to a pole attachment agreement) or cable
   operator providing telecommunications services beginning February 8, 2001:
   [MATH:  :MATH]

   (3) The following formula shall apply to attachments to conduit by cable
   operators and telecommunications carriers:
   [MATH:  :MATH]

   simplified as:
   [MATH:  :MATH]

   If no inner-duct is installed the fraction, “1 Duct divided by the No. of
   Inner-Ducts” is presumed to be1/2.

   (f) Paragraph (e)(2) of this section shall become effective February 8, 2001
   (i.e., five years after the effective date of the Telecommunications Act of
   1996). Any increase in the rates for pole attachments that results from the
   adoption of such regulations shall be phased in over a period of five years
   beginning  on  the  effective date of such regulations in equal annual
   increments. The five-year phase-in is to apply to rate increases only. Rate
   reductions are to be implemented immediately. The determination of any rate
   increase shall be based on data currently available at the time of the
   calculation of the rate increase.

   [ 43 FR 36094 , Aug. 15, 1978, as amended at  52 FR 31770 , Aug. 24, 1987;  61 FR 43025 , Aug. 20, 1996;  61 FR 45619 , Aug. 29, 1996;  63 FR 12025 , Mar. 12,
   1998;  65 FR 31282 , May 17, 2000;  66 FR 34580 , June 29, 2001]

§ 1.1410   Remedies.

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   If the Commission determines that the rate, term, or condition complained of
   is not just and reasonable, it may prescribe a just and reasonable rate,
   term, or condition and may:

   (a) Terminate the unjust and unreasonable rate, term, or condition;

   (b) Substitute in the pole attachment agreement the just and reasonable
   rate, term, or condition established by the Commission; and

   (c) Order a refund, or payment, if appropriate. The refund or payment will
   normally be the difference between the amount paid under the unjust and/or
   unreasonable rate, term, or condition and the amount that would have been
   paid under the rate, term, or condition established by the Commission from
   the date that the complaint, as acceptable, was filed, plus interest.

   [ 44 FR 31650 , June 1, 1979]

§ 1.1411   Meetings and hearings.

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   The Commission may decide each complaint upon the filings and information
   before it, may require one or more informal meetings with the parties to
   clarify the issues or to consider settlement of the dispute, or may, in its
   discretion, order evidentiary procedures upon any issues it finds to have
   been raised by the filings.

§ 1.1412   Enforcement.

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   If the respondent fails to obey any order imposed under this subpart, the
   Commission on its own motion or by motion of the complainant may order the
   respondent to show cause why it should not cease and desist from violating
   the Commission's order.

§ 1.1413   Forfeiture.

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   (a) If any person willfully fails to obey any order imposed under this
   subpart, or any Commission rule, or

   (b) If any person shall in any written response to Commission correspondence
   or inquiry or in any application, pleading, report, or any other written
   statement submitted to the Commission pursuant to this subpart make any
   misrepresentation bearing on any matter within the jurisdiction of the
   Commission, the Commission may, in addition to any other remedies, including
   criminal penalties under section 1001 of Title 18 of the United States Code,
   impose a forfeiture pursuant to section 503(b) of the Communications Act, 47
   U.S.C. 503(b).

§ 1.1414   State certification.

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   (a) If the Commission does not receive certification from a state that:

   (1) It regulates rates, terms and conditions for pole attachments;

   (2) In so regulating such rates, terms and conditions, the state has the
   authority to consider and does consider the interests of the subscribers of
   cable television services as well as the interests of the consumers of the
   utility services; and,

   (3) It has issued and made effective rules and regulations implementing the
   state's regulatory authority over pole attachments (including a specific
   methodology for such regulation which has been made publicly available in
   the state), it will be rebuttably presumed that the state is not regulating
   pole attachments.

   (b) Upon receipt of such certification, the Commission shall give public
   notice. In addition, the Commission shall compile and publish from time to
   time, a listing of states which have provided certification.

   (c) Upon receipt of such certification, the Commission shall forward any
   pending case thereby affected to the state regulatory authority, shall so
   notify the parties involved and shall give public notice thereof.

   (d) Certification shall be by order of the state regulatory body or by a
   person having lawful delegated authority under provisions of state law to
   submit such certification. Said person shall provide in writing a statement
   that he or she has such authority and shall cite the law, regulation or
   other instrument conferring such authority.

   (e) Notwithstanding any such certification, jurisdiction will revert to this
   Commission with respect to any individual matter, unless the state takes
   final action on a complaint regarding such matter:

   (1) Within 180 days after the complaint is filed with the state, or

   (2) Within the applicable periods prescribed for such final action in such
   rules and regulations of the state, if the prescribed period does not extend
   beyond 360 days after the filing of such complaint.

   [ 43 FR 36094 , Aug. 15, 1978, as amended at  44 FR 31650 , June 1, 1979;  50 FR 18659 , May 5, 1985]

§ 1.1415   Other orders.

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   The Commission may issue such other orders and so conduct its proceedings as
   will  best  conduce to the proper dispatch of business and the ends of
   justice.

§ 1.1416   Imputation of rates; modification costs.

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   (a) A utility that engages in the provision of telecommunications services
   or cable services shall impute to its costs of providing such services (and
   charge  any affiliate, subsidiary, or associate company engaged in the
   provision of such services) an equal amount to the pole attachment rate for
   which such company would be liable under this section.

   (b) The costs of modifying a facility shall be borne by all parties that
   obtain access to the facility as a result of the modification and by all
   parties that directly benefit from the modification. Each party described in
   the  preceding sentence shall share proportionately in the cost of the
   modification. A party with a preexisting attachment to the modified facility
   shall be deemed to directly benefit from a modification if, after receiving
   notification of such modification as provided in subpart J of this part, it
   adds to or modifies its attachment. Notwithstanding the foregoing, a party
   with a preexisting attachment to a pole, conduit, duct or right-of-way shall
   not be required to bear any of the costs of rearranging or replacing its
   attachment if such rearrangement or replacement is necessitated solely as a
   result  of an additional attachment or the modification of an existing
   attachment sought by another party. If a party makes an attachment to the
   facility after the completion of the modification, such party shall share
   proportionately  in  the cost of the modification if such modification
   rendered possible the added attachment.

   [ 61 FR 43025 , Aug. 20, 1996;  61 FR 45619 , Aug. 29, 1996]

§ 1.1417   Allocation of Unusable Space Costs.

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   (a) With respect to the formula referenced in §1.1409(e)(2), a utility shall
   apportion  the cost of providing unusable space on a pole so that such
   apportionment equals two-thirds of the costs of providing unusable space
   that would be allocated to such entity under an equal apportionment of such
   costs among all attaching entities.

   (b)  All  attaching entities attached to the pole shall be counted for
   purposes of apportioning the cost of unusable space.

   (c) Utilities may use the following rebuttable presumptive averages when
   calculating the number of attaching entities with respect to the formula
   referenced in §1.1409(e)(2). For non-urbanized service areas (under 50,000
   population), a presumptive average number of attaching entities of three
   (3).  For  urbanized  service  areas  (50,000 or higher population), a
   presumptive average number of attaching entities of five (5). If any part of
   the utility's service area within the state has a designation of urbanized
   (50,000  or  higher population) by the Bureau of Census, United States
   Department of Commerce, then all of that service area shall be designated as
   urbanized for purposes of determining the presumptive average number of
   attaching entities.

   (d) A utility may establish its own presumptive average number of attaching
   entities for its urbanized and non-urbanized service area as follows:

   (1) Each utility shall, upon request, provide all attaching entities and all
   entities seeking access the methodology and information upon which the
   utilities presumptive average number of attachers is based.

   (2) Each utility is required to exercise good faith in establishing and
   updating its presumptive average number of attachers.

   (3) The presumptive average number of attachers may be challenged by an
   attaching entity by submitting information demonstrating why the utility's
   presumptive average is incorrect. The attaching entity should also submit
   what it believes should be the presumptive average and the methodology used.
   Where a complete inspection is impractical, a statistically sound survey may
   be submitted.

   (4) Upon successful challenge of the existing presumptive average number of
   attachers, the resulting data determined shall be used by the utility as the
   presumptive number of attachers within the rate formula.

   [ 63 FR 12026 , Mar. 12, 1998, as amended at  66 FR 34581 , June 29, 2001]

   Effective Date Note:   At  63 FR 12026 , Mar. 12, 1998, §1.1417 was added. The
   section contains information collection and recordkeeping requirements and
   will not become effective until approval has been given by the Office of
   Management and Budget.

§ 1.1418   Use of presumptions in calculating the space factor.

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   With respect to the formulas referenced in §1.1409(e)(1) and §1.1409(e)(2),
   the space occupied by an attachment is presumed to be one (1) foot. The
   amount of usable space is presumed to be 13.5 feet. The amount of unusable
   space is presumed to be 24 feet. The pole height is presumed to be 37.5
   feet. These presumptions may be rebutted by either party.

   [ 66 FR 34581 , June 29, 2001]

Subpart K—Implementation of the Equal Access to Justice Act (EAJA) in Agency
Proceedings

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   Authority:    Sec.  203(a)(1), Pub. L. 96–481, 94 Stat. 2325 (5 U.S.C.
   504(c)(1)).

   Source:    47 FR 3786 , Jan. 27, 1982, unless otherwise noted.

General Provisions

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§ 1.1501   Purpose of these rules.

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   The Equal Access to Justice Act, 5 U.S.C. 504 (called the EAJA in this
   subpart), provides for the award of attorney's fees and other expenses to
   eligible individuals and entities who are parties to certain administrative
   proceedings (called adversary adjudications ) before the Commission. An
   eligible party may receive an award when it prevails over the Commission,
   unless  the  Commission's position in the proceeding was substantially
   justified or special circumstances make an award unjust, or when the demand
   of  the  Commission  is substantially in excess of the decision in the
   adversary adjudication and is unreasonable when compared with such decision,
   under  the  facts  and circumstances of the case, unless the party has
   committed a willful violation of law or otherwise acted in bad faith, or
   special circumstances make an award unjust. The rules in this part describe
   the parties eligible for awards and the proceedings that are covered. They
   also explain how to apply for awards, and the procedures and standards that
   the Commission will use to make them.

   [ 47 FR 3786 , Jan. 27, 1982, as amended at  61 FR 39898 , July 31, 1996]

§ 1.1502   When the EAJA applies.

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   The EAJA applies to any adversary adjudication pending or commenced before
   the Commission on or after August 5, 1985. The provisions of §1.1505(b)
   apply to any adversary adjudications commenced on or after March 29, 1996.

   [ 61 FR 39898 , July 31, 1996]

§ 1.1503   Proceedings covered.

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   (a) The EAJA applies to adversary adjudications conducted by the Commission.
   These are adjudications under 5 U.S.C. 554 in which the position of the
   Commission or any other agency of the United States, or any component of an
   agency, is presented by an attorney or other representative who enters an
   appearance and participates in the proceeding. Any proceeding in which this
   Agency may fix a lawful present or future rate is not covered by the EAJA.
   Proceedings to grant or renew licenses are also excluded, but proceedings to
   modify,  suspend, or revoke licenses are covered if they are otherwise
   “adversary adjudications”.

   (b) The Commission may designate a proceeding as an adversary adjudication
   for purposes of the EAJA by so stating in an order initiating the proceeding
   or designating the matter for hearing. The Commission's failure to designate
   a proceeding as an adversary adjudication shall not preclude the filing of
   an application by a party who believes the proceeding is covered by the
   EAJA; whether the proceeding is covered will then be an issue for resolution
   in proceedings on the application.

   (c) If a proceeding includes both matters covered by the EAJA and matters
   specifically excluded from coverage, any awards made will include only fees
   and expenses related to covered issues.

   [ 47 FR 3786 , Jan. 27, 1982, as amended at  52 FR 11653 , Apr. 10, 1987]

§ 1.1504   Eligibility of applicants.

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   (a) To be eligible for an award of attorney fees and other expenses under
   the EAJA, the applicant must be a party, as defined in 5 U.S.C. 551(3), to
   the adversary adjudication for which it seeks an award. The applicant must
   show that it meets all conditions of eligibility set out in this paragraph
   and in paragraph (b) of this section.

   (b) The types of eligible applicants are as follows:

   (1) An individual with a net worth of not more than $2 million;

   (2) The sole owner of an unincorporated business who has a net worth of not
   more than $7 million, including both personal and business interests, and
   not more than 500 employees;

   (3) A charitable association as defined in section 501(c)(3) of the Internal
   Revenue Code (26 U.S.C. 501(c)(3)) with not more than 500 employees;

   (4)  A  cooperative  association  as  defined  in section 15(a) of the
   Agricultural Marketing Act (12 U.S.C. 1141j(a)) with not more than 500
   employees;

   (5)  Any  other  partnership,  corporation, association, unit of local
   government, or organization with a net worth of not more than $7 million and
   not more than 500 employees;

   (6) For purposes of §1.1505(b), a small entity as defined in 5 U.S.C. 601.

   (c) For the purpose of eligibility, the net worth and number of employees of
   an  applicant  shall  be  determined as of the date the proceeding was
   initiated.

   (d) An applicant who owns an unincorporated business will be considered as
   an “individual” rather than a “sole owner of an unincorporated business” if
   the issues on which the applicant prevails are related primarily to personal
   interests rather than to business interests.

   (e)  The  number  of employees of an applicant include all persons who
   regularly perform services for remuneration for the applicant, under the
   applicant's direction and control. Part-time employees shall be included on
   a proportional basis.

   (f) The net worth and number of employees of the applicant and all of its
   affiliates shall be aggregated to determine eligibility. Any individual,
   corporation or other entity that directly or indirectly controls or owns a
   majority of the voting shares or other interest of the applicant, or any
   corporation or other entity of which the applicant directly or indirectly
   owns or controls a majority of the voting shares or other interest, will be
   considered an affiliate for purposes of this part, unless the Administrative
   Law Judge determines that such treatment would be unjust and contrary to the
   purposes  of  the EAJA in light of the actual relationship between the
   affiliated entities. In addition, the Administrative Law Judge may determine
   that financial relationships of the applicant other than those described in
   this paragraph constitute special circumstances that would make an award
   unjust.

   (g) An applicant that participates in a proceeding primarily on behalf of
   one or more other persons or entities that would be ineligible is not itself
   eligible for an award.

   [ 47 FR 3786 , Jan. 27, 1982, as amended at  52 FR 11653 , Apr. 10, 1987;  61 FR 39898 , July 31, 1996]

§ 1.1505   Standards for awards.

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   (a) A prevailing party may receive an award for fees and expenses incurred
   in connection either with an adversary adjudication, or with a significant
   and discrete substantive portion of an adversary adjudication in which the
   party has prevailed over the position of the Commission.

   (1) The position of the Commission includes, in addition to the position
   taken by the Commission in the adversary adjudication, the action or failure
   to act by the agency upon which the adversary adjudication is based.

   (2) An award will be reduced or denied if the Commission's position was
   substantially justified in law and fact, if special circumstances make an
   award unjust, or if the prevailing party unduly or unreasonably protracted
   the adversary adjudication.

   (b) If, in an adversary adjudication arising from a Commission action to
   enforce a party's compliance with a statutory or regulatory requirement, the
   demand of the Commission is substantially in excess of the decision in the
   adversary adjudication and is unreasonable when compared with that decision,
   under the facts and circumstances of the case, the party shall be awarded
   the fees and other expenses related to defending against the excessive
   demand,  unless  the party has committed a willful violation of law or
   otherwise acted in bad faith, or special circumstances make an award unjust.
   The “demand” of the Commission means the express demand which led to the
   adversary  adjudication,  but  it does not include a recitation by the
   Commission of the maximum statutory penalty in the administrative complaint,
   or elsewhere when accompanied by an express demand for a lesser amount.

   (c)  The  burden  of  proof that an award should not be made is on the
   appropriate Bureau (see §1.21) whose representative shall be called “Bureau
   counsel” in this subpart K.

   [ 61 FR 39899 , July 31, 1996]

§ 1.1506   Allowable fees and expenses.

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   (a) Awards will be based on rates customarily charged by persons engaged in
   the business of acting as attorneys, agents and expert witnesses.

   (b) No award for the fee of an attorney or agent under these rules may
   exceed $75.00, or for adversary adjudications commenced on or after March
   29, 1996, $125.00, per hour. No award to compensate an expert witness may
   exceed the highest rate at which the Commission pays expert witnesses.
   However, an award may also include the reasonable expenses of the attorney;
   agent, or witness as a separate item, if the attorney, agent or witness
   ordinarily charges its clients separately for such expenses.

   (c) In determining the reasonableness of the fee sought for an attorney,
   agent or expert witness, the Administrative Law Judge shall consider the
   following:

   (1) If the attorney, agent or witness is in private practice, his or her
   customary fee for similar services, or, if an employee of the applicant, the
   fully allocated cost of the services;

   (2) The prevailing rate for similar services in the community in which the
   attorney, agent or witness ordinarily performs services;

   (3) The time actually spent in the representation of the applicant;

   (4) The time reasonably spent in light of the difficulty or complexity of
   the issues in the proceeding; and

   (5) Such other factors as may bear on the value of the service provided.

   (d) The reasonable cost of any study, analysis, engineering report, test,
   project or similar matter prepared on behalf of a party may be awarded, to
   the extent that the charge for the service does not exceed the prevailing
   rate for similar services, and the study or other matter was necessary for
   preparation of the applicant's case.

   (e) Fees may be awarded only for work performed after designation of a
   proceeding or after issuance of a show cause order.

   [ 47 FR 3786 , Jan. 27, 1982, as amended at  61 FR 39899 , July 31, 1996]

§ 1.1507   Rulemaking on maximum rates for attorney fees.

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   (a)  If  warranted  by an increase in the cost of living or by special
   circumstances (such as limited availability of attorneys qualified to handle
   certain  types  of  proceedings), the Commission may adopt regulations
   providing that attorney fees may be awarded at a rate higher than $125.00
   per hour in some or all of the types of proceedings covered by this part.
   The Commission will conduct any rulemaking proceedings for this purpose
   under the informal rulemaking procedures of the Administrative Procedure
   Act.

   (b) Any person may file with the Commission a petition for rulemaking to
   increase the maximum rate for attorney fees, in accordance with subpart C of
   this chapter. The petition should identify the rate the petitioner believes
   this agency should establish and the types of proceedings in which the rate
   should be used. It should also explain fully the reasons why the higher rate
   is warranted. This agency will respond to the petition by initiating a
   rulemaking proceeding, denying the petition, or taking other appropriate
   action.

   [ 47 FR 3786 , Jan. 27, 1982, as amended at  61 FR 39899 , July 31, 1996]

§ 1.1508   Awards against other agencies.

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   If an applicant is entitled to an award because it prevails over another
   agency of the United States that participates in a proceeding before the
   Commission and takes a position that is not substantially justified, the
   award or an appropriate portion of the award shall be made against that
   agency. Counsel for that agency shall be treated as Bureau counsel for the
   purpose of this subpart.

   [ 47 FR 3786 , Jan. 27, 1982, as amended at  61 FR 39899 , July 31, 1996]

Information Required From Applicants

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§ 1.1511   Contents of application.

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   (a)  An application for an award of fees and expenses under EAJA shall
   dentify the applicant and the proceeding for which an award is sought.
   Unless the applicant is an individual, the application shall state the
   number of employees of the applicant and describe briefly the type and
   purpose of its organization or business. The application shall also:

   (1) Show that the applicant has prevailed and identify the position of an
   agency or agencies in the proceeding that the applicant alleges was not
   substantially justified; or

   (2) Show that the demand by the agency or agencies in the proceeding was
   substantially in excess of, and was unreasonable when compared with, the
   decision in the proceeding.

   (b) The application shall also include a declaration that the applicant is a
   small entity as defined in 5 U.S.C. 601 or a statement that the applicant's
   net worth does not exceed $2 million (if an individual) or $7 million (for
   all other applicants, including their affiliates). However, an applicant may
   omit the statement concerning its net worth if:

   (1) It attaches a copy of a ruling by the Internal Revenue Service that it
   qualifies as an organization described in section 501(c)(3) of the Internal
   Revenue  Code  (26  U.S.C.  501(c)(3)) or, in the case of a tax-exempt
   organization not required to obtain a ruling from the Internal Revenue
   Service on its exempt status, a statement that describes the basis for the
   applicant's belief that it qualifies under such section; or

   (2) It states that it is a cooperative association as defined in section
   15(a) of the Agricultural Marketing Act (12 U.S.C. 1141j(a)).

   (c) The application shall state the amount of fees and expenses for which an
   award is sought.

   (d) The application may also include any other matters that the applicant
   wishes the Commission to consider in determining whether and in what amount
   an award should be made.

   (e)  The application shall be signed by the applicant or an authorized
   officer  or  attorney  of  the  applicant. It shall also contain or be
   accompanied by a written verification under oath or under penalty of perjury
   that the information provided in the application is true and correct.

   [ 47 FR 3786 , Jan. 27, 1982, as amended at  52 FR 11653 , Apr. 10, 1987;  61 FR 39899 , July 31, 1996]

§ 1.1512   Net worth exhibit.

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   (a) Each applicant except a qualified tax-exempt organization or cooperative
   association must provide with its application a detailed exhibit showing the
   net worth of the applicant and any affiliates (as defined in §1.1504(f) of
   this part) at the time the proceeding was designated. The exhibit may be in
   any form convenient to the applicant that provides full disclosure of the
   applicant's and its affiliates' assets and liabilities and is sufficient to
   determine  whether the applicant qualifies under the standards in this
   subpart. The Administrative Law Judge may require an applicant to file
   additional information to determine its eligibility for an award.

   (b) Ordinarily, the net worth exhibit will be included in the public record
   of the proceeding. However, an applicant that objects to public disclosure
   of information in any portion of the exhibit and believes there are legal
   grounds for withholding it from disclosure may submit that portion of the
   exhibit directly to the Administrative Law Judge in a sealed enevelope
   labeled “Confidential Financial Information”, accompanied by a motion to
   withhold the information from public disclosure. The motion shall describe
   the information sought to be withheld and explain, in detail, why it falls
   within one or more of the specific exemptions from mandatory disclosure
   under the Freedom of Information Act, 5 U.S.C. 552(b)(1)–(9), why public
   disclosue of the information would adversely affect the applicant, and why
   disclosure is not required in the public interest. The material in question
   shall be served on Bureau counsel, but need not be served on any other party
   to  the  proceeding.  If  the  Administrative Law Judge finds that the
   information should not be withheld from disclosure, it shall be placed in
   the public record of the proceeding. Otherwise, any request to inspect or
   copy the exhibit shall be disposed of in accordance with the Commission's
   established procedures under the Freedom of Information Act, §§0.441 through
   0.466 of this chapter.

§ 1.1513   Documentation of fees and expenses.

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   The application shall be accompanied by full documentation of the fees and
   expenses, including the cost of any study, analysis, engineering report,
   test, project or similar matter, for which an award is sought. A separate
   itemized  statement  shall  be submitted for each professional firm or
   individual whose services are covered by the application, showing hours
   spent in connection with the proceeding by each individual, a description of
   the  specific  services performed, the rate at which each fee has been
   computed, any expenses for which reimbursement is sought, the total amount
   claimed, and the total amount paid or payable by the applicant or by any
   other person or entity for the services provided. The Administrative Law
   Judge may require the applicant to provide vouchers, receipts, or other
   substantiation for any expenses claimed.

   [ 47 FR 3786 , Jan. 27, 1982, as amended at  61 FR 39899 , July 31, 1996]

§ 1.1514   When an application may be filed.

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   (a) An application may be filed whenever the applicant has prevailed in the
   proceeding or in a significant and discrete substantive portion of the
   proceeding, or when the demand of the Commission is substantially in excess
   of the decision in the proceeding, but in no case later than 30 days after
   the Commission's final disposition of the proceeding.

   (b) If review or reconsideration is sought or taken of a decision as to
   which an applicant believes it has prevailed, proceedings for the award of
   fees  shall  be  stayed  pending  final  disposition of the underlying
   controversy.

   (c) For purposes of this rule, final disposition means the later of

   (1) The date on which an initial decision or other recommended disposition
   of the merits of the proceeding by an Administrative Law Judge becomes
   administratively final;

   (2) Issuance of an order disposing of any petitions for reconsideration of
   the Commission's order in the proceeding;

   (3) If no petition for reconsideration is filed, the last date on which such
   petition could have been filed;

   (4)  Issuance  of  a  final order by the Commission or any other final
   resolution of a proceeding, such as settlement or voluntary dismissal, which
   is not subject to a petition for reconsideration, or to a petition for
   judicial review; or

   (5) Completion of judicial action on the underlying controversy and any
   subsequent Commission action pursuant to judicial mandate.

   [ 47 FR 3786 , Jan. 27, 1982, as amended at  61 FR 39899 , July 31, 1996]

Procedures for Considering Applications

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§ 1.1521   Filing and service of documents.

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   Any application for an award or other pleading relating to an application
   shall be filed and served on all parties to the proceeding in the same
   manner  as  other  pleadings  in the proceeding, except as provided in
   §1.1512(b) for confidential financial information.

§ 1.1522   Answer to application.

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   (a) Within 30 days after service of an application Bureau counsel may file
   an answer to the application. Unless Bureau counsel requests an extension of
   time for filing or files a statement of intent to negotiate under paragraph
   (b) of this section, failure to file an answer within the 30-day period may
   be treated as a consent to the award request.

   (b) If Bureau counsel and the applicant believe that the issues in the fee
   application can be settled, they may jointly file a statement of their
   intent to negotiate a settlement. The filing of this statement shall extend
   the  time  for filing an answer for an additional 30 days, and further
   extensions may be granted by the Administrative Law Judge upon request by
   Bureau counsel and the applicant.

   (c) The answer shall explain in detail any objections to the award requested
   and identify the facts relied on in support of Bureau counsel's position. If
   the answer is based on any alleged facts not already in the record of the
   proceeding, Bureau counsel shall include with the answer either supporting
   affidavits or a request for further proceedings under §1.1526.

§ 1.1523   Reply.

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   Within 15 days after service of an answer, the applicant may file a reply.
   If the reply is based on any alleged facts not already in the record of the
   proceeding, the applicant shall include with the reply either supporting
   affidavits or a request for further proceedings under §1.1526.

§ 1.1524   Comments by other parties.

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   Any party to a proceeding other than the applicant and Bureau counsel may
   file comments on an application within 30 days after it is served or an
   answer  within  15 days after it is served. A commenting party may not
   participate  further  in  proceedings  on  the  application unless the
   Administrative Law Judge determines that the public interest requires such
   participation in order to permit full exploration of matters raised in the
   comments.

   [ 47 FR 3786 , Jan. 27, 1982, as amended at  61 FR 39899 , July 31, 1996]

§ 1.1525   Settlement.

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   The applicant and Bureau counsel may agree on a proposed settlement of the
   award before final action on the application, either in connection with a
   settlement of the underlying proceeding, or after the underlying proceeding
   has been concluded. If a prevailing party and Bureau counsel agree on a
   proposed settlement of an award before an application has been filed, the
   application  shall  be  filed  with  the  proposed  settlement. If the
   Administrative Law Judge approves the proposed settlement, it shall be
   forwarded to the Commission for final approval.

§ 1.1526   Further proceedings.

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   (a) Ordinarily, the determination of an award will be made on the basis of
   the written record. However, on request of either the applicant or Bureau
   counsel, or on his or her own initiative, the Administrative Law Judge may
   order further proceedings, such as an informal conference, oral argument,
   additional written submissions or, as to issues other than excessive demand
   or  substantial  justification,  an  evidentiary hearing. Such further
   proceedings shall be held only when necessary for full and fair resolution
   of  the issues arising from the application, and shall be conducted as
   promptly as possible. Whether or not the position of the agency embodied an
   excessive demand or was substantially justified shall be determined on the
   basis  of  the administrative record, as a whole, which is made in the
   adversary adjudication for which fees and other expenses are sought.

   (b) A request that the Administrative Law Judge order further proceedings
   under this section shall specifically identify the information sought or the
   disputed  issues  and shall explain why the additional proceedings are
   necessary to resolve the issues.

   [ 47 FR 3786 , Jan. 27, 1982, as amended at  52 FR 11653 , Apr. 10, 1987;  61 FR 39899 , July 31, 1996]

§ 1.1527   Decision.

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   The  Administrative  Law  Judge shall issue an initial decision on the
   application as soon as possible after completion of proceedings on the
   application. The decision shall include written findings and conclusions
   regarding  the applicant's eligibility and whether the applicant was a
   prevailing party or whether the demand by the agency or agencies in the
   proceeding  was  substantially in excess of, and was unreasonable when
   compared  with,  the  decision  in  the adversary adjudication, and an
   explanation of the reasons for any difference between the amount requested
   and  the amount awarded. The decision shall also include, if at issue,
   findings on whether the Commission's position substantially justified,
   whether the applicant unduly protracted the proceedings, committed a willful
   violation  of law, or otherwise acted in bad faith, or whether special
   circumstances make an award unjust. If the applicant has sought an award
   against more than one agency, the decision shall allocate responsibility for
   payment of any award made among the agencies, and shall explain the reasons
   for the allocation made.

   [ 61 FR 39900 , July 31, 1996]

§ 1.1528   Commission review.

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   Either the applicant or Bureau counsel may seek Commission review of the
   initial decision on the application, or the Commission may decide to review
   the decision on its own initiative, in accordance with §§1.276 through 1.282
   of this chapter. Except as provided in §1.1525, if neither the applicant nor
   Bureau counsel seeks review and the Commission does not take review on its
   own initiative, the initial decision on the application shall become a final
   decision of the Commission 50 days after it is issued. Whether to review a
   decision is a matter within the discretion of the Commission. If review is
   taken, the Commission will issue a final decision on the application or
   remand  the  application  to  the Administrative Law Judge for further
   proceedings.

   [ 47 FR 3786 , Jan. 27, 1982, as amended at  61 FR 39900 , July 31, 1996]

§ 1.1529   Judicial review.

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   Judicial  review  of final agency decisions on awards may be sought as
   provided in 5 U.S.C. 504(c)(2).

§ 1.1530   Payment of award.

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   An applicant seeking payment of an award from the Commission shall submit to
   the General Counsel a copy of the Commission's final decision granting the
   award, accompanied by a statement that the applicant will not seek review of
   the decision in the United States courts, or a copy of the court's order
   directing  payment.  The Commission will pay the amount awarded to the
   applicant unless judicial review of the award or the underlying decision of
   the adversary adjudication has been sought by the applicant or any other
   party to the proceeding.

Subpart L—Random Selection Procedures for Mass Media Services

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   Authority:   47 U.S.C. 309(i).

   Source:    48 FR 27202 , June 13, 1983, unless otherwise noted.

General Procedures

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§ 1.1601   Scope.

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   The provisions of this subpart, and the provisions referenced herein, shall
   apply to applications for initial licenses or construction permits or for
   major changes in the facilities of authorized stations in the following
   services:

   (a)–(b) [Reserved]

   [ 48 FR 27202 , June 13, 1983, as amended at  63 FR 48622 , Sept. 11, 1998]

§ 1.1602   Designation for random selection.

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   Applications  in  the services specified in §1.1601 shall be tendered,
   accepted or dismissed, filed, publicly noted and subject to random selection
   and hearing in accordance with any relevant rules. Competing applications
   for an initial license or construction permit shall be designated for random
   selection  and  hearing in accordance with the procedures set forth in
   §§1.1603 through 1.1623 and §73.3572 of this chapter.

§ 1.1603   Conduct of random selection.

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   The random selection probabilities will be calculated in accordance with the
   formula set out in rules §§1.1621 through 1.1623.

   [ 48 FR 27202 , June 13, 1983, as amended at  48 FR 43330 , Sept. 23, 1983]

§ 1.1604   Post-selection hearings.

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   (a)  Following the random selection, the Commission shall announce the
   “tentative selectee” and, where permitted by §73.3584 invite Petitions to
   Deny its application.

   (b) If, after such hearing as may be necessary, the Commission determines
   that the “tentative selectee” has met the requirements of §73.3591(a) it
   will make the appropriate grant. If the Commission is unable to make such a
   determination, it shall order that another random selection be conducted
   from among the remaining mutually exclusive applicants, in accordance with
   the provisions of this subpart.

   (c) If, on the basis of the papers before it, the Commission determines that
   a substantial and material question of fact exists, it shall designate that
   question for hearing. Hearings may be conducted by the Commission or, in the
   case  of a matter which requires oral testimony for its resolution, an
   Administrative Law Judge.

   [ 48 FR 27202 , June 13, 1983, as amended at  63 FR 48622 , Sept. 11, 1998]

§ 1.1621   Definitions.

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   (a) Medium of mass communications means:

   (1) A daily newspaper;

   (2) A cable television system; and

   (3) A license or construction permit for

   (i) A television station, including low power TV or TV translator,

   (ii) A standard (AM) radio station,

   (iii) An FM radio station,

   (iv) A direct broadcast satellite transponder under the editorial control of
   the licensee, and

   (v) A Multipoint Distribution Service station.

   (b) Minority group means:

   (1) Blacks,

   (2) Hispanics

   (3) American Indians,

   (4) Alaska Natives,

   (5) Asians, and

   (6) Pacific Islanders.

   (c)  Owner means the applicant and any individual, partnership, trust,
   unincorporated association, or corporation which:

   (1) If the applicant is a proprietorship, is the proprietor,

   (2) If the applicant is a partnership, holds any partnership interest,

   (3) If the applicant is a trust, is the beneficiary thereof,

   (4)  If  the  applicant  is an unincorporated association or non-stock
   corporation, is a member, or, in the case of a nonmembership association or
   corporation, a director,

   (5) If the applicant is a stock corporation, is the beneficial owner of
   voting shares.

   Note 1: For purposes of applying the diversity preference to such entities
   only the other ownership interests of those with a 1% or more beneficial
   interest in the entity will be cognizable.

   Note 2: For the purposes of this section, a daily newspaper is one which is
   published four or more days per week, which is in the English language, and
   which is circulated generally in the community of publication. A college
   newspaper is not considered as being circulated generally.

   Note 3: For the purposes of applying the diversity preference, the ownership
   interests of the spouse of an applicant's principal will not presumptively
   be attributed to the applicant.

   [ 48 FR 27202 , June 13, 1983, as amended at  50 FR 5992 , Feb. 13, 1985]

§ 1.1622   Preferences.

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   (a) Any applicant desiring a perference in the random selection shall so
   indicate as part of its application. Such an applicant shall list any owner
   who owns all or part of a medium of mass communications or who is a member
   of a minority group, together with a precise identification of the ownership
   interest held in such medium of mass communications or name of the minority
   group, respectively. Such an applicant shall also state whether more than
   50% of the ownership interests in it are held by members of minority groups
   and  the number of media of mass communications more than 50% of whose
   ownership interests are held by the applicant and/or its owners.

   (b) Preference factors as incorporated in the percentage calculations in
   §1.1623, shall be granted as follows:

   (1) Applicants, more than 50% of whose ownership interests are held by
   members of minority groups—2:1.

   (2) Applicants whose owners in the aggregate hold more than 50% of the
   ownership interests in no other media of mass communications—2:1.

   (3) Applicants whose owners in the aggregate hold more than 50% of the
   ownership   interest  in  one,  two  or  three  other  media  of  mass
   communications—1.5:1.

   (c) Applicants may receive preferences pursuant to §1.1622(b)(1) and either
   §1.1622 (b)(2) or (b)(3).

   (d) Preferences will be determined on the basis of ownership interests as of
   the date of release of the latest Public Notice announcing the acceptance of
   the last-filed mutually exclusive application.

   (e) No preferences pursuant to §1.1622 (b)(2) or (b)(3) shall be granted to
   any LPTV or MDS applicant whose owners, when aggregated, have an ownership
   interest  of  more  than  50  percent  in  the following media of mass
   communications, if the service areas of those media as described herein
   wholly encompass or are encompassed by the protected predicted contour,
   computed in accordance with §74.707(a), of the low power TV or TV translator
   station for which the license or permit is sought, or computed in accordance
   with §21.902(d), of the MDS station for which the license or permit is
   sought.

   (1) AM broadcast station—predicted or measured 2 mV/m groundwave contour,
   computed in accordance with §73.183 or §73.186;

   (2) FM broadcast station—predicted 1 mV/m contour, computed in accordance
   with §73.313;

   (3)  TV broadcast station—Grade A contour, computed in accordance with
   §73.684;

   (4) Low power TV or TV translator station—protected predicted contour,
   computed in accordance with §74.707(a);

   (5)  Cable  television  system  franchise area, nor will the diversity
   preference be available to applicants whose proposed transmitter site is
   located within the franchise area of a cable system in which its owners, in
   the aggregate, have an ownership interest of more than 50 percent.

   (6)  Daily  newspaper community of publication, nor will the diversity
   preference be available to applicants whose proposed transmitter site is
   located within the community of publication of a daily newspaper in which
   its owners, in the aggregate, have an ownership interest of more than 50
   percent.

   (7)  Multipoint Distribution Service—station service area, computed in
   accordance with §21.902(d).

   [ 48 FR 27202 , June 13, 1983, as amended at  50 FR 5992 , Feb. 13, 1985;  50 FR 11161 , Mar. 20, 1985]

§ 1.1623   Probability calculation.

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   (a) All calculations shall be computed to no less than three significant
   digits. Probabilities will be truncated to the number of significant digits
   used in a particular lottery.

   (b)  Divide  the  total  number  of  applicants into 1.00 to determine
   pre-preference probabilities.

   (c) Multiply each applicant's pre-preference probability by the applicable
   preference from §1.1622 (b)(2) or (b)(3).

   (d) Divide each applicant's probability pursuant to paragraph (c) of this
   section  by  the  sum  of such probabilities to determine intermediate
   probabilities.

   (e) Add the intermediate probabilities of all applicants who received a
   preference pursuant to §1.1622 (b)(2) or (b)(3).

   (f)(1)  If the sum pursuant to paragraph (e) of this section is .40 or
   greater, proceed to paragraph (g) of this section.

   (2) If the sum pursuant to paragraph (e) of this section is less than .40,
   then multiply each such intermediate probability by the ratio of .40 to such
   sum. Divide .60 by the number of applicants who did not receive a preference
   pursuant to §1.1622 (b)(2) or (b)(3) to determine their new intermediate
   probabilities.

   (g) Multiply each applicant's probability pursuant to paragraph (f) of this
   section by the applicable preference ratio from §1.1622(b)(1).

   (h) Divide each applicant's probability pursuant to paragraph (g) of this
   section by the sum of such probabilities to determine the final selection
   percentage.

Subpart M—Cable Operations and Licensing System (COALS)

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   Source:    68 FR 27001 , May 19, 2003, unless otherwise noted.

§ 1.1701   Purpose.

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   To provide electronic filing of applications, notifications, registration
   statements, reports, and related documents in the Multichannel Video and
   Cable Television Services and the Cable Television Relay Services.

§ 1.1702   Scope.

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   This subpart applies to filings required by §§76.403, 76.1610, 76.1801,
   76.1803, & 76.1804, and 78.11 through 78.36 of this chapter.

§ 1.1703   Definitions.

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   For purposes of this subpart, the following definitions apply:

   (a) Application. A request on Form 327 for a station license as defined in
   Section 3(b) of the Communications Act, completed in accordance with §78.15
   and signed in accordance with §78.16 of this chapter, or a similar request
   to amend a pending application or to modify or renew an authorization. The
   term also encompasses requests to assign rights granted by the authorization
   or to transfer control of entities holding authorizations.

   (b)  Authorization.  A  written instrument issued by the FCC conveying
   authority  to  operate, for a specified period, a station in the Cable
   Television Relay Service. In addition, this term includes authority conveyed
   by operation of rule upon filing notification of aeronautical frequency
   usage by MVPDs or registration statements by cable operators.

   (c)  Cable  Operations  And Licensing System (COALS). The consolidated
   database, application filing system, and processing system for Multichannel
   Video and Cable Television Services (MVCTS) and the Cable Television Relay
   Service  (CARS). COALS supports electronic filing of all applications,
   notifications, registrations, reports, and related documents by applicants
   and licensees in the MVCTS and CARS, and provides public access to licensing
   information.

   (d) Cable Television Relay Service (CARS). All services authorized under
   part 78 of this title.

   (e) Filings. Any application, notification, registration statement, or
   report in plain text or, when as prescribed, on FCC Forms 320, 321, 322,
   324, 325, or 327, whether filed in paper form or electronically.

   (f) Multichannel Video and Cable Television Services (MVCTS). All services
   authorized or operated in accordance with part 76 of this title.

   (g) Receipt date. The date an electronic or paper application is received at
   the appropriate location at the Commission or the lock box bank. Major
   amendments to pending applications as defined in §78.109 of this chapter,
   will result in the assignment of a new receipt date.

   (h) Signed. For manually filed applications only, an original hand-written
   signature.  For  electronically filed applications only, an electronic
   signature.  An  electronic  signature shall consist of the name of the
   applicant transmitted electronically via COALS and entered on the filing as
   a signature.

§ 1.1704   Station files.

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   Applications, notifications, correspondence, electronic filings and other
   material, and copies of authorizations, comprising technical, legal, and
   administrative data relating to each system in the Multichannel Video and
   Cable Television Services (MVCTS) and the Cable Television Relay Service
   (CARS) are maintained by the Commission in COALS and the Public Reference
   Room. These files constitute the official records for these stations and
   supersede any other records, database or lists from the Commission or other
   sources.

§ 1.1705   Forms; electronic and manual filing.

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   (a)  Application  forms. Operators in the Multichannel Video and Cable
   Television  Services  (MVCTS)  and  applicants and licensees the Cable
   Television Relay Service (CARS) shall use the following forms and associated
   schedules:

   (1) FCC Form 320, Basic Signal Leakage Performance Report. FCC Form 320 is
   used by MVPDs to report compliance with the basic signal leakage performance
   criteria.

   (2) FCC Form 321, Aeronautical Frequency Notification. FCC Form 321 is used
   by  MVPDs  to notify the Commission prior to operating channels in the
   aeronautical frequency bands.

   (3) FCC Form 322, Cable Community Registration. FCC Form 322 is used by
   cable system operators to commence operation for each community unit.

   (4) FCC Form 324, Operator, Address, and Operational Information Changes.
   FCC Form 324 is used by cable operators to notify the Commission of changes
   in administrative data about the operator and operational status changes.

   (5) FCC Form 325, Cable Television System Report. FCC Form 325 is used by
   cable operators to report general information and signal and frequency
   distribution data.

   (6) FCC Form 327, Application for Cable Television Relay Service Station
   License. FCC Form 327 and associated schedules is used to apply for initial
   authorizations, modifications to existing authorizations, amendments to
   pending applications, and renewals of station authorizations. FCC Form 327
   is also used to apply for Commission consent to assignments of existing CARS
   authorizations  and to apply for Commission consent to the transfer of
   control of entities holding CARS authorizations.

   (b) Electronic filing. Six months after the Commission announces their
   availability for electronic filing, all applications and other filings using
   FCC Forms 320, 321, 322, 324, 325, and 327 and their respective associated
   schedules must be filed electronically in accordance with the electronic
   filing instructions provided by COALS.

   (1) There will be two ways for parties to electronically file applications
   with the Commission: batch and interactive.

   (i)  Batch filing. Batch filing involves data transmission in a single
   action. Batch filers will follow a set Commission format for entering data.
   Batch filers will then send, via file transfer protocol, batches of data to
   the Commission for compiling. COALS will compile such filings overnight and
   respond the next business day with a return or dismissal of any defective
   filings. Thus, batch filers will not receive immediate correction from the
   system as they enter the information.

   (ii) Interactive filing. Interactive filing involves data transmission with
   screen-by-screen prompting from the Commission's COALS system. Interactive
   filers will receive prompts from the system identifying data entries outside
   the acceptable ranges of data for the individual fields at the time the data
   entry is made.

   (2)  Attachments  to  applications  must  be  uploaded  along with the
   electronically filed application whenever possible.

   (3) Any associated documents submitted with an application must be uploaded
   as attachments to the application whenever possible. The attachment should
   be  uploaded via COALS in Adobe Acrobat Portable Document Format (PDF)
   whenever possible.

   (c) Manual filing. (1) Forms 320, 321, 322, 324, 325, and 327 may be filed
   manually.

   (2) Manual filings must be submitted to the Commission at the appropriate
   address with the appropriate filing fee. The addresses for filing and the
   fee amounts for particular applications are listed in subpart G of this
   part, and in the appropriate fee filing guide for each service available
   from the Commission's Forms Distribution Center by calling 1–800–418–FORM
   (3676).  The  form  may  be downloaded from the Commission's Web site:
   http://www.fcc.gov. 

   (3) Manual filings requiring fees as set forth at subpart G, of this part
   must be filed in accordance with §0.401(b) of this chapter.

   (4) Manual filings that do not require fees must be addressed and sent to
   the Media Bureau, Federal Communications Commission, 445 12th Street, SW.,
   Washington, DC 20554.

   (5) FCC forms may be reproduced and the copies used in accordance with the
   provisions of §0.409 of this chapter.

   (d) Applications requiring prior coordination. Parties filing applications
   that require frequency coordination shall, prior to filing, complete all
   applicable frequency coordination requirements in §78.36 of this chapter.

§ 1.1706   Content of filings.

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   (a)  General.  Filings  must  contain all information requested on the
   applicable form and any additional information required by the rules in this
   title and any rules pertaining to the specific service for which the filing
   is made.

   (b) Antenna locations. Applications for CARS stations and aeronautical
   frequency usage notifications must describe each transmitting antenna site
   or  center  of  the  cable  system,  respectively, by its geographical
   coordinates. Geographical coordinates must be specified in degrees, minutes,
   and seconds to the nearest tenth of a second of latitude and longitude.
   Submissions must provide such data using the NAD83 datum.

   (c) Antenna structure registration. Owners of certain antenna structures
   must  notify the Federal Aviation Administration and register with the
   Commission as required by Part 17 of this chapter. Applications proposing
   the use of one or more new or existing antenna structures must contain the
   FCC Antenna Registration Number(s) of each structure for which registration
   is required. If registration is not required, the applicant must provide
   information in its application sufficient for the Commission to verify this
   fact.

   (d) Environmental concerns. Each applicant is required to indicate at the
   time its application is filed whether a Commission grant of the application
   may have a significant environmental effect, as defined by §1.1307. If yes,
   an Environmental Assessment, required by §1.1311, must be filed with the
   application and environmental review by the Commission must be completed
   prior to construction.

   (e) International coordination. Channel assignments and usage under part 78
   are subject to the applicable provisions and requirements of treaties and
   other international agreements between the United States government and the
   governments of Canada and Mexico.

   (f)  Taxpayer Identification Number (TINs). All filers are required to
   provide their Taxpayer Identification Numbers (TINS) (as defined in 26
   U.S.C. 6109) to the Commission, pursuant to the Debt Collection Improvement
   Act  of  1996  (DCIA). Under the DCIA, the FCC may use an applicant or
   licensee's TIN for purposes of collecting and reporting to the Department of
   the  Treasury  any  delinquent  amounts  arising  out of such person's
   relationship with the Government.

§ 1.1707   Acceptance of filings.

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   Regardless of filing method, all submissions with an insufficient fee,
   grossly  deficient or inaccurate information, or those without a valid
   signature will be dismissed immediately. For any submission that is found
   subsequently to have minimally deficient or inaccurate information, we will
   notify the filer of the defect. We will allow 15 days from the date of this
   notification for correction or amendment of the submission if the amendment
   is minor. If the applicant files a timely corrected application, it will
   ordinarily  be  processed  as a minor amendment in accordance with the
   Commission's rules. Thus it will have no effect on the initial filing date
   of the application or the applicant's filing priority. If, however, the
   amendment made by the applicant is not a simple correction, but constitutes
   a major amendment to the application, it will be governed by the rules and
   procedures applicable to major amendments, that is, it will be treated as a
   new application with a new filing date and new fees must be paid by the
   applicant. Finally, if the applicant fails to submit an amended application
   within the period specified in the notification, the application will be
   subject to dismissal for failure to prosecute.

Subpart N—Enforcement of Nondiscrimination on the Basis of Disability In
Programs or Activities Conducted By the Federal Communications Commission

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   Source:    68 FR 22316 , Apr. 28, 2003, unless otherwise noted.

§ 1.1801   Purpose.

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   The purpose of this part is to effectuate section 119 of the Rehabilitation,
   Comprehensive Services, and Developmental Disabilities Amendments of 1978,
   which amended section 504 of the Rehabilitation Act of 1973 (section 504) to
   prohibit discrimination on the basis of disability in programs or activities
   conducted by Executive agencies or the United States Postal Service.

§ 1.1802   Applications.

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   This part applies to all programs or activities conducted by the Federal
   Communications Commission. The programs or activities of entities that are
   licensed or certified by the Federal Communications Commission are not
   covered by these regulations.

§ 1.1803   Definitions.

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   For purposes of this part, the term—

   Auxiliary aids means services or devices that enable persons with impaired
   sensory,  manual,  or  speaking skills to have an equal opportunity to
   participate in, and enjoy the benefits of, programs or activities conducted
   by the Commission. For example, auxiliary aids useful for persons with
   impaired vision include readers, Brailled materials, audio recordings, and
   other similar services and devices. Auxiliary aids useful for persons with
   impaired hearing include telephone handset amplifiers, telephones compatible
   with hearing aids, telecommunication devices for deaf persons (TTY/TDDs),
   interpreters, Computer-aided realtime transcription (CART), captioning,
   notetakers, written materials, and other similar services and devices.

   Commission means Federal Communications Commission.

   Complete complaint means a written statement, or a complaint in audio,
   Braille, electronic, and/or video format, that contains the complainant's
   name and address and describes the Commission's alleged discriminatory
   action in sufficient detail to inform the Commission of the nature and date
   of  the  alleged  violation  of section 504. It shall be signed by the
   complainant or by someone authorized to do so on his or her behalf. The
   signature of the complainant, or signature of someone authorized by the
   complainant  to do so on his or her behalf, shall be provided on print
   complaints. Complaints in audio, Braille, electronic, and/or video formats
   shall contain an affirmative identity statement of the individual, which for
   this  purpose  shall  be considered to be functionally equivalent to a
   complainant's signature. Complaints filed on behalf of classes or third
   parties  shall describe or identify (by name, if possible) the alleged
   victims of discrimination.

   Facility means all or any portion of buildings, structures, equipment,
   roads, walks, parking lots, or other real or personal property.

   General Counsel means the General Counsel of the Federal Communications
   Commission.

   Individual with a disability means any individual who has a physical or
   mental  impairment  that  substantially  limits one or more major life
   activities, has a record of such an impairment, or is regarded as having
   such an impairment. As used in this definition, the phrase:

   (1) Physical or mental impairment includes, but is not limited to—

   (i) Any physiological disorder or condition, cosmetic disfigurement, or
   anatomical  loss  affecting one or more of the following body systems:
   Neurological; musculoskeletal; special sense organs; respiratory, including
   speech organs; cardiovascular; reproductive; digestive; genitourinary; hemic
   and lymphatic; skin; and endocrine;

   (ii) Any mental or psychological disorder, such as mental retardation,
   organic brain syndrome, emotional or mental illness, and specific learning
   disabilities;

   (iii)  Diseases and conditions such as orthopedic, visual, speech, and
   hearing impairments; cerebral palsy; epilepsy; muscular dystrophy; multiple
   sclerosis; cancer; heart disease; diabetes; mental retardation; emotional
   illness; and drug addiction and alcoholism.

   (2) Major life activities include functions such as caring for one's self,
   performing manual tasks, walking, seeing, hearing, speaking, breathing,
   learning, and working.

   (3) Has a record of such an impairment means has a history of, or has been
   misclassified as having, a mental or physical impairment that substantially
   limits one or more major life activities.

   (4) Is regarded as having an impairment means—

   (i) Has a physical or mental impairment that does not substantially limit
   major life activities but is treated by the Commission as constituting such
   a limitation;

   (ii) Has a physical or mental impairment that substantially limits major
   life activities only as a result of the attitudes of others toward such
   impairment; or

   (iii)  Has  none  of  the impairments defined in paragraph (1) of this
   definition but is treated by the Commission as having such impairment.

   Managing Director means the individual delegated authority as described in
   47 CFR 0.11.

   Programs or Activities mean any activity of the Commission permitted or
   required  by  its  enabling statutes, including but not limited to any
   licensing or certification program, proceeding, investigation, hearing,
   meeting, board or committee.

   Qualified individual with a disability means—

   (1)  With respect to any Commission program or activity under which an
   individual  is  required  to perform services or to achieve a level of
   accomplishment,  an  individual with a disability who, with or without
   reasonable modification to rules, policies, or practices or the provision of
   auxiliary  aids,  meets  the  essential  eligibility  requirements for
   participation in the program or activity and can achieve the purpose of the
   program or activity; or

   (2) With respect to any other program or activity, an individual with a
   disability who, with or without reasonable modification to rules, policies,
   or  practices  or the provision of auxiliary aids, meets the essential
   eligibility requirements for participation in, or receipt of benefits from,
   that program or activity; or

   (3) The definition of that term as defined for purposes of employment in 29
   CFR 1630.2(m), which is made applicable to this part by §1.1840.

   Section 504 means section 504 of the Rehabilitation Act of 1973, Public Law
   93–112, 87 Stat. 394, 29 U.S.C. 794, as amended by the Rehabilitation Act
   Amendments  of  1974,  Public  Law  93–516,  88  Stat.  1617,  and the
   Rehabilitation, Comprehensive Services, and Developmental Disabilities
   Amendments of 1978, Public Law 95–602, 92 Stat. 2955, and the Rehabilitation
   Act Amendments of 1986, sec. 103(d), Public Law 99–506, 100 Stat. 1810. As
   used  in this part, section 504 applies only to programs or activities
   conducted by Executive agencies and not to federally assisted programs.

   Section 504 Officer is the Commission employee charged with overseeing the
   Commission's section 504 programs and activities.

§ 1.1805   Federal Communications Commission Section 504 Programs and
Activities Accessibility Handbook.

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   The  Consumer  &  Governmental Affairs Bureau shall publish a “Federal
   Communications Commission Section 504 Programs and Activities Accessibility
   Handbook” (“Section 504 Handbook”) for Commission staff, and shall update
   the Section 504 Handbook as necessary and at least every three years. The
   Section 504 Handbook shall be available to the public in hard copy upon
   request and electronically on the Commission's Internet website. The Section
   504 Handbook shall contain procedures for releasing documents, holding
   meetings, receiving comments, and for other aspects of Commission programs
   and activities to achieve accessibility. These procedures will ensure that
   the Commission presents a consistent and complete accommodation policy
   pursuant to 29 U.S.C. 794, as amended. The Section 504 Handbook is for
   internal staff use and public information only, and is not intended to
   create any rights, responsibilities, or independent cause of action against
   the Federal Government.

§ 1.1810   Review of compliance.

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   (a) The Commission shall, beginning in 2004 and at least every three years
   thereafter, review its current policies and practices in view of advances in
   relevant technology and achievability. Based on this review, the Commission
   shall modify its practices and procedures to ensure that the Commission's
   programs and activities are fully accessible.

   (b) The Commission shall provide an opportunity to interested persons,
   including  individuals with disabilities or organizations representing
   individuals with disabilities, to participate in the review process by
   submitting comments. Written comments shall be signed by the commenter or by
   someone authorized to do so on his or her behalf. The signature of the
   commenter, or signature of someone authorized by the commenter to do so on
   his or her behalf, shall be provided on print comments. Comments in audio,
   Braille, electronic, and/or video formats shall contain an affirmative
   identity  statement of the individual, which for this purpose shall be
   considered to be functionally equivalent to a commenter's signature.

   (c) The Commission shall maintain on file and make available for public
   inspection for four years following completion of the compliance review—

   (1) A description of areas examined and problems identified;

   (2) All comments and complaints filed regarding the Commission's compliance;
   and

   (3) A description of any modifications made.

§ 1.1811   Notice.

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   The Commission shall make available to employees, applicants, participants,
   beneficiaries,  and other interested persons information regarding the
   regulations set forth in this part, and their applicability to the programs
   or activities conducted by the Commission. The Commission shall make such
   information available to such persons in such manner as the Section 504
   Officer finds necessary to apprise such persons of the protections against
   discrimination assured them by section 504.

§ 1.1830   General prohibitions against discrimination.

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   (a)  No  qualified individual with a disability shall, on the basis of
   disability, be excluded from participation in, be denied the benefits of, or
   otherwise be subjected to discrimination under any program or activity
   conducted by the Commission.

   (b) Discriminatory actions prohibited.

   (1) The Commission, in providing any aid, benefit, or service, may not,
   directly or through contractual, licensing, or other arrangements, on the
   basis of disability—

   (i)  Deny  a qualified individual with a disability the opportunity to
   participate in or benefit from the aid, benefit, or service;

   (ii) Afford a qualified individual with a disability an opportunity to
   participate in or benefit from the aid, benefit, or service that is not
   equal to that afforded others;

   (iii) Provide a qualified individual with a disability with an aid, benefit,
   or service that is not as effective in affording equal opportunity to obtain
   the same result, to gain the same benefit, or to reach the same level of
   achievement as that provided to others;

   (iv) Provide different or separate aid, benefits, or services to individuals
   with disabilities or to any class of individuals with disabilities than is
   provided to others unless such action is necessary to provide qualified
   individuals with disabilities with aid, benefits, or services that are as
   effective as those provided to others;

   (v)  Deny  a qualified individual with a disability the opportunity to
   participate as a member of planning or advisory boards; or

   (vi)  Otherwise  limit a qualified individual with a disability in the
   enjoyment of any right, privilege, advantage, or opportunity enjoyed by
   others receiving the aid, benefit, or service.

   (2) The Commission may not deny a qualified individual with a disability the
   opportunity  to  participate in any program or activity even where the
   Commission is also providing equivalent permissibly separate or different
   programs or activities for persons with disabilities.

   (3)  The  Commission may not, directly or through contractual or other
   arrangements, utilize criteria or methods of administration—

   (i) That have the purpose or effect of subjecting qualified individuals with
   disabilities to discrimination on the basis of disability; or

   (ii) That have the purpose or effect of defeating or substantially impairing
   accomplishment of the objectives of a program or activity with respect to
   individuals with disabilities.

   (4)  The  Commission may not, in determining the site or location of a
   facility, make selections—

   (i)  That  have  the  purpose  or effect of excluding individuals with
   disabilities from, denying them the benefits of, or otherwise subjecting
   them  to discrimination under any program or activity conducted by the
   Commission; or

   (ii) That have the purpose or effect of defeating or substantially impairing
   the accomplishment of the objectives of a program or activity with respect
   to individuals with disabilities.

   (5) The Commission, in the selection of procurement contractors, may not use
   criteria  that  subject  qualified  individuals  with  disabilities to
   discrimination on the basis of disability.

   (6) The Commission may not administer a licensing or certification program
   in  a  manner that subjects qualified individuals with disabilities to
   discrimination on the basis of disability, nor may the Commission establish
   requirements  for the programs or activities of licensees or certified
   entities  that  subject  qualified  individuals  with  disabilities to
   discrimination  on  the  basis of disability. However, the programs or
   activities of entities that are licensed or certified by the Commission are
   not, themselves, covered by this part.

   (7)  The  Commission  shall make reasonable modifications in policies,
   practices, or procedures when the modifications are necessary to avoid
   discrimination  on  the basis of disability, unless the Commission can
   demonstrate that making the modifications would fundamentally alter the
   nature of the program, service, or activity.

   (c)  This  part  does  not  prohibit  the exclusion of persons without
   disabilities from the benefits of a program limited by Federal statute or
   Executive order to individuals with disabilities, or the exclusion of a
   specific class of individuals with disabilities from a program limited by
   Federal statute or Executive order to a different class of individuals with
   disabilities.

   (d) The Commission shall administer programs and activities in the most
   integrated setting appropriate to the needs of qualified individuals with
   disabilities.

§ 1.1840   Employment.

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   No qualified individual with a disability shall, on the basis of disability,
   be subjected to discrimination in employment under any program or activity
   conducted by the Commission. The definitions, requirements and procedures of
   section 501 of the Rehabilitation Act of 1973, 29 U.S.C. 791, as established
   by the Equal Employment Opportunity Commission in 29 CFR parts 1614 and
   1630,  as  well  as the procedures set forth in the Basic Negotiations
   Agreement  Between  the Federal Communications Commission and National
   Treasury  Employees Union, as amended, and Subchapter III of the Civil
   Service Reform Act of 1978, 5 U.S.C. 7121(d), shall apply to employment in
   federally conducted programs or activities.

§ 1.1849   Program accessibility: Discrimination prohibited.

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   (a) Except as otherwise provided in §1.1850, no qualified individual with a
   disability shall, because the Commission's facilities are inaccessible to,
   or unusable, by individuals with disabilities, be denied the benefits of, be
   excluded from participation in, or otherwise be subjected to discrimination
   under any program or activity conducted by the Commission.

   (b) Individuals shall request accessibility to the Commission's programs and
   facilities by contacting the Commission's Section 504 Officer. Such contact
   may be made in the manner indicated in the FCC Section 504 Handbook. The
   Commission will make every effort to provide accommodations requiring the
   assistance of other persons ( e.g., American Sign Language interpreters,
   communication access realtime translation (CART) providers, transcribers,
   captioners, and readers) if the request is made to the Commission's Section
   504 Officer a minimum of five business days in advance of the program. If
   such requests are made fewer than five business days prior to an event, the
   Commission will make every effort to secure accommodation services, although
   it  may be less likely that the Commission will be able to secure such
   services.

§ 1.1850   Program accessibility: Existing facilities.

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   (a) General. Except as otherwise provided in this paragraph, the Commission
   shall operate each program or activity so that the program or activity, when
   viewed in its entirety, is readily accessible to and usable by individuals
   with disabilities. This paragraph does not—

   (1)  Necessarily  require  the Commission to make each of its existing
   facilities accessible to and usable by individuals with disabilities;

   (2) Require the Commission to take any action that it can demonstrate would
   result in a fundamental alteration in the nature of a program or activity,
   or in undue financial and administrative burdens. In those circumstances
   where  Commission  personnel  believe  that  the proposed action would
   fundamentally  alter  the program or activity or would result in undue
   financial and administrative burdens, the Commission has the burden of
   proving that compliance with §1.1850(a) would result in such alteration or
   burdens. The decision that compliance would result in such alteration or
   burdens must be made by the Managing Director, in consultation with the
   Section 504 Officer, after considering all Commission resources available
   for use in the funding and operation of the conducted program or activity,
   and must be accompanied by a written statement of the reasons for reaching
   that conclusion. If an action would result in such an alteration or such
   burdens, the Commission shall take any other action that would not result in
   such  an alteration or such burdens but would nevertheless ensure that
   individuals with disabilities receive the benefits and services of the
   program or activity.

   (b) Methods. The Commission may comply with the requirements of this section
   through such means as the redesign of equipment, reassignment of services to
   accessible buildings, assignment of aides to beneficiaries, home visits,
   delivery of services at alternate accessible sites, alteration of existing
   facilities and construction of new facilities, or any other methods that
   result in making its programs or activities readily accessible to and usable
   by individuals with disabilities. The Commission is not required to make
   structural changes in existing facilities where other methods are effective
   in  achieving  compliance with this section. The Commission, in making
   alterations to existing buildings, shall meet accessibility requirements to
   the extent compelled by the Architectural Barriers Act of 1968, as amended
   (42 U.S.C. 4151–4157), and any regulations implementing it. In choosing
   among available methods for meeting the requirements of this section, the
   Commission shall give priority to those methods that offer programs and
   activities to qualified individuals with disabilities in the most integrated
   setting appropriate.

   (c)  Time  period for compliance. The Commission shall comply with the
   obligations established under this section within sixty (60) days of the
   effective date of this subpart, except that where structural changes in
   facilities are undertaken, such changes shall be made within three (3) years
   of the effective date of this part.

   (d) Transition plan. In the event that structural changes to facilities will
   be  undertaken  to achieve program accessibility, the Commission shall
   develop, within six (6) months of the effective date of this subpart, a
   transition plan setting forth the steps necessary to complete such changes.
   The Commission shall provide an opportunity to interested persons, including
   individuals with disabilities or organizations representing individuals with
   disabilities, to participate in the development of the transition plan by
   submitting comments (both oral and written). A copy of the transitional plan
   shall  be  made  available for public inspection. The plan shall, at a
   minimum—

   (1) Identify physical obstacles in the Commission's facilities that limit
   the  accessibility  of  its programs or activities to individuals with
   disabilities;

   (2) Describe in detail the methods that will be used to make the facilities
   accessible;

   (3)  Specify  the  schedule  for taking the steps necessary to achieve
   compliance with this section and, if the time period of the transition plan
   is longer than one (1) year, identify steps that will be taken during each
   year of the transition period; and

   (4) Indicate the official responsible for implementation of the plan.

§ 1.1851   Building accessibility: New construction and alterations.

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   Each building or part of a building that is constructed or altered by, on
   behalf of, or for the use of the Commission shall be designed, constructed,
   or altered so as to be readily accessible to and usable by individuals with
   disabilities.  The  definitions,  requirements  and  standards  of the
   Architectural Barriers Act, 42 U.S.C. 4151–4157, as established in 41 CFR
   101–19.600 to 101–19.607, apply to buildings covered by this section.

§ 1.1870   Compliance procedures.

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   (a)  Except as provided in paragraph (b) of this section, this section
   applies to all allegations of discrimination on the basis of disability in
   programs or activities conducted by the Commission.

   (b) The Commission shall process complaints alleging violations of section
   504 with respect to employment according to the procedures established by
   the Equal Employment Opportunity Commission in 29 CFR part 1614 pursuant to
   section 501 of the Rehabilitation Act of 1973, 29 U.S.C. 791.

   (c)  Complaints  alleging violation of section 504 with respect to the
   Commission's programs and activities shall be addressed to the Managing
   Director and filed with the Office of the Secretary, Federal Communications
   Commission, 445 12th Street, SW., Room TWB–204, Washington, DC 20554.

   (d) Acceptance of complaint. (1) The Commission shall accept and investigate
   all complete complaints, as defined in §1.1803 of this part, for which it
   has jurisdiction. All such complaints must be filed within one-hundred
   eighty (180) days of the alleged act of discrimination. The Commission may
   extend this time period for good cause.

   (2) If the Commission receives a complaint that is not complete as defined
   in §1.1803 of this part, the complainant will be notified within thirty (30)
   days of receipt of the incomplete complaint that additional information is
   needed. If the complainant fails to complete the complaint within thirty
   (30)  days of receipt of this notice, the Commission shall dismiss the
   complaint without prejudice.

   (e) If the Commission receives a complaint over which it does not have
   jurisdiction,  it shall promptly notify the complainant and shall make
   reasonable efforts to refer the complaint to the appropriate government
   entity.

   (f)  The  Commission shall notify the Architectural and Transportation
   Barriers Compliance Board upon receipt of any complaint alleging that a
   building or facility that is subject to the Architectural Barriers Act of
   1968, as amended, 42 U.S.C. 4151–4157, is not readily accessible to and
   usable by individuals with disabilities.

   (g)  Within one-hundred eighty (180) days of the receipt of a complete
   complaint,  as  defined in §1.1803, for which it has jurisdiction, the
   Commission shall notify the complainant of the results of the investigation
   in a letter containing—

   (1) Findings of fact and conclusions of law;

   (2) A description of a remedy for each violation found; and

   (3) A notice of the right to appeal.

   (h) Appeals of the findings of fact and conclusions of law or remedies must
   be filed by the complainant within ninety (90) days of receipt from the
   Commission of the letter required by §1.1870(g). The Commission may extend
   this time for good cause.

   (i) Timely appeals shall be accepted and processed by the Office of the
   Secretary, Federal Communications Commission, 445 12th Street, SW., Room
   TWB–204, Washington, DC 20554.

   (j) The Commission shall notify the complainant of the results of the appeal
   within  sixty  (60)  days of the receipt of the appeal request. If the
   Commission  determines  that  it needs additional information from the
   complainant, and requests such information, the Commission shall have sixty
   (60) days from the date it receives the additional information to make its
   determination on the appeal.

   (k) The time limits cited in (g) and (j) of this section may be extended
   with the permission of the General Counsel.

   (l) The Commission may delegate its authority for conducting complaint
   investigations to other federal agencies, except that the authority for
   making the final determination may not be delegated to another agency.

Subpart O—Collection of Claims Owed the United States

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   Authority:   31 U.S.C. 3701; 31 U.S.C. 3711 et seq. ; 5 U.S.C. 5514; sec.
   8(1) of E.O. 11609 (3 CFR, 1971–1975 Comp., p.586); redesignated in sec.
   2–1 of E.O. 12107; (3 CFR, 1978 Comp., p. 264); 31 CFR parts 901–904; 5 CFR
   part 550.

   Source:    69 FR 27848 , May 17, 2004, unless otherwise noted.

General Provisions

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§ 1.1901   Definitions and construction.

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   For purposes of this subpart:

   (a) The term administrative offset means withholding money payable by the
   United  States Government to, or held by the Government for, a person,
   organization, or entity to satisfy a debt the person, organization, or
   entity owes the Government.

   (b)  The  term  agency  or Commission means the Federal Communications
   Commission (including the Universal Service Fund, the Telecommunications
   Relay Service Fund, and any other reporting components of the Commission) or
   any other agency of the U.S. Government as defined by section 105 of title 5
   U.S.C., the U.S. Postal Service, the U.S. Postal Rate Commission, a military
   department as defined by section 102 of title 5 U.S.C., an agency or court
   of the judicial branch, or an agency of the legislative branch, including
   the U.S. Senate and the U.S. House of Representatives.

   (c) The term agency head means the Chairman of the Federal Communications
   Commission.

   (d) The term application includes in addition to petitions and applications
   elsewhere defined in the Commission's rules, any request, as for assistance,
   relief, declaratory ruling, or decision, by the Commission or on delegated
   authority.

   (e) The terms claim and debt are deemed synonymous and interchangeable. They
   refer to an amount of money, funds, or property that has been determined by
   an  agency  official  to  be due to the United States from any person,
   organization, or entity, except another Federal agency. For purposes of
   administrative offset under 31 U.S.C. 3716, the terms “claim” and “debt”
   include an amount of money, funds, or property owed by a person to a State,
   the District of Columbia, American Samoa, Guam, the United States Virgin
   Islands,  the  Commonwealth  of  the  Northern Mariana Islands, or the
   Commonwealth of Puerto Rico. “Claim” and “debt” include amounts owed to the
   United States on account of extension of credit or loans made by, insured or
   guaranteed by the United States and all other amounts due the United States
   from fees, leases, rents, royalties, services, sales of real or personal
   property, overpayments, penalties, damages, interest, taxes, and forfeitures
   issued after a notice of apparent liability that have been partially paid or
   for which a court of competent jurisdiction has order payment and such order
   is final (except those arising under the Uniform Code of Military Justice),
   and other similar sources.

   (f) The term creditor agency means the agency to which the debt is owed.

   (g) The term debt collection center means an agency of a unit or subagency
   within an agency that has been designated by the Secretary of the Treasury
   to collect debt owed to the United States. The Financial Management Service
   (FMS), Fiscal Service, United States Treasury, is a debt collection center.

   (h) The term demand letter includes written letters, orders, judgments, and
   memoranda from the Commission or on delegated authority.

   (i) The term “ delinquent ” means a claim or debt which has not been paid by
   the  date  specified  by  the agency unless other satisfactory payment
   arrangements have been made by that date, or, at any time thereafter, the
   debtor has failed to satisfy an obligation under a payment agreement or
   instrument with the agency, or pursuant to a Commission rule. For purposes
   of this subpart only, an installment payment under 47 CFR 1.2110(g) will not
   be considered deliquent until the expiration of all applicable grace periods
   and any other applicable periods under Commission rules to make the payment
   due. The rules set forth in this subpart in no way affect the Commission's
   rules,  as  may  be amended, regarding payment for licenses (including
   installment,  down,  or  final  payments) or automatic cancellation of
   Commission licenses (see 47 CFR 1.1902(f)).

   (j) The term disposable pay means that part of current basic pay, special
   pay, incentive pay, retired pay, retainer pay, or in the case of an employee
   not  entitled  to  basic pay, other authorized pay remaining after the
   deduction  of any amount required by law to be withheld. Agencies must
   exclude deductions described in 5 CFR 581.105(b) through (f) to determine
   disposable pay subject to salary offset.

   (k) The term employee means a current employee of the Commission or of
   another agency, including a current member of the Armed Forces or a Reserve
   of the Armed Forces (Reserve).

   (l)  The  term  entity  includes  natural persons, legal associations,
   applicants, licensees, and regulatees.

   (m) The term FCCS means the Federal Claims Collection Standards jointly
   issued by the Secretary of the Treasury and the Attorney General of the
   United States at 31 CFR parts 900–904.

   (n) The term paying agency means the agency employing the individual and
   authorizing the payment of his or her current pay.

   (o) The term referral for litigation means referral to the Department of
   Justice for appropriate legal proceedings except where the Commission has
   the statutory authority to handle the litigation itself.

   (p) The term reporting component means any program, account, or entity
   required to be included in the Agency's Financial Statements by generally
   accepted accounting principles for Federal Agencies.

   (q) The term salary offset means an administrative offset to collect a debt
   under 5 U.S.C. 5514 by deduction(s) at one or more officially established
   pay intervals from the current pay account of an employee without his or her
   consent.

   (r) The term waiver means the cancellation, remission, forgiveness, or
   non-recovery of a debt or fee, including, but not limited to, a debt due to
   the United States, by an entity or an employee to an agency and as the
   waiver is permitted or required by 5 U.S.C. 5584, 10 U.S.C. 2774, 31 U.S.C.
   3711, or any other law.

   (s) Words in the plural form shall include the singular, and vice-versa, and
   words  signifying the masculine gender shall include the feminine, and
   vice-versa. The terms includes and including do not exclude matters not
   listed but do include matters of the same general class.

§ 1.1902   Exceptions.

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   (a) Claims arising from the audit of transportation accounts pursuant to 31
   U.S.C. 3726 shall be determined, collected, compromised, terminated or
   settled in accordance with regulations published under the authority of 31
   U.S.C. 3726 (see 41 CFR part 101–41).

   (b) Claims arising out of acquisition contracts subject to the Federal
   Acquisition Regulations (FAR) shall be determined, collected, compromised,
   terminated, or settled in accordance with those regulations. (See 48 CFR
   part 32). If not otherwise provided for in the FAR, contract claims that
   have  been  the  subject  of a contracting officer's final decision in
   accordance with section 6(a) of the Contract Disputes Act of 1978 (41 U.S.C.
   605(a)), may be determined, collected, compromised, terminated or settled
   under the provisions of this regulation, except that no additional review of
   the debt shall be granted beyond that provided by the contracting officer in
   accordance with the provisions of section 6 of the Contract Disputes Act of
   1978 (41 U.S.C. 605), and the amount of any interest, administrative charge,
   or penalty charge shall be subject to the limitations, if any, contained in
   the contract out of which the claim arose.

   (c)  Claims  based  in whole or in part on conduct in violation of the
   antitrust laws, or in regard to which there is an indication of fraud, the
   presentation of a false claim, or a misrepresentation on the part of the
   debtor or any other party having an interest in the claim, shall be referred
   to  the  Department  of Justice (DOJ) as only the DOJ has authority to
   compromise, suspend, or terminate collection action on such claims. The
   standards in the FCCS relating to the administrative collection of claims do
   apply, but only to the extent authorized by the DOJ in a particular case.
   Upon identification of a claim based in whole or in part on conduct in
   violation  of  the  antitrust  laws  or any claim involving fraud, the
   presentation of a false claim, or misrepresentation on the part of the
   debtor or any party having an interest in the claim, the Commission shall
   promptly refer the case to the Department of Justice for action. At its
   discretion,  the DOJ may return the claim to the forwarding agency for
   further handling in accordance with the standards in the FCCS.

   (d) Tax claims are excluded from the coverage of this regulation.

   (e) The Commission will attempt to resolve interagency claims by negotiation
   in accordance with Executive Order 12146 (3 CFR 1980 Comp., pp. 409–412).

   (f) Nothing in this subpart shall supercede or invalidate other Commission
   rules, such as the part 1 general competitive bidding rules (47 CFR part 1,
   subpart Q) or the service specific competitive bidding rules, as may be
   amended, regarding the Commission's rights, including but not limited to the
   Commission's right to cancel a license or authorization, obtain judgment, or
   collect interest, penalties, and administrative costs.

§ 1.1903   Use of procedures.

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   Procedures authorized by this regulation (including, but not limited to,
   disclosure  to a consumer reporting agency, contracting for collection
   services, administrative offset and salary offset) may be used singly or in
   combination, so long as the requirements of applicable law and regulation
   are satisfied.

§ 1.1904   Conformance to law and regulations.

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   The requirements of applicable law (31 U.S.C. 3701–3719, as amended by
   Public Law 97–365, 96 Stat. 1749 and Public Law 104–134, 110 Stat. 1321,
   1358) have been implemented in government-wide standards which include the
   Regulations of the Office of Personnel Management (5 CFR part 550) and the
   Federal Claims Collection Standards issued jointly by the Secretary of the
   Treasury  and  the Attorney General of the United States (31 CFR parts
   900–904). Not every item in the previous sentence described standards has
   been incorporated or referenced in this regulation. To the extent, however,
   that circumstances arise which are not covered by the terms stated in these
   regulations, the Commission will proceed in any actions taken in accordance
   with applicable requirements found in the standards referred to in this
   section.

§ 1.1905   Other procedures; collection of forfeiture penalties.

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   Nothing contained in these regulations is intended to require the Commission
   to duplicate administrative or other proceedings required by contract or
   other laws or regulations, nor do these regulations supercede procedures
   permitted or required by other statutes or regulations. In particular, the
   assessment and collection of monetary forfeitures imposed by the Commission
   will be governed initially by the procedures prescribed by 47 U.S.C. 503,
   504 and 47 CFR 1.80. After compliance with those procedures, the Commission
   may  determine  that the collection of a monetary forfeiture under the
   collection alternatives prescribed by this subpart is appropriate but need
   not  duplicate administrative or other proceedings. Fees and penalties
   prescribed by law, e.g. , 47 U.S.C. 158 and 159, and promulgated under the
   authority of 47 U.S.C. 309(j) ( e.g. , 47 CFR part 1, subpart Q) may be
   collected  as permitted by applicable law. Nothing contained herein is
   intended to restrict the Commission from exercising any other right to
   recover or collect amounts owed to it.

§ 1.1906   Informal action.

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   Nothing contained in these regulations is intended to preclude utilization
   of  informal administrative actions or remedies which may be available
   (including,  e.g.  ,  Alternative  Dispute Resolution), and/or for the
   Commission to exercise rights as agreed to among the parties in written
   agreements, including notes and security agreements.

§ 1.1907   Return of property or collateral.

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   Nothing contained in this regulation is intended to deter the Commission
   from exercising any other right under law or regulation or by agreement it
   may have or possess, or to exercise its authority and right as a regulator
   under the Communications Act of 1934, as amended, and the Commission's
   rules, and demanding the return of specific property or from demanding, as a
   non-exclusive alternative, either the return of property or the payment of
   its  value  or the amount due the United States under any agreement or
   Commission rule.

§ 1.1908   Omissions not a defense.

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   The failure or omission of the Commission to comply with any provision in
   this regulation shall not serve as a defense to any debtor.

§ 1.1909   [Reserved]

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§ 1.1910   Effect of insufficient fee payments, delinquent debts, or debarment.

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   (a)(1) An application (including a petition for reconsideration or any
   application for review of a fee determination) or request for authorization
   subject  to the FCC Registration Number (FRN) requirement set forth in
   subpart W of this chapter will be examined to determine if the applicant has
   paid  the appropriate application fee, appropriate regulatory fees, is
   delinquent in its debts owed the Commission, or is debarred from receiving
   Federal benefits ( see, e.g. , 31 CFR 285.13; 47 CFR part 1, subpart P).

   (2) Fee payments, delinquent debt, and debarment will be examined based on
   the entity's taxpayer identifying number (TIN), supplied when the entity
   acquired or was assigned an FRN. See 47 CFR 1.8002(b)(1).

   (b)(1)  Applications  by  any entity found not to have paid the proper
   application or regulatory fee will be handled pursuant to the rules set
   forth in 47 CFR part 1, subpart G.

   (2) Action will be withheld on applications, including on a petition for
   reconsideration or any application for review of a fee determination, or
   requests for authorization by any entity found to be delinquent in its debt
   to the Commission (see §1.1901(j)), unless otherwise provided for in this
   regulation, e.g., 47 CFR 1.1928 (employee petition for a hearing). The
   entity will be informed that action will be withheld on the application
   until full payment or arrangement to pay any non-tax delinquent debt owed to
   the Commission is made and/or that the application may be dismissed. See the
   provisisons of §§1.1108, 1.1109, 1.1116 and 1.1118. Any Commission action
   taken prior to the payment of delinquent non-tax debt owed to the Commission
   is contingent and subject to recission. Failure to make payment on any
   delinquent debt is subject to collection of the debt, including interest
   thereon, any associated penalties, and the full cost of collection to the
   Federal  government  pursuant to the provisions of the Debt Collection
   Improvement Act, 31 U.S.C. 3717.

   (3) If a delinquency has not been paid or the debtor has not made other
   satisfactory arrangements within 30 days of the date of the notice provided
   pursuant to paragraph (b)(2) of this section, the application or request for
   authorization will be dismissed.

   (i) The provisions of paragraphs (b)(2) and (b)(3) of this section will not
   apply  if  the  applicant  has  timely  filed  a  challenge through an
   administrative appeal or a contested judicial proceeding either to the
   existence or amount of the non-tax delinquent debt owed the Commission.

   (ii) The provisions of paragraphs (b)(2) and (b)(3) of this section will not
   apply where more restrictive rules govern treatment of delinquent debtors,
   such as 47 CFR 1.2105(a)(2)(x) and (xi).

   (c)(1) Applications for emergency or special temporary authority involving
   safety of life or property (including national security emergencies) or
   involving a brief transition period facilitating continuity of service to a
   substantial number of customers or end users, will not be subject to the
   provisions of paragraphs (a) and (b) of this section. However, paragraphs
   (a) and (b) will be applied to permanent authorizations for these services.

   (2) Provisions of paragraph (a) and (b) of this section will not apply to
   application  or  requst for authorization to which 11 U.S.C. 525(a) is
   applicable.

   [ 69 FR 57230 , Sept. 24, 2004]

Administrative Offset—Consumer Reporting Agencies—Contracting for Collection

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§ 1.1911   Demand for payment.

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   (a) Written demand as described in paragraph (b) of this section, and which
   may be in the form of a letter, order, memorandum, or other form of written
   communication, will be made promptly upon a debtor of the United States in
   terms that inform the debtor of the consequences of failing to cooperate to
   resolve the debt. The specific content, timing, and number of demand letters
   depend upon the type and amount of the debt, including, e.g. , any notes and
   the terms of agreements of the parties, and the debtor's response, if any,
   to the Commission's letters or telephone calls. One demand letter will be
   deemed sufficient. In determining the timing of the demand letter(s), the
   Commission will give due regard to the need to refer debts promptly to the
   Department of Justice for litigation, in accordance with the FCCS. When
   necessary to protect the Government's interest (for example, to prevent the
   expiration of a statute of limitations), written demand may be preceded by
   other appropriate actions under the FCCS, including immediate referral for
   litigation. The demand letter does not provide an additional period within
   to challenge the existence of, or amount of the non-tax debt if such time
   period has expired under Commission rules or other applicable limitation
   periods. Nothing contained herein is intended to limit the Commission's
   authority or discretion as may otherwise be permitted to collect debts owed.

   (b) The demand letter will inform the debtor of:

   (1) The basis for the indebtedness and the opportunities, if any, of the
   debtor to request review within the Commission;

   (2) The applicable standards for assessing any interest, penalties, and
   administrative costs (§§1.1940 and 1.1941);

   (3)  The date by which payment is to be made to avoid late charges and
   enforced collection, which normally will not be more than 30 days from the
   date that the initial demand letter was mailed or hand-delivered; and

   (4) The name, address, and phone number of a contact person or office within
   the Commission.

   (c) The Commission will expend all reasonable effort to ensure that demand
   letters are mailed or hand-delivered on the same day that they are dated. As
   provided  for in any agreement among parties, or as may be required by
   exigent circumstances, the Commission may use other forms of delivery,
   including, e.g. , facsimile telecopier or electronic mail. There is no
   prescribed format for demand letters. The Commission utilizes demand letters
   and procedures that will lead to the earliest practicable determination of
   whether the debt can be resolved administratively or must be referred for
   litigation.

   (d) The Commission may, as circumstances and the nature of the debt permit,
   include in demand letters such items as the Commission's willingness to
   discuss alternative methods of payment; its policies with respect to the use
   of credit bureaus, debt collection centers, and collection agencies; the
   Commission's remedies to enforce payment of the debt (including assessment
   of interest, administrative costs and penalties, administrative garnishment,
   the use of collection agencies, Federal salary offset, tax refund offset,
   administrative  offset, and litigation); the requirement that any debt
   delinquent for more than 180 days be transferred to the Department of the
   Treasury for collection; and, depending on applicable statutory authority,
   the debtor's entitlement to consideration of a waiver. Where applicable, the
   debtor will be provided with a period of time (normally not more than 15
   calendar  days)  from  the date of the demand in which to exercise the
   opportunity to request a review.

   (e) The Commission will respond promptly to communications from the debtor,
   within 30 days whenever feasible, and will advise debtors who dispute the
   debt that they must furnish available evidence to support their contentions.

   (f) Prior to the initiation of the demand process or at any time during or
   after completion of the demand process, if the Commission determines to
   pursue, or is required to pursue, offset, the procedures applicable to
   offset  in  §§1.1912  and 1.1913, as applicable, will be followed. The
   availability of funds or money for debt satisfaction by offset and the
   Commission's determination to pursue collection by offset shall release the
   Commission from the necessity of further compliance with paragraphs (a),
   (b), (c), and (d) of this section.

   (g) Prior to referring a debt for litigation, the Commission will advise
   each person determined to be liable for the debt that, unless the debt can
   be  collected  administratively,  litigation  may  be  initiated. This
   notification will follow the requirements of Executive Order 12988 (3 CFR,
   1996 Comp., pp. 157–163) and may be given as part of a demand letter under
   paragraph (b) of this section or in a separate document. Litigation counsel
   for the Government will be advised that this notice has been given.

   (h) When the Commission learns that a bankruptcy petition has been filed
   with respect to a debtor, before proceeding with further collection action,
   the Commission may immediately seek legal advice from its counsel concerning
   the impact of the Bankruptcy Code on any pending or contemplated collection
   activities. Unless the Commission determines that the automatic stay imposed
   at the time of filing pursuant to 11 U.S.C. 362 has been lifted or is no
   longer in effect, in most cases collection activity against the debtor
   should stop immediately.

   (1) After seeking legal advice, a proof of claim will be filed in most cases
   with the bankruptcy court or the Trustee. The Commission will refer to the
   provisions  of 11 U.S.C. 106 relating to the consequences on sovereign
   immunity of filing a proof of claim.

   (2) If the Commission is a secured creditor, it may seek relief from the
   automatic  stay  regarding its security, subject to the provisions and
   requirements of 11 U.S.C. 362.

   (3) Offset is stayed in most cases by the automatic stay. However, the
   Commission will determine from its counsel whether its payments to the
   debtor and payments of other agencies available for offset may be frozen by
   the Commission until relief from the automatic stay can be obtained from the
   bankruptcy  court. The Commission will also determine from its counsel
   whether recoupment is available.

§ 1.1912   Collection by administrative offset.

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   (a) Scope. (1) The term administrative offset has the meaning provided in
   §1.1901.

   (2) This section does not apply to:

   (i) Debts arising under the Social Security Act, except as provided in 42
   U.S.C. 404;

   (ii) Payments made under the Social Security Act, except as provided for in
   31 U.S.C. 3716(c) (see 31 CFR 285.4, Federal Benefit Offset);

   (iii) Debts arising under, or payments made under, the Internal Revenue Code
   (see 31 CFR 285.2, Tax Refund Offset) or the tariff laws of the United
   States;

   (iv) Offsets against Federal salaries to the extent these standards are
   inconsistent with regulations published to implement such offsets under 5
   U.S.C. 5514 and 31 U.S.C. 3716 (see 5 CFR part 550, subpart K, and 31 CFR
   285.7, Federal Salary Offset);

   (v) Offsets under 31 U.S.C. 3728 against a judgment obtained by a debtor
   against the United States;

   (vi) Offsets or recoupments under common law, State law, or Federal statutes
   specifically prohibiting offsets or recoupments of particular types of
   debts; or

   (vii) Offsets in the course of judicial proceedings, including bankruptcy.

   (3) Unless otherwise provided for by contract or law, debts or payments that
   are  not  subject to administrative offset under 31 U.S.C. 3716 may be
   collected by administrative offset under the common law or other applicable
   statutory authority.

   (4) Unless otherwise provided by law, administrative offset of payments
   under the authority of 31 U.S.C. 3716 to collect a debt may not be conducted
   more than 10 years after the Government's right to collect the debt first
   accrued, unless facts material to the Government's right to collect the debt
   were not known and could not reasonably have been known by the official or
   officials of the Government who were charged with the responsibility to
   discover and collect such debts. This limitation does not apply to debts
   reduced to a judgment.

   (5) In bankruptcy cases, the Commission will seek legal advice from its
   counsel concerning the impact of the Bankruptcy Code, particularly 11 U.S.C.
   106, 362, and 553, on pending or contemplated collections by offset.

   (b) Mandatory centralized administrative offset. (1) The Commission is
   required to refer past due, legally enforceable nontax debts which are over
   180  days  delinquent  to  the  Treasury for collection by centralized
   administrative offset. Debts which are less than 180 days delinquent also
   may  be  referred  to the Treasury for this purpose. See FCCS for debt
   certification requirements.

   (2) The names and taxpayer identifying numbers (TINs) of debtors who owe
   debts referred to the Treasury as described in paragraph (b)(1) of this
   section shall be compared to the names and TINs on payments to be made by
   Federal  disbursing  officials.  Federal  disbursing officials include
   disbursing officials of Treasury, the Department of Defense, the United
   States  Postal  Service, other Government corporations, and disbursing
   officials of the United States designated by the Treasury. When the name and
   TIN of a debtor match the name and TIN of a payee and all other requirements
   for offset have been met, the payment will be offset to satisfy the debt.

   (3) Federal disbursing officials will notify the debtor/payee in writing
   that an offset has occurred to satisfy, in part or in full, a past due,
   legally enforceable delinquent debt. The notice shall include a description
   of the type and amount of the payment from which the offset was taken, the
   amount  of  offset that was taken, the identity of the creditor agency
   requesting the offset, and a contact point within the creditor agency who
   will respond to questions regarding the offset.

   (4)(i) Before referring a delinquent debt to the Treasury for administrative
   offset, and subject to any agreement and/or waiver to the contrary by the
   debtor, the Commission shall ensure that offsets are initiated only after
   the debtor:

   (A) Has been sent written notice of the type and amount of the debt, the
   intention of the Commission to use administrative offset to collect the
   debt, and an explanation of the debtor's rights under 31 U.S.C. 3716; and

   (B) The debtor has been given:

   ( 1 ) The opportunity to request within 15 days of the date of the written
   notice, after which opportunity is deemed waived, by the debtor, to inspect
   and copy Commission records related to the debt;

   ( 2 ) The opportunity, unless otherwise waived by the debtor, for a review
   within the Commission of the determination of indebtedness; and

   ( 3 ) The opportunity to request within 15 days of the date of the written
   notice, after which the opportunity is deemed waived by the debtor, for the
   debtor to make a written agreement to repay the debt.

   (ii) The Commission may omit the procedures set forth in paragraph (a)(4)(i)
   of this section when:

   (A) The offset is in the nature of a recoupment;

   (B) The debt arises under a contract as set forth in Cecile Industries, Inc.
   v. Cheney, 995 F.2d 1052 (Fed. Cir. 1993) (notice and other procedural
   protections set forth in 31 U.S.C. 3716(a) do not supplant or restrict
   established procedures for contractual offsets accommodated by the Contracts
   Disputes Act); or

   (C) In the case of non-centralized administrative offsets conducted under
   paragraph (c) of this section, the Commission first learns of the existence
   of the amount owed by the debtor when there is insufficient time before
   payment would be made to the debtor/payee to allow for prior notice and an
   opportunity for review. When prior notice and an opportunity for review are
   omitted, the Commission shall give the debtor such notice and an opportunity
   for  review as soon as practicable and shall promptly refund any money
   ultimately found not to have been owed to the Government.

   (iii) When the Commission previously has given a debtor any of the required
   notice and review opportunities with respect to a particular debt ( see 31
   CFR  901.2),  the Commission need not duplicate such notice and review
   opportunities before administrative offset may be initiated.

   (5) Before the Commission refers delinquent debts to the Treasury, the
   Office  of Managing Director must certify, in a form acceptable to the
   Treasury, that:

   (i) The debt(s) is (are) past due and legally enforceable; and

   (ii) The Commission has complied with all due process requirements under 31
   U.S.C. 3716(a) and its regulations.

   (6) Payments that are prohibited by law from being offset are exempt from
   centralized administrative offset. The Treasury shall exempt payments under
   means-tested programs from centralized administrative offset when requested
   in writing by the head of the payment certifying or authorizing agency.
   Also, the Treasury may exempt other classes of payments from centralized
   offset upon the written request of the head of the payment certifying or
   authorizing agency.

   (7) Benefit payments made under the Social Security Act (42 U.S.C. 301 et
   seq. ), part B of the Black Lung Benefits Act (30 U.S.C. 921 et seq. ), and
   any law administered by the Railroad Retirement Board (other than tier 2
   benefits), may be offset only in accordance with Treasury regulations,
   issued in consultation with the Social Security Administration, the Railroad
   Retirement Board, and the Office of Management and Budget. See 31 CFR 285.4.

   (8)  In  accordance with 31 U.S.C. 3716(f), the Treasury may waive the
   provisions of the Computer Matching and Privacy Protection Act of 1988
   concerning matching agreements and post-match notification and verification
   (5  U.S.C. 552a(o) and (p)) for centralized administrative offset upon
   receipt of a certification from a creditor agency that the due process
   requirements  enumerated  in  31  U.S.C.  3716(a)  have  been met. The
   certification of a debt in accordance with paragraph (b)(5) of this section
   will satisfy this requirement. If such a waiver is granted, only the Data
   Integrity Board of the Department of the Treasury is required to oversee any
   matching activities, in accordance with 31 U.S.C. 3716(g). This waiver
   authority does not apply to offsets conducted under paragraphs (c) and (d)
   of this section.

   (c) Non-centralized administrative offset. (1) Generally, non-centralized
   administrative offsets are ad hoc case-by-case offsets that the Commission
   conducts, at the Commission's discretion, internally or in cooperation with
   the  agency  certifying  or authorizing payments to the debtor. Unless
   otherwise prohibited by law, when centralized administrative offset is not
   available or appropriate, past due, legally enforceable nontax delinquent
   debts may be collected through non-centralized administrative offset. In
   these  cases,  a  creditor  agency  may  make  a request directly to a
   payment-authorizing agency to offset a payment due a debtor to collect a
   delinquent debt. For example, it may be appropriate for a creditor agency to
   request that the Office of Personnel Management (OPM) offset a Federal
   employee's lump-sum payment upon leaving Government service to satisfy an
   unpaid advance.

   (2) The Commission will make reasonable effort to ensure that such offsets
   may occur only after:

   (i) The debtor has been provided due process as set forth in paragraph
   (b)(4) of this section (subject to any waiver by the debtor); and

   (ii) The payment authorizing agency has received written certification from
   the  Commission that the debtor owes the past due, legally enforceable
   delinquent debt in the amount stated, and that the creditor agency has fully
   complied with its regulations concerning administrative offset.

   (3)  Payment authorizing agencies shall comply with offset requests by
   creditor agencies to collect debts owed to the United States, unless the
   offset would not be in the best interests of the United States with respect
   to the program of the payment authorizing agency, or would otherwise be
   contrary to law. Appropriate use should be made of the cooperative efforts
   of other agencies in effecting collection by administrative offset.

   (4) When collecting multiple debts by non-centralized administrative offset,
   agencies should apply the recovered amounts to those debts in accordance
   with the best interests of the United States, as determined by the facts and
   circumstances of the particular case, particularly the applicable statute of
   limitations.

§ 1.1913   Administrative offset against amounts payable from Civil Service
Retirement and Disability Fund.

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   Upon  providing  the Office of Personnel Management (OPM) with written
   certification that a debtor has been afforded the procedures provided in
   §1.1912(b)(4),  the  Commission  may  request OPM to offset a debtor's
   anticipated or future benefit payments under the Civil Service Retirement
   and Disability Fund (Fund) in accordance with regulations codified at 5 CFR
   831.1801–831.1808. Upon receipt of such a request, OPM will identify and
   “flag”  a debtor's account in anticipation of the time when the debtor
   requests, or becomes eligible to receive, payments from the Fund. This will
   satisfy any requirement that offset be initiated prior to the expiration of
   the time limitations referenced in §1.1914(a)(4).

§ 1.1914   Collection in installments.

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   (a) Subject to the Commission's rules pertaining to the installment loan
   program ( see e.g. , 47 CFR §1.2110(g)), subpart Q or other agreements among
   the  parties,  the terms of which will control, whenever feasible, the
   Commission shall collect the total amount of a debt in one lump sum. If a
   debtor is financially unable to pay a debt in one lump sum, the Commission,
   in its sole discretion, may accept payment in regular installments. The
   Commission will obtain financial statements from debtors who represent that
   they  are  unable  to pay in one lump sum and which are able to verify
   independently such representations ( see 31 CFR 902.2(g)). The Commission
   will require and obtain a legally enforceable written agreement from the
   debtor that specifies all of the terms of the arrangement, including, as
   appropriate, sureties and other indicia of creditworthiness ( see Federal
   Credit Reform Act of 1990, 2 U.S.C. 661, et seq. , OMB Circular A–129), and
   that contains a provision accelerating the debt in the event of default.

   (b) The size and frequency of installment payments should bear a reasonable
   relation  to  the size of the debt and the debtor's ability to pay. If
   possible, the installment payments will be sufficient in size and frequency
   to liquidate the debt in three years or less.

   (c) Security for deferred payments will be obtained in appropriate cases.
   The Commission may accept installment payments notwithstanding the refusal
   of the debtor to execute a written agreement or to give security, at the
   Commission's option.

   (d) The Commission may deny the extension of credit to any debtor who fails
   to provide the records requested or fails to show an ability to pay the
   debt.

§ 1.1915   Exploration of compromise.

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   The Commission may attempt to effect compromise, preferably during the
   course of personal interviews, in accordance with the standards set forth in
   part 902 of the Federal Claims Collection Standards (31 CFR part 902). The
   Commission  will  also  consider  a request submitted by the debtor to
   compromise the debt. Such requests should be submitted in writing with full
   justification of the offer and addressing the bases for compromise at 31 CFR
   902.2.  Debtors will provide full financial information to support any
   request for compromise based on the debtor's inability to pay the debt.
   Unless otherwise provided by law, when the principal balance of a debt,
   exclusive of interest, penalties, and administrative costs, exceeds $100,000
   or any higher amount authorized by the Attorney General, the authority to
   accept the compromise rests with the Department of Justice. The Commission
   will evaluate an offer, using the factors set forth in 31 CFR 902.2 and, as
   appropriate, refer the offer with the appropriate financial information to
   the Department of Justice. Department of Justice approval is not required if
   the Commission rejects a compromise offer.

§ 1.1916   Suspending or terminating collection action.

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   The  suspension  or  termination of collection action shall be made in
   accordance with the standards set forth in part 903 of the Federal Claims
   Collection Standards (31 CFR part 903).

§ 1.1917   Referrals to the Department of Justice and transfer of delinquent
debt to the Secretary of Treasury.

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   (a) Referrals to the Department of Justice shall be made in accordance with
   the  standards  set forth in part 904 of the Federal Claims Collection
   Standards (31 CFR part 904).

   (b) The DCIA includes separate provisions governing the requirements that
   the Commission transfer delinquent debts to Treasury for general collection
   purposes (cross-servicing) in accordance with 31 U.S.C. 3711(g)(1) and (2),
   and notify Treasury of delinquent debts for the purpose of administrative
   offset in accordance with 31 U.S.C. 3716(c)(6). Title 31, U.S.C. 3711(g)(1)
   requires the Commission to transfer to Treasury all collection activity for
   a given debt. Under section 3711(g), Treasury will use all appropriate debt
   collection tools to collect the debt, including referral to a designated
   debt collection center or private collection agency, and administrative
   offset.  Once  a debt has been transferred to Treasury pursuant to the
   procedures  at 31 CFR 285.12, the Commission will cease all collection
   activity related to that debt.

   (c)  All non-tax debts of claims owed to the Commission that have been
   delinquent for a period of 180 days shall be transferred to the Secretary of
   the Treasury. Debts which are less than 180 days delinquent may also be
   referred to the Treasury. Upon such transfer the Secretary of the Treasury
   shall take appropriate action to collect or terminate collection actions on
   the debt or claim. A debt is past-due if it has not been paid by the date
   specified  in  the  Commission's initial written demand for payment or
   applicable agreement or instrument (including a post-delinquency payment
   agreement) unless other satisfactory payment arrangements have been made.

§ 1.1918   Use of consumer reporting agencies.

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   (a)  The term individual means a natural person, and the term consumer
   reporting agency has the meaning provided in the Federal Claims Collection
   Act, as amended, 31 U.S.C. 3701(a)(3) or the Fair Credit Reporting Act, 15
   U.S.C. 168a(f).

   (b) The Commission may disclose to a consumer reporting agency, or provide
   information to the Treasury who may disclose to a consumer reporting agency
   from a system of records, information that an individual is responsible for
   a  claim.  System  information  includes,  for example, name, taxpayer
   identification  number,  business  and home address, business and home
   telephone numbers, the amount of the debt, the amount of unpaid principle,
   the late period, and the payment history. Before the Commission reports the
   information, it will:

   (1) Provide notice required by section 5 U.S.C. 552a(e)(4) that information
   in the system may be disclosed to a consumer reporting agency;

   (2) Review the claim to determine that it is valid and overdue;

   (3) Make reasonable efforts using information provided by the debtor in
   Commission files to notify the debtor, unless otherwise specified under the
   terms of a contract or agreement—

   (i) That payment of the claim is overdue;

   (ii) That, within not less than 60 days from the date of the notice, the
   Commission intends to disclose to a consumer reporting agency that the
   individual is responsible for that claim;

   (iii) That information in the system of records may be disclosed to the
   consumer reporting agency; and

   (iv)  That  unless  otherwise specified and agreed to in an agreement,
   contract, or by the terms of a note and/or security agreement, or that the
   debt arises from the nonpayment of a Commission fee, penalty, or other
   statutory or regulatory obligations, the individual will be provided with an
   explanation  of  the claim, and, as appropriate, procedures to dispute
   information  in  the  records  of  the  agency about the claim, and to
   administrative appeal or review of the claim; and

   (4) Review Commission records to determine that the individual has not—

   (i) Repaid or agreed to repay the claim under a written repayment plan
   agreed  to  and  signed  by  both  the individual and the Commission's
   representative; or, if eligible; and

   (ii) Filed for review of the claim under paragraph (g) of this section;

   (c) The Commission shall: (1) Disclose to each consumer reporting agency to
   which the original disclosure was made a substantial change in the condition
   or amount of the claim;

   (2) Verify or correct promptly information about the claim, on request of a
   consumer reporting agency for verification of any or all information so
   disclosed; and

   (3) Obtain assurances from each consumer reporting agency that they are
   complying with all laws of the United States relating to providing consumer
   credit information.

   (d) The Commission shall ensure that information disclosed to the consumer
   reporting agency is limited to—

   (1) Information necessary to establish the identity of the individual,
   including name, address, and taxpayer identification number;

   (2) The amount, status, and history of the claim; and

   (3) The agency or program under which the claim arose.

   (e) All accounts in excess of $100 that have been delinquent more than 31
   days will normally be referred to a consumer reporting agency.

   (f) Under the same provisions as described in paragraph (b) of this section,
   the  Commission may disclose to a credit reporting agency, information
   relating to a debtor other than a natural person. Such commercial debt
   accounts are not covered by the Privacy Act. Moreover, commercial debt
   accounts are subject to the Commission's rules concerning debt obligation,
   including part 1 rules related to auction debt, and the agreements of the
   parties.

§ 1.1919   Contracting for collection services.

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   (a)  Subject  to  the provisions of paragraph (b) of this section, the
   Commission may contract with private collection contractors, as defined in
   31  U.S.C.  3701(f),  to recover delinquent debts. In that regard, the
   Commission:

   (1) Retains the authority to resolve disputes, compromise debts, suspend or
   terminate collection activity, and refer debts for litigation;

   (2)  Restricts  the private collection contractor from offering, as an
   incentive for payment, the opportunity to pay the debt less the private
   collection contractor's fee unless the Commission has granted such authority
   prior to the offer;

   (3)  Specifically requires, as a term of its contract with the private
   collection contractor, that the private collection contractor is subject to
   the Privacy Act of 1974 to the extent specified in 5 U.S.C. 552a(m), and to
   applicable  Federal  and state laws and regulations pertaining to debt
   collection practices, including but not limited to the Fair Debt Collection
   Practices Act, 15 U.S.C. 1692; and

   (4) The private collection contractor is required to account for all amounts
   collected.

   (b)  Although  the Commission will use government-wide debt collection
   contracts to obtain debt collection services provided by private collection
   contractors,  the  Commission  may  refer  debts to private collection
   contractors pursuant to a contract between the Commission and the private
   collection  contractor in those situations where the Commission is not
   required  to  transfer  debt to the Secretary of the Treasury for debt
   collection.

   (c) Agencies may fund private collection contractor in accordance with 31
   U.S.C. 3718(d), or as otherwise permitted by law.

   (d) The Commission may enter into contracts for locating and recovering
   assets of the United States, such as unclaimed assets, but it will first
   establish procedures that are acceptable to Treasury before entering into
   contracts to recover assets of the United States held by a state government
   or a financial institution.

   (e) The Commission may enter into contracts for debtor asset and income
   search reports. In accordance with 31 U.S.C. 3718(d), such contracts may
   provide that the fee a contractor charges the Commission for such services
   may be payable from the amounts recovered, unless otherwise prohibited by
   statute. In that regard, fees for those services will be added to the amount
   collected and are part of the administrative collection costs passed on to
   the debtor. See §1.1940.

§§ 1.1920-1.1924   [Reserved]

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Salary Offset-Individual Debt

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§ 1.1925   Purpose.

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   Sections 1.1925 through 1.1939 apply to individuals who are employees of the
   Commission and provides the standards to be followed by the Commission in
   implementing 5 U.S.C. 5514; sec. 8(1) of E.O. 11609 (3 CFR, 1971–1975 Comp.,
   p.586); redesignated in sec. 2–1 of E.O. 12107 (3 CFR, 1978 Comp., p.264) to
   recover  a debt from the pay account of a Commission employee. It also
   establishes procedural guidelines to recover debts when the employee's
   creditor and paying agencies are not the same.

§ 1.1926   Scope.

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   (a)  Coverage. This section applies to the Commission and employees as
   defined by §1.1901.

   (b)  Applicability. This section and 5 U.S.C. 5514 apply in recovering
   certain debts by offset, except where the employee consents to the recovery,
   from  the  current  pay  account  of  that  employee. Because it is an
   administrative offset, debt collection procedures for salary offset which
   are  not  specified  in  5 U.S.C. 5514 and these regulations should be
   consistent with the provisions of the Federal Claims Collection Standards
   (31 CFR parts 900–904).

   (1) Excluded debts or claims. The procedures contained in this section do
   not apply to debts or claims arising under the Internal Revenue Code of
   1954, as amended (26 U.S.C. 1 et seq. ), the Social Security Act (42 U.S.C.
   301 et seq. ) or the tariff laws of the United States, or to any case where
   collection  of  a  debt by salary offset is explicitly provided for or
   prohibited by another statute ( e.g. travel advances in 5 U.S.C. 5705 and
   employee training expenses in 5 U.S.C. 4108).

   (2) Section 1.1926 does not preclude an employee from requesting waiver of
   an erroneous payment under 5 U.S.C. 5584, 10 U.S.C. 2774, or 32 U.S.C. 716,
   or in any way questioning the amount or validity of a debt, in the manner
   prescribed by the Commissioner. Similarly, this subpart does not preclude an
   employee from requesting waiver of the collection of a debt under any other
   applicable statutory authority.

   (c) Time limit. Under 31 CFR 901.3(a)(4) offset may not be initiated more
   than  10  years after the Government's right to collect the debt first
   accrued, unless an exception applies as stated in section 901.3(a)(4).

§ 1.1927   Notification.

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   (a) Salary offset deductions will not be made unless the Managing Director
   of the Commission, or the Managing Director's designee, provides to the
   employee at least 30 days before any deduction, written notice stating at a
   minimum:

   (1)  The Commission's determination that a debt is owed, including the
   origin, nature, and amount of the debt;

   (2) The Commission's intention to collect the debt by means of deduction
   from the employee's current disposable pay account;

   (3) The frequency and amount of the intended deduction (stated as a fixed
   dollar  amount  or as a percentage of pay, not to exceed 15 percent of
   disposable pay) and the intention to continue the deductions until the debt
   is paid in full or otherwise resolved;

   (4)  An  explanation  of  the Commission's policy concerning interest,
   penalties, and administrative costs ( See §§1.1940 and 1.1941), a statement
   that such assessments must be made unless excused in accordance with the
   FCCS;

   (5) The employee's right to inspect and copy Government records relating to
   the debt or, if the employee or his or her representative cannot personally
   inspect the records, to request and receive a copy of such records.

   (6) If not previously provided, the opportunity (under terms agreeable to
   the Commission) to establish a schedule for the voluntary repayment of the
   debt  or to enter into a written agreement to establish a schedule for
   repayment of the debt in lieu of offset. The agreement must be in writing,
   signed by both the employee and the Managing Director (or designee) of the
   Commission and documented in Commission files (see the FCCS).

   (7) The employee's right to a hearing conducted by an official arranged by
   the Commission (an administrative law judge, or alternatively, a hearing
   official not under the control of the head of the Commission) if a petition
   is filed as prescribed by this subpart.

   (8) The method and time period for petitioning for a hearing;

   (9)  That  the  timely  filing of a petition for hearing will stay the
   commencement of collection proceedings;

   (10) That the final decision in the hearing (if one is requested) will be
   issued at the earliest practical date, but not later than 60 days after the
   filing of the petition requesting the hearing unless the employee requests
   and the hearing official grants a delay in the proceedings;

   (11)  That  any  knowingly false, misleading, or frivolous statements,
   representations, or evidence may subject the employee to:

   (i) Disciplinary procedures appropriate under Chapter 75 of title 5, U.S.C.,
   part 752 of title 5, Code of Federal Regulations, or any other applicable
   statutes or regulations.

   (ii) Penalties under the False Claims Act sections 3729–3731 of title 31,
   U.S.C., or any other applicable statutory authority; or

   (iii) Criminal penalties under sections 286, 287, 1001, and 1002 of title
   18, U.S.C., or any other applicable statutory authority.

   (12) Any other rights and remedies available to the employee under statutes
   or regulations governing the program for which the collection is being made;
   and

   (13) Unless there are applicable contractual or statutory provisions to the
   contrary, that amounts paid on or deducted for the debt which are later
   waived or found not owed to the United States will be promptly refunded to
   the employee.

   (b) Notifications under this section shall be hand delivered with a record
   made of the date of delivery, or shall be mailed by certified mail, return
   receipt requested.

   (c) No notification, hearing, written responses or final decisions under
   this regulation are required by the Commission for:

   (1) Any adjustment to pay arising out of an employee's election of coverage,
   or change in coverage, under a Federal benefit program requiring periodic
   deductions from pay, if the amount to be recovered was accumulated over four
   pay periods or less;

   (2) A routine intra-Commission adjustment of pay that is made to correct an
   overpayment of pay attributable to clerical or administrative errors or
   delays in processing pay documents, if the overpayment occurred within the
   four  pay  periods  preceding the adjustment, or as soon thereafter as
   practical, the individual is provided written notice of the nature and the
   amount  of  the  adjustment  and  point of contact for contesting such
   adjustment; or

   (3) Any adjustment to collect a debt amounting to $50 or less, if, at the
   time of such adjustment, or as soon thereafter as practical, the individual
   is provided written notice of the nature and the amount of the adjustment
   and a point of contact for contesting such adjustment.

§ 1.1928   Hearing.

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   (a) Petition for hearing. (1) An employee may request a hearing by filing a
   written petition with the Managing Director of the Commission, or designated
   official  stating  why  the employee believes the determination of the
   Commission concerning the existence or the amount of the debt is in error.

   (2) The employee's petition must be executed under penalty of perjury by the
   employee and fully identify and explain with reasonable specificity all the
   facts, evidence and witnesses, if any, which the employee believes support
   his or her position.

   (3) The petition must be filed no later than fifteen (15) calendar days from
   the date that the notification was hand delivered or the date of delivery by
   certified mail, return receipt requested.

   (4) If a petition is received after the fifteenth (15) calendar day deadline
   referred  to  paragraph  (a)  (3) of this section, the Commission will
   nevertheless accept the petition if the employee can show, in writing, that
   the delay was due to circumstances beyond his or her control, or because of
   failure to receive notice of the time limit (unless otherwise aware of it).

   (5) If a petition is not filed within the time limit specified in paragraph
   (a) (3) of this section, and is not accepted pursuant to paragraph (a)(4) of
   this section, the employee's right to hearing will be considered waived, and
   salary offset will be implemented by the Commission.

   (b)  Type  of hearing. (1) The form and content of the hearing will be
   determined by the hearing official who shall be a person outside the control
   or authority of the Commission except that nothing herein shall be construed
   to  prohibit  the  appointment  of  an administrative law judge by the
   Commission. In determining the type of hearing, the hearing officer will
   consider the nature and complexity of the transaction giving rise to the
   debt. The hearing may be conducted as an informal conference or interview,
   in which the Commission and employee will be given a full opportunity to
   present their respective positions, or as a more formal proceeding involving
   the presentation of evidence, arguments and written submissions.

   (2) The employee may represent him or herself, or may be represented by an
   attorney.

   (3) The hearing official shall maintain a summary record of the hearing.

   (4) The decision of the hearing officer shall be in writing, and shall
   state:

   (i) The facts purported to evidence the nature and origin of the alleged
   debt;

   (ii) The hearing official's analysis, findings, and conclusions, in the
   light of the hearing, as to—

   (A) The employee's and/or agency's grounds,

   (B) The amount and validity of the alleged debt, and,

   (C) The repayment schedule, if applicable.

   (5)  The  decision  of the hearing official shall constitute the final
   administrative decision of the Commission.

§ 1.1929   Deduction from employee's pay.

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   (a) Deduction by salary offset, from an employee's current disposable pay,
   shall be subject to the following conditions:

   (1) Ordinarily, debts to the United States will be collected in full, in one
   lump sum. This will be done when funds are available for payment in one lump
   sum. However, if the employee is financially unable to pay in one lump sum
   or  the amount of the debt exceeds 15 percent of disposable pay for an
   officially  established  pay  interval,  collection  must  be  made in
   installments.

   (2)  The  size  of  the  installment deductions will bear a reasonable
   relationship to the size of the debt and the employee's ability to pay ( see
   the FCCS). However, the installments will not exceed 15 percent of the
   disposable pay from which the deduction is made, unless the employee has
   agreed in writing to the deduction of a greater amount.

   (3)  Deduction will generally commence with the next full pay interval
   (ordinarily  the  next biweekly pay period) following the date: of the
   employee's written consent to salary offset, the waiver of hearing, or the
   decision issued by the hearing officer.

   (4) Installment deductions will be pro-rated for a period not greater than
   the anticipated period of employment except as provided in §1.1930.

§ 1.1930   Liquidation from final check or recovery from other payment.

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   (a) If the employee retires or resigns or if his or her employment or period
   of active duty ends before collection of the debt is completed, offset of
   the entire remaining balance of the debt may be made from a final payment of
   any nature, including, but not limited to a final salary payment or lump-sum
   leave due the employee as the date of separation, to such extent as is
   necessary to liquidate the debt.

   (b) If the debt cannot be liquidated by offset from a final payment, offset
   may be made from later payments of any kind due from the United States,
   including, but not limited to, the Civil Service Retirement and Disability
   Fund, pursuant to §1.1913.

§ 1.1931   Non-waiver of rights by payments.

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   An employee's involuntary payment of all or any portion of a debt being
   collected under 5 U.S.C. 5514 shall not be construed as a waiver of any
   rights  which  the  employee may have under 5 U.S.C. 5514 or any other
   provision of contract or law, unless statutory or contractual provisions
   provide to the contrary.

§ 1.1932   Refunds.

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   (a) Refunds shall promptly be made when—(1) A debt is waived or otherwise
   found not owing to the United States (unless expressly prohibited by statute
   or regulation); or

   (2)  The  employee's paying agency is directed by an administrative or
   judicial order to refund amounts deducted from his or her current pay.

   (b) Refunds do not bear interest unless required or permitted by law or
   contract.

§ 1.1933   Interest, penalties and administrative costs.

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   The assessment of interest, penalties and administrative costs shall be in
   accordance with §§1.1940 and 1.1941.

§ 1.1934   Recovery when the Commission is not creditor agency.

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   (a) Responsibilities of creditor agency. Upon completion of the procedures
   established under 5 U.S.C. 5514, the creditor agency must do the following:

   (1) Must certify, in writing, that the employee owes the debt, the amount
   and basis of the debt, the date on which payment(s) is due, the date of the
   Government's right to collect the debt first accrued, and that the creditor
   agency's regulations implementing 5 U.S.C. 5514 have been approved by OPM.

   (2) If the collection must be made in installments, the creditor agency also
   must advise the Commission of the number of installments to be collected,
   the amount of each installment, and the commencement date of the first
   installment (if a date other than the next officially established pay period
   is required).

   (3) Unless the employee has consented to the salary offset in writing or
   signed a statement acknowledging receipt of the required procedures, and the
   written consent or statement is forwarded to the Commission, the creditor
   agency also must advise the Commission of the action(s) taken under 5 U.S.C.
   5514(b) and give the date(s) the action(s) was taken.

   (4) Except as otherwise provided in this paragraph, the creditor agency must
   submit a debt claim containing the information specified in paragraphs
   (a)(1) through (a)(3) of this section and an installment agreement (or other
   instruction on the payment schedule), if applicable to the Commission.

   (5) If the employee is in the process of separating, the creditor agency
   must submit its claim to the Commission for collection pursuant to §1.1930.
   The Commission will certify the total amount of its collection and provide
   copies to the creditor agency and the employee as stated in paragraph (c)(1)
   of this section. If the Commission is aware that the employee is entitled to
   payments from the Civil Service Retirement and Disability Fund, or other
   similar  payments,  it must provide written notification to the agency
   responsible for making such payments that the debtor owes a debt (including
   the amount) and that there has been full compliance with the provisions of
   this section. However, the creditor agency must submit a properly certified
   claim to the agency responsible for making such payments before collection
   can be made.

   (6)  If  the  employee  is already separated and all payments from the
   Commission have been paid, the creditor agency may request, unless otherwise
   prohibited,  that money due and payable to the employee from the Civil
   Service Retirement and Disability Fund (5 CFR 831.1801 et seq. ), or other
   similar funds, be administratively offset to collect the debt. (31 U.S.C.
   3716 and 4 CFR 102.4)

   (b)  Responsibilities  of the Commission —(1) Complete claim. When the
   Commission receives a properly certified debt claim from a creditor agency,
   deductions should be scheduled to begin prospectively at the next official
   established pay interval. The Commission will notify the employee that the
   Commission has received a certified debt claim from the creditor agency
   (including the amount) and written notice of the date deductions from salary
   will commence and of the amount of such deductions.

   (2) Incomplete claim. When the Commission receives an incomplete debt claim
   from a creditor agency, the Commission will return the debt claim with a
   notice  that  procedures  under 5 U.S.C. 5514 and this subpart must be
   provided, and a properly certified debt claim received, before action will
   be taken to collect from the employee's current pay account.

   (3)  Review. The Commission will not review the merits of the creditor
   agency's determination with respect to the amount or validity of the debt
   certified by the creditor agency.

   (c) Employees who transfer from one paying agency to another. (1) If, after
   the creditor agency has submitted the debt claim to the Commission, the
   employee transfers to a position served by a different paying agency before
   the debt is collected in full, the Commission must certify the total amount
   of the collection made on the debt. One copy of the certification must be
   furnished to the employee, another to the creditor agency along with notice
   of employee's transfer. However, the creditor agency must submit a properly
   certified claim to the new paying agency before collection can be resumed.

   (2) When an employee transfers to another paying agency, the creditor agency
   need not repeat the due process procedures described by 5 U.S.C. 5514 and
   this subpart to resume the collection. However, the creditor agency is
   responsible for reviewing the debt upon receiving the former paying agency's
   notice of the employee's transfer to make sure the collection is resumed by
   the new paying agency.

§ 1.1935   Obtaining the services of a hearing official.

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   (a) When the debtor does not work for the creditor agency and the creditor
   agency  cannot  provide  a  prompt  and  appropriate hearing before an
   administrative law judge or before a hearing official furnished pursuant to
   another lawful arrangement, the creditor agency may contact an agent of the
   Commission  designated  in  Appendix A of 5 CFR part 581 for a hearing
   official, and the Commission will then cooperate as provided by the FCCS and
   provide a hearing official.

   (b) When the debtor works for the creditor agency, the creditor agency may
   contact any agent (of another agency) designated in Appendix A of 5 CFR part
   581 to arrange for a hearing official. Agencies must then cooperate as
   required by the FCCS and provide a hearing official.

   (c) The determination of a hearing official designated under this section is
   considered to be an official certification regarding the existence and
   amount of the debt for purposes of executing salary offset under 5 U.S.C.
   5514. A creditor agency may make a certification to the Secretary of the
   Treasury under 31 CFR 550.1108 or a paying agency under 31 CFR 550.1109
   regarding the existence and amount of the debt based on the certification of
   a hearing official. If a hearing official determines that a debt may not be
   collected via salary offset, but the creditor agency finds that the debt is
   still valid, the creditor agency may still seek collection of the debt
   through other means, such as offset of other Federal payments, litigation,
   etc.

§ 1.1936   Administrative wage garnishment.

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   (a) Purpose. This section provides procedures for the Commission to collect
   money  from  a debtor's disposable pay by means of administrative wage
   garnishment to satisfy delinquent non-tax debt owed to the United States.

   (b) Scope. (1) This section applies to Commission-administered programs that
   give rise to a delinquent nontax debt owed to the United States and to the
   Commission's pursuit of recovery of such debt.

   (2) This section shall apply notwithstanding any provision of State law.

   (3)  Nothing in this section precludes the compromise of a debt or the
   suspension or termination of collection action in accordance with applicable
   law. See, for example, the Federal Claims Collection Standards (FCCS), 31
   CFR parts 900 through 904.

   (4) The receipt of payments pursuant to this section does not preclude the
   Commission from pursuing other debt collection remedies, including the
   offset of Federal payments to satisfy delinquent nontax debt owed to the
   United States. The Commission may pursue such debt collection remedies
   separately or in conjunction with administrative wage garnishment.

   (5) This section does not apply to the collection of delinquent nontax debt
   owed  to the Commission from the wages of Federal employees from their
   Federal employment. Federal pay is subject to the Federal salary offset
   procedures set forth in 5 U.S.C. 5514, §§1.1925 through 1.1935, and other
   applicable laws.

   (6) Nothing in this section requires the Commission to duplicate notices or
   administrative  proceedings  required  by  contract  or  other laws or
   regulations.

   (c) Definitions. In addition to the definitions set forth in §1.1901 as used
   in this section, the following definitions shall apply:

   (1) Business day means Monday through Friday. For purposes of computation,
   the last day of the period will be included unless it is a Federal legal
   holiday.

   (2)  Certificate of service means a certificate signed by a Commission
   official indicating the nature of the document to which it pertains, the
   date of mailing of the document, and to whom the document is being sent.

   (3) Day means calendar day. For purposes of computation, the last day of the
   period will be included unless it is a Saturday, a Sunday, or a Federal
   legal holiday.

   (4) Disposable pay means that part of the debtor's compensation (including,
   but not limited to, salary, bonuses, commissions, and vacation pay) from an
   employer remaining after the deduction of health insurance premiums and any
   amounts required by law to be withheld.

   (5) Amounts required by law to be withheld include amounts for deductions
   such as social security taxes and withholding taxes, but do not include any
   amount withheld pursuant to a court order.

   (6) Employer means a person or entity that employs the services of others
   and that pays their wages or salaries. The term employer includes, but is
   not limited to, State and local Governments, but does not include an agency
   of the Federal Government.

   (7) Garnishment means the process of withholding amounts from an employee's
   disposable pay and the paying of those amounts to a creditor in satisfaction
   of a withholding order.

   (8) Withholding order means any order for withholding or garnishment of pay
   issued by an agency, or judicial or administrative body. For purposes of
   this section, the terms “wage garnishment order” and “garnishment order”
   have the same meaning as “withholding order.”

   (d) General rule. Whenever the Commission determines that a delinquent debt
   is  owed  by  an  individual,  the Commission may initiate proceedings
   administratively to garnish the wages of the delinquent debtor as governed
   by procedures prescribed by 31 CFR 285. Wage garnishment will usually be
   performed for the Commission by the Treasury as part of the debt collection
   processes for Commission debts referred to Treasury for further collection
   action.

   (e) Notice requirements. (1) At least 30 days before the initiation of
   garnishment proceedings, the Commission shall mail, by first class mail, to
   the debtor's last known address a written notice informing the debtor of:

   (i) The nature and amount of the debt;

   (ii) The intention of the Commission to initiate proceedings to collect the
   debt  through  deductions  from pay until the debt and all accumulated
   interest, penalties and administrative costs are paid in full; and

   (iii) An explanation of the debtor's rights, including those set forth in
   paragraph (e)(2) of this section, and the time frame within which the debtor
   may exercise his or her rights.

   (2) The debtor shall be afforded the opportunity:

   (i) To inspect and copy agency records related to the debt;

   (ii) To enter into a written repayment agreement with the Commission under
   terms agreeable to the Commission; and

   (iii)  For  a hearing in accordance with paragraph (f) of this section
   concerning the existence or the amount of the debt or the terms of the
   proposed repayment schedule under the garnishment order. However, the debtor
   is not entitled to a hearing concerning the terms of the proposed repayment
   schedule if these terms have been established by written agreement under
   paragraph (e)(2)(ii) of this section.

   (3) The Commission will keep a copy of a certificate of service indicating
   the  date  of mailing of the notice. The certificate of service may be
   retained electronically so long as the manner of retention is sufficient for
   evidentiary purposes.

   (f) Hearing. Pursuant to 31 CFR 285.11(f)(1), the Commission hereby adopts
   by reference the hearing procedures of 31 CFR 285.11(f).

   (g) Wage garnishment order. (1) Unless the Commission receives information
   that  the Commission believes justifies a delay or cancellation of the
   withholding  order,  the  Commission will send, by first class mail, a
   withholding order to the debtor's employer within 30 days after the debtor
   fails to make a timely request for a hearing ( i.e. , within 15 business
   days after the mailing of the notice described in paragraph (e)(1) of this
   section), or, if a timely request for a hearing is made by the debtor,
   within 30 days after a final decision is made by the Commission to proceed
   with garnishment, or as soon as reasonably possible thereafter.

   (2) The withholding order sent to the employer under paragraph (g)(1) of
   this section shall be in a form prescribed by the Secretary of the Treasury
   on the Commission's letterhead and signed by the head of the Commission or
   his/her delegate. The order shall contain only the information necessary for
   the employer to comply with the withholding order, including the debtor's
   name, address, and social security number, as well as instructions for
   withholding and information as to where payments should be sent.

   (3) The Commission will keep a copy of a certificate of service indicating
   the date of mailing of the order. The certificate of service may be retained
   electronically  so  long  as the manner of retention is sufficient for
   evidentiary purposes.

   (h)  Certification  by employer. Along with the withholding order, the
   Commission shall send to the employer a certification in a form prescribed
   by the Secretary of the Treasury. The employer shall complete and return the
   certification to the Commission within the time frame prescribed in the
   instructions to the form addressing matters such as information about the
   debtor's employment status and disposable pay available for withholding.

   (i) Amounts withheld. (1) After receipt of the garnishment order issued
   under this section, the employer shall deduct from all disposable pay paid
   to the applicable debtor during each pay period the amount of garnishment
   described in paragraph (i)(2) of this section.

   (2)  Subject to the provisions of paragraphs (i)(3) and (i)(4) of this
   section, the amount of garnishment shall be the lesser of:

   (i) The amount indicated on the garnishment order up to 15% of the debtor's
   disposable pay; or

   (ii)  The  amount  set  forth  in 15 U.S.C. 1673(a)(2) (Restriction on
   Garnishment). The amount set forth at 15 U.S.C. 1673(a)(2) is the amount by
   which a debtor's disposable pay exceeds an amount equivalent to thirty times
   the minimum wage. See 29 CFR 870.10.

   (3) When a debtor's pay is subject to withholding orders with priority the
   following shall apply:

   (i) Unless otherwise provided by Federal law, withholding orders issued
   under this section shall be paid in the amounts set forth under paragraph
   (i)(2) of this section and shall have priority over other withholding orders
   which are served later in time. Notwithstanding the foregoing, withholding
   orders for family support shall have priority over withholding orders issued
   under this section.

   (ii)  If  amounts are being withheld from a debtor's pay pursuant to a
   withholding order served on an employer before a withholding order issued
   pursuant to this section, or if a withholding order for family support is
   served on an employer at any time, the amounts withheld pursuant to the
   withholding order issued under this section shall be the lesser of:

   (A) The amount calculated under paragraph (i)(2) of this section, or

   (B) An amount equal to 25% of the debtor's disposable pay less the amount(s)
   withheld under the withholding order(s) with priority.

   (iii) If a debtor owes more than one debt to the Commission, the Commission
   may  issue  multiple withholding orders provided that the total amount
   garnished from the debtor's pay for such orders does not exceed the amount
   set  forth  in  paragraph (i)(2) of this section. For purposes of this
   paragraph (i)(3)(iii), the term agency refers to the Commission that is owed
   the debt.

   (4) An amount greater than that set forth in paragraphs (i)(2) and (i)(3) of
   this section may be withheld upon the written consent of debtor.

   (5) The employer shall promptly pay to the Commission all amounts withheld
   in accordance with the withholding order issued pursuant to this section.

   (6)  An  employer  shall  not  be  required to vary its normal pay and
   disbursement cycles in order to comply with the withholding order.

   (7) Any assignment or allotment by an employee of his earnings shall be void
   to the extent it interferes with or prohibits execution of the withholding
   order issued under this section, except for any assignment or allotment made
   pursuant to a family support judgment or order.

   (8) The employer shall withhold the appropriate amount from the debtor's
   wages for each pay period until the employer receives notification from the
   Commission to discontinue wage withholding. The garnishment order shall
   indicate a reasonable period of time within which the employer is required
   to commence wage withholding.

   (j) Exclusions from garnishment. The Commission may not garnish the wages of
   a debtor who it knows has been involuntarily separated from employment until
   the debtor has been reemployed continuously for at least 12 months. The
   debtor has the burden of informing the Commission of the circumstances
   surrounding an involuntary separation from employment.

   (k) Financial hardship. (1) A debtor whose wages are subject to a wage
   withholding order under this section, may, at any time, request a review by
   the  Commission  of  the amount garnished, based on materially changed
   circumstances such as disability, divorce, or catastrophic illness which
   result in demonstrated financial hardship.

   (2) A debtor requesting a review under paragraph (k)(1) of this section
   shall submit the basis for claiming that the current amount of garnishment
   results  in  demonstrated financial hardship to the debtor, along with
   supporting documentation. The Commission will consider any information
   submitted;  however,  demonstrated financial hardship must be based on
   financial records that include Federal and state tax returns, affidavits
   executed  under  the  pain and penalty of perjury, and, in the case of
   business-related financial hardship ( e.g. , the debtor is a partner or
   member of a business-agency relationship) full financial statements (audited
   and/or submitted under oath) in accordance with procedures and standards
   established by the Commission.

   (3) If a financial hardship is found, the Commission will downwardly adjust,
   by an amount and for a period of time agreeable to the Commission, the
   amount  garnisheed  to  reflect  the debtor's financial condition. The
   Commission will notify the employer of any adjustments to the amounts to be
   withheld.

   (l) Ending garnishment. (1) Once the Commission has fully recovered the
   amounts  owed  by  the  debtor,  including  interest,  penalties,  and
   administrative costs consistent with the FCCS, the Commission will send the
   debtor's employer notification to discontinue wage withholding.

   (2) At least annually, the Commission shall review its debtors' accounts to
   ensure that garnishment has been terminated for accounts that have been paid
   in full.

   (m) Actions prohibited by the employer. An employer may not discharge,
   refuse to employ, or take disciplinary action against the debtor due to the
   issuance of a withholding order under this section.

   (n)  Refunds. (1) If a hearing official, at a hearing held pursuant to
   paragraph (f)(3) of this section, determines that a debt is not legally due
   and owing to the United States, the Commission shall promptly refund any
   amount collected by means of administrative wage garnishment.

   (2) Unless required by Federal law or contract, refunds under this section
   shall not bear interest.

   (o) Right of action. The Commission may sue any employer for any amount that
   the employer fails to withhold from wages owed and payable to an employee in
   accordance with paragraphs (g) and (i) of this section. However, a suit may
   not be filed before the termination of the collection action involving a
   particular debtor, unless earlier filing is necessary to avoid expiration of
   any applicable statute of limitations period. For purposes of this section,
   “termination  of the collection action” occurs when the Commission has
   terminated collection action in accordance with the FCCS or other applicable
   standards. In any event, termination of the collection action will have been
   deemed to occur if the Commission has not received any payments to satisfy
   the debt from the particular debtor whose wages were subject to garnishment,
   in whole or in part, for a period of one (1) year.

§§ 1.1937-1.1939   [Reserved]

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Interest, Penalties, Administrative Costs and Other Sanctions

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§ 1.1940   Assessment.

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   (a) Except as provided in paragraphs (g), (h), and (i) of this section or
   §1.1941, the Commission shall charge interest, penalties, and administrative
   costs on debts owed to the United States pursuant to 31 U.S.C. 3717. The
   Commission will mail, hand-deliver, or use other forms of transmission,
   including facsimile telecopier service, a written notice to the debtor, at
   the debtor's CORES contact address (see section 1.8002(b)) explaining the
   Commission's  requirements concerning these charges except where these
   requirements  are included in a contractual or repayment agreement, or
   otherwise provided in the Commission's rules, as may be amended from time to
   time. These charges shall continue to accrue until the debt is paid in full
   or otherwise resolved through compromise, termination, or waiver of the
   charges. This provision is not intended to modify or limit the terms of any
   contract, note, or security agreement from the debtor, or to modify or limit
   the Commission's rights under its rules with regard to the notice or the
   parties' agreement to waive notice.

   (b) The Commission shall charge interest on debts owed the United States as
   follows:

   (1) Interest shall accrue from the date of delinquency, or as otherwise
   provided  by  the  terms of any contract, note, or security agreement,
   regulation, or law.

   (2) Unless otherwise established in a contract, note, or security agreement,
   repayment agreement, or by statute, the rate of interest charged shall be
   the rate established annually by the Treasury in accordance with 31 U.S.C.
   3717. Pursuant to 31 U.S.C. 3717, an agency may charge a higher rate of
   interest if it reasonably determines that a higher rate is necessary to
   protect the rights of the United States. The agency should document the
   reason(s) for its determination that the higher rate is necessary.

   (3) The rate of interest, as initially charged, shall remain fixed for the
   duration  of  the  indebtedness. When a debtor defaults on a repayment
   agreement and seeks to enter into a new agreement, the agency may require
   payment of interest at a new rate that reflects the current value of funds
   to the Treasury at the time the new agreement is executed. Interest shall
   not be compounded, that is, interest shall not be charged on interest,
   penalties, or administrative costs required by this section. If, however, a
   debtor defaults on a previous repayment agreement, charges that accrued but
   were not collected under the defaulted agreement shall be added to the
   principal under the new repayment agreement.

   (c) The Commission shall assess administrative costs incurred for processing
   and handling delinquent debts. The calculation of administrative costs may
   be based on actual costs incurred or upon estimated costs as determined by
   the Commission. Commission administrative costs include the personnel and
   service  costs ( e.g. , telephone, copier, and overhead) to notify and
   collect the debt, without regard to the success of such efforts by the
   Commission.

   (d) Unless otherwise established in a contract, repayment agreement, or by
   statute,  the  Commission will charge a penalty, pursuant to 31 U.S.C.
   3717(e)(2), currently not to exceed six percent (6%) a year on the amount
   due on a debt that is delinquent for more than 90 days. This charge shall
   accrue from the date of delinquency. If the rate permitted under 31 U.S.C.
   3717 is changed, the Commission will apply that rate.

   (e) The Commission may increase an administrative debt by the cost of living
   adjustment in lieu of charging interest and penalties under this section.
   Administrative debt includes, but is not limited to, a debt based on fines,
   penalties,  and overpayments, but does not include a debt based on the
   extension of Government credit, such as those arising from loans and loan
   guaranties. The cost of living adjustment is the percentage by which the
   Consumer Price Index for the month of June of the calendar year preceding
   the adjustment exceeds the Consumer Price Index for the month of June of the
   calendar year in which the debt was determined or last adjusted. Increases
   to administrative debts shall be computed annually. Agencies should use this
   alternative only when there is a legitimate reason to do so, such as when
   calculating interest and penalties on a debt would be extremely difficult
   because of the age of the debt.

   (f) When a debt is paid in partial or installment payments, amounts received
   by  the  agency  shall  be  applied first to outstanding penalties and
   administrative cost charges, second to accrued interest, and third to the
   outstanding principal.

   (g) The Commission will waive the collection of interest and administrative
   charges imposed pursuant to this section on the portion of the debt that is
   paid within 30 days after the date on which interest began to accrue. The
   Commission will not extend this 30-day period except for good cause shown of
   extraordinary  and compelling circumstances, completely documented and
   supported in writing, submitted and received before the expiration of the
   first  30-day  period.  The  Commission  may,  on  good cause shown of
   extraordinary  and compelling circumstances, completely documented and
   supported in writing, waive interest, penalties, and administrative costs
   charged under this section, in whole or in part, without regard to the
   amount of the debt, either under the criteria set forth in these standards
   for the compromise of debts, or if the agency determines that collection of
   these charges is against equity and good conscience or is not in the best
   interest of the United States.

   (h) The Commission retains the common law right to impose interest and
   related charges on debts not subject to 31 U.S.C. 3717.

§ 1.1941   Exemptions.

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   (a) The preceding sections of this part, to the extent they reflect remedies
   or procedures prescribed by the Debt Collection Act of 1982 and the Debt
   Collection Improvement Act of 1996, such as administrative offset, use of
   credit  bureaus, contracting for collection agencies, and interest and
   related charges, do not apply to debts arising under, or payments made
   under, the Internal Revenue Code of 1986, as amended (26 U.S.C. 1 et seq. );
   the Social Security Act (42 U.S.C. 301 et seq. ), except to the extent
   provided under 42 U.S.C. 404 and 31 U.S.C. 3716(c); or the tariff laws of
   the United States. These remedies and procedures, however, may be authorized
   with respect to debts that are exempt from the Debt Collection Act of 1982
   and the Debt Collection Improvement Act of 1996, to the extent that they are
   authorized under some other statute or the common law.

   (b) This section should not be construed as prohibiting the use of these
   authorities or requirements when collecting debts owed by persons employed
   by agencies administering the laws cited in paragraph (a) of this section
   unless  the  debt  arose  under those laws. However, the Commission is
   authorized to assess interest and related charges on debts which are not
   subject to 31 U.S.C. 3717 to the extent authorized under the common law or
   other applicable statutory authority.

§ 1.1942   Other sanctions.

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   The remedies and sanctions available to the Commission in this subpart are
   not exclusive. The Commission may impose other sanctions, where permitted by
   law, for any inexcusable, prolonged, or repeated failure of a debtor to pay
   such a claim. In such cases, the Commission will provide notice, as required
   by law, to the debtor prior to imposition of any such sanction.

§§ 1.1943-1.1949   [Reserved]

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Cooperation With the Internal Revenue Service

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§ 1.1950   Reporting discharged debts to the Internal Revenue Service.

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   (a) In accordance with applicable provisions of the Internal Revenue Code
   and implementing regulations (26 U.S.C. 6050P; 26 CFR 1.6050P–1), when the
   Commission  discharges  a  debt  for  less  than the full value of the
   indebtedness,  it  will report the outstanding balance discharged, not
   including interest, to the Internal Revenue Service, using IRS Form 1099–C
   or any other form prescribed by the Service, when:

   (1) The principle amount of the debt not in dispute is $600 or more; and

   (2) The obligation has not been discharged in a bankruptcy proceeding; and

   (3) The obligation is no longer collectible either because the time limit in
   the applicable statute for enforcing collection expired during the tax year,
   or because during the year a formal compromise agreement was reached in
   which  the  debtor  was  legally discharged of all or a portion of the
   obligation.

   (b) The Treasury will prepare the Form 1099–C for those debts transferred to
   Treasury for collection and deemed uncollectible.

§ 1.1951   Offset against tax refunds.

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   The Commission will take action to effect administrative offset against tax
   refunds  due  to  debtors under 26 U.S.C. 6402, in accordance with the
   provisions of 31 U.S.C. 3720A and Treasury Department regulations.

§ 1.1952   Use and disclosure of mailing addresses.

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   (a) When attempting to locate a debtor in order to collect or compromise a
   debt  under this subpart or other authority, the Commission may send a
   request to the Secretary of the Treasury (or designee) to obtain a debtor's
   mailing address from the records of the Internal Revenue Service.

   (b) The Commission is authorized to use mailing addresses obtained under
   paragraph (a) of this section to enforce collection of a delinquent debt and
   may disclose such mailing addresses to other agencies and to collection
   agencies for collection purposes.

General Provisions Concerning Interagency Requests

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§ 1.1953   Interagency requests.

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   (a) Requests to the Commission by other Federal agencies for administrative
   or  salary  offset  shall be in writing and forwarded to the Financial
   Operations Center, FCC, 445 12th Street, SW., Washington, DC 20554.

   (b) Requests by the Commission to other Federal agencies holding funds
   payable to the debtor will be in writing and forwarded, certified return
   receipt, as specified by that agency in its regulations. If the agency's
   rules governing this matter are not readily available or identifiable, the
   request will be submitted to that agency's office of legal counsel with a
   request that it be processed in accordance with their internal procedures.

   (c)  Requests  to  and  from  the Commission shall be accompanied by a
   certification that the debtor owes the debt (including the amount) and that
   the  procedures  for administrative or salary offset contained in this
   subpart, or comparable procedures prescribed by the requesting agency, have
   been fully complied with. The Commission will cooperate with other agencies
   in effecting collection.

   (d)  Requests  to and from the Commission shall be processed within 30
   calendar days of receipt. If such processing is impractical or not feasible,
   notice  to extend the time period for another 30 calendar days will be
   forwarded 10 calendar days prior to the expiration of the first 30-day
   period.

Subpart P—Implementation of the Anti-Drug Abuse Act of 1988

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   Source:    57 FR 187 , Jan. 3, 1992, unless otherwise noted.

§ 1.2001   Purpose.

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   To determine eligibility for professional and/or commercial licenses issued
   by the Commission with respect to any denials of Federal benefits imposed by
   Federal and/or state courts under authority granted in 21 U.S.C. 862.

   [ 60 FR 39269 , Aug. 2, 1995]

§ 1.2002   Applicants required to submit information.

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   (a) In order to be eligible for any new, modified, and/or renewed instrument
   of  authorization  from  the Commission, including but not limited to,
   authorizations issued pursuant to sections 214, 301, 302, 303(1), 308,
   310(d),  318,  319,  325(b),  351, 361(b), 362(b), 381, and 385 of the
   Communications Act of 1934, as amended, by whatever name that instrument may
   be designated, all applicants shall certify that neither the applicant nor
   any party to the application is subject to a denial of Federal benefits that
   includes FCC benefits pursuant to section 5301 of the Anti-Drug Abuse Act of
   1988. 21 U.S.C. 862. If a section 5301 certification has been incorporated
   into the FCC application form being filed, the applicant need not submit a
   separate  certification.  If a section 5301 certification has not been
   incorporated into the FCC application form being filed, the applicant shall
   be deemed to have certified by signing the application, unless an exhibit is
   included stating that the signature does not constitute such a certification
   and explaining why the applicant is unable to certify. If no FCC application
   form is involved, the applicant must attach a certification to its written
   application. If the applicant is unable to so certify, the applicant shall
   be ineligible for the authorization for which it applied, and will have 90
   days from the filing of the application to comply with this rule. If a
   section 5301 certification has been incorporated into the FCC application
   form, failure to respond to the question concerning certification shall
   result in dismissal of the application pursuant to the relevant processing
   rules.

   (b) A party to the application, as used in paragraph (a) of this section
   shall include:

   (1) If the applicant is an individual, that individual;

   (2) If the applicant is a corporation or unincorporated association, all
   officers, directors, or persons holding 5% or more of the outstanding stock
   or shares (voting and/or non-voting) of the applicant; and

   (3) If the applicant is a partnership, all non-limited partners and any
   limited partners holding a 5% or more interest in the partnership.

   (c)  The  provisions of paragraphs (a) and (b) of this section are not
   applicable to the Amateur Radio Service, the Citizens Band Radio Service,
   the Radio Control Radio Service, to users in the Public Mobile Services and
   the  Private  Radio Services that are not individually licensed by the
   Commission,  or  to  Federal,  State or local governmental entities or
   subdivisions thereof.

   (d) The provisions of paragraphs (a) and (b) of this section are applicable
   to spectrum lessees ( see §1.9003 of subpart X of this part) engaged in
   spectrum  manager  leasing  arrangements and de facto transfer leasing
   arrangements pursuant to the rules set forth in subpart X of this part.

   [ 57 FR 187 , Jan. 3, 1992, as amended at  58 FR 8701 , Feb. 17, 1993;  60 FR 39269 , Aug. 2, 1995;  68 FR 66277 , Nov. 25, 2003]

§ 1.2003   Applications affected.

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   The certification required by §1.2002 must be filed with the following
   applications  and  any other requests for authorization filed with the
   Commission, as well as for spectrum leasing notifications and spectrum
   leasing applications ( see subpart X of this part), regardless of whether a
   specific form exists.

   FCC  301  Application for Construction Permit for Commercial Broadcast
   Station;

   FCC 301–A  Application for Authority to Operate a Broadcast Station by
   Remote Control or to Make Changes in a Remote Control Authorization;

   FCC 302  Application for New Broadcast Station License;

   FCC 302—FM  Application for FM Broadcast Station License;

   FCC 303–S  Application for Renewal of License for AM, FM, TV, Translator, or
   LPTV Station;

   FCC 307  Application for Extension of Broadcast Construction Permit or to
   Replace Expired Construction Permit;

   FCC 308  Application for Permit to Deliver Programs to Foreign Broadcast
   Stations;

   FCC  309  Application for Authority to Construct or Make Changes in an
   International or Experimental Broadcast Station;

   FCC  310  Application  for  an International, Experimental Television,
   Experimental Facsimile, or a Developmental Broadcast Station License;

   FCC  311  Application  for Renewal of an International or Experimental
   Broadcast License;

   FCC 313  Application for Authorization in the Auxiliary Radio Broadcast
   Services;

   FCC 313–R  Application for Renewal of Auxiliary Broadcast License;

   FCC  314  Application  for  Consent to Assignment of Broadcast Station
   Construction Permit or License;

   FCC 315  Application for Consent to Transfer of Control of Corporation
   Holding Broadcast Station Construction Permit or License;

   FCC 316  Application for Consent to Assignment of Radio Broadcast Station
   Construction Permit or License or Transfer of Control of Corporation Holding
   Radio Broadcast Station Construction Permit or License;

   FCC  327  Application  for  Cable  Television  Relay  Service  Station
   Authorzation;

   FCC 330  Application for Authorization to Construct New or Make Changes in
   an Instructional Television Fixed and/or Response Station(s), or to Assign
   or Transfer Such Stations;

   FCC 330–L  Application for Instructional Television Fixed Station License;

   FCC 330–R  Application for Renewal of Instructional Television Fixed Station
   and/or Response Station(s) and Low Power Relay Station(s) License;

   FCC 340  Application for Construction Permit for Noncommercial Educational
   Broadcast Station;

   FCC 345  Application for Transfer of Control of a Corporate Licensee or
   Permittee, or Assignment of License or Permit, for an FM or TV Translator
   Station, or a Low Power Television Station;

   FCC 346  Application for Authority to Construct or Make Changes in a Low
   Power TV, TV Translator or TV Booster Station;

   FCC 347  Application for a Low Power TV, TV Translator or TV Booster Station
   License;

   FCC 349  Application for Authority to Construct or Make Changes in an FM
   Translator or FM Booster Station;

   FCC 350  Application for an FM Translator or FM Booster Station License;

   FCC  401  Application for New or Modified Common Carrier Radio Station
   Authorization Under part 22 of this chapter.

   FCC 402  Application for Station Authorization in the Private Operational
   Fixed Microwave Radio Service;

   FCC 402–R  Renewal Notice and Certification in the Private Operational Fixed
   Microwave Radio Service;

   FCC 403  Application for Radio Station License or Modification Thereof Under
   parts 23 or 25 of this chapter;

   FCC 404  Application for Aircraft Radio Station License;

   FCC 405  Application for Renewal of Radio Station License;

   FCC  405–A  Application  for  Renewal  of Radio Station License and/or
   Notification of Change to License Information;

   FCC  405–B  Ship/Aircraft  License  Expiration  Notice  and/or Renewal
   Application;

   FCC  406  Application for Ground Station Authorization in the Aviation
   Services;

   FCC 407  Application for New or Modified Radio Station Construction Permit;

   FCC 410  Registration of Canadian Radio Station Licensee and Application for
   Permit to Operate (Land Mobile);

   FCC 442  Application for New or Modified Radio Station Authorization Under
   part 5 of this chapter—Experimental Radio Service (Other than Broadcast);

   FCC 490  Application for Assignment or Transfer of Control Under part 22 of
   this chapter;

   FCC 493  Application for Earth Station Authorization or Modification of
   Station License (Proposed);

   FCC 494  Application for a New or Modified Microwave Radio Station License
   Under part 21 of this chapter;

   FCC 494–A  Certification of Completion of Construction Under part 21 of this
   chapter;

   FCC  503  Application  for  Land Radio Station License in the Maritime
   Services;

   FCC 506  Application for Ship Radio Station License;

   FCC  574  Application for Private Land Mobile and General Mobile Radio
   Services;

   FCC 574–R  Application for Renewal of Radio Station License;

   FCC 601 FCC Application for Wireless Telecommunications Bureau Radio Service
   Authorization;

   FCC   602  FCC  Ownership  Disclosure  Information  for  the  Wireless
   Telecommunications Services;

   FCC 603 Wireless Telecommunications Bureau Application for Assignment of
   Authorization and Transfer of Control;

   FCC 605 Quick Form Application for Authorization in the Ship, Aircraft,
   Amateur,  Restricted and Commercial Operator, and General Mobile Radio
   Services;

   FCC 608 Notification or Application for Spectrum Leasing Arrangement;

   FCC 701  Application for Additional Time to Construct a Radio Station;

   FCC 702  Application for Consent to Assignment of Radio Station Construction
   Permit or License;

   FCC 703  Application for Consent to Transfer Control of Corporation Holding
   Station License;

   FCC 704  Application for Consent to Transfer of Control of Corporation
   Holding Common Carrier Radio Station Construction Permit or License;

   FCC 730  Application for Registration of Equipment to be Connected to the
   Telephone Network;

   FCC 731  Application for Equipment Authorization;

   FCC 753  Restricted Radiotelephone Operator Permit Application;

   FCC 755  Application for Restricted Radiotelephone Operator Permit—Limited
   Use;

   FCC 756  Application for Commercial Radio Operator License.

   [ 57 FR 187 , Jan. 3, 1992, as amended at  57 FR 48333 , Oct. 23, 1992;  59 FR 63051 , Dec. 7, 1994;  63 FR 68942 , Dec. 14, 1998;  68 FR 66277 , Nov. 25, 2003;
    69 FR 77550 , Dec. 27, 2004;  70 FR 19307 , Apr. 13, 2005]

   Effective Date Note:   At  69 FR 77550 , Dec. 27, 2004, §1.2003 was amended.
   This section contains information collection and recordkeeping requirements
   and will not become effective until approval has been given by the Office of
   Management and Budget.

Subpart Q—Competitive Bidding Proceedings

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   Source:    59 FR 44293 , Aug. 26, 1994, unless otherwise noted.

General Procedures

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§ 1.2101   Purpose.

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   The  provisions  of  this  subpart  implement  Section  309(j)  of the
   Communications Act of 1934, as added by the Omnibus Budget Reconciliation
   Act of 1993 (Pub. L. 103–66) and the Balanced Budget Act of 1997 (Pub. L.
   105–33), authorizing the Commission to employ competitive bidding procedures
   to choose from among two or more mutually exclusive applications for certain
   initial licenses.

   [ 63 FR 2340 , Jan. 15, 1998]

§ 1.2102   Eligibility of applications for competitive bidding.

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   (a) Mutually exclusive initial applications are subject to competitive
   bidding.

   (b)  The  following  types  of license applications are not subject to
   competitive bidding procedures:

   (1) Public safety radio services, including private internal radio services
   used  by  state  and local governments and non-government entities and
   including emergency road services provided by not-for-profit organizations,
   that

   (i) Are used to protect the safety of life, health, or property; and

   (ii) Are not commercially available to the public;

   (2) Initial licenses or construction permits for digital television service
   given to existing terrestrial broadcast licensees to replace their analog
   television service licenses; or

   (3) Noncommercial educational and public broadcast stations described under
   47 U.S.C. 397(6).

   (c) Applications in the following services or classes of services are not
   subject to competitive bidding:

   (1) Alaska-Private Fixed Stations ( see 47 CFR part 80, subpart O);

   (2) Broadcast radio (AM and FM) and broadcast television (VHF, UHF, LPTV)
   under 47 CFR part 73;

   (3) Broadcast Auxiliary and Cable Television Relay Services ( see 47 CFR
   part 74, subparts D, E, F, G, H and L and part 78, subpart B);

   (4) Instructional Television Fixed Service ( see 47 CFR part 74, subpart I);

   (5) Maritime Support Stations ( see 47 CFR part 80, subpart N);

   (6) Marine Operational Fixed Stations ( see 47 CFR part 80, subpart L);

   (7) Marine Radiodetermination Stations ( see 47 CFR part 80, subpart M);

   (8) Personal Radio Services ( see 47 CFR part 95), except applications filed
   after July 26, 1993, in the Interactive Video Data Service ( see 47 CFR part
   95, subpart F);

   (9) Public Safety, Industrial/Land Transportation, General and Business
   Radio categories above 800 MHz, including finder's preference requests for
   frequencies not allocated to the SMR service ( see 47 CFR 90.173), and
   including, until further notice of the Commission, the Automated Vehicle
   Monitoring Service ( see 47 CFR 90.239);

   (10) Private Land Mobile Radio Services between 470–512 MHz ( see 47 CFR
   part 90, subparts B-F), including those based on finder's preferences, ( see
   47 CFR 90.173);

   (11) Private Land Mobile Radio Services below 470 MHz ( see 47 CFR part 90,
   subparts B-F) except in the 220 MHz band ( see 47 CFR part 90, subpart T),
   including those based on finder's preferences ( see 47 CFR §90.173); and

   (12) Private Operational Fixed Services ( see 47 CFR part 94).

   Note to §1.2102: To determine the rules that apply to competitive bidding,
   specific service rules should also be consulted.

   [ 59 FR 44293 , Aug. 26, 1994, as amended at  60 FR 40718 , Aug. 9, 1995;  62 FR 23163 , Apr. 29, 1997;  63 FR 10780 , Mar. 5, 1998]

§ 1.2103   Competitive bidding design options.

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   (a) The Commission will choose from one or more of the following types of
   auction designs for services or classes of services subject to competitive
   bidding:

   (1) Simultaneous multiple-round auctions (using remote or on-site electronic
   bidding);

   (2) Sequential multiple round auctions (using either oral ascending or
   remote and/or on-site electronic bidding);

   (3) Sequential or simultaneous single-round auctions (using either sealed
   paper or remote and/or on-site electronic bidding); and

   (4) Combinatorial (package) bidding auctions.

   (b) The Commission may use combinatorial bidding, which would allow bidders
   to submit all or nothing bids on combinations of licenses or authorizations,
   in addition to bids on individual licenses or authorizations. The Commission
   may require that to be declared the high bid, a combinatorial bid must
   exceed the sum of the individual bids by a specified amount. Combinatorial
   bidding may be used with any type of auction. The Commission may also allow
   bidders to submit contingent bids on individual and/or combinations of
   licenses.

   (1) Apportioned package bid . The apportioned package bid on a license is an
   estimate of the price of an individual license included in a package of
   licenses in an auction with combinatorial (package) bidding. Apportioned
   package  bids  shall  be  determined  by the Commission according to a
   methodology it establishes in advance of each auction with combinatorial
   bidding.

   (2) Substitute for bid amount . The apportioned package bid on a license
   included in a package shall be used in place of the amount of an individual
   bid on that license when the bid amount is needed to determine the size of a
   designated entity bidding credit (see §1.2110(f)(1) and (f)(2)), a new
   entrant bidding credit (see §73.5007), a bid withdrawal or default payment
   obligation  (see  §1.2104(g)), a tribal land bidding credit limit (see
   §1.2110(f)(3)(iv)), or a size-based bidding credit unjust enrichment payment
   obligation  (see  §1.2111(d),  (e)(2)  and  (e)(3)),  or for any other
   determination required by the Commission's rules or procedures.

   (c) The Commission may use single combined auctions, which combine bidding
   for two or more substitutable licenses and award licenses to the highest
   bidders until the available licenses are exhausted. This technique may be
   used in conjunction with any type of auction.

   (d) The Commission may use real time bidding in all electronic auction
   designs.

   [ 59 FR 44293 , Aug. 26, 1994, as amended at  62 FR 13542 , Mar. 21, 1997;  63 FR 2341 , Jan. 15, 1998;  68 FR 42995 , July 21, 2003;  71 FR 6226 , Feb. 7, 2006]

§ 1.2104   Competitive bidding mechanisms.

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   (a) Sequencing. The Commission will establish the sequence in which multiple
   licenses will be auctioned.

   (b)  Grouping.  In the event the Commission uses either a simultaneous
   multiple round competitive bidding design or combinatorial bidding, the
   Commission will determine which licenses will be auctioned simultaneously or
   in combination.

   (c) Reserve Price . The Commission may establish a reserve price or prices,
   either disclosed or undisclosed, below which a license or licenses subject
   to auction will not be awarded. For any auction of eligible frequencies
   described  in section 113(g)(2) of the National Telecommunications and
   Information Administration Organization Act (47 U.S.C. 923(g)(2)) requiring
   the recovery of estimated relocation costs, the Commission will establish a
   reserve price or prices pursuant to which the total cash proceeds from any
   auction of eligible frequencies shall equal at least 110 percent of the
   total estimated relocation costs provided to the Commission by the National
   Telecommunications  and Information Administration pursuant to section
   113(g)(4) of such Act (47 U.S.C. 923(g)(4)).

   (d) Minimum Bid Increments, Minimum Opening Bids and Maximum Bid Increments.
   The Commission may, by announcement before or during an auction, require
   minimum bid increments in dollar or percentage terms. The Commission also
   may  establish  minimum  opening  bids and maximum bid increments on a
   service-specific basis.

   (e) Stopping Rules. The Commission may establish stopping rules before or
   during multiple round auctions in order to terminate the auctions within a
   reasonable time.

   (f)  Activity Rules. The Commission may establish activity rules which
   require a minimum amount of bidding activity.

   (g) Withdrawal, Default and Disqualification Payment. As specified below,
   when the Commission conducts an auction pursuant to §1.2103, the Commission
   will impose payments on bidders who withdraw high bids during the course of
   an auction, or who default on payments due after an auction closes or who
   are disqualified.

   (1) Bid withdrawal prior to close of auction . A bidder that withdraws a bid
   during the course of an auction is subject to a withdrawal payment equal to
   the difference between the amount of the withdrawn bid and the amount of the
   winning  bid in the same or subsequent auction(s). In the event that a
   bidding credit applies to any of the bids, the bid withdrawal payment is
   either the difference between the net withdrawn bid and the subsequent net
   winning bid, or the difference between the gross withdrawn bid and the
   subsequent gross winning bid, whichever is less. No withdrawal payment will
   be assessed for a withdrawn bid if either the subsequent winning bid or any
   of  the  intervening  subsequent withdrawn bids equals or exceeds that
   withdrawn bid. The withdrawal payment amount is deducted from any upfront
   payments or down payments that the withdrawing bidder has deposited with the
   Commission. In the case of multiple bid withdrawals on a single license, the
   payment for each bid withdrawal will be calculated based on the sequence of
   bid  withdrawals  and  the amounts withdrawn in the same or subsequent
   auction(s). In the event that a license for which there have been withdrawn
   bids subject to withdrawal payments is not won in the same auction, those
   bidders for which a final withdrawal payment cannot be calculated will be
   assessed an interim bid withdrawal payment of between 3 and 20 percent of
   their withdrawn bids, according to a percentage (or percentages) established
   by the Commission in advance of the auction. The interim bid withdrawal
   payment will be applied toward any final bid withdrawal payment that will be
   assessed at the close of a subsequent auction of the corresponding license.

   Example  1  to  paragraph  (g)(1).   Bidder A withdraws a bid of $100.
   Subsequently, Bidder B places a bid of $90 and withdraws. In that same
   auction, Bidder C wins the license at a bid of $95. Withdrawal payments are
   assessed as follows: Bidder A owes $5 ($100–$95). Bidder B owes nothing.

   Example  2  to  paragraph  (g)(1).   Bidder A withdraws a bid of $100.
   Subsequently, Bidder B places a bid of $95 and withdraws. In that same
   auction, Bidder C wins the license at a bid of $90. Withdrawal payments are
   assessed  as  follows:  Bidder  A owes $5 ($100–$95). Bidder B owes $5
   ($95–$90).

   Example  3  to  paragraph  (g)(1).   Bidder A withdraws a bid of $100.
   Subsequently,  in  that same auction, Bidder B places a bid of $90 and
   withdraws.  In  a subsequent auction, Bidder C places a bid of $95 and
   withdraws.  Bidder D wins the license in that auction at a bid of $80.
   Assuming that the Commission established an interim bid withdrawal payment
   of  3 percent in advance of the first auction, withdrawal payments are
   assessed as follows: At the end of the first auction, Bidder A and Bidder B
   are each assessed an interim withdrawal payment equal to 3 percent of their
   withdrawn bids pending Commission assessment of a final withdrawal payment
   (Bidder A would owe 3% of $100, or $3, and Bidder B would owe 3% of $90, or
   $2.70). At the end of the second auction, Bidder A would owe $5 ($100–$95)
   less the $3 interim withdrawal payment for a total of $2. Because Bidder C
   placed a subsequent bid that was higher than Bidder B's $90 bid, Bidder B
   would owe nothing. Bidder C would owe $15 ($95–$80).

   (2) Default or disqualification after close of auction . A bidder assumes a
   binding obligation to pay its full bid amount upon acceptance of the winning
   bid at the close of an auction. If a bidder defaults or is disqualified
   after the close of such an auction, the defaulting bidder will be subject to
   a  default  payment  consisting  of a deficiency payment, described in
   §1.2104(g)(2)(i), and an additional payment, described in §1.2104(g)(2)(ii)
   and (g)(2)(iii). The default payment will be deducted from any upfront
   payments or down payments that the defaulting bidder has deposited with the
   Commission.

   (i) Deficiency payment . The deficiency payment will equal the difference
   between the amount of the defaulted bid and the amount of the winning bid in
   a subsequent auction, so long as there have been no intervening withdrawn
   bids that equal or exceed the defaulted bid or the subsequent winning bid.
   If the subsequent winning bid or any intervening subsequent withdrawn bid
   equals or exceeds the defaulted bid, no deficiency payment will be assessed.
   If there have been intervening subsequent withdrawn bids that are lower than
   the  defaulted  bid and higher than the subsequent winning bid, but no
   intervening withdrawn bids that equal or exceed the defaulted bid, the
   deficiency payment will equal the difference between the amount of the
   defaulted bid and the amount of the highest intervening subsequent withdrawn
   bid. In the event that a bidding credit applies to any of the applicable
   bids, the deficiency payment will be based solely on net bids or solely on
   gross bids, whichever results in a lower payment.

   (ii)  Additional  payment—applicable  percentage . When the default or
   disqualification follows an auction without combinatorial bidding, the
   additional payment will equal between 3 and 20 percent of the applicable
   bid,  according  to  a  percentage (or percentages) established by the
   Commission in advance of the auction. When the default or disqualification
   follows an auction with combinatorial bidding, the additional payment will
   equal 25 percent of the applicable bid.

   (iii) Additional payment—applicable bid . When no deficiency payment is
   assessed, the applicable bid will be the net amount of the defaulted bid.
   When  a deficiency payment is assessed, the applicable bid will be the
   subsequent winning bid, using the same basis—i.e., net or gross—as was used
   in calculating the deficiency payment.

   (h)  The  Commission will generally release information concerning the
   identities  of  bidders  before  each  auction  but  may choose, on an
   auction-by-auction basis, to withhold the identity of the bidders associated
   with bidder identification numbers.

   (i) The Commission may delay, suspend, or cancel an auction in the event of
   a  natural  disaster, technical obstacle, evidence of security breach,
   unlawful bidding activity, administrative necessity, or for any other reason
   that affects the fair and efficient conduct of the competitive bidding. The
   Commission also has the authority, at its sole discretion, to resume the
   competitive bidding starting from the beginning of the current or some
   previous round or cancel the competitive bidding in its entirety.

   (j) Bid apportionment . The Commission may specify a method for apportioning
   a bid among portions of the license (i.e., portions of the license's service
   area or bandwidth, or both) when necessary to compare a bid on the original
   license or portions thereof with a bid on a corresponding reconfigured
   license for purposes of the Commission's rules or procedures, such as to
   calculate a bid withdrawal or default payment obligation in connection with
   the bid.

   [ 59 FR 44293 , Aug. 26, 1994, as amended at  63 FR 2341 , Jan. 15, 1998;  65 FR 52344 , Aug. 29, 2000;  68 FR 42995 , July 21, 2003;  71 FR 6226 , Feb. 7, 2006]

§ 1.2105   Bidding application and certification procedures; prohibition of
collusion.

   top

   Link to an amendment published at  72 FR 48843 , Aug. 24, 2007.

   (a) Submission of Short-Form Application (FCC Form 175). In order to be
   eligible to bid, an applicant must timely submit a short-form application
   (FCC Form 175), together with any appropriate upfront payment set forth by
   Public Notice. Beginning January 1, 1999, all short-form applications must
   be filed electronically.

   (1) All short-form applications will be due:

   (i) On the date(s) specified by public notice; or

   (ii) In the case of application filing dates which occur automatically by
   operation of law ( see, e.g., 47 CFR 22.902), on a date specified by public
   notice after the Commission has reviewed the applications that have been
   filed on those dates and determined that mutual exclusivity exists.

   (2) The short-form application must contain the following information:

   (i) Identification of each license on which the applicant wishes to bid;

   (ii)(A) The applicant's name, if the applicant is an individual. If the
   applicant is a corporation, then the short-form application will require the
   name  and address of the corporate office and the name and title of an
   officer or director. If the applicant is a partnership, then the application
   will require the name, citizenship and address of all general partners, and,
   if  a  partner  is  not a natural person, then the name and title of a
   responsible person should be included as well. If the applicant is a trust,
   then the name and address of the trustee will be required. If the applicant
   is none of the above, then it must identify and describe itself and its
   principals or other responsible persons; and

   (B) Applicant ownership and other information, as set forth in §1.2112.

   (iii) The identity of the person(s) authorized to make or withdraw a bid;

   (iv) If the applicant applies as a designated entity pursuant to §1.2110, a
   statement to that effect and a declaration, under penalty of perjury, that
   the applicant is qualified as a designated entity under §1.2110.

   (v) Certification that the applicant is legally, technically, financially
   and otherwise qualified pursuant to section 308(b) of the Communications Act
   of 1934, as amended. The Commission will accept applications certifying that
   a request for waiver or other relief from the requirements of section 310 is
   pending;

   (vi) Certification that the applicant is in compliance with the foreign
   ownership provisions of section 310 of the Communications Act of 1934, as
   amended;

   (vii) Certification that the applicant is and will, during the pendency of
   its  application(s),  remain  in  compliance with any service-specific
   qualifications applicable to the licenses on which the applicant intends to
   bid including, but not limited to, financial qualifications. The Commission
   may require certification in certain services that the applicant will,
   following  grant  of  a  license,  come  into  compliance with certain
   service-specific rules, including, but not limited to, ownership eligibility
   limitations;

   (viii)  An  exhibit,  certified  as truthful under penalty of perjury,
   identifying  all  parties  with  whom  the  applicant has entered into
   partnerships, joint ventures, consortia or other agreements, arrangements or
   understandings  of  any kind relating to the licenses being auctioned,
   including any such agreements relating to the post-auction market structure.

   (ix) Certification under penalty of perjury that it has not entered and will
   not  enter  into  any explicit or implicit agreements, arrangements or
   understandings of any kind with any parties other than those identified
   pursuant to paragraph (a)(2)(viii) regarding the amount of their bids,
   bidding strategies or the particular licenses on which they will or will not
   bid.

   (x) Certification that the applicant is not in default on any Commission
   licenses and that it is not delinquent on any non-tax debt owed to any
   Federal agency.

   (xi) An attached statement made under penalty of perjury indicating whether
   or not the applicant has ever been in default on any Commission license or
   has ever been delinquent on any non-tax debt owed to any Federal agency.

   Note to paragraph(a): The Commission may also request applicants to submit
   additional information for informational purposes to aid in its preparation
   of required reports to Congress.

   (b) Modification and Dismissal of Short-Form Application (FCC Form 175). (1)
   Any short-form application (FCC Form 175) that does not contain all of the
   certifications required pursuant to this section is unacceptable for filing
   and cannot be corrected subsequent to the applicable filing deadline. The
   application will be dismissed with prejudice and the upfront payment, if
   paid, will be returned.

   (2)  The Commission will provide bidders a limited opportunity to cure
   defects specified herein (except for failure to sign the application and to
   make certifications) and to resubmit a corrected application. During the
   resubmission period for curing defects, a short-form application may be
   amended or modified to cure defects identified by the Commission or to make
   minor amendments or modifications. After the resubmission period has ended,
   a short-form application may be amended or modified to make minor changes or
   correct minor errors in the application. Major amendments cannot be made to
   a short-form application after the initial filing deadline. Major amendments
   include changes in ownership of the applicant that would constitute an
   assignment or transfer of control, changes in an applicant's size which
   would affect eligibility for designated entity provisions, and changes in
   the license service areas identified on the short-form application on which
   the applicant intends to bid. Minor amendments include, but are not limited
   to, the correction of typographical errors and other minor defects not
   identified as major. An application will be considered to be newly filed if
   it  is  amended  by a major amendment and may not be resubmitted after
   applicable filing deadlines.

   (3) Applicants who fail to correct defects in their applications in a timely
   manner as specified by public notice will have their applications dismissed
   with no opportunity for resubmission.

   (c) Prohibition of collusion. (1) Except as provided in paragraphs (c)(2),
   (c)(3), and (c)(4) of this section, after the short-form application filing
   deadline, all applicants for licenses in any of the same geographic license
   areas are prohibited from cooperating or collaborating with respect to,
   discussing with each other, or disclosing to each other in any manner the
   substance of their own, or each other's, or any other competing applicants'
   bids  or  bidding  strategies, or discussing or negotiating settlement
   agreements, until after the down payment deadline, unless such applicants
   are members of a bidding consortium or other joint bidding arrangement
   identified   on   the  bidder's  short-form  application  pursuant  to
   §1.2105(a)(2)(viii).

   (2) Applicants may modify their short-form applications to reflect formation
   of  consortia  or changes in ownership at any time before or during an
   auction, provided such changes do not result in a change in control of the
   applicant, and provided that the parties forming consortia or entering into
   ownership  agreements have not applied for licenses in any of the same
   geographic  license  areas.  Such changes will not be considered major
   modifications of the application.

   (3)  After  the filing of short-form applications, applicants may make
   agreements  to  bid  jointly for licenses, provided the parties to the
   agreement  have not applied for licenses in any of the same geographic
   license areas.

   (4)  After  the  filing  of  short-form  applications,  a  holder of a
   non-controlling attributable interest in an entity submitting a short-form
   application may acquire an ownership interest in, form a consortium with, or
   enter into a joint bidding arrangement with, other applicants for licenses
   in the same geographic license area, provided that:

   (i) The attributable interest holder certifies to the Commission that it has
   not communicated and will not communicate with any party concerning the bids
   or bidding strategies of more than one of the applicants in which it holds
   an attributable interest, or with which it has a consortium or joint bidding
   arrangement, and which have applied for licenses in the same geographic
   license area(s); and

   (ii)  The  arrangements  do  not result in any change in control of an
   applicant; or

   (iii) When an applicant has withdrawn from the auction, is no longer placing
   bids  and  has  no further eligibility, a holder of a non-controlling,
   attributable interest in such an applicant may obtain an ownership interest
   in or enter into a consortium with another applicant for a license in the
   same geographic service area, provided that the attributable interest holder
   certifies  to  the Commission that it did not communicate with the new
   applicant prior to the date that the original applicant withdrew from the
   auction.

   (5) Applicants must modify their short-form applications to reflect any
   changes  in  ownership  or in membership of consortia or joint bidding
   arrangements.

   (6) Any applicant that makes or receives a communication of bids or bidding
   strategies prohibited under paragraph (c)(1) of this section shall report
   such communication in writing to the Commission immediately, and in no case
   later than five business days after the communication occurs. Such reports
   shall be filed with the Office of the Secretary, and a copy shall be sent to
   the  Chief  of  the  Auctions  and  Spectrum Access Division, Wireless
   Telecommunications Bureau.

   (7) For purposes of this paragraph:

   (i) The term applicant shall include all controlling interests in the entity
   submitting a short-form application to participate in an auction (FCC Form
   175), as well as all holders of partnership and other ownership interests
   and any stock interest amounting to 10 percent or more of the entity, or
   outstanding stock, or outstanding voting stock of the entity submitting a
   short-form application, and all officers and directors of that entity; and

   (ii) The term bids or bidding strategies shall include capital calls or
   requests for additional funds in support of bids or bidding strategies.

   Example:   Company A is an applicant in area 1. Company B and Company C each
   own 10 percent of Company A. Company D is an applicant in area 1, area 2,
   and area 3. Company C is an applicant in area 3. Without violating the
   Commission's Rules, Company B can enter into a consortium arrangement with
   Company  D  or acquire an ownership interest in Company D if Company B
   certifies either (1) that it has communicated with and will communicate
   neither with Company A or anyone else concerning Company A's bids or bidding
   strategy, nor with Company C or anyone else concerning Company C's bids or
   bidding strategy, or (2) that it has not communicated with and will not
   communicate with Company D or anyone else concerning Company D's bids or
   bidding strategy.

   [ 63 FR 2341 , Jan. 15, 1998, as amended at  63 FR 29958 , June 2, 1998;  63 FR 50799 , Sept. 23, 1998;  64 FR 59659 , Nov. 3, 1999;  65 FR 52345 , Aug. 29,
   2000;  66 FR 54452 , Oct. 29, 2001;  71 FR 15619 , Mar. 29, 2006;  71 FR 26251 ,
   May 4, 2006]

§ 1.2106   Submission of upfront payments.

   top

   (a)  The  Commission  may  require  applicants for licenses subject to
   competitive bidding to submit an upfront payment. In that event, the amount
   of the upfront payment and the procedures for submitting it will be set
   forth in a Public Notice. Any auction applicant that has previously been in
   default on any Commission license or has previously been delinquent on any
   non-tax debt owed to any Federal agency must submit an upfront payment equal
   to 50 percent more than that set for each particular license. No interest
   will be paid on upfront payments.

   (b) Upfront payments must be made by wire transfer in U.S. dollars from a
   financial institution whose deposits are insured by the Federal Deposit
   Insurance Corporation and must be made payable to the Federal Communications
   Commission.

   (c) If an upfront payment is not in compliance with the Commission's Rules,
   or if insufficient funds are tendered to constitute a valid upfront payment,
   the applicant shall have a limited opportunity to correct its submission to
   bring it up to the minimum valid upfront payment prior to the auction. If
   the applicant does not submit at least the minimum upfront payment, it will
   be ineligible to bid, its application will be dismissed and any upfront
   payment it has made will be returned.

   (d) The upfront payment(s) of a bidder will be credited toward any down
   payment required for licenses on which the bidder is the high bidder. Where
   the upfront payment amount exceeds the required deposit of a winning bidder,
   the Commission may refund the excess amount after determining that no bid
   withdrawal penalties are owed by that bidder.

   (e) In accordance with the provisions of paragraph (d), in the event a
   penalty is assessed pursuant to §1.2104 for bid withdrawal or default,
   upfront payments or down payments on deposit with the Commission will be
   used to satisfy the bid withdrawal or default penalty before being applied
   toward any additional payment obligations that the high bidder may have.

   [ 59 FR 44293 , Aug. 26, 1994, as amended at  62 FR 13543 , Mar. 21, 1997;  65 FR 52345 , Aug. 29, 2000]

§ 1.2107   Submission of down payment and filing of long-form applications.

   top

   (a) After bidding has ended, the Commission will identify and notify the
   high bidder and declare the bidding closed.

   (b) Unless otherwise specified by public notice, within ten (10) business
   days  after  being  notified  that it is a high bidder on a particular
   license(s), a high bidder must submit to the Commission's lockbox bank such
   additional funds (the “down payment”) as are necessary to bring its total
   deposits (not including upfront payments applied to satisfy bid withdrawal
   or default payments) up to twenty (20) percent of its high bid(s). (In
   single round sealed bid auctions conducted under §1.2103, however, bidders
   may be required to submit their down payments with their bids.) Unless
   otherwise specified by public notice, this down payment must be made by wire
   transfer in U.S. dollars from a financial institution whose deposits are
   insured  by the Federal Deposit Insurance Corporation and must be made
   payable to the Federal Communications Commission. Down payments will be held
   by the Commission until the high bidder has been awarded the license and has
   paid the remaining balance due on the license or authorization, in which
   case  it  will  not  be returned, or until the winning bidder is found
   unqualified to be a licensee or has defaulted, in which case it will be
   returned, less applicable payments. No interest on any down payment will be
   paid to the bidders.

   (c) A high bidder that meets its down payment obligations in a timely manner
   must, within ten (10) business days after being notified that it is a high
   bidder, submit an additional application (the “long-form application”)
   pursuant to the rules governing the service in which the applicant is the
   high bidder. Notwithstanding any other provision in title 47 of the Code of
   Federal  Regulations  to the contrary, high bidders need not submit an
   additional  application  filing fee with their long-form applications.
   Specific  procedures for filing applications will be set out by Public
   Notice.  Ownership  disclosure  requirements are set forth in §1.2112.
   Beginning  January  1,  1999, all long-form applications must be filed
   electronically. An applicant that fails to submit the required long-form
   application under this paragraph and fails to establish good cause for any
   late-filed submission, shall be deemed to have defaulted and will be subject
   to the payments set forth in §1.2104.

   (d) As an exhibit to its long-form application, the applicant must provide a
   detailed explanation of the terms and conditions and parties involved in any
   bidding  consortia,  joint  venture, partnership or other agreement or
   arrangement it had entered into relating to the competitive bidding process
   prior to the time bidding was completed. Such agreements must have been
   entered into prior to the filing of short-form applications pursuant to
   §1.2105.

   (e) A winning bidder that seeks a bidding credit to serve a qualifying
   tribal land, as defined in §1.2110(f)(3)(i), within a particular market must
   indicate on the long-form application (FCC Form 601) that it intends to
   serve a qualifying tribal land within that market.

   (f) An applicant must also submit FCC Form 602 ( see §1.919 of this chapter)
   with its long form application (FCC Form 601).

   (g)(1)(i) A consortium participating in competitive bidding pursuant to
   §1.2110(b)(3)(i) that is a winning bidder may not apply as a consortium for
   licenses covered by the winning bids. Individual members of the consortium
   or new legal entities comprising individual consortium members may apply for
   the licenses covered by the winning bids of the consortium. An individual
   member  of the consortium or a new legal entity comprising two or more
   individual  consortium members applying for a license pursuant to this
   provision shall be the applicant for purposes of all related requirements
   and  filings, such as filing FCC Form 602. However, the members filing
   separate  long-form  applications  shall  all use the consortium's FCC
   Registration Number (“FRN”) on their long-form applications. An application
   by an individual consortium member or a new legal entity comprising two or
   more individual consortium members for a license covered by the winning bids
   of  the  consortium  shall  not constitute a major modification of the
   application  or  a  change in control of the applicant for purposes of
   Commission rules governing the application.

   (ii) Within ten business days after release of the public notice announcing
   grant of a long-form application, that licensee must update its filings in
   the  Commission's Universal Licensing System (“ULS”) to substitute its
   individual FRN for that of the consortium.

   (2) The continuing eligibility for size-based benefits, such as size-based
   bidding  credits or set-aside licenses, of a newly formed legal entity
   comprising two or more individual consortium members will be based on the
   size  of  such  newly  formed entity as of the filing of its long-form
   application.

   (3)  Members  of  a  consortium intending to partition or disaggregate
   license(s) among individual members or new legal entities comprising two or
   more individual consortium members must select one member or one new legal
   entity comprising two or more individual consortium members to apply for the
   license(s). The applicant must include in its applications, as part of the
   explanation of terms and conditions provided pursuant to §1.2107(d), the
   agreement  of  the applicable parties to partition or disaggregate the
   relevant  license(s). Upon grant of the long-form application for that
   license, the licensee must then apply to partition or disaggregate the
   license pursuant to those terms and conditions.

   [ 59 FR 44293 , Aug. 26, 1994, as amended at  61 FR 49075 , Sept. 18, 1996;  62 FR 13543 , Mar. 21, 1997;  63 FR 2342 , Jan. 15, 1998;  63 FR 12659 , Mar. 16,
   1998;  63 FR 68942 , Dec. 14, 1998;  65 FR 47354 , Aug. 2, 2000;  67 FR 45365 ,
   July 9, 2002;  71 FR 6227 , Feb. 7, 2006]

§ 1.2108   Procedures for filing petitions to deny against long-form
applications.

   top

   (a) Where petitions to deny are otherwise provided for under the Act or the
   commission's Rules, and unless other service-specific procedures for the
   filing of such petitions are provided for elsewhere in the Commission's
   Rules, the procedures in this section shall apply to the filing of petitions
   to deny the long-form applications of winning bidders.

   (b) Within a period specified by Public Notice and after the Commission by
   Public Notice announces that long-form applications have been accepted for
   filing, petitions to deny such applications may be filed. The period for
   filing  petitions  to  deny  shall  be no more than ten (10) days. The
   appropriate  licensing  Bureau, within its discretion, may, in exigent
   circumstances, reduce this period of time to no less than five (5) days. Any
   such petitions must contain allegations of fact supported by affidavit of a
   person or persons with personal knowledge thereof.

   (c) An applicant may file an opposition to any petition to deny, and the
   petitioner  a reply to such opposition. Allegations of fact or denials
   thereof must be supported by affidavit of a person or persons with personal
   knowledge thereof. The time for filing such oppositions shall be at least
   five (5) days from the filing date for petitions to deny, and the time for
   filing replies shall be at least five (5) days from the filing date for
   oppositions. The Commission may grant a license based on any long-form
   application that has been accepted for filing. The Commission shall in no
   case grant licenses earlier than seven (7) days following issuance of a
   public notice announcing long-form applications have been accepted for
   filing.

   (d) If the Commission determines that:

   (1) An applicant is qualified and there is no substantial and material issue
   of fact concerning that determination, it will grant the application.

   (2) An applicant is not qualified and that there is no substantial issue of
   fact  concerning  that  determination, the Commission need not hold an
   evidentiary hearing and will deny the application.

   (3) Substantial and material issues of fact require a hearing, it will
   conduct a hearing. The Commission may permit all or part of the evidence to
   be  submitted  in  written  form  and  may permit employees other than
   administrative law judges to preside at the taking of written evidence. Such
   hearing will be conducted on an expedited basis.

   [ 59 FR 44293 , Aug. 26, 1994, as amended at  63 FR 2343 , Jan. 15, 1998;  65 FR 52345 , Aug. 29, 2000]

§ 1.2109   License grant, denial, default, and disqualification.

   top

   (a)  Unless  otherwise specified by public notice, auction winners are
   required to pay the balance of their winning bids in a lump sum within ten
   (10) business days following the release of a public notice establishing the
   payment  deadline. If a winning bidder fails to pay the balance of its
   winning bids in a lump sum by the applicable deadline as specified by the
   Commission, it will be allowed to make payment within ten (10) business days
   after the payment deadline, provided that it also pays a late fee equal to
   five percent of the amount due. When a winning bidder fails to pay the
   balance of its winning bid by the late payment deadline, it is considered to
   be  in default on its license(s) and subject to the applicable default
   payments. Licenses will be awarded upon the full and timely payment of
   winning bids and any applicable late fees.

   (b) If a winning bidder withdraws its bid after the Commission has declared
   competitive bidding closed or fails to remit the required down payment
   within ten (10) business days after the Commission has declared competitive
   bidding closed, the bidder will be deemed to have defaulted, its application
   will be dismissed, and it will be liable for the default payment specified
   in §§1.2104(g)(2) or 1.2104(g)(3), whichever is applicable. In such event,
   the Commission, at its discretion, may either re-auction the license(s) to
   existing or new applicants or offer it to the other highest bidders (in
   descending order) at their final bids. If the license(s) is offered to the
   other highest bidders (in descending order), the down payment obligations
   set  forth in §1.2107(b) will apply. However, in combinatorial bidding
   auctions, the Commission will only re-auction the license(s) to existing or
   new applicants. The Commission will not offer the package or licenses to the
   next highest bidder.

   (c) A winning bidder who is found unqualified to be a licensee, fails to
   remit the balance of its winning bid in a timely manner, or defaults or is
   disqualified for any reason after having made the required down payment,
   will be deemed to have defaulted, its application will be dismissed, and it
   will be liable for the payment set forth in §§1.2104(g)(2) or 1.2104(g)(3),
   whichever is applicable. In such event, the Commission may either re-auction
   the  license(s) to existing or new applicants or offer it to the other
   highest bidders (in descending order) at their final bids. However, in
   combinatorial bidding auctions, the Commission will only re-auction the
   license(s) to existing or new applicants. The Commission will not offer the
   package or licenses to the next highest bidder.

   (d)  Bidders  who are found to have violated the antitrust laws or the
   Commission's rules in connection with their participation in the competitive
   bidding  process  may  be subject, in addition to any other applicable
   sanctions, to forfeiture of their upfront payment, down payment or full bid
   amount, and may be prohibited from participating in future auctions.

   [ 59 FR 44293 , Aug. 26, 1994, as amended at  62 FR 13544 , Mar. 21, 1997;  63 FR 2343 , Jan. 15, 1998;  68 FR 42996 , July 21, 2003]

§ 1.2110   Designated entities.

   top

   (a) Designated entities are small businesses, businesses owned by members of
   minority groups and/or women, and rural telephone companies.

   (b) Eligibility for small business and entrepreneur provisions —(1) Size
   attribution. (i) The gross revenues of the applicant (or licensee), its
   affiliates, its controlling interests, the affiliates of its controlling
   interests, and the entities with which it has an attributable material
   relationship  shall  be  attributed to the applicant (or licensee) and
   considered on a cumulative basis and aggregated for purposes of determining
   whether  the applicant (or licensee) is eligible for status as a small
   business, very small business, or entrepreneur, as those terms are defined
   in  the service-specific rules. An applicant seeking status as a small
   business, very small business, or entrepreneur, as those terms are defined
   in the service-specific rules, must disclose on its short- and long-form
   applications, separately and in the aggregate, the gross revenues for each
   of the previous three years of the applicant (or licensee), its affiliates,
   its controlling interests, the affiliates of its controlling interests, and
   the entities with which it has an attributable material relationship.

   (ii) If applicable, pursuant to §24.709 of this chapter, the total assets of
   the applicant (or licensee), its affiliates, its controlling interests, the
   affiliates of its controlling interests, and the entities with which it has
   an attributable material relationship shall be attributed to the applicant
   (or  licensee) and considered on a cumulative basis and aggregated for
   purposes of determining whether the applicant (or licensee) is eligible for
   status as an entrepreneur. An applicant seeking status as an entrepreneur
   must disclose on its short- and long-form applications, separately and in
   the aggregate, the gross revenues for each of the previous two years of the
   applicant (or licensee), its affiliates, its controlling interests, the
   affiliates of its controlling interests, and the entities with which it has
   an attributable material relationship.

   (2)  Aggregation of affiliate interests. Persons or entities that hold
   interests in an applicant (or licensee) that are affiliates of each other or
   have an identity of interests identified in §1.2110(c)(5)(iii) will be
   treated  as  though they were one person or entity and their ownership
   interests  aggregated  for  purposes of determining an applicant's (or
   licensee's) compliance with the requirements of this section.

   Example 1 to paragraph (b)(2):   ABC Corp. is owned by individuals, A, B and
   C, each having an equal one-third voting interest in ABC Corp. A and B
   together, with two-thirds of the stock have the power to control ABC Corp.
   and have an identity of interest. If A&B invest in DE Corp., a broadband PCS
   applicant for block C, A and B's separate interests in DE Corp. must be
   aggregated because A and B are to be treated as one person or entity.

   Example 2 to paragraph (b)(2):   ABC Corp. has subsidiary BC Corp., of which
   it holds a controlling 51 percent of the stock. If ABC Corp. and BC Corp.,
   both  invest in DE Corp., their separate interests in DE Corp. must be
   aggregated because ABC Corp. and BC Corp. are affiliates of each other.

   (3)  Exceptions. (i) Consortium . Where an applicant to participate in
   bidding  for  Commission licenses or permits is a consortium either of
   entities eligible for size-based bidding credits an/or for closed bidding
   based on gross revenues and/or total assets, the gross revenues and/or total
   assets of each consortium member shall not be aggregated. Each consortium
   member must constitute a separate and distinct legal entity to qualify for
   this exception. Consortia that are winning bidders using this exception must
   comply with the requirements of §1.2107(g) of this chapter as a condition of
   license grant.

   (ii)  Applicants  without identifiable controlling interests. Where an
   applicant (or licensee) cannot identify controlling interests under the
   standards set forth in this section, the gross revenues of all interest
   holders in the applicant, and their affiliates, will be attributable.

   (iii) Rural telephone cooperatives. (A)( 1 ) An applicant will be exempt
   from §1.2110(c)(2)(ii)(F) for the purpose of attribution in §1.2110(b)(1),
   if the applicant or a controlling interest in the applicant, as the case may
   be, meets all of the following conditions:

   (  i  )  The applicant (or the controlling interest) is organized as a
   cooperative pursuant to state law;

   ( ii ) The applicant (or the controlling interest) is a “rural telephone
   company” as defined by the Communications Act; and

   ( iii ) The applicant (or the controlling interest) demonstrates either that
   it is eligible for tax-exempt status under the Internal Revenue Code or that
   it adheres to the cooperative principles articulated in Puget Sound Plywood,
   Inc. v. Commissioner of Internal Revenue, 44 T.C. 305 (1965).

   ( 2 ) If the condition in paragraph (b)(3)(iii)(A)( 1 )( i ) above cannot be
   met because the relevant jurisdiction has not enacted an organic statute
   that specifies requirements for organization as a cooperative, the applicant
   must show that it is validly organized and its articles of incorporation,
   by-laws, and/or other relevant organic documents provide that it operates
   pursuant to cooperative principles.

   (B) However, if the applicant is not an eligible rural telephone cooperative
   under paragraph (a) of this section, and the applicant has a controlling
   interest other than the applicant's officers and directors or an eligible
   rural telephone cooperative's officers and directors, paragraph (a) of this
   section applies with respect to the applicant's officers and directors and
   such  controlling  interest's  officers  and  directors only when such
   controlling interest is either:

   ( 1 ) An eligible rural telephone cooperative under paragraph (a) of this
   section or

   ( 2 ) controlled by an eligible rural telephone cooperative under paragraph
   (a) of this section.

   (iv) Applicants or licensees with material relationships —(A) Impermissible
   material relationships. An applicant or licensee that would otherwise be
   eligible for designated entity benefits under this section and applicable
   service-specific  rules  shall  be ineligible for such benefits if the
   applicant  or  licensee has an impermissible material relationship. An
   applicant or licensee has an impermissible material relationship when it has
   arrangements with one or more entities for the lease or resale (including
   under a wholesale agreement) of, on a cumulative basis, more than 50 percent
   of  the  spectrum capacity of any one of the applicant's or licensee's
   licenses.

   (B) Attributable material relationships. An applicant or licensee must
   attribute the gross revenues (and, if applicable, the total assets) of any
   entity, (including the controlling interests, affiliates, and affiliates of
   the  controlling interests of that entity) with which the applicant or
   licensee has an attributable material relationship. An applicant or licensee
   has  an  attributable  material  relationship  when it has one or more
   arrangements with any individual entity for the lease or resale (including
   under a wholesale agreement) of, on a cumulative basis, more than 25 percent
   of  the  spectrum capacity of any one of the applicant's or licensee's
   licenses.

   (C)  Grandfathering —( 1 ) Licensees. An impermissible or attributable
   material relationship shall not disqualify a licensee for previously awarded
   benefits with respect to a license awarded before April 25, 2006, based on
   spectrum lease or resale (including wholesale) arrangements entered into
   before April 25, 2006.

   ( 2 ) Applicants. An impermissible or attributable material relationship
   shall not disqualify an applicant seeking eligibility in an application for
   a  license,  authorization,  assignment, or transfer of control or for
   partitioning  or  disaggregation filed before April 25, 2006, based on
   spectrum lease or resale (including wholesale) arrangements entered into
   before April 25, 2006. Any applicant seeking eligibility in an application
   for a license, authorization, assignment, or transfer of control or for
   partitioning  or  disaggregation  filed after April 25, 2006, or in an
   application to participate in an auction in which bidding begins on or after
   June 5, 2006, need not attribute the material relationship(s) of those
   entities that are its affiliates based solely on §1.2110(c)(5)(i)(C) if
   those affiliates entered into such material relationship(s) before April 25,
   2006, and are subject to a contractual prohibition preventing them from
   contributing to the applicant's total financing.

   Example to paragraph (b)(3)(iv)(C)(2):   Newco is an applicant seeking
   designated entity status in an auction in which bidding begins after the
   effective date of the rules. Investor is a controlling interest of Newco.
   Investor  also  is  a controlling interest of Existing DE. Existing DE
   previously was awarded designated entity benefits and has impermissible
   material relationships based on leasing agreements entered into before April
   25, 2006, with a third party, Lessee, that were in compliance with the
   Commission's designated eligibility standards prior to April 25, 2006. In
   this example, Newco would not be prohibited from acquiring designated entity
   benefits solely because of the existing impermissible material relationships
   of its affiliate, Existing DE. Newco, Investor, and Existing DE, however,
   would need to enter into a contractual prohibition that prevents Existing DE
   from contributing to the total financing of Newco.

   (c) Definitions —(1) Small businesses. The Commission will establish the
   definition of a small business on a service-specific basis, taking into
   consideration the characteristics and capital requirements of the particular
   service.

   (2) Controlling interests. (i) For purposes of this section, controlling
   interest includes individuals or entities with either de jure or de facto
   control  of the applicant. De jure control is evidenced by holdings of
   greater than 50 percent of the voting stock of a corporation, or in the case
   of  a  partnership, general partnership interests. De facto control is
   determined on a case-by-case basis. An entity must disclose its equity
   interest  and demonstrate at least the following indicia of control to
   establish that it retains de facto control of the applicant:

   (A) The entity constitutes or appoints more than 50 percent of the board of
   directors or management committee;

   (B) The entity has authority to appoint, promote, demote, and fire senior
   executives that control the day-to-day activities of the licensee; and

   (C) The entity plays an integral role in management decisions.

   (ii) Calculation of certain interests. (A) Fully diluted requirement. ( 1 )
   Except  as  set forth in paragraph (c)(2)(ii)(A)( 2 ) of this section,
   ownership  interests shall be calculated on a fully diluted basis; all
   agreements such as warrants, stock options and convertible debentures will
   generally be treated as if the rights thereunder already have been fully
   exercised.

   ( 2 ) Rights of first refusal and put options shall not be calculated on a
   fully diluted basis for purposes of determining de jure control; however,
   rights of first refusal and put options shall be calculated on a fully
   diluted basis if such ownership interests, in combination with other terms
   to an agreement, deprive an otherwise qualified applicant or licensee of de
   facto control.

   Note to paragraph(c)(2)(ii)(A): Mutually exclusive contingent ownership
   interests, i.e., one or more ownership interests that, by their terms, are
   mutually  exclusive of one or more other ownership interests, shall be
   calculated as having been fully exercised only in the possible combinations
   in which they can be exercised by their holder(s). A contingent ownership
   interest is mutually exclusive of another only if contractual language
   specifies that both interests cannot be held simultaneously as present
   ownership interests.

   (B) Partnership and other ownership interests and any stock interest equity,
   or outstanding stock, or outstanding voting stock shall be attributed as
   specified.

   (C) Stock interests held in trust shall be attributed to any person who
   holds or shares the power to vote such stock, to any person who has the sole
   power to sell such stock, and to any person who has the right to revoke the
   trust  at will or to replace the trustee at will. If the trustee has a
   familial, personal, or extra-trust business relationship to the grantor or
   the  beneficiary,  the grantor or beneficiary, as appropriate, will be
   attributed with the stock interests held in trust.

   (D) Non-voting stock shall be attributed as an interest in the issuing
   entity.

   (E) Limited partnership interests shall be attributed to limited partners
   and shall be calculated according to both the percentage of equity paid in
   and the percentage of distribution of profits and losses.

   (F) Officers and directors of the applicant shall be considered to have a
   controlling interest in the applicant. The officers and directors of an
   entity that controls a licensee or applicant shall be considered to have a
   controlling interest in the licensee or applicant. The personal net worth,
   including personal income of the officers and directors of an applicant, is
   not  attributed  to the applicant. To the extent that the officers and
   directors  of an applicant are affiliates of other entities, the gross
   revenues of the other entities are attributed to the applicant.

   (G) Ownership interests that are held indirectly by any party through one or
   more   intervening  corporations  will  be  determined  by  successive
   multiplication of the ownership percentages for each link in the vertical
   ownership chain and application of the relevant attribution benchmark to the
   resulting product, except that if the ownership percentage for an interest
   in any link in the chain exceeds 50 percent or represents actual control, it
   shall be treated as if it were a 100 percent interest.

   (H)  Any person who manages the operations of an applicant or licensee
   pursuant to a management agreement shall be considered to have a controlling
   interest in such applicant or licensee if such person, or its affiliate, has
   authority to make decisions or otherwise engage in practices or activities
   that determine, or significantly influence:

   (  1 ) The nature or types of services offered by such an applicant or
   licensee;

   ( 2 ) The terms upon which such services are offered; or

   ( 3 ) The prices charged for such services.

   (I)  Any  licensee  or its affiliate who enters into a joint marketing
   arrangement  with an applicant or licensee, or its affiliate, shall be
   considered to have a controlling interest, if such applicant or licensee, or
   its  affiliate, has authority to make decisions or otherwise engage in
   practices or activities that determine, or significantly influence:

   (  1 ) The nature or types of services offered by such an applicant or
   licensee;

   ( 2 ) The terms upon which such services are offered; or

   ( 3 ) The prices charged for such services.

   (3) Businesses owned by members of minority groups and/or women. Unless
   otherwise provided in rules governing specific services, a business owned by
   members of minority groups and/or women is one in which minorities and/or
   women who are U.S. citizens control the applicant, have at least greater
   than 50 percent equity ownership and, in the case of a corporate applicant,
   have a greater than 50 percent voting interest. For applicants that are
   partnerships, every general partner must be either a minority and/or woman
   (or minorities and/or women) who are U.S. citizens and who individually or
   together own at least 50 percent of the partnership equity, or an entity
   that is 100 percent owned and controlled by minorities and/or women who are
   U.S. citizens. The interests of minorities and women are to be calculated on
   a fully diluted basis; agreements such as stock options and convertible
   debentures shall be considered to have a present effect on the power to
   control an entity and shall be treated as if the rights thereunder already
   have been fully exercised. However, upon a demonstration that options or
   conversion rights held by non-controlling principals will not deprive the
   minority and female principals of a substantial financial stake in the
   venture  or  impair  their  rights to control the designated entity, a
   designated entity may seek a waiver of the requirement that the equity of
   the minority and female principals must be calculated on a fully-diluted
   basis. The term minority includes individuals of Black or African American,
   Hispanic or Latino, American Indian or Alaskan Native, Asian, and Native
   Hawaiian or Pacific Islander extraction.

   (4)  Rural telephone companies. A rural telephone company is any local
   exchange carrier operating entity to the extent that such entity—

   (i) Provides common carrier service to any local exchange carrier study area
   that does not include either:

   (A)  Any incorporated place of 10,000 inhabitants or more, or any part
   thereof, based on the most recently available population statistics of the
   Bureau of the Census, or

   (B) Any territory, incorporated or unincorporated, included in an urbanized
   area, as defined by the Bureau of the Census as of August 10, 1993;

   (ii) Provides telephone exchange service, including exchange access, to
   fewer than 50,000 access lines;

   (iii) Provides telephone exchange service to any local exchange carrier
   study area with fewer than 100,000 access lines; or

   (iv) Has less than 15 percent of its access lines in communities of more
   than 50,000 on the date of enactment of the Telecommunications Act of 1996.

   (5) Affiliate. (i) An individual or entity is an affiliate of an applicant
   or of a person holding an attributable interest in an applicant if such
   individual or entity—

   (A)  Directly  or  indirectly controls or has the power to control the
   applicant, or

   (B) Is directly or indirectly controlled by the applicant, or

   (C) Is directly or indirectly controlled by a third party or parties that
   also controls or has the power to control the applicant, or

   (D) Has an “identity of interest” with the applicant.

   (ii) Nature of control in determining affiliation.

   (A) Every business concern is considered to have one or more parties who
   directly or indirectly control or have the power to control it. Control may
   be affirmative or negative and it is immaterial whether it is exercised so
   long as the power to control exists.

   Example.   An applicant owning 50 percent of the voting stock of another
   concern would have negative power to control such concern since such party
   can  block any action of the other stockholders. Also, the bylaws of a
   corporation may permit a stockholder with less than 50 percent of the voting
   stock to block any actions taken by the other stockholders in the other
   entity. Affiliation exists when the applicant has the power to control a
   concern while at the same time another person, or persons, are in control of
   the concern at the will of the party or parties with the power to control.

   (B)  Control can arise through stock ownership; occupancy of director,
   officer or key employee positions; contractual or other business relations;
   or combinations of these and other factors. A key employee is an employee
   who, because of his/her position in the concern, has a critical influence in
   or substantive control over the operations or management of the concern.

   (C) Control can arise through management positions where a concern's voting
   stock is so widely distributed that no effective control can be established.

   Example.   In a corporation where the officers and directors own various
   size blocks of stock totaling 40 percent of the corporation's voting stock,
   but no officer or director has a block sufficient to give him or her control
   or the power to control and the remaining 60 percent is widely distributed
   with no individual stockholder having a stock interest greater than 10
   percent,  management  has  the  power to control. If persons with such
   management  control  of the other entity are persons with attributable
   interests in the applicant, the other entity will be deemed an affiliate of
   the applicant.

   (iii) Identity of interest between and among persons. Affiliation can arise
   between or among two or more persons with an identity of interest, such as
   members  of  the  same  family  or persons with common investments. In
   determining if the applicant controls or has the power to control a concern,
   persons with an identity of interest will be treated as though they were one
   person.

   Example.    Two  shareholders  in Corporation Y each have attributable
   interests in the same PCS application. While neither shareholder has enough
   shares to individually control Corporation Y, together they have the power
   to control Corporation Y. The two shareholders with these common investments
   (or identity in interest) are treated as though they are one person and
   Corporation Y would be deemed an affiliate of the applicant.

   (A) Spousal affiliation. Both spouses are deemed to own or control or have
   the power to control interests owned or controlled by either of them, unless
   they are subject to a legal separation recognized by a court of competent
   jurisdiction in the United States. In calculating their net worth, investors
   who are legally separated must include their share of interests in property
   held jointly with a spouse.

   (B) Kinship affiliation. Immediate family members will be presumed to own or
   control or have the power to control interests owned or controlled by other
   immediate family members. In this context “immediate family member” means
   father, mother, husband, wife, son, daughter, brother, sister, father- or
   mother-in-law,  son-  or  daughter-in-law,  brother- or sister-in-law,
   step-father or -mother, step-brother or -sister, step-son or -daughter, half
   brother or sister. This presumption may be rebutted by showing that the
   family members are estranged, the family ties are remote, or the family
   members are not closely involved with each other in business matters.

   Example.    A  owns  a  controlling  interest  in  Corporation  X. A's
   sister-in-law, B, has an attributable interest in a PCS application. Because
   A and B have a presumptive kinship affiliation, A's interest in Corporation
   Y is attributable to B, and thus to the applicant, unless B rebuts the
   presumption with the necessary showing.

   (iv) Affiliation through stock ownership. (A) An applicant is presumed to
   control or have the power to control a concern if he or she owns or controls
   or has the power to control 50 percent or more of its voting stock.

   (B) An applicant is presumed to control or have the power to control a
   concern even though he or she owns, controls or has the power to control
   less than 50 percent of the concern's voting stock, if the block of stock he
   or she owns, controls or has the power to control is large as compared with
   any other outstanding block of stock.

   (C) If two or more persons each owns, controls or has the power to control
   less  than  50 percent of the voting stock of a concern, such minority
   holdings are equal or approximately equal in size, and the aggregate of
   these minority holdings is large as compared with any other stock holding,
   the presumption arises that each one of these persons individually controls
   or has the power to control the concern; however, such presumption may be
   rebutted by a showing that such control or power to control, in fact, does
   not exist.

   (v) Affiliation arising under stock options, convertible debentures, and
   agreements to merge. Except as set forth in paragraph (c)(2)(ii)(A)( 2 ) of
   this section, stock options, convertible debentures, and agreements to merge
   (including agreements in principle) are generally considered to have a
   present effect on the power to control the concern. Therefore, in making a
   size determination, such options, debentures, and agreements are generally
   treated as though the rights held thereunder had been exercised. However, an
   affiliate cannot use such options and debentures to appear to terminate its
   control over another concern before it actually does so.

   Example 1 to paragraph (c)(5)(v).   If company B holds an option to purchase
   a controlling interest in company A, who holds an attributable interest in a
   PCS application, the situation is treated as though company B had exercised
   its rights and had become owner of a controlling interest in company A. The
   gross revenues of company B must be taken into account in determining the
   size of the applicant.

   Example 2.   If a large company, BigCo, holds 70% (70 of 100 outstanding
   shares) of the voting stock of company A, who holds an attributable interest
   in  a  PCS application, and gives a third party, SmallCo, an option to
   purchase 50 of the 70 shares owned by BigCo, BigCo will be deemed to be an
   affiliate of company A, and thus the applicant, until SmallCo actually
   exercises its option to purchase such shares. In order to prevent BigCo from
   circumventing the intent of the rule which requires such options to be
   considered on a fully diluted basis, the option is not considered to have
   present effect in this case.

   Example  3.   If company A has entered into an agreement to merge with
   company B in the future, the situation is treated as though the merger has
   taken place.

   Note  to  paragraph(c)(5)(v):  Mutually exclusive contingent ownership
   interests, i.e., one or more ownership interests that, by their terms, are
   mutually  exclusive of one or more other ownership interests, shall be
   calculated as having been fully exercised only in the possible combinations
   in which they can be exercised by their holder(s). A contingent ownership
   interest is mutually exclusive of another only if contractual language
   specifies that both interests cannot be held simultaneously as present
   ownership interests.

   (vi) Affiliation under voting trusts. (A) Stock interests held in trust
   shall be deemed controlled by any person who holds or shares the power to
   vote such stock, to any person who has the sole power to sell such stock,
   and  to any person who has the right to revoke the trust at will or to
   replace the trustee at will.

   (B)  If  a  trustee  has  a familial, personal or extra-trust business
   relationship to the grantor or the beneficiary, the stock interests held in
   trust  will  be  deemed  controlled  by the grantor or beneficiary, as
   appropriate.

   (C) If the primary purpose of a voting trust, or similar agreement, is to
   separate voting power from beneficial ownership of voting stock for the
   purpose of shifting control of or the power to control a concern in order
   that  such  concern  or another concern may meet the Commission's size
   standards, such voting trust shall not be considered valid for this purpose
   regardless of whether it is or is not recognized within the appropriate
   jurisdiction.

   (vii) Affiliation through common management. Affiliation generally arises
   where  officers,  directors, or key employees serve as the majority or
   otherwise as the controlling element of the board of directors and/or the
   management of another entity.

   (viii) Affiliation through common facilities. Affiliation generally arises
   where  one  concern  shares office space and/or employees and/or other
   facilities with another concern, particularly where such concerns are in the
   same or related industry or field of operations, or where such concerns were
   formerly affiliated, and through these sharing arrangements one concern has
   control, or potential control, of the other concern.

   (ix) Affiliation through contractual relationships. Affiliation generally
   arises where one concern is dependent upon another concern for contracts and
   business  to  such a degree that one concern has control, or potential
   control, of the other concern.

   (x) Affiliation under joint venture arrangements. (A) A joint venture for
   size  determination  purposes  is  an  association  of concerns and/or
   individuals, with interests in any degree or proportion, formed by contract,
   express or implied, to engage in and carry out a single, specific business
   venture for joint profit for which purpose they combine their efforts,
   property, money, skill and knowledge, but not on a continuing or permanent
   basis for conducting business generally. The determination whether an entity
   is  a joint venture is based upon the facts of the business operation,
   regardless of how the business operation may be designated by the parties
   involved. An agreement to share profits/losses proportionate to each party's
   contribution  to  the  business  operation  is a significant factor in
   determining whether the business operation is a joint venture.

   (B) The parties to a joint venture are considered to be affiliated with each
   other. Nothing in this subsection shall be construed to define a small
   business consortium, for purposes of determining status as a designated
   entity, as a joint venture under attribution standards provided in this
   section.

   (xi) Exclusion from affiliation coverage. For purposes of this section,
   Indian tribes or Alaska Regional or Village Corporations organized pursuant
   to the Alaska Native Claims Settlement Act (43 U.S.C. 1601 et seq. ), or
   entities  owned and controlled by such tribes or corporations, are not
   considered  affiliates of an applicant (or licensee) that is owned and
   controlled by such tribes, corporations or entities, and that otherwise
   complies with the requirements of this section, except that gross revenues
   derived from gaming activities conducted by affiliate entities pursuant to
   the Indian Gaming Regulatory Act (25 U.S.C. 2701 et seq. ) will be counted
   in  determining  such  applicant's (or licensee's) compliance with the
   financial requirements of this section, unless such applicant establishes
   that it will not receive a substantial unfair competitive advantage because
   significant legal constraints restrict the applicant's ability to access
   such gross revenues.

   (6) Consortium. A consortium of small businesses, very small businesses, or
   entrepreneurs  is  a conglomerate organization composed of two or more
   entities, each of which individually satisfies the definition of a small
   business, very small business, or entrepreneur, as those terms are defined
   in the service-specific rules. Each individual member must constitute a
   separate and distinct legal entity to qualify.

   (d) The Commission may set aside specific licenses for which only eligible
   designated entities, as specified by the Commission, may bid.

   (e) The Commission may permit partitioning of service areas in particular
   services for eligible designated entities.

   (f) Bidding credits. (1) The Commission may award bidding credits ( i.e.,
   payment discounts) to eligible designated entities. Competitive bidding
   rules applicable to individual services will specify the designated entities
   eligible for bidding credits, the licenses for which bidding credits are
   available, the amounts of bidding credits and other procedures.

   (2) Size of bidding credits . A winning bidder that qualifies as a small
   business  may  use  the following bidding credits corresponding to its
   respective average gross revenues for the preceding 3 years:

   (i) Businesses with average gross revenues for the preceding years, 3 years
   not exceeding $3 million are eligible for bidding credits of 35 percent;

   (ii) Businesses with average gross revenues for the preceding years, 3 years
   not exceeding $15 million are eligible for bidding credits of 25 percent;
   and

   (iii) Businesses with average gross revenues for the preceding years, 3
   years not exceeding $40 million are eligible for bidding credits of 15
   percent.

   (3) Bidding credit for serving qualifying tribal land. A winning bidder for
   a  market  will  be eligible to receive a bidding credit for serving a
   qualifying tribal land within that market, provided that it complies with
   §1.2107(e). The following definition, terms, and conditions shall apply for
   the purposes of this section and §1.2107(e):

   (i) Qualifying tribal land means any federally recognized Indian tribe's
   reservation, Pueblo, or Colony, including former reservations in Oklahoma,
   Alaska Native regions established pursuant to the Alaska Native Claims
   Settlement Act (85 Stat. 688), and Indian allotments, that has a wireline
   telephone subscription rate equal to or less than eighty-five (85) percent
   based on the most recently available U.S. Census Data.

   (ii)  Certification. (A) Within 180 days after the filing deadline for
   long-form  applications,  the  winning bidder must amend its long-form
   application and attach a certification from the tribal government stating
   the following:

   ( 1 ) The tribal government authorizes the winning bidder to site facilities
   and provide service on its tribal land;

   (  2  ) The tribal area to be served by the winning bidder constitutes
   qualifying tribal land; and

   ( 3 ) The tribal government has not and will not enter into an exclusive
   contract with the applicant precluding entry by other carriers, and will not
   unreasonably discriminate among wireless carriers seeking to provide service
   on the qualifying tribal land.

   (B) In addition, within 180 days after the filing deadline for long-form
   applications, the winning bidder must amend its long-form application and
   file a certification that it will comply with the construction requirements
   set forth in paragraph (f)(3)(vii) of this section and consult with the
   tribal government regarding the siting of facilities and deployment of
   service on the tribal land.

   (C) If the winning bidder fails to submit the required certifications within
   the 180-day period, the bidding credit will not be awarded, and the winning
   bidder must pay any outstanding balance on its winning bid amount.

   (iii) Bidding credit formula. Subject to the applicable bidding credit limit
   set forth in §1.2110(f)(3)(iv), the bidding credit shall equal five hundred
   thousand (500,000) dollars for the first two hundred (200) square miles (518
   square kilometers) of qualifying tribal land, and twenty-five hundred (2500)
   dollars  for  each additional square mile (2.590 square kilometers) of
   qualifying tribal land above two hundred (200) square miles (518 square
   kilometers).

   (iv) Bidding credit limit. If the high bid is equal to or less than one
   million (1,000,000) dollars, the maximum bidding credit calculated pursuant
   to §1.2110(f)(3)(iii) shall not exceed fifty (50) percent of the high bid.
   If the high bid is greater than one million (1,000,000) dollars, but equal
   to or less than two million (2,000,000) dollars, the maximum bidding credit
   calculated pursuant to §1.2110(f)(3)(iii) shall not exceed five hundred
   thousand (500,000) dollars. If the high bid is greater than two million
   (2,000,000) dollars, the maximum bidding credit calculated pursuant to
   §1.2110(f)(3)(iii) shall not exceed thirty-five (35) percent of the high
   bid.

   (v) Bidding credit limit in auctions subject to specified reserve price(s) .
   In any auction of eligible frequencies described in section 113(g)(2) of the
   National Telecommunications and Information Administration Organization Act
   (47 U.S.C. 923(g)(2) with reserve price(s) and in any auction with reserve
   price(s) in which the Commission specifies that this provision shall apply,
   the aggregate amount available to be awarded as bidding credits for serving
   qualifying tribal land with respect to all licenses subject to a reserve
   price shall not exceed the amount by which winning bids for those licenses
   net of discounts the Commission takes into account when reporting net bids
   in the Public Notice closing the auction exceed the applicable reserve
   price. If the total amount that might be awarded as tribal land bidding
   credits based on applications for all licenses subject to the reserve price
   exceeds the aggregate amount available to be awarded, the Commission will
   award  eligible  applicants a pro rata tribal land bidding credit. The
   Commission may determine at any time that the total amount that might be
   awarded as tribal land bidding credits is less than the aggregate amount
   available  to be awarded and grant full tribal land bidding credits to
   relevant applicants, including any that previously received pro rata tribal
   land bidding credits. To determine the amount of an applicant's pro rata
   tribal land bidding credit, the Commission will multiply the full amount of
   the tribal land bidding credit for which the applicant would be eligible
   excepting  this  limitation ((f)(3)(v)) of this section by a fraction,
   consisting of a numerator in the amount by which winning bids for licenses
   subject to the reserve price net of discounts the Commission takes into
   account when reporting net bids in the Public Notice closing the auction
   exceed the reserve price and a denominator in the amount of the aggregate
   maximum tribal land bidding credits for which applicants for such licenses
   might have qualified excepting this limitation ((f)(3)(v)) of this section.
   When determining the aggregate maximum tribal land bidding credits for which
   applicants for such licenses might have qualified, the Commission shall
   assume  that any applicant seeking a tribal land bidding credit on its
   long-form application will be eligible for the largest tribal land bidding
   credit  possible for its bid for its license excepting this limitation
   ((f)(3)(v)) of this section. After all applications seeking a tribal land
   bidding credit with respect to licenses covered by a reserve price have been
   finally resolved, the Commission will recalculate the pro rata credit. For
   these purposes, final determination of a credit occurs only after any review
   or reconsideration of the award of such credit has been concluded and no
   opportunity remains for further review or reconsideration. To recalculate an
   applicant's  pro  rata tribal land bidding credit, the Commission will
   multiply the full amount of the tribal land bidding credit for which the
   applicant would be eligible excepting this limitation ((f)(3)(v)) of this
   section by a fraction, consisting of a numerator in the amount by which
   winning bids for licenses subject to the reserve price net of discounts the
   Commission takes into account when reporting net bids in the Public Notice
   closing the auction exceed the reserve price and a denominator in the amount
   of  the  aggregate amount of tribal land bidding credits for which all
   applicants for such licenses would have qualified excepting this limitation
   ((f)(3)(v)) of this section.

   (vi) Application of credit . A pending request for a bidding credit for
   serving qualifying tribal land has no effect on a bidder's obligations to
   make any auction payments, including down and final payments on winning
   bids, prior to award of the bidding credit by the Commission. Tribal land
   bidding credits will be calculated and awarded prior to license grant. If
   the Commission grants an applicant a pro rata tribal land bidding credit
   prior to license grant, as provided by paragraph (f)(3)(v) of this section,
   the  Commission shall recalculate the applicant's pro rata tribal land
   bidding credit after all applications seeking tribal land biddings for
   licenses subject to the same reserve price have been finally resolved. If a
   recalculated  tribal land bidding credit is larger than the previously
   awarded pro rata tribal land bidding credit, the Commission will award the
   difference.

   (vii) Post-construction certification. Within fifteen (15) days of the third
   anniversary of the initial grant of its license, a recipient of a bidding
   credit under this section shall file a certification that the recipient has
   constructed and is operating a system capable of serving seventy-five (75)
   percent of the population of the qualifying tribal land for which the credit
   was awarded. The recipient must provide the total population of the tribal
   area covered by its license as well as the number of persons that it is
   serving in the tribal area.

   (viii) Performance penalties . If a recipient of a bidding credit under this
   section fails to provide the post-construction certification required by
   paragraph (f)(3)(vii) of this section, then it shall repay the bidding
   credit amount in its entirety, plus interest. The interest will be based on
   the rate for ten-year U.S. Treasury obligations applicable on the date the
   license is granted. Such payment shall be made within thirty (30) days of
   the third anniversary of the initial grant of its license. Failure to repay
   the bidding credit amount and interest within the required time period will
   result in automatic termination of the license without specific Commission
   action. Repayment of bidding credit amounts pursuant to this provision shall
   not affect the calculation of amounts available to be awarded as tribal land
   bidding credits pursuant to (f)(3)(v) of this section.

   (g)  Installment  payments. The Commission may permit small businesses
   (including small businesses owned by women, minorities, or rural telephone
   companies that qualify as small businesses) and other entities determined to
   be eligible on a service-specific basis, which are high bidders for licenses
   specified by the Commission, to pay the full amount of their high bids in
   installments over the term of their licenses pursuant to the following:

   (1) Unless otherwise specified by public notice, each eligible applicant
   paying for its license(s) on an installment basis must deposit by wire
   transfer in the manner specified in §1.2107(b) sufficient additional funds
   as are necessary to bring its total deposits to ten (10) percent of its
   winning bid(s) within ten (10) days after the Commission has declared it the
   winning bidder and closed the bidding. Failure to remit the required payment
   will  make  the  bidder  liable  to  pay a default payment pursuant to
   §1.2104(g)(2).

   (2) Within ten (10) days of the conditional grant of the license application
   of a winning bidder eligible for installment payments, the licensee shall
   pay  another  ten (10) percent of the high bid, thereby commencing the
   eligible licensee's installment payment plan. If a winning bidder eligible
   for installment payments fails to submit this additional ten (10) percent of
   its high bid by the applicable deadline as specified by the Commission, it
   will be allowed to make payment within ten (10) business days after the
   payment  deadline, provided that it also pays a late fee equal to five
   percent of the amount due. When a winning bidder eligible for installment
   payments fails to submit this additional ten (10) percent of its winning
   bid, plus the late fee, by the late payment deadline, it is considered to be
   in default on its license(s) and subject to the applicable default payments.
   Licenses will be awarded upon the full and timely payment of second down
   payments and any applicable late fees.

   (3) Upon grant of the license, the Commission will notify each eligible
   licensee of the terms of its installment payment plan and that it must
   execute a promissory note and security agreement as a condition of the
   installment payment plan. Unless other terms are specified in the rules of
   particular services, such plans will:

   (i) Impose interest based on the rate of U.S. Treasury obligations (with
   maturities closest to the duration of the license term) at the time of
   licensing;

   (ii) Allow installment payments for the full license term;

   (iii) Begin with interest-only payments for the first two years; and

   (iv) Amortize principal and interest over the remaining term of the license.

   (4) A license granted to an eligible entity that elects installment payments
   shall be conditioned upon the full and timely performance of the licensee's
   payment obligations under the installment plan.

   (i)  Any  licensee  that  fails  to submit its quarterly payment on an
   installment payment obligation (the “Required Installment Payment”) may
   submit such payment on or before the last day of the next quarter (the
   “first  additional  quarter”) without being considered delinquent. Any
   licensee making its Required Installment Payment during this period (the
   “first additional quarter grace period”) will be assessed a late payment fee
   equal  to  five  percent  (5%)  of the amount of the past due Required
   Installment Payment. The late payment fee applies to the total Required
   Installment Payment regardless of whether the licensee submitted a portion
   of its Required Installment Payment in a timely manner.

   (ii) If any licensee fails to make the Required Installment Payment on or
   before the last day of the first additional quarter set forth in paragraph
   (g)(4)(i) of this section, the licensee may submit its Required Installment
   Payment  on  or  before  the last day of the next quarter (the “second
   additional quarter”), except that no such additional time will be provided
   for the July 31, 1998 suspension interest and installment payments from C or
   F block licensees that are not made within 90 days of the payment resumption
   date for those licensees, as explained in Amendment of the Commission's
   Rules Regarding Installment Payment Financing for Personal Communications
   Services (PCS) Licensees, Order on Reconsideration of the Second Report and
   Order, WT Docket No. 97–82, 13 FCC Rcd 8345 (1998). Any licensee making the
   Required Installment Payment during the second additional quarter (the
   “second additional quarter grace period”) will be assessed a late payment
   fee  equal to ten percent (10%) of the amount of the past due Required
   Installment Payment. Licensees shall not be required to submit any form of
   request  in order to take advantage of the first and second additional
   quarter grace periods.

   (iii) All licensees that avail themselves of these grace periods must pay
   the associated late payment fee(s) and the Required Installment Payment
   prior  to  the  conclusion  of the applicable additional quarter grace
   period(s). Payments made at the close of any grace period(s) will first be
   applied to satisfy any lender advances as required under each licensee's
   “Note and Security Agreement,” with the remainder of such payments applied
   in the following order: late payment fees, interest charges, installment
   payments for the most back-due quarterly installment payment.

   (iv) If an eligible entity obligated to make installment payments fails to
   pay the total Required Installment Payment, interest and any late payment
   fees associated with the Required Installment Payment within two quarters (6
   months)  of  the Required Installment Payment due date, it shall be in
   default, its license shall automatically cancel, and it will be subject to
   debt collection procedures. A licensee in the PCS C or F blocks shall be in
   default, its license shall automatically cancel, and it will be subject to
   debt collection procedures, if the payment due on the payment resumption
   date, referenced in paragraph (g)(4)(ii) of this section, is more than
   ninety (90) days delinquent.

   (h) The Commission may establish different upfront payment requirements for
   categories of designated entities in competitive bidding rules of particular
   auctionable services.

   (i)  The Commission may offer designated entities a combination of the
   available preferences or additional preferences.

   (j) Designated entities must describe on their long-form applications how
   they satisfy the requirements for eligibility for designated entity status,
   and must list and summarize on their long-form applications all agreements
   that  affect  designated entity status such as partnership agreements,
   shareholder   agreements,   management  agreements,  spectrum  leasing
   arrangements, spectrum resale (including wholesale) arrangements, and all
   other agreements, including oral agreements, establishing, as applicable, de
   facto  or  de jure control of the entity or the presence or absence of
   impermissible and attributable material relationships. Designated entities
   also  must  provide the date(s) on which they entered into each of the
   agreements listed. In addition, designated entities must file with their
   long-form applications a copy of each such agreement. In order to enable the
   Commission to audit designated entity eligibility on an ongoing basis,
   designated entities that are awarded eligibility must, for the term of the
   license, maintain at their facilities or with their designated agents the
   lists, summaries, dates, and copies of agreements required to be identified
   and provided to the Commission pursuant to this paragraph and to §1.2114.

   (k) The Commission may, on a service-specific basis, permit consortia, each
   member of which individually meets the eligibility requirements, to qualify
   for any designated entity provisions.

   (l) The Commission may, on a service-specific basis, permit publicly-traded
   companies that are owned by members of minority groups or women to qualify
   for any designated entity provisions.

   (m) Audits. (1) Applicants and licensees claiming eligibility shall be
   subject to audits by the Commission, using in-house and contract resources.
   Selection for audit may be random, on information, or on the basis of other
   factors.

   (2) Consent to such audits is part of the certification included in the
   short-form application (FCC Form 175). Such consent shall include consent to
   the  audit of the applicant's or licensee's books, documents and other
   material (including accounting procedures and practices) regardless of form
   or  type,  sufficient  to  confirm that such applicant's or licensee's
   representations  are, and remain, accurate. Such consent shall include
   inspection at all reasonable times of the facilities, or parts thereof,
   engaged in providing and transacting business, or keeping records regarding
   FCC-licensed service and shall also include consent to the interview of
   principals, employees, customers and suppliers of the applicant or licensee.

   (n) Annual reports . Each designated entity licensee must file with the
   Commission an annual report within five business days before the anniversary
   date of the designated entity's license grant. The annual report shall
   include,  at  a  minimum,  a  list and summaries of all agreements and
   arrangements (including proposed agreements and arrangements) that relate to
   eligibility for designated entity benefits. In addition to a summary of each
   agreement or arrangement, this list must include the parties (including
   affiliates, controlling interests, and affiliates of controlling interests)
   to each agreement or arrangement, as well as the dates on which the parties
   entered into each agreement or arrangement. Annual reports will be filed no
   later than, and up to five business days before, the anniversary of the
   designated entity's license grant.

   (o) Gross revenues. Gross revenues shall mean all income received by an
   entity, whether earned or passive, before any deductions are made for costs
   of  doing business (e.g., cost of goods sold), as evidenced by audited
   financial statements for the relevant number of most recently completed
   calendar years or, if audited financial statements were not prepared on a
   calendar-year basis, for the most recently completed fiscal years preceding
   the filing of the applicant's short-form (FCC Form 175). If an entity was
   not in existence for all or part of the relevant period, gross revenues
   shall be evidenced by the audited financial statements of the entity's
   predecessor-in-interest    or,    if    there   is   no   identifiable
   predecessor-in-interest, unaudited financial statements certified by the
   applicant as accurate. When an applicant does not otherwise use audited
   financial statements, its gross revenues may be certified by its chief
   financial officer or its equivalent and must be prepared in accordance with
   Generally Accepted Accounting Principles.

   (p) Total assets. Total assets shall mean the book value (except where
   generally accepted accounting principles (GAAP) require market valuation) of
   all property owned by an entity, whether real or personal, tangible or
   intangible, as evidenced by the most recently audited financial statements
   or certified by the applicant's chief financial offer or its equivalent if
   the applicant does not otherwise use audited financial statements.

   [ 63 FR 2343 , Jan. 15, 1998;  63 FR 12659 , Mar. 16, 1998, as amended at  63 FR 17122 , Apr. 8, 1998;  65 FR 47355 , Aug. 2, 2000;  65 FR 52345 , Aug. 29, 2000;
    65 FR 68924 , Nov. 15, 2000;  67 FR 16650 , Apr. 8, 2002;  67 FR 45365 , July 9,
   2002;  68 FR 23422 , May 2, 2003;  68 FR 42996 , July 21, 2003;  69 FR 61321 ,
   Oct. 18, 2004;  70 FR 57187 , Sept. 30, 2005;  71 FR 6227 , Feb. 7, 2006;  71 FR 26251 , May 4, 2006]

§ 1.2111   Assignment or transfer of control: unjust enrichment.

   top

   (a) Reporting requirement. An applicant seeking approval for a transfer of
   control or assignment (otherwise permitted under the Commission's rules) of
   a  license  within  three  years  of receiving a new license through a
   competitive  bidding procedure must, together with its application for
   transfer of control or assignment, file with the Commission a statement
   indicating that its license was obtained through competitive bidding. Such
   applicant must also file with the Commission the associated contracts for
   sale,  option  agreements,  management  agreements, or other documents
   disclosing the local consideration that the applicant would receive in
   return for the transfer or assignment of its license (see §1.948). This
   information should include not only a monetary purchase price, but also any
   future, contingent, in-kind, or other consideration ( e.g. , management or
   consulting contracts either with or without an option to purchase; below
   market financing).

   (b) Unjust enrichment payment: set-aside. As specified in this paragraph an
   applicant  seeking  approval  for  a transfer of control or assignment
   (otherwise permitted under the Commission's rules) of, or for entry into a
   material relationship (see §§1.2110, 1.2114) (otherwise permitted under the
   Commission's rules) involving, a license acquired by the applicant pursuant
   to a set-aside for eligible designated entities under §1.2110(c), or which
   proposes to take any other action relating to ownership or control that will
   result in loss of eligibility as a designated entity, must seek Commission
   approval and may be required to make an unjust enrichment payment (Payment)
   to the Commission by cashier's check or wire transfer before consent will be
   granted. The Payment will be based upon a schedule that will take account of
   the term of the license, any applicable construction benchmarks, and the
   estimated value of the set-aside benefit, which will be calculated as the
   difference between the amount paid by the designated entity for the license
   and the value of comparable non-set-aside license in the free market at the
   time of the auction. The Commission will establish the amount of the Payment
   and the burden will be on the applicants to disprove this amount. No Payment
   will be required if:

   (1) The license is transferred or assigned more than five years after its
   initial issuance, unless otherwise specified; or

   (2) The proposed transferee or assignee is an eligible designated entity
   under §1.2110(c) or the service-specific competitive bidding rules of the
   particular service, and so certifies.

   (c) Unjust enrichment payment: installment financing. (1) If a licensee that
   utilizes  installment  financing under this section seeks to assign or
   transfer control of its license to an entity not meeting the eligibility
   standards for installment payments, the licensee must make full payment of
   the remaining unpaid principal and any unpaid interest accrued through the
   date of assignment or transfer as a condition of approval.

   (2) If a licensee that utilizes installment financing under this section
   seeks to make any change in ownership structure or to enter into a material
   relationship  (see  §1.2110)  that would result in the licensee losing
   eligibility  for  installment  payments, the licensee shall first seek
   Commission approval and must make full payment of the remaining unpaid
   principal and any unpaid interest accrued through the date of such change as
   a condition of approval. A licensee's (or other attributable entity's)
   increased gross revenues or increased total assets due to nonattributable
   equity  investments,  debt financing, revenue from operations or other
   investments,  business  development  or  expanded service shall not be
   considered to result in the licensee losing eligibility for installment
   payments.

   (3) If a licensee seeks to make any change in ownership or to enter into a
   material  relationship (see §1.2110) that would result in the licensee
   qualifying for a less favorable installment plan under this section, the
   licensee shall seek Commission approval and must adjust its payment plan to
   reflect its new eligibility status. A licensee may not switch its payment
   plan to a more favorable plan.

   (d) Unjust enrichment payment: bidding credits. (1) A licensee that utilizes
   a  bidding credit, and that during the initial term seeks to assign or
   transfer  control  of  a  license  to an entity that does not meet the
   eligibility criteria for a bidding credit, will be required to reimburse the
   U.S. Government for the amount of the bidding credit, plus interest based on
   the rate for ten year U.S. Treasury obligations applicable on the date the
   license was granted, as a condition of Commission approval of the assignment
   or transfer. If, within the initial term of the license, a licensee that
   utilizes a bidding credit seeks to assign or transfer control of a license
   to an entity that is eligible for a lower bidding credit, the difference
   between the bidding credit obtained by the assigning party and the bidding
   credit for which the acquiring party would qualify, plus interest based on
   the rate for ten year U.S. treasury obligations applicable on the date the
   license is granted, must be paid to the U.S. Government as a condition of
   Commission approval of the assignment or transfer. If, within the initial
   term of the license, a licensee that utilizes a bidding credit seeks to make
   any ownership change or to enter into a material relationship (see §1.2110)
   that would result in the licensee losing eligibility for a bidding credit
   (or qualifying for a lower bidding credit), the amount of the bidding credit
   (or the difference between the bidding credit originally obtained and the
   bidding credit for which the licensee would qualify after restructuring or
   entry into a material relationship), plus interest based on the rate for ten
   year  U.S.  treasury obligations applicable on the date the license is
   granted, must be paid to the U.S. Government as a condition of Commission
   approval of the assignment or transfer or of a reportable eligibility event
   (see §1.2114).

   (2) Payment schedule . (i) For licenses initially granted after April 25,
   2006, the amount of payments made pursuant to paragraph (d)(1) of this
   section will be 100 percent of the value of the bidding credit prior to the
   filing of the notification informing the Commission that the construction
   requirements applicable at the end of the initial license term have been
   met. If the notification informing the Commission that the construction
   requirements applicable at the end of the initial license term have been
   met, the amount of the payments will be reduced over time as follows:

   (A) A loss of eligibility in the first five years of the license term will
   result in a forfeiture of 100 percent of the value of the bidding credit (or
   in the case of eligibility changing to qualify for a lower bidding credit,
   100 percent of the difference between the bidding credit received and the
   bidding credit for which it is eligible);

   (B) A loss of eligibility in years 6 and 7 of the license term will result
   in a forfeiture of 75 percent of the value of the bidding credit (or in the
   case of eligibility changing to qualify for a lower bidding credit, 75
   percent  of the difference between the bidding credit received and the
   bidding credit for which it is eligible);

   (C) A loss of eligibility in years 8 and 9 of the license term will result
   in a forfeiture of 50 percent of the value of the bidding credit (or in the
   case of eligibility changing to qualify for a lower bidding credit, 50
   percent  of the difference between the bidding credit received and the
   bidding credit for which it is eligible); and

   (D) A loss of eligibility in year 10 of the license term will result in a
   forfeiture of 25 percent of the value of the bidding credit (or in the case
   of eligibility changing to qualify for a lower bidding credit, 25 percent of
   the difference between the bidding credit received and the bidding credit
   for which it is eligible).

   (ii) For licenses initially granted before April 25, 2006, the amount of
   payments made pursuant to paragraph (d)(1) of this section will be reduced
   over time as follows:

   (A) A transfer in the first two years of the license term will result in a
   forfeiture of 100 percent of the value of the bidding credit (or in the case
   of very small businesses transferring to small businesses, 100 percent of
   the difference between the bidding credit received by the former and the
   bidding credit for which the latter is eligible);

   (B) A transfer in year 3 of the license term will result in a forfeiture of
   75 percent of the value of the bidding credit;

   (C) A transfer in year 4 of the license term will result in a forfeiture of
   50 percent of the value of the bidding credit;

   (D) A transfer in year 5 of the license term will result in a forfeiture of
   25 percent of the value of the bidding credit; and

   (E) For a transfer in year 6 or thereafter, there will be no payment.

   (iii) These payments will have to be paid to the United States Treasury as a
   condition of approval of the assignment, transfer, ownership change, or
   reportable eligibility event (see §1.2114).

   (e) Unjust enrichment: partitioning and disaggregation —(1) Installment
   payments.  Licensees making installment payments, that partition their
   licenses  or  disaggregate  their spectrum to entities not meeting the
   eligibility standards for installment payments, will be subject to the
   provisions concerning unjust enrichment as set forth in this section.

   (2) Bidding credits. Licensees that received a bidding credit that partition
   their licenses or disaggregate their spectrum to entities not meeting the
   eligibility standards for such a bidding credit, will be subject to the
   provisions concerning unjust enrichment as set forth in this section.

   (3) Apportioning unjust enrichment payments. Unjust enrichment payments for
   partitioned license areas shall be calculated based upon the ratio of the
   population of the partitioned license area to the overall population of the
   license area and by utilizing the most recent census data. Unjust enrichment
   payments for disaggregated spectrum shall be calculated based upon the ratio
   of the amount of spectrum disaggregated to the amount of spectrum held by
   the licensee.

   [ 59 FR 44293 , Aug. 26, 1994, as amended at  63 FR 2346 , Jan. 15, 1998;  63 FR 68942 , Dec. 14, 1998;  71 FR 26252 , May 4, 2006;  71 FR 34278 , June 14, 2006]

§ 1.2112   Ownership disclosure requirements for applications.

   top

   (a)  Each  application  to  participate in competitive bidding ( i.e.,
   short-form  application  (  see  47  CFR  1.2105)),  or for a license,
   authorization, assignment, or transfer of control shall fully disclose the
   following:

   (1)  List  the  real  party or parties in interest in the applicant or
   application,  including  a  complete  disclosure  of  the identity and
   relationship of those persons or entities directly or indirectly owning or
   controlling (or both) the applicant;

   (2) List the name, address, and citizenship of any party holding 10 percent
   or more of stock in the applicant, whether voting or nonvoting, common or
   preferred, including the specific amount of the interest or percentage held;

   (3)  List, in the case of a limited partnership, the name, address and
   citizenship of each limited partner whose interest in the applicant is 10
   percent or greater (as calculated according to the percentage of equity paid
   in or the percentage of distribution of profits and losses);

   (4)  List, in the case of a general partnership, the name, address and
   citizenship of each partner, and the share or interest participation in the
   partnership;

   (5) List, in the case of a limited liability company, the name, address, and
   citizenship of each of its members whose interest in the applicant is 10
   percent or greater;

   (6) List all parties holding indirect ownership interests in the applicant
   as determined by successive multiplication of the ownership percentages for
   each link in the vertical ownership chain, that equals 10 percent or more of
   the applicant, except that if the ownership percentage for an interest in
   any link in the chain exceeds 50 percent or represents actual control, it
   shall be treated and reported as if it were a 100 percent interest; and

   (7) List any FCC-regulated entity or applicant for an FCC license, in which
   the applicant or any of the parties identified in paragraphs (a)(1) through
   (a)(5) of this section, owns 10 percent or more of stock, whether voting or
   nonvoting, common or preferred. This list must include a description of each
   such entity's principal business and a description of each such entity's
   relationship to the applicant ( e.g., Company A owns 10 percent of Company B
   (the applicant) and 10 percent of Company C, then Companies A and C must be
   listed on Company B's application, where C is an FCC licensee and/or license
   applicant).

   (b) Designated entity status. In addition to the information required under
   paragraph (a) of this section, each applicant claiming eligibility for small
   business provisions shall disclose the following:

   (1)  On  its application to participate in competitive bidding ( i.e.,
   short-form application (see 47 CFR 1.2105)):

   (i) List the names, addresses, and citizenship of all officers, directors,
   affiliates, and other controlling interests of the applicant, as described
   in §1.2110, and, if a consortium of small businesses or consortium of very
   small businesses, the members of the conglomerate organization;

   (ii) List any FCC-regulated entity or applicant for an FCC license, in which
   any controlling interest of the applicant owns a 10 percent or greater
   interest or a total of 10 percent or more of any class of stock, warrants,
   options or debt securities. This list must include a description of each
   such entity's principal business and a description of each such entity's
   relationship to the applicant; and

   (iii) List and summarize all agreements or instruments (with appropriate
   references  to  specific provisions in the text of such agreements and
   instruments) that support the applicant's eligibility as a small business
   under  the  applicable  designated  entity  provisions,  including the
   establishment of de facto or de jure control or the presence or absence of
   impermissible and attributable material relationships. Such agreements and
   instruments  include articles of incorporation and bylaws, partnership
   agreements,  shareholder agreements, voting or other trust agreements,
   management agreements, franchise agreements, spectrum leasing arrangements,
   spectrum resale (including wholesale) arrangements, and any other relevant
   agreements (including letters of intent), oral or written;

   (iv) List separately and in the aggregate the gross revenues, computed in
   accordance with §1.2110, for each of the following: The applicant, its
   affiliates, its controlling interests, the affiliates of its controlling
   interests, and the entities with which it has an attributable material
   relationship;  and  if  a  consortium of small businesses, the members
   comprising the consortium.

   (2)  As  an  exhibit  to its application for a license, authorization,
   assignment, or transfer of control:

   (i) List the names, addresses, and citizenship of all officers, directors,
   and other controlling interests of the applicant, as described in §1.2110;

   (ii) List any FCC-regulated entity or applicant for an FCC license, in which
   any controlling interest of the applicant owns a 10 percent or greater
   interest or a total of 10 percent or more of any class of stock, warrants,
   options or debt securities. This list must include a description of each
   such entity's principal business and a description of each such entity's
   relationship to the applicant;

   (iii) List and summarize all agreements or instruments (with appropriate
   references  to  specific provisions in the text of such agreements and
   instruments) that support the applicant's eligibility as a small business
   under  the  applicable  designated  entity  provisions,  including the
   establishment of de facto or de jure control or the presence or absence of
   impermissible and attributable material relationships. Such agreements and
   instruments  include articles of incorporation and bylaws, partnership
   agreements,  shareholder agreements, voting or other trust agreements,
   management agreements, franchise agreements, spectrum leasing arrangements,
   spectrum resale (including wholesale) arrangements, and any other relevant
   agreements (including letters of intent), oral or written;

   (iv) List and summarize any investor protection agreements, including rights
   of first refusal, supermajority clauses, options, veto rights, and rights to
   hire and fire employees and to appoint members to boards of directors or
   management committees;

   (v) List separately and in the aggregate the gross revenues, computed in
   accordance with §1.2110, for each of the following: the applicant, its
   affiliates,  its  controlling interests, affiliates of its controlling
   interests,  and  parties  with  which  it  has  attributable  material
   relationships;  and  if  a consortium of small businesses, the members
   comprising the consortium; and

   (vi)  List and summarize, if seeking the exemption for rural telephone
   cooperatives pursuant to §1.2110, all documentation to establish eligibility
   pursuant to the factors listed under §1.2110(b)(3)(iii)(A).

   (vii) List and summarize any agreements in which the applicant has entered
   into arrangements for the lease or resale (including wholesale agreements)
   of any of the spectrum capacity of the license that is the subject of the
   application.

   [ 68 FR 42997 , July 21, 2003, as amended at  70 FR 57187 , Sept. 30, 2005;  71 FR 26253 , May 4, 2006]

§ 1.2113   Construction prior to grant of application.

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   Subject to the provisions of this section, applicants for licenses awarded
   by competitive bidding may construct facilities to provide service prior to
   grant of their applications, but must not operate such facilities until the
   FCC grants an authorization. If the conditions stated in this section are
   not met, applicants must not begin to construct facilities for licenses
   subject to competitive bidding.

   (a)  When  applicants  may  begin construction. An applicant may begin
   construction of a facility upon release of the Public Notice listing the
   post-auction long-form application for that facility as acceptable for
   filing.

   (b)  Notification  to  stop. If the FCC for any reason determines that
   construction should not be started or should be stopped while an application
   is pending, and so notifies the applicant, orally (followed by written
   confirmation) or in writing, the applicant must not begin construction or,
   if construction has begun, must stop construction immediately.

   (c) Assumption of risk. Applicants that begin construction pursuant to this
   section before receiving an authorization do so at their own risk and have
   no recourse against the United States for any losses resulting from:

   (1) Applications that are not granted;

   (2) Errors or delays in issuing public notices;

   (3) Having to alter, relocate or dismantle the facility; or

   (4) Incurring whatever costs may be necessary to bring the facility into
   compliance with applicable laws, or FCC rules and orders.

   (d) Conditions. Except as indicated, all pre-grant construction is subject
   to the following conditions:

   (1) The application does not include a request for a waiver of one or more
   FCC rules;

   (2) For any construction or alteration that would exceed the requirements of
   §17.7 of this chapter, the licensee has notified the appropriate Regional
   Office of the Federal Aviation Administration (FAA Form 7460–1), filed a
   request for antenna height clearance and obstruction marking and lighting
   specifications (FCC Form 854) with the FCC, PRB, Support Services Branch,
   Gettysburg, PA 17325;

   (3)  The  applicant has indicated in the application that the proposed
   facility would not have a significant environmental effect, in accordance
   with §§1.1301 through 1.1319;

   (4)  Under applicable international agreements and rules in this part,
   individual coordination of the proposed channel assignment(s) with a foreign
   administration is not required; and

   (5) Any service-specific restrictions not listed herein.

   [ 63 FR 2348 , Jan. 15, 1998]

§ 1.2114   Reporting of eligibility event.

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   (a) A designated entity must seek Commission approval for all reportable
   eligibility events. A reportable eligibility event is:

   (1)  Any  spectrum lease (as defined in §1.9003) or resale arrangement
   (including wholesale agreements) with one entity or on a cumulative basis
   that might cause a licensee to lose eligibility for installment payments, a
   set-aside license, or a bidding credit (or for a particular level of bidding
   credit) under §1.2110 and applicable service-specific rules.

   (2) Any other event that would lead to a change in the eligibility of a
   licensee for designated entity benefits.

   (b) Documents listed on and filed with application . A designated entity
   filing an application pursuant to this section must—

   (1) List and summarize on the application all agreements and arrangements
   (including  proposed agreements and arrangements) that give rise to or
   otherwise relate to a reportable eligibility event. In addition to a summary
   of  each  agreement or arrangement, this list must include the parties
   (including  each  party's  affiliates,  its controlling interests, the
   affiliates of its controlling interests, its spectrum lessees, and its
   spectrum resellers and wholesalers) to each agreement or arrangement, as
   well  as the dates on which the parties entered into each agreement or
   arrangement.

   (2) File with the application a copy of each agreement and arrangement
   listed pursuant to this paragraph.

   (3) Maintain at its facilities or with its designated agents, for the term
   of the license, the lists, summaries, dates, and copies of agreements and
   arrangements required to be provided to the Commission pursuant to this
   section.

   (c) Application fees . The application reporting the eligibility event will
   be  treated  as  a transfer of control for purposes of determining the
   applicable application fees as set forth in §1.1102.

   (d) Streamlined approval procedures. (1) The eligibility event application
   will  be  placed on public notice once the application is sufficiently
   complete and accepted for filing (see §1.933).

   (2)  Petitions  to deny filed in accordance with section 309(d) of the
   Communications Act must comply with the provisions of §1.939, except that
   such petitions must be filed no later than 14 days following the date of the
   Public Notice listing the application as accepted for filing.

   (3) No later than 21 days following the date of the Public Notice listing an
   application as accepted for filing, the Wireless Telecommunications Bureau
   (Bureau) will grant the application, deny the application, or remove the
   application from streamlined processing for further review.

   (4) Grant of the application will be reflected in a Public Notice (see
   §1.933(a)(2)) promptly issued after the grant.

   (5) If the Bureau determines to remove an application from streamlined
   processing, it will issue a Public Notice indicating that the application
   has been removed from streamlined processing. Within 90 days of that Public
   Notice, the Bureau will either take action upon the application or provide
   public notice that an additional 90-day period for review is needed.

   (e) Public notice of application. Applications under this subpart will be
   placed on an informational public notice on a weekly basis (see §1.933(a)).

   (f)  Contents  of  the  application.  The application must contain all
   information requested on the applicable form, any additional information and
   certifications  required  by  the rules in this chapter, and any rules
   pertaining to the specific service for which the application is filed.

   (g) The designated entity is required to update any change in a relationship
   that gave rise to a reportable eligibility event.

   [ 71 FR 26253 , May 4, 2006, as amended at  71 FR 34278 , June 14, 2006]

Subpart R—Implementation of Section 4(g)(3) of the Communications Act:
Procedures Governing Acceptance of Unconditional Gifts, Donations and Bequests

   top

   Source:    59 FR 38128 , July 27, 1994, unless otherwise noted.

§ 1.3000   Purpose and scope.

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   The  purpose  of  this  subpart is to implement the Telecommunications
   Authorization Act of 1992 which amended the Communications Act by creating
   section 4(g)(3), 47 U.S.C. 154(g)(3). The provisions of this subpart shall
   apply to gifts, donations and bequests made to the Commission itself. Travel
   reimbursement for attendance at, or participation in, government-sponsored
   meetings or events required to carry out the Commission's statutory or
   regulatory functions may also be accepted under this subpart. The acceptance
   of gifts by Commission employees, most notably gifts of food, drink and
   entertainment, is governed by the government-wide standards of employee
   conduct established at 5 CFR part 2635. Travel, subsistence and related
   expenses for non-government-sponsored meetings or events will continue to be
   accepted pursuant to the Government Employees Training Act, 41 U.S.C. 4111
   or 31 U.S.C. 1353, and its General Services Administration's implementing
   regulations, 41 CFR 304–1.8, as applicable.

§ 1.3001   Definitions.

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   For purposes of this subpart:

   (a) The term agency means the Federal Communications Commission.

   (b) The term gift means any unconditional gift, donation or bequest of real,
   personal and other property (including voluntary and uncompensated services
   as authorized under 5 U.S.C. 3109).

   (c) The terms agency ethics official, designated agency ethics official,
   employee, market value, person, and prohibited source, have the same meaning
   as found in 5 CFR 2635.102, 2635.203.

§ 1.3002   Structural rules and prohibitions.

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   (a) General prohibitions. An employee shall not:

   (1)  Directly or indirectly, solicit or coerce the offering of a gift,
   donation or bequest to the Commission from a regulated entity or other
   prohibited source; or

   (2) Accept gifts of cash pursuant to this subpart.

   (b) Referral of offers to designated agency ethics official. Any person who
   seeks to offer any gift to the Commission under the provisions of this
   subpart shall make such offer to the Commission's designated agency ethics
   official.  In  addition, any Commission employee who is contacted by a
   potential donor or the representative thereof for the purpose of discussing
   the possibility of making a gift, donation or bequest to the Commission
   shall  immediately  refer  such  person or persons to the Commission's
   designated agency ethics official. The designated agency ethics official
   shall,  in  consultation  with  other  agency ethics officials, make a
   determination concerning whether acceptance of such offers would create a
   conflict of interest or the appearance of a conflict of interest. Agency
   ethics officials may also advise potential donors and their representatives
   of the types of equipment, property or services that may be of use to the
   Commission and the procedures for effectuating gifts set forth in this
   subpart. The Commission may, in its discretion, afford public notice before
   accepting any gift under authority of this subpart.

§ 1.3003   Mandatory factors for evaluating conflicts of interest.

   top

   No gift shall be accepted under this subpart unless a determination is made
   that  its  acceptance  would  not create a conflict of interest or the
   appearance  of  a conflict of interest. In making conflict of interest
   determinations,  designated agency ethics officials shall consider the
   following factors:

   (a) Whether the benefits of the intended gift will accrue to an individual
   employee and, if so—

   (1) Whether the employee is responsible for matters affecting the potential
   donor that are currently before the agency; and

   (2) The significance of the employee's role in any such matters;

   (b) The nature and sensitivity of any matters pending at the Commission
   affecting the intended donor;

   (c) The timing of the intended gift;

   (d) The market value of the intended gift;

   (e) The frequency of other gifts made by the same donor; and

   (f) The reason underlying the intended gift given in a written statement
   from the proposed donor.

§ 1.3004   Public disclosure and reporting requirements.

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   (a)  Public  disclosure of gifts accepted from prohibited sources. The
   Commission's Security Operations Office, Office of the Managing Director,
   shall maintain a written record of gifts accepted from prohibited sources by
   the Commission pursuant to section 4(g)(3) authority, which will include:

   (1) The identity of the prohibited source;

   (2) A description of the gift;

   (3) The market value of the gift;

   (4) Documentation concerning the prohibited source's reason for the gift as
   required in §1.3003(f);

   (5) A signed statement of verification from the prohibited source that the
   gift is unconditional and is not contingent on any promise or expectation
   that the Commission's receipt of the gift will benefit the proposed donor in
   any regulatory matter; and

   (6) The date the gift is accepted by the Commission.

   (b)  Reporting Requirements for all gifts. The Commission shall file a
   semi-annual report to Congress listing the gift, donor and value of all
   gifts accepted from any donor under this subpart.

Subpart S—Preemption of Restrictions That “Impair” the Ability To Receive
Television Broadcast Signals, Direct Broadcast Satellite Services, or
Multichannel Multipoint Distribution Services or the Ability To Receive or
Transmit Fixed Wireless Communications Signals

   top

   Source:    66 FR 2333 , Jan. 11, 2001, unless otherwise noted.

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

   top

   (a)(1) Any restriction, including but not limited to any state or local law
   or regulation, including zoning, land-use, or building regulations, or any
   private  covenant,  contract  provision,  lease provision, homeowners'
   association rule or similar restriction, on property within the exclusive
   use or control of the antenna user where the user has a direct or indirect
   ownership  or  leasehold  interest  in  the  property that impairs the
   installation, maintenance, or use of:

   (i) An antenna that is:

   (A)  Used  to  receive  direct  broadcast satellite service, including
   direct-to-home satellite service, or to receive or transmit fixed wireless
   signals via satellite, and

   (B) One meter or less in diameter or is located in Alaska;

   (ii) An antenna that is:

   (A) Used to receive video programming services via multipoint distribution
   services,  including  multichannel  multipoint  distribution services,
   instructional television fixed services, and local multipoint distribution
   services, or to receive or transmit fixed wireless signals other than via
   satellite, and

   (B) That is one meter or less in diameter or diagonal measurement;

   (iii) An antenna that is used to receive television broadcast signals; or

   (iv)  A  mast supporting an antenna described in paragraphs (a)(1)(i),
   (a)(1)(ii), or (a)(1)(iii) of this section; is prohibited to the extent it
   so impairs, subject to paragraph (b) of this section.

   (2)  For  purposes of this section, “fixed wireless signals” means any
   commercial non-broadcast communications signals transmitted via wireless
   technology to and/or from a fixed customer location. Fixed wireless signals
   do not include, among other things, AM radio, FM radio, amateur (“HAM”)
   radio, Citizen's Band (CB) radio, and Digital Audio Radio Service (DARS)
   signals.

   (3) For purposes of this section, a law, regulation, or restriction impairs
   installation, maintenance, or use of an antenna if it:

   (i) Unreasonably delays or prevents installation, maintenance, or use;

   (ii) Unreasonably increases the cost of installation, maintenance, or use;
   or

   (iii) Precludes reception or transmission of an acceptable quality signal.

   (4)  Any  fee  or cost imposed on a user by a rule, law, regulation or
   restriction must be reasonable in light of the cost of the equipment or
   services  and  the rule, law, regulation or restriction's treatment of
   comparable devices. No civil, criminal, administrative, or other legal
   action of any kind shall be taken to enforce any restriction or regulation
   prohibited by this section except pursuant to paragraph (d) or (e) of this
   section. In addition, except with respect to restrictions pertaining to
   safety and historic preservation as described in paragraph (b) of this
   section, if a proceeding is initiated pursuant to paragraph (d) or (e) of
   this section, the entity seeking to enforce the antenna restrictions in
   question must suspend all enforcement efforts pending completion of review.
   No attorney's fees shall be collected or assessed and no fine or other
   penalties shall accrue against an antenna user while a proceeding is pending
   to determine the validity of any restriction. If a ruling is issued adverse
   to a user, the user shall be granted at least a 21-day grace period in which
   to comply with the adverse ruling; and neither a fine nor a penalty may be
   collected from the user if the user complies with the adverse ruling during
   this grace period, unless the proponent of the restriction demonstrates, in
   the same proceeding which resulted in the adverse ruling, that the user's
   claim in the proceeding was frivolous.

   (b) Any restriction otherwise prohibited by paragraph (a) of this section is
   permitted if:

   (1) It is necessary to accomplish a clearly defined, legitimate safety
   objective  that is either stated in the text, preamble, or legislative
   history of the restriction or described as applying to that restriction in a
   document that is readily available to antenna users, and would be applied to
   the  extent  practicable  in  a  non-discriminatory  manner  to  other
   appurtenances, devices, or fixtures that are comparable in size and weight
   and pose a similar or greater safety risk as these antennas and to which
   local regulation would normally apply; or

   (2) It is necessary to preserve a prehistoric or historic district, site,
   building, structure or object included in, or eligible for inclusion on, the
   National Register of Historic Places, as set forth in the National Historic
   Preservation Act of 1966, as amended, 16 U.S.C. 470, and imposes no greater
   restrictions  on antennas covered by this rule than are imposed on the
   installation, maintenance, or use of other modern appurtenances, devices, or
   fixtures  that are comparable in size, weight, and appearance to these
   antennas; and

   (3) It is no more burdensome to affected antenna users than is necessary to
   achieve the objectives described in paragraphs (b)(1) or (b)(2) of this
   section.

   (c)  In the case of an antenna that is used to transmit fixed wireless
   signals, the provisions of this section shall apply only if a label is
   affixed to the antenna that:

   (1) Provides adequate notice regarding potential radiofrequency safety
   hazards, e.g., information regarding the safe minimum separation distance
   required between users and transceiver antennas; and

   (2) References the applicable FCC-adopted limits for radiofrequency exposure
   specified in §1.1310 of this chapter.

   (d) Local governments or associations may apply to the Commission for a
   waiver of this section under §1.3 of this chapter. Waiver requests must
   comply with the procedures in paragraphs (f) and (h) of this section and
   will be put on public notice. The Commission may grant a waiver upon a
   showing  by the applicant of local concerns of a highly specialized or
   unusual  nature.  No petition for waiver shall be considered unless it
   specifies the restriction at issue. Waivers granted in accordance with this
   section shall not apply to restrictions amended or enacted after the waiver
   is granted. Any responsive pleadings must be served on all parties and filed
   within 30 days after release of a public notice that such petition has been
   filed. Any replies must be filed within 15 days thereafter.

   (e) Parties may petition the Commission for a declaratory ruling under §1.2
   of this chapter, or a court of competent jurisdiction, to determine whether
   a particular restriction is permissible or prohibited under this section.
   Petitions to the Commission must comply with the procedures in paragraphs
   (f) and (h) of this section and will be put on public notice. Any responsive
   pleadings in a Commission proceeding must be served on all parties and filed
   within 30 days after release of a public notice that such petition has been
   filed. Any replies in a Commission proceeding must be served on all parties
   and filed within 15 days thereafter.

   (f) Copies of petitions for declaratory rulings and waivers must be served
   on interested parties, including parties against whom the petitioner seeks
   to enforce the restriction or parties whose restrictions the petitioner
   seeks to prohibit. A certificate of service stating on whom the petition was
   served  must  be filed with the petition. In addition, in a Commission
   proceeding brought by an association or a local government, constructive
   notice of the proceeding must be given to members of the association or to
   the  citizens  under  the  local government's jurisdiction. In a court
   proceeding brought by an association, an association must give constructive
   notice  of the proceeding to its members. Where constructive notice is
   required, the petitioner or plaintiff must file with the Commission or the
   court overseeing the proceeding a copy of the constructive notice with a
   statement explaining where the notice was placed and why such placement was
   reasonable.

   (g) In any proceeding regarding the scope or interpretation of any provision
   of this section, the burden of demonstrating that a particular governmental
   or nongovernmental restriction complies with this section and does not
   impair  the  installation,  maintenance,  or  use  of devices used for
   over-the-air reception of video programming services or devices used to
   receive or transmit fixed wireless signals shall be on the party that seeks
   to impose or maintain the restriction.

   (h) All allegations of fact contained in petitions and related pleadings
   before the Commission must be supported by affidavit of a person or persons
   with actual knowledge thereof. An original and two copies of all petitions
   and pleadings should be addressed to the Secretary, Federal Communications
   Commission,  445  12th Street, SW, Washington, DC 20554. Copies of the
   petitions and related pleadings will be available for public inspection in
   the Reference Information Center, Consumer and Governmental Affairs Bureau,
   Federal Communications Commission, 445 12th Street, SW, Washington, DC
   20554. Copies will be available for purchase from the Commission's contract
   copy center, and the Commission decisions will be available on the Internet.

   [ 66 FR 2333 , Jan. 11, 2001, as amended at  67 FR 13224 , Mar. 21, 2002]

Subpart T—Exempt Telecommunications Companies

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§ 1.5000   Purpose.

   top

   The purpose of part 1, subpart S, is to implement Section 34(a) of the
   Public Utility Holding Company Act of 1935, 15 U.S.C. §79 et seq., as added
   by  Section  103 of the Telecommunications Act of 1996, Public Law No.
   104–104, 110 Stat. 56 (1996).

   [ 61 FR 52899 , Oct. 9, 1996;  61 FR 57335 , Nov. 6, 1996]

§ 1.5001   Definitions.

   top

   (a) For the purpose of this part, the terms telecommunications services and
   information  services  shall have the same meanings as provided in the
   Communications Act of 1934, as amended;

   (b) Commission shall be defined as the Federal Communications Commission;
   and

   (c) ETC shall be defined as an exempt telecommunications company.

   [ 61 FR 52899 , Oct. 9, 1996;  61 FR 57335 , Nov. 6, 1996]

§ 1.5002   Contents of application and procedure for filing.

   top

   (a)  A  person  seeking status as an exempt telecommunications company
   (applicant) must file with the Commission with respect to the company or
   companies which are eligible companies owned or operated by the applicant,
   and serve on the Securities and Exchange Commission and any affected State
   commission, the following:

   (1)  A  brief  description of the planned activities of the company or
   companies which are or will be eligible companies owned and/or operated by
   the applicant;

   (2) A sworn statement, by a representative legally authorized to bind the
   applicant,  attesting  to  any  facts  or representations presented to
   demonstrate eligibility for ETC status, including a representation that the
   applicant is engaged directly, or indirectly, wherever located, through one
   or more affiliates (as defined in Section 2(a)(11)(B) of the Public Utility
   Holding Company Act of 1935), and exclusively in the business of providing:

   (i) Telecommunications services;

   (ii) Information services;

   (iii)  Other  services  or products subject to the jurisdiction of the
   Commission; or

   (iv) Products or services that are related or incidental to the provision of
   a  product or service described in paragraph (a)(1)(i), (a)(1)(ii), or
   (a)(1)(iii); and

   (3) A sworn statement, by a representative legally authorized to bind the
   applicant, certifying that the applicant satisfies part 1, subpart P, of the
   Commission's  regulations,  47  CFR  1.2001  through 1.2003, regarding
   implementation of the Anti-Drug Abuse Act of 1988, 21 U.S.C. 862.

   [ 61 FR 52899 , Oct. 9, 1996;  61 FR 57335 , Nov. 6, 1996]

§ 1.5003   Effect of filing.

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   A person applying in good faith for a Commission determination of exempt
   telecommunications  company  status  will  be  deemed  to be an exempt
   telecommunications company from the date of receipt of the application until
   the date of Commission action pursuant to §1.5004.

   [ 61 FR 52899 , Oct. 9, 1996;  61 FR 57335 , Nov. 6, 1996]

§ 1.5004   Commission action.

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   If the Commission has not issued an order granting or denying an application
   within 60 days of receipt of the application, the application will be deemed
   to have been granted as a matter of law.

   [ 61 FR 52899 , Oct. 9, 1996;  61 FR 57335 , Nov. 6, 1996]

§ 1.5005   Notification of Commission action to the Securities and Exchange
Commission.

   top

   The Secretary of the Commission will notify the Securities and Exchange
   Commission   whenever   a   person  is  determined  to  be  an  exempt
   telecommunications company.

   [ 61 FR 52899 , Oct. 9, 1996;  61 FR 57335 , Nov. 6, 1996]

§ 1.5006   Procedure for notifying Commission of material change in facts.

   top

   If  there  is  any  material  change in facts that may affect an ETC's
   eligibility for ETC status under Section 34(a)(1) of the Public Utility
   Holding Company Act of 1935, the ETC must, within 30 days of the change in
   fact, either:

   (a) Apply to the Commission for a new determination of ETC status;

   (b) File a written explanation with the Commission of why the material
   change in facts does not affect the ETC's status; or

   (c) Notify the Commission that it no longer seeks to maintain ETC status.

   [ 61 FR 52899 , Oct. 9, 1996;  61 FR 57335 , Nov. 6, 1996]

§ 1.5007   Comments.

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   (a) Any person wishing to be heard concerning an application for ETC status
   may file comments with the Commission within fifteen (15) days from the
   release date of a public notice regarding the application, or such other
   period of time set by the Commission. Any comments must be limited to the
   adequacy or accuracy of the application.

   (b) Any person who files comments with the Commission must also serve copies
   of all comments on the applicant.

   (c) An applicant has seven (7) days to reply to any comments filed regarding
   the adequacy and accuracy of its application, or such other period of time
   as set by the Commission. Such reply shall be served on the commenters.

   [ 61 FR 52899 , Oct. 9, 1996;  61 FR 57335 , Nov. 6, 1996]

Subpart U—Implementation of Section 325(e) of the Communications Act:
Procedures Governing Complaints Filed by Television Broadcast Stations Against
Satellite Carriers for Retransmission Without Consent

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   Source:    65 FR 10720 , Feb. 29, 2000, unless otherwise noted.

§ 1.6000   Purpose.

   top

   The purpose of part 1, Subpart U, is to implement Section 325(e) of the
   Communications Act of 1934, as amended, 47 U.S.C. 325(e), et seq., as added
   by section 1009 of the Satellite Home Viewer Improvement Act of 1999, Public
   Law  106–113,  section 1000(9), 113 Stat. 1501, Appendix I (1999). The
   procedures set forth in this subpart supersede 47 U.S.C. 312.

§ 1.6001   Retransmission consent complaint procedures.

   top

   By whom. If a television broadcast station believes that a satellite carrier
   has retransmitted its broadcast station's signal to any person in the local
   market of such station in violation of 47 U.S.C. 325 (b)(1), the station may
   file a complaint with the Commission under this section.

§ 1.6002   Form and content.

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   (a) The following format shall be used for complaints of this type:

   Before the Federal Communications Commission

   Washington, D.C. 20554

   In the Matter of Complainant,

   v.

   Defendant

   File No. (to be inserted by the staff)

   Complaint

   To: The Commission.

   The complainant (here insert the name, address, and call letters of the
   complaining television broadcast station) avers that: On (here insert the
   dates upon which the alleged transmission occurred), retransmission of the
   broadcast television station's signal was made by (insert here name and
   address of the satellite carrier) to (here insert the street address of at
   least one person in the local market of the station to whom the alleged
   retransmission  was  made).  The complainant avers that (here insert a
   statement  that the retransmission was not expressly authorized by the
   television broadcast station), and requests that the appropriate relief be
   granted by the Commission, as provided by the pertinent provisions of the
   Communications Act of 1934, as amended, and the Commission's Rules.

   Date:

   (here insert the name and address of counsel for the complaining station).

   (b) A complaint lacking any of the foregoing information shall be dismissed
   by the FCC without prejudice to the complaining station.

   (c) Additional information may be provided, and, where applicable, should
   conform  to  the  requirements set forth in §§1.48 through 1.52 of the
   Commission's rules.

§ 1.6003   Service requirements.

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   (a) General. Pursuant to 47 U.S.C. 325(e), for purposes of any proceeding
   under this subsection, any satellite carrier that retransmits the signal of
   any broadcast station shall be deemed to designate the Secretary of the
   Commission as its agent for service of process.

   (b) Specific. (1) A television broadcast station shall serve a satellite
   carrier  with a complaint concerning an alleged violation of 47 U.S.C.
   325(b)(1) by filing the original and two copies of the complaint on the
   Secretary of the Commission and serving a copy of the complaint by means of
   two commonly used overnight delivery services, each addressed to the chief
   executive  officer  of the satellite carrier at its principal place of
   business and each marked “URGENT LITIGATION MATTER” on the outer packaging.
   Service  shall be deemed complete one business day after a copy of the
   complaint is provided to the delivery services for overnight delivery. On
   receipt of a complaint filed by a television broadcast station under this
   subsection,  the  Secretary  of the Commission shall send the original
   complaint  by  United States mail, postage prepaid, receipt requested,
   addressed to the chief executive officer of the satellite carrier at its
   principal place of business.

   (2) Satellite carriers shall provide the name, address, and telephone number
   (including area code) of their chief executive officers to the Secretary of
   the Commission, no later than April 15, 2000. Satellite carriers shall
   update this information, as necessary, in the event that the identity or the
   address of their respective chief executive officers changes. These updates
   shall be made by United States mail within seven (7) days of such changes.
   Complaints sent to the last known address shall be deemed served if the
   satellite  carrier  fails to notify the Secretary of the Commission in
   accordance with this provision.

§ 1.6004   Answers.

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   Within five (5) business days after the date of service, without regard to
   §1.4 of this part, the satellite carrier shall file its answer with the
   Commission,  and shall contemporaneously serve the answer upon counsel
   designated in the complaint, at the address listed for such counsel in the
   complaint. Service of the answer shall be made by use of one commonly used
   overnight delivery service and by the United States mail.

§ 1.6005   Exclusive defenses.

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   (a) The defenses listed in paragraphs (a)(1) through (a)(4) of this section,
   are the only defenses available to a satellite carrier against which a
   complaint under this section is filed.

   (1)  The satellite carrier did not retransmit the television broadcast
   station's signal to any person in the “local market” of the television
   broadcast station, as that term is defined in 17 U.S.C. 122(j) (Designated
   Market Area as determined by Nielsen Media Research and county containing
   the station's community of license), during the time period specified in the
   complaint;

   (2) The television broadcast station had, in a writing signed by an officer
   of the television broadcast station, expressly authorized the retransmission
   of  the  station by the satellite carrier to each person in the “local
   market” of the television broadcast station, as that term is defined in 17
   U.S.C. 122(j), to which the satellite carrier made such retransmissions for
   the entire time period during which it is alleged that a violation of 47
   U.S.C. 325 (b)(1) has occurred;

   (3) The retransmission was made after January 1, 2002, and the television
   broadcast station had elected to assert the right to carriage under 47
   U.S.C. 338 as against the satellite carrier for the relevant period; or

   (4) The television broadcast station whose signal is being retransmitted is
   a noncommercial television broadcast station.

   (b) [Reserved]

§ 1.6006   Counting of violations.

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   Each  day of retransmission without consent of a particular television
   broadcast station to one or more persons in the local market of the station
   shall be considered a separate violation of 47 U.S.C. 325(b)(1).

§ 1.6007   Burden of proof.

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   With respect to each alleged violation, the burden of proof shall be on a
   television  broadcast  station to establish that the satellite carrier
   retransmitted the station to at least one person in the local market of the
   station  on  the  day in question. The burden of proof shall be on the
   satellite carrier with respect to all defenses other than the defense under
   §1.6005(a)(1).

§ 1.6008   Determinations.

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   (a) In General. Within forty five (45) days after the filing of a complaint,
   the Commission shall issue a final determination in any proceeding brought
   under this subsection. The Commission's final determination shall specify
   the number of violations committed by the satellite carrier. The Commission
   shall  hear witnesses only if it clearly appears, based on the written
   filings by the parties, that there is a genuine dispute about material
   facts. Except as provided in the preceding sentence, the Commission may
   issue a final ruling based on the written filings by the parties.

   (b) Discovery. The Commission may direct the parties to exchange pertinent
   documents,  and  if necessary, to take prehearing depositions, on such
   schedule as the Commission may approve, but only if the Commission first
   determines that such discovery is necessary to resolve a genuine dispute
   about  material  facts, consistent with the obligation to make a final
   determination  within  forty  five  (45) days. In this connection, the
   Commission may utilize the discovery or other evidentiary procedures set
   forth in §§1.311 through 1.364 of the Commission's rules.

§ 1.6009   Relief.

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   If the Commission determines that a satellite carrier has retransmitted the
   television broadcast station to at least one person in the local market of
   such  station  and has failed to meet its burden of proving one of the
   defenses  under  §1.6005  (a)(2)  through  (a)(4) with respect to such
   retransmission, the Commission shall:

   (a) Make a finding that the satellite carrier violated 47 U.S.C. 325(b)(1)
   with respect to that station; and

   (b) Issue an order, within forty-five (45) days after the filing of the
   complaint, containing—

   (1) A cease-and-desist order directing the satellite carrier immediately to
   stop making any further retransmissions of the television broadcast station
   to any person within the local market of such station until such time as the
   Commission determines that the satellite carrier is in compliance with 47
   U.S.C. 325(b)(1) with respect to such station;

   (2) If the satellite carrier is found to have violated 47 U.S.C. 325(b)(1)
   with  respect  to  more  than  two  television  broadcast  stations, a
   cease-and-desist order directing the satellite carrier to stop making any
   further retransmission of any television broadcast station to any person
   within the local market of the stations identified in the cease-and-desist
   order,  until  such time as the Commission, after giving notice to the
   station, determines that the satellite carrier is in compliance with 47
   U.S.C. 325(b)(1) with respect to such stations; and

   (3) An award to the complainant of that complainant's costs and reasonable
   attorney's fees. Such award shall be made only after the complainant submits
   appropriate documentation in support of its request.

   (c) Any cease-and-desist order issued hereunder shall include a statement of
   findings and the grounds therefor, shall specify the effective date of the
   order, and shall be served by the Commission upon the satellite carrier to
   which such order is directed.

§ 1.6010   Reporting of remedial measures.

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   Any satellite carrier found to have violated Section 47 U.S.C. 325(b)(1)
   shall, upon receipt of the cease-and-desist order, immediately take all
   necessary steps to comply with the statute. Within two (2) days of receipt
   of  the cease-and-desist order, the satellite carrier shall notify the
   Secretary of the Commission of steps taken to comply with the statute by
   written submission. The submission certified by the satellite carrier's
   chief  executive  officer  shall  also contain a copy of the pertinent
   cease-and-desist order, and shall be delivered to the Secretary of the
   Commission by means of one commonly used overnight delivery service, in
   addition to a copy delivered by United States mail.

   Effective Date Note:   At  65 FR 10721 , Feb. 29, 2000, §1.6010 was added.
   This section contains information collection and recordkeeping requirements
   and will not become effective until approval has been given by the Office of
   Management and Budget.

§ 1.6011   Effective date.

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   The rules in section 1.6000 through section 1.6009 shall become effective
   May 30, 2000. Section 1.6010 contains information collection requirements
   that  are not effective until approved by the Office of Management and
   Budget.  The  effective date for this section will be announced by the
   Commission in theFederal Register.

§ 1.6012   Sunset provisions.

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   No complaint may be filed under this rule section after December 31, 2001.
   This rule subpart shall continue to apply to any complaint filed on or
   before such date. See 47 U.S.C. 325 (e)(12).

Subpart V—Implementation of Section 706 of the Telecommunications Act of 1996;
Commission Collection of Advanced Telecommunications Capability Data

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   Source:    65 FR 19684 , Apr. 12, 2000;  65 FR 24654 , Apr. 27, 2000, unless
   otherwise noted.

§ 1.7000   Purpose.

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   The  purpose  of this subpart is to set out the terms by which certain
   commercial and government-controlled entities report data to the Commission
   concerning the deployment of advanced telecommunications capability, defined
   pursuant   to  47  U.S.C.  157  as  “high-speed,  switched,  broadband
   telecommunications capability that enables users to originate and receive
   high-quality voice, data, graphics, and video telecommunications using any
   technology,”  and the deployment of services that are competitive with
   advanced telecommunications capability.

§ 1.7001   Scope and content of filed reports.

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   (a) Definitions. Terms used in this subpart have the following meanings:

   (1)  Facilities-based providers. Those entities that provide broadband
   services  over their own facilities or over Unbundled Network Elements
   (UNEs), special access lines, and other leased lines and wireless channels
   that the entity obtains from a communications service provider and equips as
   broadband.

   (2) Full broadband lines or wireless channels. Lines or wireless channels
   with  information  carrying  capability  in excess of 200 Kbps in both
   directions simultaneously.

   (3) One-way broadband lines or wireless channels. Lines or wireless channels
   with information carrying capability in excess of 200 Kbps in at least one
   direction, but not both.

   (4) Own facilities. Lines and wireless channels the entity actually owns and
   facilities that it obtained the right to use from other entities as dark
   fiber or satellite transponder capacity.

   (b) All commercial and government-controlled entities, including but not
   limited to common carriers and their affiliates (as defined in 47 U.S.C. 153
   (1)), cable television companies, Multichannel Multipoint Distribution
   Service  (MMDS/MDS)  “wireless  cable”  carriers, other fixed wireless
   providers, terrestrial and satellite mobile wireless providers, utilities
   and  others, which are facilities-based providers, shall file with the
   Commission a completed FCC Form 477, in accordance with the Commission's
   rules and the instructions to the FCC Form 477, for each state in which they
   provide service.

   (c) Respondents identified in paragraph (b) of this section shall file the
   FCC Form 477 on diskette or via e-mail, as directed in the instructions to
   the FCC Form 477. Upon submission of each report, an original certification
   letter (as contained in the instructions to FCC Form 477) signed by the
   responsible official shall be mailed to the Commission.

   (d)  Respondents  may  make  requests for Commission non-disclosure of
   provider-specific  data contained in FCC Form 477 under §0.459 of this
   chapter by so indicating on Form 477 at the time that the subject data are
   submitted. The Commission shall make all decisions regarding non-disclosure
   or provider-specific information, except that the Chief of the Wireline
   Competition Bureau may release provider-specific information to a state
   commission provided that the state commission has protections in place that
   would preclude disclosure of any confidential information.

   (e) Respondents identified in paragraph (b) of this section shall file a
   revised version of FCC Form 477 if and when they discover a significant
   error in their filed FCC Form 477. For counts, a difference amounting to 5
   percent of the filed number is considered significant. For percentages, a
   difference of 5 percentage points is considered significant.

   (f) Failure to file the FCC Form 477 in accordance with the Commission's
   rules and the instructions to the Form 477 may lead to enforcement action
   pursuant to the Act and any other applicable law.

   [ 65 FR 19684 , Apr. 12, 2000;  65 FR 24654 , Apr. 27, 2000, as amended at  67 FR 13224 , Mar. 21, 2002;  69 FR 77938 , Dec. 29, 2004;  69 FR 72027 , Dec. 10,
   2004]

§ 1.7002   Frequency of reports.

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   Entities  subject  to  the  provisions  of  §1.7001 shall file reports
   semi-annually. Reports shall be filed each year on or before March 1st
   (reporting  data  about the status of their broadband deployment as of
   December 31 of the prior year) and September 1st (reporting data about the
   status of their broadband deployment as of June 31 of the current year).
   Entities becoming subject to the provisions of §1.7001 for the first time
   within a calendar year shall file data for the reporting period in which
   they become eligible and semi-annually thereafter. Entities subject to the
   provisions of §1.7001 shall make an initial filing of the FCC Form 477 on
   May 15, 2000 (reporting data about the status of their broadband deployment
   as of December 31, 1999).

   [ 65 FR 19684 , Apr. 12, 2000;  65 FR 24654 , Apr. 27, 2000]

Subpart W—FCC Registration Number

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   Source:    66 FR 47895 , Sept. 14, 2001, unless otherwise noted.

§ 1.8001   FCC Registration Number (FRN).

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   (a) The FCC Registration Number (FRN) is a 10-digit unique identifying
   number that is assigned to entities doing business with the Commission.

   (b) The FRN is obtained through the Commission Registration System (CORES)
   over the Internet at the CORES link at www.fcc.gov or by filing FCC Form
   160.

§ 1.8002   Obtaining an FRN.

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   (a) The FRN must be obtained by anyone doing business with the Commission,
   see 31 U.S.C. 7701(c)(2), including but not limited to:

   (1) Anyone required to pay statutory charges under subpart G of this part;

   (2) Anyone applying for a license, including someone who is exempt from
   paying statutory charges under subpart G of this part, see §§1.1114 and
   1.1162;

   (3) Anyone participating in a spectrum auction;

   (4) Anyone holding or obtaining a spectrum auction license or loan;

   (5) Anyone paying statutory charges on behalf of another entity or person;
   and

   (6) Any applicant or service provider participating in the Schools and
   Libraries Universal Service Support Program, part 54, subpart F, of this
   chapter.

   (b)(1) When registering for an FRN through the CORES, an entity's name,
   entity type, contact name and title, address, and taxpayer identifying
   number  (TIN) must be provided. For individuals, the TIN is the social
   security number (SSN).

   (2) Information provided when registering for an FRN must be kept current by
   registrants either by updating the information on-line at the CORES link at
   www.fcc.gov or by filing FCC Form 161 (CORES Update/Change Form).

   (c) A business may obtain as many FRNs as it deems appropriate for its
   business operations. Each subsidiary with a different TIN must obtain a
   separate FRN. Multiple FRNs shall not be obtained to evade payment of fees
   or other regulatory responsibilities.

   (d) An FRN may be assigned by the Commission, which will promptly notify the
   entity of the assigned FRN.

   (e) An FRN may be assigned by the Billing and Collection Agent for North
   American  Numbering  Plan Administration and the Administrators of the
   Universal Service Fund and the Telecommunications Relay Services Fund. In
   each instance, the Billing and Collection Agent for North American Numbering
   Plan Administration and the Administrators of the Universal Service Fund and
   the Telecommunications Relay Services Fund shall promptly notify the entity
   of the assigned FRN.

   [ 66 FR 47895 , Sept. 14, 2001, as amended at  67 FR 36818 , May 28, 2002;  68 FR 66277 , Nov. 25, 2003;  69 FR 55109 , Sept. 13, 2004;  70 FR 21651 , Apr. 27,
   2005]

§ 1.8003   Providing the FRN in Commission filings.

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   The FRN must be provided with any filings requiring the payment of statutory
   charges under subpart G of this part, anyone applying for a license (whether
   or not a fee is required), including someone who is exempt from paying
   statutory charges under subpart G of this part, anyone participating in a
   spectrum  auction,  making up-front payments or deposits in a spectrum
   auction,  anyone  making a payment on an auction loan, anyone making a
   contribution  to  the Universal Service Fund, any applicant or service
   provider  participating in the Schools and Libraries Universal Service
   Support Program, and anyone paying a forfeiture or other payment. A list of
   applications and other instances where the FRN is required will be posted on
   our Internet site and linked to the CORES page.

   [ 69 FR 55109 , Sept. 13, 2004]

§ 1.8004   Penalty for Failure to Provide the FRN.

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   (a) Electronic filing systems for filings that require the FRN will not
   accept a filing without the appropriate FRN. If a party seeks to make an
   electronic filing and does not have an FRN, the system will direct the party
   to the CORES website to obtain an FRN.

   (b)  Except  as  provided in paragraph (d) of this section or in other
   Commission rules, filings subject to the FRN requirement and submitted
   without an FRN will be returned or dismissed.

   (c)  Where the Commission has not established a filing deadline for an
   application,  a  missing  or invalid FRN on such an application may be
   corrected and the application resubmitted. Except as provided in paragraph
   (d)  of  this  section or in other Commission rules, the date that the
   resubmitted application is received by the Commission with a valid FRN will
   be considered the official filing date.

   (d) Except for the filing of tariff publications ( see 47 CFR 61.1(b)) or as
   provided in other Commission rules, where the Commission has established a
   filing deadline for an application and that application may be filed on
   paper, a missing or invalid FRN on such an application may be corrected with
   ten (10) business days of notification to the filer by the Commission staff
   and, in the event of such timely correction, the original date of filing
   will be retained as the official filing date.

   [ 66 FR 47895 , Sept. 14, 2001, as amended at  67 FR 36818 , May 28, 2002]

Subpart X—Spectrum Leasing

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   Source:    68 FR 66277 , Nov. 25, 2003, unless otherwise noted.

Scope And Authority

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§ 1.9001   Purpose and scope.

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   (a) The purpose of part 1, subpart X is to implement policies and rules
   pertaining  to  spectrum leasing arrangements between licensees in the
   services identified in this subpart and spectrum lessees. This subpart also
   implements policies for private commons arrangements. These policies and
   rules also implicate other Commission rule parts, including parts 1, 2, 20,
   22, 24, 26, 27, 80, 90, 95, and 101 of title 47, chapter I of the Code of
   Federal Regulations.

   (b)  Licensees holding exclusive use rights are permitted to engage in
   spectrum leasing whether their operations are characterized as commercial,
   common carrier, private, or non-common carrier.

   [ 68 FR 66277 , Nov. 25, 2003, as amended at  69 FR 77550 , Dec. 27, 2004]

§ 1.9003   Definitions.

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   De facto transfer leasing arrangement. A spectrum leasing arrangement in
   which a licensee retains de jure control of its license while transferring
   de facto control of the leased spectrum to a spectrum lessee, pursuant to
   the spectrum leasing rules set forth in this subpart.

   FCC Form 608. FCC Form 608 is the form to be used by licensees and spectrum
   lessees that enter into spectrum leasing arrangements pursuant to the rules
   set  forth  in  this subpart. Parties are required to submit this form
   electronically when entering into spectrum leasing arrangements under this
   subpart, except that licensees falling within the provisions of §1.913(d),
   may file the form either electronically or manually.

   Long-term de facto transfer leasing arrangement . A long-term de facto
   transfer leasing arrangement is a de facto transfer leasing arrangement that
   has an individual term, or series of combined terms, of more than one year.

   Private commons. A “private commons” arrangement is an arrangement, distinct
   from a spectrum leasing arrangement but permitted in the same services for
   which spectrum leasing arrangements are allowed, in which a licensee or
   spectrum lessee makes certain spectrum usage rights under a particular
   license authorization available to a class of third-party users employing
   advanced   communications   technologies   that  involve  peer-to-peer
   (device-to-device)  communications  and that do not involve use of the
   licensee's or spectrum lessee's end-to-end physical network infrastructure (
   e.g. , base stations, mobile stations, or other related elements).

   Short-term de facto transfer leasing arrangement. A short-term de facto
   transfer leasing arrangement is a de facto transfer leasing arrangement that
   has an individual or combined term of not longer than one year.

   Spectrum leasing application. The application submitted to the Commission by
   a licensee and a spectrum lessee seeking approval of a de facto transfer
   leasing arrangement.

   Spectrum leasing arrangement. An arrangement between a licensed entity and a
   third-party entity in which the licensee leases certain of its spectrum
   usage  rights  in the licensed spectrum to the third-party entity, the
   spectrum  lessee, pursuant to the rules set forth in this subpart. The
   arrangement may involve the leasing of any amount of licensed spectrum, in
   any geographic area or site encompassed by the license, for any period of
   time during the term of the license authorization. Two different types of
   spectrum leasing arrangements, spectrum manager leasing arrangements and de
   facto transfer leasing arrangements, are permitted under this subpart.

   Spectrum leasing notification. The required notification submitted by a
   licensee to the Commission regarding a spectrum manager leasing arrangement.

   Spectrum  lessee.  Any third-party entity that leases, pursuant to the
   spectrum leasing rules set forth in this subpart, certain spectrum usage
   rights held by a licensee. This term includes reference to third-party
   entities that lease spectrum usage rights as spectrum sublessees under
   spectrum subleasing arrangements.

   Spectrum manager leasing arrangement. A spectrum leasing arrangement in
   which a licensee retains both de jure control of its license and de facto
   control of the leased spectrum that it leases to a spectrum lessee, pursuant
   to the spectrum leasing rules set forth in this subpart.

   [ 68 FR 66277 , Nov. 25, 2003, as amended at  69 FR 77550 , Dec. 27, 2004]

   Effective Date Note:   At  69 FR 77550 , Dec. 27, 2004, §1.9003 was amended.
   This section contains information collection and recordkeeping requirements
   and will not become effective until approval has been given by the Office of
   Management and Budget.

§ 1.9005   Included services.

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   Link to an amendment published at  72 FR 48843 , Aug. 24, 2007.

   The  spectrum  leasing policies and rules of this subpart apply to the
   following services in the Wireless Radio Services in which commercial or
   private licensees hold exclusive use rights:

   (a) The Paging and Radiotelephone Service (part 22 of this chapter);

   (b) The Rural Radiotelephone Service (part 22 of this chapter);

   (c) The Air-Ground Radiotelephone Service (part 22 of this chapter);

   (d) The Cellular Radiotelephone Service (part 22 of this chapter);

   (e) The Offshore Radiotelephone Service (part 22 of this chapter);

   (f)  The  narrowband  Personal Communications Service (part 24 of this
   chapter);

   (g) The broadband Personal Communications Service (part 24 of this chapter);

   (h) The Broadband Radio Service (part 27 of this chapter);

   (i) The Educational Broadband Service (part 27 of this chapter);

   (j) The Wireless Communications Service in the 698–746 MHz band (part 27 of
   this chapter);

   (k) The Wireless Communications Service in the 746–764 MHz and 776–794 MHz
   bands (part 27 of this chapter);

   (l) The Wireless Communications Service in the 1390–1392 MHz band (part 27
   of this chapter);

   (m) The Wireless Communications Service in the paired 1392–1395 MHz and
   1432–1435 MHz bands (part 27 of this chapter);

   (n) The Wireless Communications Service in the 1670–1675 MHz band (part 27
   of this chapter);

   (o) The Wireless Communications Service in the 2305–2320 and 2345–2360 MHz
   bands (part 27 of this chapter);

   (p) [Reserved]

   (q) The Advanced Wireless Services (part 27 of this chapter);

   (r) The VHF Public Coast Station service (part 80 of this chapter);

   (s) The Automated Maritime Telecommunications Systems service (part 80 of
   this chapter);

   (t) The Public Safety Radio Services (part 90 of this chapter);

   (u) The 220 MHz Service (excluding public safety licensees) (part 90 of this
   chapter);

   (v) The Specialized Mobile Radio Service in the 800 MHz and 900 MHz bands
   (including exclusive use SMR licenses in the General Category channels)
   (part 90 of this chapter);

   (w) The Location and Monitoring Service (LMS) with regard to licenses for
   multilateration LMS systems (part 90 of this chapter);

   (x) Paging operations under part 90 of this chapter;

   (y) The Business and Industrial/Land Transportation (B/ILT) channels (part
   90 of this chapter) (including all B/ILT channels above 512 MHz and those in
   the  470–512  MHz  band where a licensee has achieved exclusivity, but
   excluding B/ILT channels in the 470–512 MHz band where a licensee has not
   achieved exclusivity and those channels below 470 MHz, including those
   licensed pursuant to 47 CFR 90.187(b)(2)(v));

   (z) The 218–219 MHz band (part 95 of this chapter);

   (aa) The Local Multipoint Distribution Service (part 101 of this chapter);

   (bb) The 24 GHz Band (part 101 of this chapter);

   (cc) The 39 GHz Band (part 101 of this chapter);

   (dd) The Multiple Address Systems band (part 101 of this chapter);

   (ee) The Local Television Transmission Service (part 101 of this chapter);

   (ff) The Private-Operational Fixed Point-to-Point Microwave Service (part
   101 of this chapter);

   (gg) The Common Carrier Fixed Point-to-Point Microwave Service (part 101 of
   this chapter);

   (hh) The Multipoint Video Distribution and Data Service (part 101 of this
   chapter); and,

   (ii) The 700 MHz Guard Bands Service (part 27 of this chapter).

   [ 69 FR 77551 , Dec. 27, 2004, as amended at  71 FR 29815 , May 24, 2006;  72 FR 27708 , May 16, 2007]

General Policies and Procedures

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§ 1.9010    De facto control standard for spectrum leasing arrangements.

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   (a) Under the rules established for spectrum leasing arrangements in this
   subpart, the following standard is applied for purposes of determining
   whether a licensee retains de facto control under section 310(d) of the
   Communications Act with regard to spectrum that it leases to a spectrum
   lessee.

   (b) A licensee will be deemed to have retained de facto control of leased
   spectrum if it enters into a spectrum leasing arrangement and acts as a
   spectrum manager with regard to portions of the licensed spectrum that it
   leases to a spectrum lessee, provided the licensee satisfies the following
   two conditions:

   (1) Licensee responsibility for lessee compliance with Commission policies
   and rules. The licensee must remain fully responsible for ensuring the
   spectrum lessee's compliance with the Communications Act and all applicable
   policies and rules directly related to the use of the leased spectrum.

   (i) Through contractual provisions and actual oversight and enforcement of
   such provisions, the licensee must act in a manner sufficient to ensure that
   the spectrum lessee operates in conformance with applicable technical and
   use rules governing the license authorization.

   (ii)  The licensee must maintain a reasonable degree of actual working
   knowledge about the spectrum lessee's activities and facilities that affect
   its ongoing compliance with the Commission's policies and rules. These
   responsibilities include: Coordinating operations and modifications of the
   spectrum  lessee's  system  to ensure compliance with Commission rules
   regarding non-interference with co-channel and adjacent channel licensees
   (and any authorized spectrum user); making all determinations as to whether
   an application is required for any individual spectrum lessee stations (
   e.g.,  those  that  require  frequency  coordination, submission of an
   Environmental Assessment under §1.1307 of subpart I of this part, those that
   require international or Interdepartment Radio Advisory Committee (IRAC)
   coordination, those that affect radio frequency quiet zones described in
   §1.924 of subpart F of this part, or those that require notification to the
   Federal  Aviation  Administration under part 17 of this chapter); and,
   ensuring that the spectrum lessee complies with the Commission's safety
   guidelines relating to human exposure to radiofrequency (RF) radiation (
   e.g., §1.1307(b) and related rules of subpart I of this part). The licensee
   is responsible for resolving all interference-related matters, including
   conflicts between its spectrum lessee and any other spectrum lessee or
   licensee (or authorized spectrum user). The licensee may use agents ( e.g.,
   counsel, engineering consultants) when carrying out these responsibilities,
   so  long  as the licensee exercises effective control over its agents'
   actions.

   (iii) The licensee must be able to inspect the spectrum lessee's operations
   and must retain the right to terminate the spectrum leasing arrangement in
   the  event  the  spectrum lessee fails to comply with the terms of the
   arrangement and/or applicable Commission requirements. If the licensee or
   the Commission determines that there is any violation of the Commission's
   rules or that the spectrum lessee's system is causing harmful interference,
   the licensee must immediately take steps to remedy the violation, resolve
   the interference, suspend or terminate the operation of the system, or take
   other measures to prevent further harmful interference until the situation
   can be remedied. If the spectrum lessee refuses to resolve the interference,
   remedy the violation, or suspend or terminate operations, either at the
   direction of the licensee or by order of the Commission, the licensee must
   use all reasonable legal means necessary to enforce compliance.

   (2) Licensee responsibility for interactions with the Commission, including
   all filings, required under the license authorization and applicable service
   rules  directly  related  to the leased spectrum. The licensee remains
   responsible for the following interactions with the Commission:

   (i) The licensee must file the necessary notification with the Commission,
   as required under §1.9020(e).

   (ii) The licensee is responsible for making all required filings ( e.g.,
   applications, notifications, correspondence) associated with the license
   authorization that are directly affected by the spectrum lessee's use of the
   licensed spectrum. The licensee may use agents ( e.g., counsel, engineering
   consultants) to complete these filings, so long as the licensee exercises
   effective control over its agents' actions and complies with any signature
   requirements for such filings.

   [ 68 FR 66277 , Nov. 25, 2003, as amended at  69 FR 77551 , Dec. 27, 2004]

§ 1.9020   Spectrum manager leasing arrangements.

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   (a) Overview. Under the provisions of this section, a licensee (in any of
   the included services) and a spectrum lessee may enter into a spectrum
   manager leasing arrangement, without the need for prior Commission approval,
   provided that the licensee retains de jure control of the license and de
   facto control, as defined and explained in this subpart, of the leased
   spectrum. The licensee must notify the Commission of the spectrum leasing
   arrangement pursuant to the rules set forth in this section. The term of a
   spectrum manager leasing arrangement may be no longer than the term of the
   license authorization.

   (b)  Rights  and responsibilities of the licensee. (1) The licensee is
   directly  and primarily responsible for ensuring the spectrum lessee's
   compliance with the Communications Act and applicable Commission policies
   and rules.

   (2) The licensee retains responsibility for maintaining its compliance with
   applicable eligibility and ownership requirements imposed on it pursuant to
   the license authorization.

   (3) The licensee must retain a copy of the spectrum leasing agreement and
   make it available upon request by the Commission.

   (c) Rights and responsibilities of the spectrum lessee. (1) The spectrum
   lessee  must  comply  with  the Communications Act and with Commission
   requirements associated with the license.

   (2) The spectrum lessee is responsible for establishing that it meets the
   eligibility and qualification requirements applicable to spectrum lessees
   under the rules set forth in this section.

   (3) The spectrum lessee must comply with any obligations that apply directly
   to it as a result of its own status as a service provider ( e.g., Title II
   obligations if the spectrum lessee acts as a telecommunications carrier or
   acts as a common carrier).

   (4) In addition to the licensee being directly accountable to the Commission
   for  ensuring  the  spectrum lessee's compliance with the Commission's
   operational rules and policies (as discussed in this subpart), the spectrum
   lessee is independently accountable to the Commission for complying with the
   Communications Act and Commission policies and rules, including those that
   apply directly to the spectrum lessee as a result of its own status as a
   service provider.

   (5) In leasing spectrum from a licensee, the spectrum lessee must accept
   Commission  oversight  and  enforcement  consistent  with  the license
   authorization.  The  spectrum  lessee  must  cooperate  fully with any
   investigation or inquiry conducted by either the Commission or the licensee,
   allow the Commission or the licensee to conduct on-site inspections of
   transmission facilities, and suspend operations at the direction of the
   Commission or the licensee and to the extent that such suspension would be
   consistent with the Commission's suspension policies.

   (6) The spectrum lessee must retain a copy of the spectrum leasing agreement
   and make it available upon request by the Commission.

   (d) Applicability of particular service rules and policies. Under a spectrum
   manager leasing arrangement, the service rules and policies apply in the
   following manner to the licensee and spectrum lessee:

   (1) Interference-related rules. The interference and radiofrequency (RF)
   safety  rules  applicable  to use of the spectrum by the licensee as a
   condition of its license authorization also apply to the use of the spectrum
   leased by the spectrum lessee.

   (2) General eligibility rules. (i) The spectrum lessee must meet the same
   eligibility  and qualification requirements that are applicable to the
   licensee under its license authorization, with the following exceptions. A
   spectrum lessee entering into a spectrum leasing arrangement involving a
   licensee  in  the Educational Broadband Service ( see §27.1201 of this
   chapter)  is  not required to comply with the eligibility requirements
   pertaining to such a licensee so long as the spectrum lessee meets the other
   eligibility and qualification requirements applicable to part 27 services (
   see §27.12 of this chapter). A spectrum lessee entering into a spectrum
   leasing arrangement involving a licensee in the Public Safety Radio Services
   (  see part 90, subpart B and §90.311(a)(1)(i) of this chapter) is not
   required to comply with the eligibility requirements pertaining to such a
   licensee  so  long  as  the  spectrum  lessee  is  an entity providing
   communications in support of public safety operations ( see §90.523(b) of
   this chapter).

   (ii) The spectrum lessee must meet applicable foreign ownership eligibility
   requirements ( see sections 310(a), 310(b) of the Communications Act).

   (iii) The spectrum lessee must satisfy any qualification requirements,
   including character qualifications, applicable to the licensee under its
   license authorization.

   (iv) The spectrum lessee must not be a person subject to the denial of
   Federal benefits under the Anti-Drug Abuse Act of 1988 ( see §1.2001 et seq.
   of subpart P of this part).

   (v) The licensee may reasonably rely on the spectrum lessee's certifications
   that it meets the requisite eligibility and qualification requirements
   contained in the notification required by this section.

   (3) Use restrictions. To the extent that the licensee is restricted from
   using the licensed spectrum to offer particular services under its license
   authorization, the use restrictions apply to the spectrum lessee as well.

   (4) Designated entity/entrepreneur rules. A licensee that holds a license
   pursuant to small business and/or entrepreneur provisions ( see §1.2110 and
   §24.709 of this chapter) and continues to be subject to unjust enrichment
   requirements ( see §1.2111 and §24.714 of this chapter) and/or transfer
   restrictions  ( see §24.839 of this chapter) may enter into a spectrum
   manager leasing arrangement with a spectrum lessee, regardless of whether
   the spectrum lessee meets the Commission's designated entity eligibility
   requirements ( see §1.2110) or its entrepreneur eligibility requirements to
   hold certain C and F block licenses in the broadband personal communications
   services ( see §1.2110 and §24.709 of this chapter), so long as the spectrum
   manager  leasing  arrangement does not result in the spectrum lessee's
   becoming a “controlling interest” or “affiliate” ( see §1.2110) of the
   licensee such that the licensee would lose its eligibility as a designated
   entity or entrepreneur. To the extent there is any conflict between the
   revised de facto control standard for spectrum leasing arrangements, as set
   forth in this subpart, and the definition of controlling interest (including
   its de facto control standard) set forth in §1.2110, the latter definition
   governs for determining whether the licensee has maintained the requisite
   degree of ownership and control to allow it to remain eligible for the
   license  or for other benefits such as bidding credits and installment
   payments.

   (5) Construction/performance requirements. Any performance or build-out
   requirement applicable under a license authorization ( e.g., a requirement
   that the licensee construct and operate one or more specific facilities,
   cover a certain percentage of geographic area, cover a certain percentage of
   population, or provide substantial service) always remains a condition of
   the license, and legal responsibility for meeting such obligation is not
   delegable to the spectrum lessee(s).

   (i)  The licensee may attribute to itself the build-out or performance
   activities of its spectrum lessee(s) for purposes of complying with any
   applicable performance or build-out requirement.

   (ii) If a licensee relies on the activities of a spectrum lessee to meet the
   licensee's performance or build-out obligation, and the spectrum lessee
   fails  to  engage in those activities, the Commission will enforce the
   applicable performance or build-out requirements against the licensee,
   consistent with the applicable rules.

   (iii)  If  there  are  rules  applicable to the license concerning the
   discontinuance  of operation, the licensee is accountable for any such
   discontinuance  and  the  rules  will be enforced against the licensee
   regardless of whether the licensee was relying on the activities of a lessee
   to meet particular performance requirements.

   (6) Regulatory classification. If the regulatory status of the licensee (
   e.g. , common carrier or non-common carrier status) is prescribed by rule,
   the regulatory status of the spectrum lessee is prescribed in the same
   manner, except that §20.9(a) of this chapter shall not preclude a licensee
   in the services covered by that rule from entering into a spectrum leasing
   arrangement with a spectrum lessee that chooses to operate on a Private
   Mobile Radio Service (PMRS), private, or non-commercial basis.

   (7) Regulatory fees. The licensee remains responsible for payment of the
   required regulatory fees that must be paid in advance of its license term (
   see  §1.1152).  Where, however, regulatory fees are paid annually on a
   per-unit basis (such as for Commercial Mobile Radio Services (CMRS) pursuant
   to §1.1152), the licensee and spectrum lessee are each required to pay fees
   for those units associated with its respective operations.

   (8) E911 requirements. If E911 obligations apply to the licensee ( see
   §20.18 of this chapter), the licensee retains the obligations with respect
   to leased spectrum.

   (e)  Notifications  regarding spectrum manager leasing arrangements. A
   licensee that seeks to enter into a spectrum manager leasing arrangement
   must notify the Commission of the arrangement in advance of the spectrum
   lessee's commencement of operations. The spectrum manager lease notification
   will be processed pursuant either to the general notification procedures or
   the immediate processing procedures, as set forth herein. The licensee must
   submit the notification to the Commission by electronic filing using the
   Universal Licensing System (ULS) and FCC Form 608, except that a licensee
   falling within the provisions of §1.913(d) may file the notification either
   electronically or manually.

   (1) General notification procedures. Notifications of spectrum manager
   leasing arrangements will be processed pursuant the general notification
   procedures set forth in this paragraph unless they are submitted and qualify
   for the immediate processing procedures set forth in paragraph (e)(2) of
   this section.

   (i)  To  be  accepted under these general notification procedures, the
   notification must be sufficiently complete and contain all information and
   certifications requested on the applicable form, FCC Form 608, including any
   information and certifications (including those of the spectrum lessee
   relating  to eligibility, basic qualifications, and foreign ownership)
   required  by the rules in this chapter and any rules pertaining to the
   specific service for which the notification is filed. No application fees
   are required for the filing of a spectrum manager leasing notification.

   (ii) The licensee must submit such notification at least 21 days in advance
   of commencing operations unless the arrangement is for a term of one year or
   less, in which case the licensee must provide notification to the Commission
   at least ten (10) days in advance of operation. If the licensee and spectrum
   lessee thereafter seek to extend this leasing arrangement for an additional
   term beyond the initial term, the licensee must provide the Commission with
   notification of the new spectrum leasing arrangement at least 21 days in
   advance of operation under the extended term.

   (iii) A notification filed pursuant to these general notification procedures
   will be placed on an informational public notice on a weekly basis ( see
   §1.933(a))  once  accepted,  and  is  subject to reconsideration ( see
   §§1.106(f), 1.108, 1.113).

   (2)  Immediate  processing  procedures.  Notifications  that  meet the
   requirements  of  paragraph  (e)(2)(i) of this section qualify for the
   immediate processing procedures.

   (i) To qualify for these immediate processing procedures, the notification
   must be sufficiently complete and contain all necessary information and
   certifications   (including   those  relating  to  eligibility,  basic
   qualifications, and foreign ownership) required for notifications processed
   under the general notification procedures set forth in paragraph (e)(1)(i)
   of this section, and also must establish, through certifications, that the
   following additional qualifications are met:

   (A) The license does not involve spectrum licensed in a Wireless Radio
   Service that may be used to provide interconnected mobile voice and/or data
   services under the applicable service rules and that would, if the spectrum
   leasing arrangement were consummated, create a geographic overlap with
   spectrum in any licensed Wireless Service (including the same service) in
   which  the proposed spectrum lessee already holds a direct or indirect
   interest of 10% or more ( see §1.2112), either as a licensee or a spectrum
   lessee,  and  that  could  be  used  by the spectrum lessee to provide
   interconnected mobile voice and/or data services;

   (B) The licensee is not a designated entity or entrepreneur subject to
   unjust enrichment requirements and/or transfer restrictions under applicable
   Commission rules ( see §§1.2110 and 1.2111, and §§24.709, 24.714, and 24.839
   of this chapter); and,

   (C)  The spectrum leasing arrangement does not require a waiver of, or
   declaratory ruling pertaining to, any applicable Commission rules.

   (ii) Provided that the notification establishes that the proposed spectrum
   manager leasing arrangement meets all of the requisite elements to qualify
   for  these  immediate processing procedures, ULS will reflect that the
   notification  has been accepted. If a qualifying notification is filed
   electronically, the acceptance will be reflected in ULS on the next business
   day after filing of the notification; if filed manually, the acceptance will
   be reflected in ULS on the next business day after the necessary data from
   the manually filed notification is entered into ULS. Once the notification
   has been accepted, as reflected in ULS, the spectrum lessee may commence
   operations under the spectrum leasing arrangement, consistent with the term
   of the arrangement.

   (iii) A notification filed pursuant to these immediate processing procedures
   will be placed on an informational public notice on a weekly basis ( see
   §1.933(a))  once  accepted,  and  is  subject to reconsideration ( see
   §§1.106(f), 1.108, 1.113).

   (f) Effective date of a spectrum manager leasing arrangement. The spectrum
   manager leasing arrangement will be deemed effective in the Commission's
   records, and for purposes of the application of the rules set forth in this
   section, as of the beginning date of the term as specified in the spectrum
   leasing notification.

   (g) Commission termination of a spectrum manager leasing arrangement. The
   Commission retains the right to investigate and terminate any spectrum
   manager leasing arrangement if it determines, post-notification, that the
   arrangement constitutes an unauthorized transfer of de facto control of the
   leased spectrum, is otherwise in violation of the rules in this chapter, or
   raises foreign ownership, competitive, or other public interest concerns.
   Information concerning any such termination will be placed on public notice.

   (h) Expiration, extension, or termination of a spectrum leasing arrangement.
   (1) Absent Commission termination or except as provided in paragraph (h)(2)
   or (h)(3) of this section, a spectrum leasing arrangement entered into
   pursuant to this section will expire on the termination date set forth in
   the spectrum leasing notification.

   (2) A spectrum leasing arrangement may be extended beyond the initial term
   set forth in the spectrum leasing notification provided that the licensee
   notifies the Commission of the extension in advance of operation under the
   extended term and does so pursuant to the general notification procedures or
   immediate processing procedures set forth in this section, whichever is
   applicable. If the general notification procedures are applicable, the
   licensee must notify the Commission at least 21 days in advance of operation
   under the extended term.

   (3)  If  a spectrum leasing arrangement is terminated earlier than the
   termination date set forth in the notification, either by the licensee or by
   the parties' mutual agreement, the licensee must file a notification with
   the Commission, no later than ten (10) days after the early termination,
   indicating the date of the termination. If the parties fail to put the
   spectrum leasing arrangement into effect, they must so notify the Commission
   consistent with the provisions of this section.

   (4) The Commission will place information concerning an extension or an
   early termination of a spectrum leasing arrangement on public notice.

   (i) Assignment of a spectrum leasing arrangement. The spectrum lessee may
   assign its spectrum leasing arrangement to another entity provided that the
   licensee has agreed to such an assignment, is in privity with the assignee,
   and notifies the Commission before the consummation of the assignment,
   pursuant  to  the applicable notification procedures set forth in this
   section. In the case of a non-substantial ( pro forma ) assignment that
   falls within the class of pro forma transactions for which prior Commission
   approval would not be required under §1.948(c)(1), the licensee must file
   notification of the assignment with the Commission, using FCC Form 608 and
   providing any necessary updates of ownership information, within 30 days of
   its  completion.  The Commission will place information related to the
   assignment, whether substantial or pro forma, on public notice.

   (j) Transfer of control of a spectrum lessee. The licensee must notify the
   Commission  of any transfer of control of a spectrum lessee before the
   consummation  of  the  transfer of control, pursuant to the applicable
   notification procedures of this section. In the case of a non-substantial (
   pro forma ) transfer of control that falls within the class of pro forma
   transactions for which prior Commission approval would not be required under
   §1.948(c)(1), the licensee must file notification of the transfer of control
   with the Commission, using FCC Form 608 and providing any necessary updates
   of ownership information, within 30 days of its completion. The Commission
   will  place  information  related  to the transfer of control, whether
   substantial or pro forma, on public notice.

   (k) Revocation or automatic cancellation of a license or a spectrum lessee's
   operating authority. (1) In the event an authorization held by a licensee
   that  has  entered  into  a spectrum leasing arrangement is revoked or
   cancelled, the spectrum lessee will be required to terminate its operations
   no later than the date on which the licensee ceases to have any authority to
   operate under the license, except as provided in paragraph (j)(2) of this
   section.

   (2) In the event of a license revocation or cancellation, the Commission
   will  consider  a request by the spectrum lessee for special temporary
   authority ( see §1.931) to provide the spectrum lessee with an opportunity
   to transition its users in order to minimize service disruption to business
   and other activities.

   (3) In the event of a license revocation or cancellation, and the required
   termination of the spectrum lessee's operations, the former spectrum lessee
   does not, as a result of its former status, receive any preference over any
   other  party  should the spectrum lessee seek to obtain the revoked or
   cancelled license.

   (l) Subleasing. A spectrum lessee may sublease the leased spectrum usage
   rights subject to the licensee's consent and the licensee's establishment of
   privity with the spectrum sublessee. The licensee must submit a notification
   regarding  the  spectrum subleasing arrangement in accordance with the
   applicable notification procedures set forth in this section.

   (m) Renewal. Although the term of a spectrum manager leasing arrangement may
   not be longer than the term of a license authorization, a licensee and
   spectrum lessee that have entered into an arrangement whose term continues
   to the end of the current term of the license authorization may, contingent
   on the Commission's grant of the license renewal, renew the spectrum leasing
   arrangement to extend into the term of the renewed license authorization.
   The Commission must be notified of the renewal of the spectrum leasing
   arrangement at the same time that the licensee submits its application for
   license renewal ( see §1.949). The spectrum lessee may operate under the
   extended term, without further action by the Commission, until such time as
   the Commission shall make a final determination with respect to the renewal
   of the license authorization and the extension of the spectrum leasing
   arrangement into the term of the renewed license authorization.

   [ 68 FR 66277 , Nov. 25, 2003, as amended at  69 FR 72027 , Dec. 10, 2004;  69 FR 77551 , Dec. 27, 2004]

   Effective Date Note:   At  69 FR 77551 , Dec. 27, 2004, §1.9020(e)(2) was
   revised. This paragraph contains information collection and recordkeeping
   requirements and will not become effective until approval has been given by
   the Office of Management and Budget.

§ 1.9030   Long-term de facto transfer leasing arrangements.

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   (a) Overview. Under the provisions of this section, a licensee (in any of
   the included services) and a spectrum lessee may enter into a long-term de
   facto transfer leasing arrangement in which the licensee retains de jure
   control of the license while de facto control of the leased spectrum is
   transferred to the spectrum lessee for the duration of the spectrum leasing
   arrangement, subject to prior Commission consent pursuant to the application
   procedures  set forth in this section. A “long-term” de facto transfer
   leasing arrangement has an individual term, or series of combined terms, of
   more  than one year. The term of a long-term de facto transfer leasing
   arrangement may be no longer than the term of the license authorization.

   (b) Rights and responsibilities of the licensee. (1) Except as provided in
   paragraph (b)(2) of this section, the licensee is relieved of primary and
   direct responsibility for ensuring that the spectrum lessee's operations
   comply with the Communications Act and Commission policies and rules.

   (2) The licensee is responsible for its own violations, including those
   related to its spectrum leasing arrangement with the spectrum lessee, and
   for  ongoing violations or other egregious behavior on the part of the
   spectrum  lessee about which the licensee has knowledge or should have
   knowledge.

   (3) The licensee must retain a copy of the spectrum leasing agreement and
   make it available upon request by the Commission.

   (c) Rights and responsibilities of the spectrum lessee. (1) The spectrum
   lessee assumes primary responsibility for complying with the Communications
   Act and applicable Commission policies and rules.

   (2) The spectrum lessee is granted an instrument of authorization pertaining
   to the de facto transfer leasing arrangement that brings it within the scope
   of the Commission's direct forfeiture provisions under section 503(b) of the
   Communications Act.

   (3) The spectrum lessee is responsible for interacting with the Commission
   regarding the leased spectrum and for making all related filings ( e.g., all
   applications and notifications, submissions of any materials required to
   support  a  required Environmental Assessment, any reports required by
   Commission rules and applicable to the lessee, information necessary to
   facilitate international or Interdepartment Radio Advisory Committee (IRAC)
   coordination).

   (4) The spectrum lessee is required to maintain accurate information on file
   pursuant to Commission rules ( see §1.65 of subpart A of this part).

   (5) The spectrum lessee must retain a copy of the spectrum leasing agreement
   and make it available upon request by the Commission.

   (d)  Applicability  of  particular service rules and policies. Under a
   long-term de facto transfer leasing arrangement, the service rules and
   policies apply in the following manner to the licensee and spectrum lessee:

   (1) Interference-related rules. The interference and radiofrequency (RF)
   safety  rules  applicable  to use of the spectrum by the licensee as a
   condition of its license authorization also apply to the use of the spectrum
   leased by the spectrum lessee.

   (2) General eligibility rules. (i) The spectrum lessee must meet the same
   eligibility  and qualification requirements that are applicable to the
   licensee under its license authorization. A spectrum lessee entering into a
   spectrum  leasing  arrangement involving a licensee in the Educational
   Broadband Service ( see §27.1201 of this chapter) is not required to comply
   with the eligibility requirements pertaining to such a licensee so long as
   the  spectrum  lessee  meets  the  other eligibility and qualification
   requirements applicable to part 27 services ( see §27.12 of this chapter). A
   spectrum lessee entering into a spectrum leasing arrangement involving a
   licensee in the Public Safety Radio Services ( see part 90, subpart B and
   §90.311(a)(1)(i)  of  this chapter) is not required to comply with the
   eligibility  requirements pertaining to such a licensee so long as the
   spectrum lessee is an entity providing communications in support of public
   safety operations ( see §90.523(b) of this chapter).

   (ii) The spectrum lessee must meet applicable foreign ownership eligibility
   requirements (see sections 310(a), 310(b) of the Communications Act).

   (iii) The spectrum lessee must satisfy any qualification requirements,
   including character qualifications, applicable to the licensee under its
   license authorization.

   (iv) The spectrum lessee must not be a person subject to denial of Federal
   benefits under the Anti-Drug Abuse Act of 1988 ( see §1.2001 et seq. of
   subpart P of this part).

   (3) Use restrictions. To the extent that the licensee is restricted from
   using the licensed spectrum to offer particular services under its license
   authorization, the use restrictions apply to the spectrum lessee as well.

   (4)  Designated entity/entrepreneur rules. (i) A licensee that holds a
   license pursuant to small business and/or entrepreneur provisions ( see
   §1.2110 and §24.709 of this chapter) and continues to be subject to unjust
   enrichment requirements ( see §1.2111 and §24.714 of this chapter) and/or
   transfer  restrictions ( see §24.839 of this chapter) may enter into a
   long-term de facto transfer leasing arrangement with any entity under the
   streamlined processing procedures described in this section, subject to any
   applicable  unjust  enrichment  payment  obligations  and/or  transfer
   restrictions ( see §1.2111 and §24.839 of this chapter).

   (ii) A licensee holding a license won in closed bidding ( see §24.709 of
   this chapter) may, during the first five years of the license term, enter
   into a spectrum leasing arrangement with an entity not eligible to hold such
   a license pursuant to the requirements of §24.709(a) of this chapter so long
   as  it  has met its five-year construction requirement ( see §§24.203,
   24.839(a)(6) of this chapter).

   (iii) The amount of any unjust enrichment payment will be determined by the
   Commission as part of its review of the application under the same rules
   that apply in the context of a license assignment or transfer of control (
   see  §1.2111  and  §24.714  of  this chapter). If the spectrum leasing
   arrangement  involves only part of the license area and/or part of the
   bandwidth covered by the license, the unjust enrichment obligation will be
   apportioned  as  though  the  license  were  being  partitioned and/or
   disaggregated ( see §1.2111(e) and §24.714(c) of this chapter). A licensee
   will receive no reduction in its unjust enrichment payment obligation for a
   spectrum leasing arrangement that ends prior to the end of the fifth year of
   the license term.

   (iv) A licensee that participates in the Commission's installment payment
   program  ( see §1.2110(g) may enter into a long-term de facto transfer
   leasing  arrangement  without triggering unjust enrichment obligations
   provided  that the lessee would qualify for as favorable a category of
   installment payments. A licensee using installment payment financing that
   seeks to lease to an entity not meeting the eligibility standards for as
   favorable a category of installment payments must make full payment of the
   remaining unpaid principal and any unpaid interest accrued through the
   effective date of the spectrum leasing arrangement ( see §1.2111(c)). This
   requirement applies regardless of whether the licensee is leasing all or a
   portion of its bandwidth and/or license area.

   (5) Construction/performance requirements. Any performance or build-out
   requirement applicable under a license authorization ( e.g. , a requirement
   that the licensee construct and operate one or more specific facilities,
   cover a certain percentage of geographic area, cover a certain percentage of
   population, or provide substantial service) always remains a condition of
   the license, and the legal responsibility for meeting such obligation is not
   delegable to the spectrum lessee(s).

   (i)  The licensee may attribute to itself the build-out or performance
   activities of its spectrum lessee(s) for purposes of complying with any
   applicable build-out or performance requirement.

   (ii) If a licensee relies on the activities of a spectrum lessee to meet the
   licensee's performance or build-out obligation, and the spectrum lessee
   fails  to  engage in those activities, the Commission will enforce the
   applicable performance or build-out requirements against the licensee,
   consistent with the applicable rules.

   (iii)  If  there  are  rules  applicable to the license concerning the
   discontinuance  of operation, the licensee is accountable for any such
   discontinuance  and  the  rules  will be enforced against the licensee
   regardless of whether the licensee was relying on the activities of a lessee
   to meet particular performance requirements.

   (6) Regulatory classification. If the regulatory status of the licensee (
   e.g. , common carrier or non-common carrier status) is prescribed by rule,
   the regulatory status of the spectrum lessee is prescribed in the same
   manner, except that §20.9(a) of this chapter shall not preclude a licensee
   in the services covered by that rule from entering into a spectrum leasing
   arrangement  with a spectrum lessee that chooses to operate on a PMRS,
   private, or non-commercial basis.

   (7) Regulatory fees. The licensee remains responsible for payment of the
   required regulatory fees that must be paid in advance of its license term (
   see  §1.1152).  Where, however, regulatory fees are paid annually on a
   per-unit basis (such as for CMRS services pursuant to §1.1152), the licensee
   and spectrum lessee each are required to pay fees for those units associated
   with its respective operations.

   (8) E911 requirements. To the extent the licensee is required to meet E911
   obligations ( see §20.18 of this chapter), the spectrum lessee is required
   to meet those obligations with respect to the spectrum leased under the
   spectrum leasing arrangement insofar as the spectrum lessee's operations are
   encompassed within the E911 obligations.

   (e) Applications for long-term de facto transfer leasing arrangements.
   Applications for long-term de facto transfer leasing arrangements will be
   processed  either  pursuant  to the general approval procedures or the
   immediate approval procedures, as discussed herein. Spectrum leasing parties
   must submit the application by electronic filing using ULS and FCC Form 608,
   and obtain Commission consent prior to consummating the transfer of de facto
   control of the leased spectrum, except that parties falling within the
   provisions of §1.913(d) may file the application either electronically or
   manually.

   (1)  General  approval procedures. Applications for long-term de facto
   transfer leasing arrangements will be processed pursuant to the general
   approval procedures set forth in this paragraph unless they are submitted
   and qualify for the immediate approval procedures set forth in paragraph
   (e)(2) of this section.

   (i) To be accepted for filing under these general approval procedures, the
   application must be sufficiently complete and contain all information and
   certifications requested on the applicable form, FCC Form 608, including any
   information and certifications (including those of the spectrum lessee
   relating  to eligibility, basic qualifications, and foreign ownership)
   required  by the rules in this chapter and any rules pertaining to the
   specific  service for which the application is filed. In addition, the
   spectrum  leasing  application  must  include  payment of the required
   application fee(s); for purposes of determining the applicable application
   fee(s), the application will be treated as a transfer of control ( see
   §1.1102).

   (ii) Once accepted for filing, the application will be placed on public
   notice, except no prior public notice will be required for applications
   involving authorizations in the Private Wireless Services, as specified in
   §1.933(d)(9).

   (iii) Petitions to deny filed in accordance with section 309(d) of the
   Communications Act must comply with the provisions of §1.939, except that
   such petitions must be filed no later than 14 days following the date of the
   public notice listing the application as accepted for filing.

   (iv) No later than 21 days following the date of the public notice listing
   an application as accepted for filing, the Wireless Telecommunications
   Bureau (Bureau) will affirmatively consent to the application, deny the
   application, or determine to subject the application to further review. For
   applications for which no prior public notice is required, the Bureau will
   affirmatively consent to the application, deny the application, or determine
   to subject the application to further review no later than 21 days following
   the  date  on  which  the  application has been filed and any required
   application fee has been paid ( see §1.1102).

   (v) If the Bureau determines to subject the application to further review,
   it will issue a public notice so indicating. Within 90 days following the
   date of that public notice, the Bureau will either take action upon the
   application or provide public notice that an additional 90-day period for
   review is needed.

   (vi) Consent to the application is not deemed granted until the Bureau
   affirmatively acts upon the application.

   (vii) Grant of consent to the application will be reflected in a public
   notice ( see §1.933(a)) promptly issued after the grant, and is subject to
   reconsideration ( see §§1.106(f), 1.108, 1.113).

   (viii)  If  any  petition  to deny is filed, and the Bureau grants the
   application,  the Bureau will deny the petition(s) and issue a concise
   statement of the reason(s) for denial, disposing of all substantive issues
   raised in the petition(s).

   (2) Immediate approval procedures. Applications that meet the requirements
   of paragraph (e)(2)(i) of this section qualify for the immediate approval
   procedures.

   (i) To qualify for the immediate approval procedures, the application must
   be  sufficiently  complete,  contain  all  necessary  information  and
   certifications   (including   those  relating  to  eligibility,  basic
   qualifications, and foreign ownership), and include payment of the requisite
   application fee(s), as required for an application processed under the
   general  approval  procedures set forth in paragraph (e)(1)(i) of this
   section, and also must establish, through certifications, that the following
   additional qualifications are met:

   (A) The license does not involve spectrum licensed in a Wireless Radio
   Service that may be used to provide interconnected mobile voice and/or data
   services under the applicable service rules and that would, if the spectrum
   leasing arrangement were consummated, create a geographic overlap with
   spectrum in any licensed Wireless Service (including the same service) in
   which  the proposed spectrum lessee already holds a direct or indirect
   interest of 10% or more ( see §1.2112), either as a licensee or a spectrum
   lessee,  and  that  could  be  used  by the spectrum lessee to provide
   interconnected mobile voice and/or data services;

   (B) The licensee is not a designated entity or entrepreneur subject to
   unjust enrichment requirements and/or transfer restrictions under applicable
   Commission rules ( see §§1.2110 and 1.2111, and §§24.709, 24.714, and 24.839
   of this chapter); and,

   (C)  The spectrum leasing arrangement does not require a waiver of, or
   declaratory ruling pertaining to, any applicable Commission rules.

   (ii) Provided that the application establishes that it meets all of the
   requisite elements to qualify for these immediate approval procedures,
   consent  to the de facto transfer spectrum leasing arrangement will be
   reflected in ULS. If the application is filed electronically, consent will
   be  reflected  in  ULS  on  the  next business day after filing of the
   application; if filed manually, consent will be reflected in ULS on the next
   business day after the necessary data from the manually filed application is
   entered into ULS. Consent to the application is not deemed granted until the
   Bureau affirmatively acts upon the application, as reflected in ULS.

   (iii) Grant of consent to the application under these immediate approval
   procedures will be reflected in a public notice ( see §1.933(a)) promptly
   issued after grant, and is subject to reconsideration ( see §§1.106(f),
   1.108, 1.113).

   (f)  Effective date of a de facto transfer leasing arrangement. If the
   Commission consents to the de facto transfer leasing arrangement, the de
   facto  transfer  leasing  arrangement  will be deemed effective in the
   Commission's records, and for purposes of the application of the rules set
   forth in this section, on the date set forth in the application. If the
   Commission  consents to the arrangement after that specified date, the
   spectrum  leasing application will become effective on the date of the
   Commission affirmative consent.

   (g) Expiration, extension, or termination of spectrum leasing arrangement.
   (1) Except as provided in paragraph (g)(2) or (g)(3) of this section, a
   spectrum leasing arrangement entered into pursuant to this section will
   expire  on  the  termination  date  set  forth in the application. The
   Commission's consent to the de facto transfer leasing application includes
   consent to return the leased spectrum to the licensee at the end of the term
   of the spectrum leasing arrangement.

   (2) A spectrum leasing arrangement may be extended beyond the initial term
   set forth in the spectrum leasing application pursuant to the applicable
   application procedures set forth in §1.9030(e). Where there is pending
   before the Commission at the date of termination of the spectrum leasing
   arrangement  a  proper  and  timely  application seeking to extend the
   arrangement, the parties may continue to operate under the original spectrum
   leasing arrangement without further action by the Commission until such time
   as the Commission shall make a final determination with respect to the
   application.

   (3)  If  a spectrum leasing arrangement is terminated earlier than the
   termination date set forth in the notification, either by the licensee or by
   the parties' mutual agreement, the licensee must file a notification with
   the Commission, no later than ten (10) days after the early termination,
   indicating the date of the termination. If the parties fail to put the
   spectrum leasing arrangement into effect, they must so notify the Commission
   consistent with the provisions of this section.

   (4) The Commission will place information concerning an extension or an
   early termination of a spectrum leasing arrangement on public notice.

   (h) Assignment of spectrum leasing arrangement. The spectrum lessee may
   assign its lease to another entity provided that the licensee has agreed to
   such an assignment, there is privity between the licensee and the assignee,
   and  the assignment is approved by the Commission pursuant to the same
   application and approval procedures set forth in this section. In the case
   of a non-substantial ( pro forma ) assignment that falls within the class of
   pro forma transactions for which prior Commission approval would not be
   required under §1.948(c)(1), the parties involved in the assignment must
   file notification of the assignment with the Commission, using FCC Form 608
   and providing any necessary updates of ownership information, within 30 days
   of its completion. The Commission will place information related to the
   assignment, whether substantial or pro forma , on public notice.

   (i) Transfer of control of a spectrum lessee. A spectrum lessee seeking the
   transfer  of  control  must  obtain  Commission consent using the same
   application and Commission consent procedures set forth in this section. In
   the case of a non-substantial ( pro forma ) transfer of control that falls
   within  the class of pro forma transactions for which prior Commission
   approval would not be required under §1.948(c)(1), the parties involved in
   the transfer of control must file notification of the transfer of control
   with the Commission, using FCC Form 608 and providing any necessary updates
   of ownership information, within 30 days of its completion. The Commission
   will  place  information  related  to the transfer of control, whether
   substantial or pro forma, on public notice.

   (j)  Revocation or automatic cancellation of a license or the spectrum
   lessee's operating authority. (1) In the event an authorization held by a
   licensee that has entered into a spectrum leasing arrangement is revoked or
   cancelled, the spectrum lessee will be required to terminate its operations
   no later than the date on which the licensee ceases to have authority to
   operate under the license, except as provided in paragraph (i)(2) of this
   section.

   (2) In the event of a license revocation or cancellation, the Commission
   will  consider  a request by the spectrum lessee for special temporary
   authority ( see §1.931) to provide the spectrum lessee with an opportunity
   to transition its users in order to minimize service disruption to business
   and other activities.

   (3) In the event of a license revocation or cancellation, and the required
   termination of the spectrum lessee's operations, the former spectrum lessee
   does not, as a result of its former status, receive any preference over any
   other  party  should the spectrum lessee seek to obtain the revoked or
   cancelled license.

   (k) Subleasing. A spectrum lessee may sublease spectrum usage rights subject
   to the following conditions. Parties entering into a spectrum subleasing
   arrangement are required to comply with the Commission's rules for obtaining
   approval for spectrum leasing arrangements provided in this subpart and are
   governed by those same policies. The application filed by parties to a
   spectrum  subleasing arrangement must include written consent from the
   licensee to the proposed arrangement. Once a spectrum subleasing arrangement
   has  been  approved by the Commission, the sublessee becomes the party
   primarily responsible for compliance with Commission rules and policies.

   (l) Renewal. Although the term of a long-term de facto transfer spectrum
   leasing  arrangement  may  not  be  longer  than the term of a license
   authorization, a licensee and spectrum lessee that have entered into an
   arrangement whose term continues to the end of the current term of the
   license authorization may, contingent on the Commission's grant of the
   license renewal, extend the spectrum leasing arrangement into the term of
   the renewed license authorization. The Commission must be notified of the
   renewal  of the spectrum leasing arrangement at the same time that the
   licensee submits its application for license renewal ( see §1.949). The
   spectrum lessee may operate under the extended term, without further action
   by the Commission, until such time as the Commission shall make a final
   determination with respect to the renewal of the license authorization and
   the extension of the spectrum leasing arrangement into the term of the
   renewed license authorization.

   [ 68 FR 66277 , Nov. 25, 2003, as amended at  69 FR 72027 , Dec. 10, 2004;  69 FR 77554 , Dec. 27, 2004]

   Effective  Date  Note:   At  69 FR 77554 , Dec. 27, 2004, §1.9030(e) was
   revised. This paragraph contains information collection and recordkeeping
   requirements and will not become effective until approval has been given by
   the Office of Management and Budget.

§ 1.9035   Short-term de facto transfer leasing arrangements.

   top

   (a) Overview. Under the provisions of this section, a licensee (in any of
   the included services) and a spectrum lessee may enter into a short-term de
   facto transfer leasing arrangement in which the licensee retains de jure
   control of the license while de facto control of the leased spectrum is
   transferred to the spectrum lessee for the duration of the spectrum leasing
   arrangement, subject to prior Commission consent pursuant to the application
   procedures set forth in this section. A “short-term” de facto transfer
   leasing arrangement has an individual or combined term of not longer than
   one year. The term of a short-term de facto transfer leasing arrangement may
   be no longer than the term of the license authorization.

   (b) Rights and responsibilities of licensee. The rights and responsibilities
   applicable to a licensee that enters into a short-term de facto transfer
   leasing arrangement are the same as those applicable to a licensee that
   enters into a long-term de facto transfer leasing arrangement, as set forth
   in §1.9030(b).

   (c)  Rights  and  responsibilities  of spectrum lessee. The rights and
   responsibilities  applicable  to  a spectrum lessee that enters into a
   short-term de facto transfer leasing arrangement are the same as those
   applicable  to a spectrum lessee that enters into a long-term de facto
   transfer leasing arrangement, as set forth in §1.9030(c).

   (d)  Applicability  of  particular service rules and policies. Under a
   short-term de facto leasing arrangement, the service rules and policies
   apply  to the licensee and spectrum lessee in the same manner as under
   long-term de facto transfer leasing arrangements ( see §1.9030(d)), except
   as provided herein:

   (1)  Use  restrictions and regulatory classification. Use restrictions
   applicable to the licensee also apply to the spectrum lessee except that
   §20.9(a) of this chapter shall not preclude a licensee in the services
   covered by that rule from entering into a spectrum leasing arrangement with
   a  spectrum  lessee  that  chooses  to  operate on a PMRS, private, or
   non-commercial basis, and except that a licensee with an authorization that
   restricts use of spectrum to non-commercial uses may enter into a short-term
   de facto transfer leasing arrangement that allows the spectrum lessee to use
   the spectrum commercially.

   (2) Designated entity/entrepreneur rules. Unjust enrichment provisions ( see
   §1.2111) and transfer restrictions ( see §24.839 of this chapter) do not
   apply with regard to a short-term de facto transfer leasing arrangement.

   (3) Construction/performance requirements. The licensee is not permitted to
   attribute to itself the activities of its spectrum lessee when seeking to
   establish that performance or build-out requirements applicable to the
   licensee have been met.

   (4) E911 requirements. If E911 obligations apply to the licensee (see §20.18
   of this chapter), the licensee retains the obligations with respect to
   leased spectrum. A spectrum lessee entering into a short-term de facto
   transfer leasing arrangement is not separately required to comply with any
   such obligations in relation to the leased spectrum.

   (e) Spectrum leasing application. Short-term de facto transfer leasing
   arrangements will be processed pursuant to immediate approval procedures, as
   discussed herein. Parties entering into a short-term de facto transfer
   leasing arrangement are required to file an electronic application with the
   Commission, using FCC Form 608, and obtain Commission consent prior to
   consummating the transfer of de facto control of the leased spectrum, except
   that  parties  falling within the provisions of §1.913(d) may file the
   application either electronically or manually.

   (1) To be accepted for filing under these immediate approval procedures, the
   application must be sufficiently complete and contain all information and
   certifications requested on the applicable form, FCC Form 608, including any
   information and certifications (including those relating to the spectrum
   lessee relating to eligibility, basic qualifications, and foreign ownership)
   required  by the rules of this chapter and any rules pertaining to the
   specific service for which the application is required. In addition, the
   application  must include payment of the required application fee; for
   purposes of determining the applicable application fee, the application will
   be treated as a transfer of control ( see §1.1102). Finally, the spectrum
   leasing arrangement must not require a waiver of, or declaratory ruling,
   pertaining to any applicable Commission rules.

   (2) Provided that the application establishes that it meets all of the
   requisite elements to qualify for these immediate approval procedures,
   consent to the short-term de facto transfer spectrum leasing arrangement
   will  be reflected in ULS. If the application is filed electronically,
   consent will be reflected in ULS on the next business day after filing of
   the application; if filed manually, consent will be reflected in ULS on the
   next  business  day  after  the necessary data from the manually filed
   application is entered into ULS. Consent to the application is not deemed
   granted  until  the Bureau affirmatively acts upon the application, as
   reflected in ULS.

   (3) Grant of consent to the application under these procedures will be
   reflected in a public notice ( see §1.933(a)) promptly issued after grant,
   and is subject to reconsideration ( see §§1.106(f), 1.108, 1.113).

   (f) Effective date of spectrum leasing arrangement. The spectrum leasing
   arrangement will be deemed effective in the Commission's records, and for
   purposes of the application of the rules set forth in this section, on the
   date  set  forth in the application. If the Commission consents to the
   arrangement after that specified date, the spectrum leasing application will
   become effective on the date of the Commission affirmative consent.

   (g)  Restrictions  on  the use of short-term de facto transfer leasing
   arrangements. (1) The licensee and spectrum lessee are not permitted to use
   the special rules and expedited procedures applicable to short-term de facto
   transfer leasing arrangements for arrangements that in fact will exceed one
   year, or that the parties reasonably expect to exceed one year.

   (2) The licensee and spectrum lessee must submit, in sufficient time prior
   to the expiration of the short-term de facto transfer spectrum leasing
   arrangement, the appropriate application under the rules and procedures
   applicable to long-term de facto leasing arrangements, and obtain Commission
   consent pursuant to those procedures.

   (h)  Expiration,  extension,  or  termination  of the spectrum leasing
   arrangement. (1) Except as provided in paragraph (h)(2) or (h)(3) of this
   section,  a spectrum leasing arrangement entered into pursuant to this
   section will expire on the termination date set forth in the short-term de
   facto  transfer  leasing arrangement. The Commission's approval of the
   short-term de facto transfer leasing application includes consent to return
   the leased spectrum to the licensee at the end of the term of the spectrum
   leasing arrangement.

   (2)  Upon  proper  application ( see paragraph (e) of this section), a
   short-term de facto transfer leasing arrangement may be extended beyond the
   initial term set forth in the application provided that the initial term and
   extension(s) together would not result in a leasing arrangement that exceeds
   a total of one year.

   (3)  If  a spectrum leasing arrangement is terminated earlier than the
   termination date set forth in the notification, either by the licensee or by
   the parties' mutual agreement, the licensee must file a notification with
   the Commission, no later than ten (10) days after the early termination,
   indicating the date of the termination. If the parties fail to put the
   spectrum leasing arrangement into effect, they must so notify the Commission
   consistent with the provisions of this section.

   (i) Conversion of a short-term spectrum leasing arrangement into a long-term
   de facto transfer leasing arrangement. (1) In the event the licensee and
   spectrum  lessee  involved  in  a short-term de facto transfer leasing
   arrangement seek to extend the spectrum leasing arrangement beyond the
   one-year limit for short-term de facto transfer leasing arrangements, the
   parties  may do so provided that they meet the conditions set forth in
   paragraphs (i)(2) and (i)(3) of this section.

   (2) If a licensee that holds a license that continues to be subject to
   transfer restrictions and/or requirements relating to unjust enrichment
   pursuant to the Commission's small business and/or entrepreneur provisions (
   see §1.2110 and §24.709 of this chapter) seeks to extend a short-term de
   facto transfer leasing arrangement with its spectrum lessee (or related
   entities, as determined pursuant to §1.2110(b)(2)) beyond one year, it may
   convert its arrangement into a long-term de facto transfer spectrum leasing
   arrangement provided that it complies with the procedures for entering into
   a long-term de facto transfer leasing arrangement and that it pays any
   unjust  enrichment  that would have been owed had the licensee filed a
   long-term de facto transfer spectrum leasing application at the time it
   applied for the initial short-term de facto transfer leasing arrangement.

   (3)  The  licensee  and spectrum lessee are not permitted to convert a
   short-term de facto transfer leasing arrangement into a long-term de facto
   transfer leasing arrangement if the parties would have been restricted, in
   the first instance, from entering into a long-term de facto transfer leasing
   arrangement because of a transfer, use, or other restriction applicable to
   the particular service ( see §1.9030).

   (j) Assignment of spectrum leasing arrangement. The rule applicable to
   long-term de facto transfer leasing arrangements ( see §1.9030(g)) applies
   in the same manner to short-term de facto transfer leasing arrangements.

   (k) Transfer of control of spectrum lessee. The rule applicable to long-term
   de facto transfer leasing arrangements ( see §1.9030(h)) applies in the same
   manner to short-term de facto transfer leasing arrangements.

   (l)  Revocation or automatic cancellation of a license or the spectrum
   lessee's operating authority. The rule applicable to long-term de facto
   transfer leasing arrangements (see §1.9030(i)) applies in the same manner to
   short-term de facto transfer leasing arrangements.

   (m) Subleasing. A spectrum lessee that has entered into a short-term de
   facto transfer leasing arrangement is not permitted to enter into a spectrum
   subleasing arrangement.

   (n) Renewal. The rule applicable with regard to long-term de facto transfer
   leasing  arrangements  ( see §1.9030(l)) applies in the same manner to
   short-term de facto transfer leasing arrangements, except that the renewal
   of the short-term de facto transfer leasing arrangement to extend into the
   term of the renewed license authorization cannot enable the combined terms
   of the short-term de facto transfer leasing arrangements to exceed one year.
   The Commission must be notified of the renewal of the spectrum leasing
   arrangement at the same time that the licensee submits its application for
   license renewal ( see §1.949).

   [ 68 FR 66277 , Nov. 25, 2003, as amended at  69 FR 77557 , Dec. 27, 2004]

   Effective  Date  Note:   At  69 FR 77557 , Dec. 27, 2004, §1.9035(e) was
   revised. This paragraph contains information collection and recordkeeping
   requirements and will not become effective until approval has been given by
   the Office of Management and Budget.

§ 1.9040   Contractual requirements applicable to spectrum leasing
arrangements.

   top

   (a) Agreements between licensees and spectrum lessees concerning spectrum
   leasing arrangements entered into pursuant to the rules of this subpart must
   contain the following provisions:

   (1) The spectrum lessee must comply at all times with applicable rules set
   forth in this chapter and other applicable law, and the spectrum leasing
   arrangement may be revoked, cancelled, or terminated by the licensee or
   Commission  if the spectrum lessee fails to comply with the applicable
   requirements;

   (2) If the license is revoked, cancelled, terminated, or otherwise ceases to
   be in effect, the spectrum lessee has no continuing authority or right to
   use the leased spectrum unless otherwise authorized by the Commission;

   (3) The spectrum leasing arrangement is not an assignment, sale, or transfer
   of the license itself;

   (4) The spectrum leasing arrangement shall not be assigned to any entity
   that  is  ineligible  or  unqualified to enter into a spectrum leasing
   arrangement under the applicable rules as set forth in this subpart;

   (5) The licensee shall not consent to an assignment of a spectrum leasing
   arrangement unless such assignment complies with applicable Commission rules
   and regulations.

   (b)  Agreements  between  licensees  that hold licenses subject to the
   Commission's installment payment program ( see §1.2110 of subpart Q of this
   part and related service-specific rules) and spectrum lesseeys must contain
   the following additional provisions:

   (1) The express acknowledgement that the license remains subject to the
   Commission's priority lien and security interest in the license and related
   proceeds, consistent with the provisions set forth in §1.9045; and

   (2) The agreement that the spectrum lessee shall not hold itself out to the
   public as the holder of the license and shall not hold itself out as a
   licensee  by  virtue  of  its  having  entered into a spectrum leasing
   arrangement.

§ 1.9045   Requirements for spectrum leasing arrangements entered into by
licensees participating in the installment payment program.

   top

   (a)  If  a  licensee  that holds a license subject to the Commission's
   installment payment program ( see §1.2110 of subpart Q of this part and
   related service-specific rules) enters into a spectrum leasing arrangement
   pursuant to the rules in this subpart, the licensee remains fully and solely
   responsible for the outstanding debt amount owed to the Commission. Nothing
   in a spectrum leasing arrangement, or arising from a spectrum lessee's
   bankruptcy or receivership, can modify the licensee's sole responsibility
   for its obligation to repay its entire debt obligation under the installment
   payment program pursuant to applicable Commission rules and regulations and
   the associated note(s) and security agreement(s).

   (b) If a licensee holds a license subject to the installment payment program
   rules ( see §1.2110 and related service-specific rules), the licensee and
   any  spectrum  lessee  must  execute the Commission-approved financing
   documents. No licensee or potential spectrum lessee may file a spectrum
   leasing notification or application without having first executed such
   Commission-approved financing documentation. In addition, they must certify
   in the spectrum leasing notification or application that they have both
   executed such documentation.

   [ 68 FR 66277 , Nov. 25, 2003, as amended at  69 FR 77558 , Dec. 27, 2004]

§ 1.9047   Special provisions relating to leases of educational broadband
service spectrum.

   top

   Licensees in the Educational Broadcasting Service may enter into spectrum
   leasing arrangements with spectrum lessees only insofar as such arrangements
   comply with the applicable requirements for spectrum leasing arrangements
   involving spectrum in that service as set forth in §27.1214 of this chapter

   [ 69 FR 72027 , Dec. 10, 2004]

§ 1.9048   Special provisions relating to spectrum leasing arrangements
involving licensees in the Public Safety Radio Services.

   top

   Licensees in the Public Safety Radio Services ( see part 90, subpart B and
   §90.311(a)(1)(i)  of  this  chapter)  may  enter into spectrum leasing
   arrangements with other public safety entities eligible for such a license
   authorization as well as with entities providing communications in support
   of public safety operations ( see §90.523(b) of this chapter).

   [ 69 FR 77558 , Dec. 27, 2004]

§ 1.9050   Who may sign spectrum leasing notifications and applications.

   top

   Under  the  rules set forth in this subpart, certain notifications and
   applications to the Commission must be filed by licensees and spectrum
   lessees that enter into spectrum leasing arrangements. In addition, the
   rules require that certain notifications and applications be filed by the
   licensee  and/or the spectrum lessee after they have entered into such
   arrangements. Whether the signature of the licensee, the spectrum lessee, or
   both, is required will depend on the particular notification or application
   involved, and whether the leasing arrangement concerns a spectrum manager
   leasing arrangement or a de facto transfer leasing arrangement.

   (a) Except as provided in paragraph (b) of this section, the notifications,
   applications, amendments, and related statements of fact required by the
   Commission (including certifications) must be signed as follows (either
   electronically or manually, see paragraph (d) of this section):

   (1) By the licensee or spectrum lessee, if an individual;

   (2) By one of the partners if the licensee or lessee is a partnership;

   (3) By an officer, director, or duly authorized employee, if the licensee or
   lessee is a corporation; or

   (4)  By  a  member  who is an officer, if the licensee or lessee is an
   unincorporated association.

   (b) Notifications, applications, amendments, and related statements of fact
   required  by  the Commission may be signed by the licensee or spectrum
   lessee's attorney in case of the licensee's or lessee's physical disability
   or absence from the United States. The attorney shall, when applicable,
   separately set forth the reason why the application is not signed by the
   licensee or lessee. In addition, if any matter is stated on the basis of the
   attorney's  belief  only  (rather  than knowledge), the attorney shall
   separately set forth the reasons for believing that such statements are
   true. Only the original of notifications, applications, amendments, and
   related statements of fact need be signed.

   (c) Notifications, applications, amendments, and related statements of fact
   need  not be signed under oath. Willful false statements made therein,
   however, are punishable by fine and imprisonment ( see 18 U.S.C. section
   1001), and by appropriate administrative sanctions, including revocation of
   license pursuant to section 312(a)(1) of the Communications Act of 1934 or
   revocation of the spectrum leasing arrangement.

   (d)  “Signed,”  as  used  in  this  section, means, for manually filed
   notifications and applications only, an original hand-written signature or,
   for electronically filed notifications and applications only, an electronic
   signature. An electronic signature shall consist of the name of the licensee
   or spectrum lessee transmitted electronically via ULS and entered on the
   application as a signature.

§ 1.9055   Assignment of file numbers to spectrum leasing notifications and
applications.

   top

   Spectrum leasing notifications or applications submitted pursuant to the
   rules of this subpart are assigned file numbers and service codes in order
   to facilitate processing in the manner in which applications in subpart F
   are assigned file numbers ( see §1.926 of subpart F of this part).

§ 1.9060   Amendments, waivers, and dismissals affecting spectrum leasing
notifications and applications.

   top

   (a) Notifications and applications regarding spectrum leasing arrangements
   may be amended in accordance with the policies, procedures, and standards
   applicable to applications as set forth in subpart F of this part ( see
   §§1.927 and 1.929 of subpart F of this part).

   (b) The Commission may waive specific requirements of the rules affecting
   spectrum leasing arrangements and the use of leased spectrum, on its own
   motion or upon request, in accordance with the policies, procedures, and
   standards set forth in subpart F of this part ( see §1.925 of subpart F of
   this part).

   (c)  Notifications and pending applications regarding spectrum leasing
   arrangements may be dismissed in accordance with the policies, procedures,
   and standards applicable to applications as set forth in subpart F of this
   part ( see §1.935 of subpart F of this part).

§ 1.9080   Private commons.

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   (a) Overview. A “private commons” arrangement is an arrangement, distinct
   from a spectrum leasing arrangement but permitted in the same services for
   which spectrum leasing arrangements are allowed, in which a licensee or
   spectrum lessee makes certain spectrum usage rights under a particular
   license authorization available to a class of third-party users employing
   advanced   communications   technologies   that  involve  peer-to-peer
   (device-to-device)  communications  and that do not involve use of the
   licensee's or spectrum lessee's end-to-end physical network infrastructure (
   e.g. , base stations, mobile stations, or other related elements). In a
   private commons arrangement, the licensee or spectrum lessee authorizes
   users of certain communications devices employing particular technical
   parameters, as specified by the licensee or spectrum lessee, to operate
   under the license authorization. A private commons arrangement differs from
   a  spectrum  leasing  arrangement  in  that,  unlike  spectrum leasing
   arrangements, a private commons arrangement does not involve individually
   negotiated  spectrum  access rights with entities that seek to provide
   network-based services to end-users. A private commons arrangement does not
   affect unlicensed operations in a particular licensed band to the extent
   that they are permitted pursuant to part 15.

   (b) Licensee/spectrum lessee responsibilities. As the manager of any private
   commons, the licensee or spectrum lessee:

   (1) Establishes the technical and operating terms and conditions of use by
   users of the private commons, including those relating to the types of
   communications  devices  that  may be used within the private commons,
   consistent  with  the  terms  and conditions of the underlying license
   authorization;

   (2) Retains de facto control of the use of spectrum by users within the
   private commons, including maintaining reasonable oversight over the users'
   use of the spectrum in the private commons so as to ensure that the use of
   the  spectrum,  and communications equipment employed, comply with all
   applicable technical and service rules (including requirements relating to
   radiofrequency  radiation)  and maintaining the ability to ensure such
   compliance; and,

   (3) Retains direct responsibility for ensuring that the users of the private
   commons, and the equipment employed, comply with all applicable technical
   and  service  rules, including requirements relating to radiofrequency
   radiation and requirements relating to interference.

   (c)  Notification  requirements. Prior to permitting users to commence
   operations within a private commons, the licensee or spectrum lessee must
   notify the Commission, using FCC Form 608, that it is establishing a private
   commons  arrangement.  This notification must include information that
   describes: the location(s) or coverage area(s) of the private commons under
   the license authorization; the term of the arrangement; the general terms
   and  conditions for users that would be gaining spectrum access to the
   private commons; the technical requirements and equipment that the licensee
   or spectrum lessee has approved for use within the private commons; and, the
   types of communications uses that are to be allowed within the private
   commons.

   [ 69 FR 77558 , Dec. 27, 2004]

   Effective Date Note:   At  69 FR 77558 , Dec. 27, 2004, §1.9080 was added.
   This section contains information collection and recordkeeping requirements
   and will not become effective until approval has been given by the Office of
   Management and Budget.

Subpart Y—International Bureau Filing System

   top

   Source:    69 FR 29895 , May 26, 2004, unless otherwise noted. Redesignated at
    69 FR 40327 , July 2, 2004.

§ 1.10000   What is the purpose of these rules?

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   (a) These rules are issued under the Communications Act of 1934, as amended,
   47 U.S.C. 151 et seq. , and the Submarine Cable Landing License Act, 47
   U.S.C. 34–39.

   (b) This subpart describes procedures for electronic filing of International
   and Satellite Services applications using the International Bureau Filing
   System.

   (c) More licensing and application descriptions and directions, including
   but not limited to specifying which International and Satellite service
   applications must be filed electronically, are in parts 1, 25, 63, and 64 of
   this chapter.

   [ 69 FR 47793 , Aug. 6, 2004]

§ 1.10001   Definitions.

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   Application. A request for an earth or space station radio station license,
   an  international  cable  landing license, or an international service
   authorization, or a request to amend a pending application or to modify or
   renew licenses or authorizations. The term also includes the other requests
   that may be filed in IBFS such as transfers of control and assignments of
   license applications, earth station registrations, and foreign carrier
   affiliation notifications.

   Authorizations. Generally, a written document or oral statement issued by us
   giving authority to operate or provide service.

   International Bureau Filing System. The International Bureau Filing System
   (IBFS) is a database, application filing system, and processing system for
   all International and Satellite services. IBFS supports electronic filing of
   many applications and related documents in the International Bureau, and
   provides public access to this information.

   International Services. All international services authorized under parts 1,
   63 and 64 of this chapter.

   Official Filing Date. 

   Satellite  Space  Station  Applications  (other than DBS and DARS) and
   Applications for Earth Stations to Access a Non-U.S. Satellite Not Currently
   Authorized to Provide the Proposed Service in the Proposed Frequencies in
   the United States. We consider a Satellite Space Station application (other
   than DBS and DARS) and an Application for an Earth Station to Access a
   Non-U.S. Satellite Not Currently Authorized to Provide the Proposed Service
   in the Proposed Frequencies in the United States officially filed the moment
   you file them through IBFS. The system tracks the date and time of filing
   (to the millisecond). For purposes of the queue discussed in §25.158 of this
   chapter, we will base the order of the applications in the queue on the date
   and  time the applications are filed, rather than the “Official Filing
   Date” as defined here.

   All Other Applications. We consider all other applications officially filed
   once  you  file the application in IBFS and applicable filing fees are
   received and approved by the FCC, unless the application is determined to be
   fee-exempt. We determine your official filing date based on one of the
   following situations:
   1. You file your Satellite Space Station Application (other than DBS and
   DARS) or your Application for Earth Stations to Access a Non-U.S. Satellite
   Not Currently Authorized to provide the Proposed Service in the Proposed
   Frequencies in the United States in IBFS Your official filing date is the
   date and time (to the millisecond) you file your application and receive a
   confirmtion of filing and submission ID.
   2. You file all other applications in IBFS and then do one of the following:
   Your official filing date is:
   Send your payment (via check, bank draft, money order, credit card, or wire
   transfer) and FCC Form 159 to Mellon Bank The date Mellon Bank stamps your
   payment as received.
   Pay by online credit card (through IBFS). The date your online credit card
   payment  is  approved.  (Note: you will receive a remittance ID and an
   authorization number if your transaction is successful).
   Determine your application type is fee-exempt or your application qualifies
   for exemption to charges as provided in Part 1 of the Commission's Rules The
   date you file in IBFS and receive a confirmation of filing and submission
   ID.

   Satellite Services. All satellite services authorized under part 25 of this
   chapter.

   Submission ID. The Submission ID is the confirmation number you receive from
   IBFS once you have successfully filed your application. It is also the
   number we use to match your filing to your payment. Your IBFS Submission ID
   will always start with the letters “IB” and include the year in which you
   file as well as a sequential number, ( e.g., IB2003000123).

   Us. In this subpart, “us” refers to the Commission.

   We. In this subpart, “we” refers to the Commission.

   You.  In  this  subpart,  “you”  refers to applicants, licensees, your
   representatives, or other entities authorized to provide services.

§ 1.10002   What happens if the rules conflict?

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   The rules concerning parts 1, 25, 63 and 64 of this chapter govern over the
   electronic filing in this subpart.

§ 1.10003   When can I start operating?

   top

   You can begin operating your facility or providing services once we grant
   your application to do so, under the conditions set forth in your license or
   authorization.

§ 1.10004   What am I allowed to do if I am approved?

   top

   If you are approved and receive a license or authorization, you must operate
   in accordance with, and not beyond, your terms of approval.

§ 1.10005   What is IBFS?

   top

   (a) The International Bureau Filing System (IBFS) is a database, application
   filing system, and processing system for all International and Satellite
   Services. IBFS supports electronic filing of many applications and related
   documents in the International Bureau, and provides public access to this
   information.

   (b) We maintain applications, notifications, correspondence, and other
   materials filed electronically with the International Bureau in IBFS.

§ 1.10006   Is electronic filing mandatory?

   top

   Electronic filing is mandatory for all applications for international and
   satellite services for which an International Bureau Filing System (IBFS)
   form  is  available.  Applications for which an electronic form is not
   available must be filed by paper until new forms are introduced. See §§63.20
   and 63.53. As each new IBFS form becomes available for electronic filing,
   the Commission will issue a public notice announcing the availability of the
   new form and the effective date of mandatory filing for this particular type
   of filing. As each new form becomes effective, manual filings will not be
   accepted by the Commission and the filings will be returned to the applicant
   without  processing.  Mandatory  electronic  filing  requirements  for
   applications for international and satellite services are set forth in parts
   1, 25, 63, and 64 of this chapter. A list of forms that are available for
   electronic filing can be found on the IBFS homepage. For information on
   electronic filing requirements, see part 1, §§1.1000 through 1.10018 and the
   IBFS homepage at http://www.fcc.gov/ibfs. 

   [ 70 FR 38797 , July 6, 2005]

§ 1.10007   What applications can I file electronically?

   top

   (a) For a complete list of applications or notifications that must be filed
   electronically, see the IBFS Web site at http://www.fcc.gov/ibfs. 

   (b) Many applications require exhibits or attachments. If attachments are
   required, you must attach documentation to your electronic application
   before filing. We accept attachments in the following formats: Word, Adobe
   Acrobat, Excel and Text.

   (c) For paper filing rules and procedures, see parts 1, 25, 63 or 64.

   [ 69 FR 29895 , May 26, 2004. Redesignated at  69 FR 40327 , July 2, 2004.
   Amended at  69 FR 47793 , Aug. 6, 2004;  70 FR 38797 , July 6, 2005]

§ 1.10008   What are IBFS file numbers?

   top

   (a) We assign file numbers to electronic applications in order to facilitate
   processing.

   (b) We only assign file numbers for administrative convenience; they do not
   mean that an application is acceptable for filing.

   (c) For a description of file number information, see The International
   Bureau Filing System File Number Format Public Notice, DA–04–568 (released
   February 27, 2004).

§ 1.10009   What are the steps for electronic filing?

   top

   (a) Step 1: Register for an FCC Registration Number (FRN). (See Subpart W,
   §§1.8001 through 1.8004.) 

   (1) If you already have an FRN, go to Step 2.

   (2) In order to process your electronic application, you must have an FRN.
   You may obtain an FRN either directly from the Commission Registration
   System (CORES) at http://www.fcc.gov/e-file/, or through IBFS as part of
   your filing process. If you need to know more about who needs an FRN, visit
   CORES at http://www.fcc.gov/e-file/. 

   (3) If you are a(n):

   (i) Applicant,

   (ii) Transferee and assignee,

   (iii) Transferor and assignor,

   (iv) Licensee/Authorization Holder, or

   (v) Payer, you are required to have and use an FRN when filing applications
   and/or paying fees through IBFS.

   (4) We use your FRN to give you secured access to IBFS and to pre-fill the
   application you file.

   (a) Step 2: Register with IBFS. 

   (1) If you are already registered with IBFS, go to Step 3.

   (2) In order to complete and file your electronic application, you must
   register in IBFS, located at http://www.fcc.gov/ibfs. 

   (3) You can register your account in:

   (i) Your name,

   (ii) Your company's name, or

   (iii) Your client's name.

   (4)  IBFS will issue you an account number as part of the registration
   process. You will create your own password.

   (5) If you forget your password, send an e-mail to the IBFS helpline at
   ibfsinfo@fcc.gov or contact the helpline at (202) 418–2222 for assistance.

   (c) Step 3: Log into IBFS, select the application you want to file, provide
   the required FRN(s) and password(s) and fill out your application. You must
   completely fill out forms and provide all requested information as provided
   in parts 1, 25, 63 and 64 of this chapter.

   (1) You must provide an address where you can receive mail delivery by the
   United States Postal Service. You are also encouraged to provide an e-mail
   address. This information is used to contact you regarding your application
   and to request additional documentation, if necessary.

   (2) Reference to material on file. You must answer questions on application
   forms that call for specific technical data, or that require yes or no
   answers or other short answers. However, if documents or other lengthy
   showings are already on file with us and contain the required information,
   you may incorporate the information by reference, as long as:

   (i) The referenced information is filed in IBFS or, if manually filed, the
   information is more than one “81/2inch by 11 inch” page.

   (ii) The referenced information is current and accurate in all material
   respects; and

   (iii) The application states where we can find the referenced information as
   well as:

   (A) The application file number, if the reference is to previously-filed
   applications

   (B) The title of the proceeding, the docket number, and any legal citation,
   if the reference is to a docketed proceeding.

   (a) Step 4: File your application. If you file your application successfully
   through IBFS, a confirmation screen will appear showing you the date and
   time of your filing and your submission ID. Print this verification for your
   records as proof of online filing.

   (b) Step 5: Pay for your application. 

   (1) Most applications require that you pay a fee to us before we can begin
   processing your application. You can determine the amount of your fee in
   three ways:

   (i) You can refer to §1.1107,

   (ii) You can refer to the International and Satellite Services fee guide
   located at http://www.fcc.gov/fees/appfees.html, or

   (iii) You can run a draft Form 159 through IBFS, in association with a filed
   application, and the system will automatically enter your required fee on
   the form.

   (2)  A complete FCC Form 159 must accompany all fee payments. You must
   provide the FRN for both the applicant and the payer. You also must include
   your IBFS Submission ID number on your FCC Form 159 in the box labeled “FCC
   Code 2.” In addition, for applications for transfer of control or assignment
   of license, call signs involved in the transaction must be entered into the
   “FCC Code 1” box on the FCC Form 159. (This may require the use of multiple
   rows on the FCC Form 159 for a single application where more than one call
   sign is involved.)

   (i) You may use a paper version of FCC Form 159, or

   (ii) You can generate a pre-filled FCC Form 159 from IBFS using your IBFS
   Submission ID. For specific instructions on using IBFS to generate your FCC
   Form 159, go to the IBFS Web site ( http://www.fcc.gov/ibfs ) and click on
   the “Getting Started” button.

   (3) You have 3 payment options:

   (i) Pay by credit card (through IBFS or by regular mail),

   (ii) Pay by check, bank draft or money order, or

   (iii) Pay by wire transfer or other electronic payments.

   (4) You have 14 calendar days from the date you file your application in
   IBFS to submit your fee payment to Mellon Bank. Your FCC Form 159 must be
   stamped “received” by Mellon Bank by the 14th day. If not, we will dismiss
   your application.

   (5) If you send your Form 159 and payment to Mellon Bank in paper form, you
   should mail your completed Form 159 and payment to the address specified in
   §1.1107 of the Commission's rules. If you file electronically, do not send
   copies of your application with your payment and Form 159.

   (6) For more information on fee payments, refer to Payment Instructions
   found on the IBFS Internet site at http://www.fcc.gov/ibfs. 

   (7) Step 5 is not applicable if your application is fee exempt.

§ 1.10010   Do I need to send paper copies with my electronic applications?

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   (a) If you file electronically through IBFS, the electronic record is the
   official record.

   (b) If you file electronically, you do not need to submit paper copies of
   your application.

   (c) If you submit paper copies of your application with your payment, we
   will consider them as copies and may not retain them.

§ 1.10011   Who may sign applications?

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   (a) “Signed” in this section refers to electronically filed applications. An
   electronic application is “signed” when there is an electronic signature. An
   electronic  signature  is  the  typed name of the person “signing” the
   application, which is then electronically transmitted via IBFS.

   (b) For all electronically filed applications, you (or the signor) must
   actually sign a paper copy of the application, and keep the signed original
   in your files for future reference.

   (c) You only need to sign the original of applications, amendments, and
   related statements of fact.

   (d) Sign applications, amendments, and related statements of fact as follows
   (either electronically or manually):

   (1) By you, if you are an individual;

   (2) By one of the partners, if you are a partnership;

   (3) By an officer, director, or duly authorized employee, if you are a
   corporation; or

   (4) By a member who is an officer, if you are an unauthorized association.

   (e) If you file applications, amendments, and related statements of fact on
   behalf of eligible government entities, an elected or appointed official who
   may  sign  under the laws of the applicable jurisdiction must sign the
   document. Eligible government entities are:

   (1) States and territories of the United States,

   (2) Political subdivisions of these states and territories,

   (3) The District of Columbia, and

   (4) Units of local government.

   (f) If you are either physically disabled or absent from the United States,
   your attorney may sign applications, amendments and related statements of
   facts on your behalf.

   (1) Your attorney must explain why you are not signing the documents.

   (2) If your attorney states any matter based solely on his belief (rather
   than knowledge), your attorney must explain his reasons for believing that
   such statements are true.

   (g)  It  is  unnecessary to sign applications, amendments, and related
   statements  of  fact under oath. However, willful false statements are
   punishable by a fine and imprisonment, 18 U.S.C. 1001, and by administrative
   sanctions.

§ 1.10012   When can I file on IBFS?

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   IBFS is available 24 hours a day, seven (7) days a week for filing.

§ 1.10013   How do I check the status of my application after I file it?

   top

   You can check the status of your application through the “Search Tools” on
   the IBFS homepage. The IBFS homepage is located at www.fcc.gov/ibfs. 

§ 1.10014   What happens after officially filing my application?

   top

   (a) We give you an IBFS file number.

   (b) We electronically route your application to an analyst who conducts an
   initial review of your application. If your application is incomplete, we
   will either dismiss the application, or contact you by telephone, letter or
   email to ask for additional information within a specific time. In cases
   where we ask for additional information, if we do not receive it within the
   specified time, we will dismiss your application. In either case, we will
   dismiss your application without prejudice, so that you may file again with
   a complete application.

   (c) If your application is complete, and we verify receipt of your payment,
   it will appear on an “Accepted for Filing” Public Notice, unless public
   notice is not required. An “Accepted for Filing” Public Notice gives the
   public a certain amount of time to comment on your filing. This period
   varies depending upon the type of application.

   (1) Certain applications do not have to go on an “Accepted for Filing”
   Public Notice prior to initiation of service, but instead are filed as
   notifications  to  the  Commission of prior actions by the carriers as
   authorized  by  the rules. Examples include pro forma notifications of
   transfer  of  control  and  assignment  and  certain  foreign  carrier
   notifications.

   (2) Each “Accepted for Filing” Public Notice has a report number. Examples
   of various types of applications and their corresponding report number (the
   “x” represents a sequential number) follow.
             Type of application                 Report No.
   325-C Applications                       325-xxxxx
   Accounting Rate Change                   ARC-xxxxx
   Foreign Carrier Affiliation Notification FCN-xxxxx
   International High Frequency             IHF-xxxxx
   International Public Fixed               IPF-xxxxx
   Recognized Operating Agency              ROA-xxxxx
   Satellite Space Station                  SAT-xxxxx
   Satellite Earth Station                  SES-xxxxx
   International Telecommunications:       
   Streamlined                              TEL-xxxxxS
   Non-streamlined                          TEL-xxxxxNS and/or DA
   Submarine Cable Landing:                
   Streamlined                              SCL-xxxxxS
   Non-streamlined                          SCL-xxxxxNS and/or DA

   (d) After the Public Notice, your application may undergo legal, technical
   and/or financial review as deemed necessary. In addition, some applications
   require coordination with other government agencies.

   (e) After review, we decide whether to grant or deny applications or whether
   to take other necessary action. Grants, denials and any other necessary
   actions are noted in the IBFS database. Some filings may not require any
   affirmative action, such as some Foreign Carrier Affiliation Notification
   Filings. Other filings, such as some International Section 214 Applications,
   International Accounting Rate Change Filings and Requests for assignment of
   Data  Network  Identification Codes, may be granted automatically on a
   specific date unless the applicant is notified otherwise prior to that date,
   as specified in the rules.

   (f) We list most actions taken on public notices. Each “Action Taken” Public
   Notice has a report number. Examples of various types of applications and
   their corresponding report number (the “x” represents a sequential number)
   follow.
             Type of application                    Report No.
   325-C Applications                       325-xxxxx
   Accounting Rate Change                   No action taken PN released
   Foreign Carrier Affiliation Notification No action taken PN released
   International High Frequency             IHF-xxxxx
   International Public Fixed               IPF-xxxxx
   Recognized Operating Agency              No action taken PN released
   Satellite Space Station                  SAT-xxxxx (occasionally)
   Satellite Earth Station                  SES-xxxxx
   International Telecommunications         TEL-xxxxx and DA
   Submarine Cable Landing                  TEL-xxxxx and DA

   (g) Other actions are taken by formal written Order, oral actions that are
   followed up with a written document, or grant stamp of the application. In
   all cases, the action dates are available online through the IBFS system.

   (h)  Issuing  and  Mailing  Licenses for Granted Applications. Not all
   applications handled through IBFS and granted by the Commission result in
   the issuance of a paper license or authorization. A list of application
   types and their corresponding authorizations follows.
   Type of application Type of license/authorization issued
   325–C Application FCC permit mailed to permittee or contact, as specified in
   the application.
   Accounting Rate Change No authorizing document is issued by the Commission.
   In some cases, a Commission order may be issued related to an Accounting
   Rate Change filing.
   Data Network Identification Code Filing Letter confirming the grant of a new
   DNIC or the reassignment of an existing DNIC is mailed to the applicant or
   its designated representative.
   Foreign Carrier Affiliation Notification No authorizing document is issued
   by the Commission. In some cases, a Commission order may be issued related
   to a Foreign Carrier Affiliation Notification.
   International High Frequency:
   Construction Permits,
   Licenses,
   Modifications,
   Renewals, and
   Transfers  of  Control/Assignment  of License For all applications, an
   original, stamped authorization is issued to the applicant and a copy of the
   authorization is sent to the specified contact.
   International Public Fixed:
   1.  Construction Permits 1. Once the operating license is granted, the
   construction period therein is specified as a condition on the license.
   2. Request for Special Temporary Authority 2. Letter, grant-stamped request,
   or short order.
   3. New Authorization 3. License issued and mailed to applicant (original)
   and specified contact (copy).
   4. Amendment 4. If granted, the action is incorporated into the license for
   the underlying application.
   5. Modification 5. License issued and mailed to applicant (original) and
   specified contact (copy).
   6.  Renewal  6.  License issued and mailed to applicant (original) and
   specified contact (copy).
   7. Transfer of Control/Assignment of License 7. If granted, Form A–732
   authorization issued and mailed to applicant (original), parties to the
   transaction, and the applicant's specified contact (copy).
   Recognized Operating Agency The FCC sends a letter to the Department of
   State requesting grant or denial of recognized operating agency status. (The
   applicant is mailed a courtesy copy.) The Department of State issues a
   letter to both the Commission and the Applicant advising of their decision.
   Satellite Space Station:
   1. Request for Special Temporary Authority 1. Letter, grant-stamped request,
   or short order.
   2. New Authorization 2. Generally issued by Commission Order.
   3. Amendment 3. Generally issued as part of a Commission Order acting upon
   the underlying application.
   4. Modification 4. Generally issued by Commission Order.
   5.  Transfer  of  Control/Assignment of License 5. Generally issued by
   Commission Order or Public Notice. Also, Form A–732 authorization issued and
   mailed  to  applicant  (original), parties to the transaction, and the
   applicant's specified contact (copy).
   Satellite Earth Station:
   1. Request for Special Temporary Authority 1. Letter, grant-stamped request,
   or short order.
   2. New Authorization 2. License issued and mailed to applicant (original)
   and specified contact (copy).
   3. Amendment 3. If granted, the action is incorporated into the license for
   the underlying application.
   4. Modification 4. License issued and mailed to applicant (original) and
   specified contact (copy).
   5.  Renewal  5.  License issued and mailed to applicant (original) and
   specified contact (copy).
   6. Transfer of Control/Assignment of License 6. If granted, Form A–732
   authorization issued and mailed to applicant (original), parties to the
   transaction, and the applicant's specified contact (copy).
   International Telecommunications—Section 214:
   1. Streamlined (New, Transfer of Control, Assignment) 1. Action Taken Public
   Notice serves as the authorization document. This notice is issued weekly
   and is available online both at IBFS ( http://www.fcc.gov/ibfs ) and the
   Electronic Document Management System (EDOCS) ( http://www.fcc.gov/e-file/
   ).
   2. Non-streamlined (New, Transfer of Control, Assignment) 2. Decisions are
   generally issued by PN; some are done by Commission Order.
   3. Request for Special Temporary Authority 3. Letter, grant-stamped request
   issued to applicant.
   International Signaling Point Code Filing Letter issued to applicant.
   Submarine Cable Landing License Application:
   1. Streamlined (New, Transfer of Control, Assignment) 1. Action Taken Public
   Notice serves as the authorization document. This notice is issued weekly
   and  is  available  online  both  at  IBFS,  which  can  be  found  at
   http://www.fcc.gov/ibfs, and the Electronic Document Management System
   (EDOCS), which can be found at http://www.fcc.gov/e-file/.
   2. Non-Streamlined (New, Transfer of Control, Assignment) 2. Decisions are
   generally issued by PN; some are done by Commission Order.

§ 1.10015   Are there exceptions for emergency filings?

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   (a) Sometimes we grant licenses, modifications or renewals even if no one
   files an application. Instances where this may occur include:

   (1) If we find there is an emergency involving danger to life or property,
   or because equipment is damaged;

   (2)  If  the  President proclaims, or if Congress declares, a national
   emergency;

   (3) During any war in which the United States is engaged and when grants,
   modifications or renewals are necessary for national defense, security or in
   furtherance of the war effort; or

   (4) If there is an emergency where we find that it is not feasible to secure
   renewal applications from existing licensees or to follow normal licensing
   procedures.

   (b) Emergency authorizations stop at the end of emergency periods or wars.
   After the emergency period or war, you must submit your request by filing
   the appropriate form either manually or electronically.

   (c) The procedures for emergency requests, as described in this section, are
   as specified in §§25.120 and 63.25 of this chapter.

§ 1.10016   How do I apply for special temporary authority?

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   (a) Requests for Special Temporary Authority (STA) may be filed via IBFS for
   most services. We encourage you to file STA applications through IBFS as it
   will ensure faster receipt of your request.

   (b)  For specific information on the content of your request, refer to
   §§25.120 and 63.25 of this chapter.

§ 1.10017   How can I submit additional information?

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   In response to an official request for information from the International
   Bureau, you can submit additional information electronically directly to the
   requestor,  or  by  mail  to  the  Office of the Secretary, Attention:
   International Bureau.

§ 1.10018   May I amend my application?

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   (a) If the service rules allow, you may amend pending applications.

   (b) If an electronic version of an amendment application is available in
   IBFS, you may file your amendment electronically through IBFS.

Subpart Z—Communications Assistance for Law Enforcement Act

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   Source:    71 FR 38108 , July 5, 2006, unless otherwise noted.

§ 1.20000   Purpose.

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   Pursuant to the Communications Assistance for Law Enforcement Act (CALEA),
   Public Law 103–414, 108 Stat. 4279 (1994) (codified as amended in sections
   of 18 U.S.C. and 47 U.S.C.), this subpart contains rules that require a
   telecommunications carrier to:

   (a)  Ensure  that  any  interception  of  communications  or access to
   call-identifying information effected within its switching premises can be
   activated  only  in  accordance  with appropriate legal authorization,
   appropriate carrier authorization, and with the affirmative intervention of
   an individual officer or employee of the carrier acting in accordance with
   regulations prescribed by the Commission; and

   (b) Implement the assistance capability requirements of CALEA section 103,
   47 U.S.C. 1002, to ensure law enforcement access to authorized wire and
   electronic communications or call-identifying information.

§ 1.20001   Scope.

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   The definitions included in 47 CFR 1.20002 shall be used solely for the
   purpose of implementing CALEA requirements.

§ 1.20002   Definitions.

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   For purposes of this subpart:

   (a)  Appropriate  legal  authorization.  The  term  appropriate  legal
   authorization means:

   (1) A court order signed by a judge or magistrate authorizing or approving
   interception of wire or electronic communications; or

   (2)  Other  authorization, pursuant to 18 U.S.C. 2518(7), or any other
   relevant federal or state statute.

   (b)  Appropriate  carrier  authorization. The term appropriate carrier
   authorization   means   the   policies   and   procedures  adopted  by
   telecommunications carriers to supervise and control officers and employees
   authorized to assist law enforcement in conducting any interception of
   communications or access to call-identifying information.

   (c) Appropriate authorization. The term appropriate authorization means both
   appropriate legal authorization and appropriate carrier authorization.

   (d) LEA. The term LEA means law enforcement agency; e.g. , the Federal
   Bureau of Investigation or a local police department.

   (e)  Telecommunications  carrier.  The term telecommunications carrier
   includes:

   (1) A person or entity engaged in the transmission or switching of wire or
   electronic communications as a common carrier for hire;

   (2) A person or entity engaged in providing commercial mobile service (as
   defined  in  sec.  332(d) of the Communications Act of 1934 (47 U.S.C.
   332(d))); or

   (3) A person or entity that the Commission has found is engaged in providing
   wire or electronic communication switching or transmission service such that
   the  service  is  a replacement for a substantial portion of the local
   telephone exchange service and that it is in the public interest to deem
   such a person or entity to be a telecommunications carrier for purposes of
   CALEA.

§ 1.20003   Policies and procedures for employee supervision and control.

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   A telecommunications carrier shall:

   (a) Appoint a senior officer or employee responsible for ensuring that any
   interception of communications or access to call-identifying information
   effected within its switching premises can be activated only in accordance
   with a court order or other lawful authorization and with the affirmative
   intervention of an individual officer or employee of the carrier.

   (b) Establish policies and procedures to implement paragraph (a) of this
   section, to include:

   (1)  A statement that carrier personnel must receive appropriate legal
   authorization and appropriate carrier authorization before enabling law
   enforcement officials and carrier personnel to implement the interception of
   communications or access to call-identifying information;

   (2)  An  interpretation of the phrase “appropriate authorization” that
   encompasses  the  definitions  of  appropriate legal authorization and
   appropriate carrier authorization, as used in paragraph (b)(1) of this
   section;

   (3) A detailed description of how long it will maintain its records of each
   interception of communications or access to call-identifying information
   pursuant to §1.20004;

   (4) In a separate appendix to the policies and procedures document:

   (i) The name and a description of the job function of the senior officer or
   employee appointed pursuant to paragraph (a) of this section; and

   (ii) Information necessary for law enforcement agencies to contact the
   senior officer or employee appointed pursuant to paragraph (a) of this
   section or other CALEA points of contact on a seven days a week, 24 hours a
   day basis.

   (c) Report to the affected law enforcement agencies, within a reasonable
   time upon discovery:

   (1) Any act of compromise of a lawful interception of communications or
   access to call-identifying information to unauthorized persons or entities;
   and

   (2)  Any  act of unlawful electronic surveillance that occurred on its
   premises.

§ 1.20004   Maintaining secure and accurate records.

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   (a) A telecommunications carrier shall maintain a secure and accurate record
   of  each  interception of communications or access to call-identifying
   information, made with or without appropriate authorization, in the form of
   single certification.

   (1)  This  certification  must  include,  at  a minimum, the following
   information:

   (i) The telephone number(s) and/or circuit identification numbers involved;

   (ii) The start date and time that the carrier enables the interception of
   communications or access to call identifying information;

   (iii)  The  identity  of  the  law  enforcement officer presenting the
   authorization;

   (iv) The name of the person signing the appropriate legal authorization;

   (v) The type of interception of communications or access to call-identifying
   information (e.g., pen register, trap and trace, Title III, FISA); and

   (vi)  The  name  of  the telecommunications carriers' personnel who is
   responsible for overseeing the interception of communication or access to
   call-identifying  information and who is acting in accordance with the
   carriers' policies established under §1.20003.

   (2) This certification must be signed by the individual who is responsible
   for  overseeing  the  interception  of  communications  or  access  to
   call-identifying  information and who is acting in accordance with the
   telecommunications carrier's policies established under §1.20003. This
   individual will, by his/her signature, certify that the record is complete
   and accurate.

   (3) This certification must be compiled either contemporaneously with, or
   within a reasonable period of time after the initiation of the interception
   of the communications or access to call-identifying information.

   (4) A telecommunications carrier may satisfy the obligations of paragraph
   (a) of this section by requiring the individual who is responsible for
   overseeing the interception of communication or access to call-identifying
   information and who is acting in accordance with the carriers' policies
   established  under  §1.20003  to sign the certification and append the
   appropriate legal authorization and any extensions that have been granted.
   This form of certification must at a minimum include all of the information
   listed in paragraph (a) of this section.

   (b) A telecommunications carrier shall maintain the secure and accurate
   records set forth in paragraph (a) of this section for a reasonable period
   of time as determined by the carrier.

   (c) It is the telecommunications carrier's responsibility to ensure its
   records are complete and accurate.

   (d) Violation of this rule is subject to the penalties of §1.20008.

   [ 71 FR 38108 , July 5, 2006]

§ 1.20005   Submission of policies and procedures and Commission review.

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   (a) Each telecommunications carrier shall file with the Commission the
   policies and procedures it uses to comply with the requirements of this
   subchapter. These policies and procedures shall be filed with the Federal
   Communications Commission within 90 days of the effective date of these
   rules, and thereafter, within 90 days of a carrier's merger or divestiture
   or a carrier's amendment of its existing policies and procedures.

   (b) The Commission shall review each telecommunications carrier's policies
   and procedures to determine whether they comply with the requirements of
   §§1.20003 and 1.20004.

   (1) If, upon review, the Commission determines that a telecommunications
   carrier's  policies and procedures do not comply with the requirements
   established under §§1.20003 and 1.20004, the telecommunications carrier
   shall  modify  its policies and procedures in accordance with an order
   released by the Commission.

   (2)   The   Commission  shall  review  and  order  modification  of  a
   telecommunications carrier's policies and procedures as may be necessary to
   insure compliance by telecommunications carriers with the requirements of
   the regulations prescribed under §§1.20003 and 1.20004.

   [ 71 FR 38108 , July 5, 2006]

§ 1.20006   Assistance capability requirements.

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   (a) Telecommunications carriers shall provide to a Law Enforcement Agency
   the  assistance  capability  requirements  of CALEA regarding wire and
   electronic communications and call-identifying information, see 47 U.S.C.
   1002. A carrier may satisfy these requirements by complying with publicly
   available  technical  requirements or standards adopted by an industry
   association or standard-setting organization, such as J–STD–025 (current
   version), or by the Commission.

   (b) Telecommunications carriers shall consult, as necessary, in a timely
   fashion  with manufacturers of its telecommunications transmission and
   switching equipment and its providers of telecommunications support services
   for the purpose of ensuring that current and planned equipment, facilities,
   and services comply with the assistance capability requirements of 47 U.S.C.
   1002.

   (c) A manufacturer of telecommunications transmission or switching equipment
   and a provider of telecommunications support service shall, on a reasonably
   timely  basis  and  at  a  reasonable  charge,  make  available to the
   telecommunications carriers using its equipment, facilities, or services
   such features or modifications as are necessary to permit such carriers to
   comply with the assistance capability requirements of 47 U.S.C. 1002.

§ 1.20007   Additional assistance capability requirements for wireline,
cellular, and PCS telecommunications carriers.

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   (a)  Definition  —(1)  Call-identifying  information. Call identifying
   information means dialing or signaling information that identifies the
   origin,  direction,  destination, or termination of each communication
   generated or received by a subscriber by means of any equipment, facility,
   or service of a telecommunications carrier. Call-identifying information is
   “reasonably available” to a carrier if it is present at an intercept access
   point and can be made available without the carrier being unduly burdened
   with network modifications.

   (2) Collection function. The location where lawfully authorized intercepted
   communications  and call-identifying information is collected by a law
   enforcement agency (LEA).

   (3) Content of subject-initiated conference calls. Capability that permits a
   LEA to monitor the content of conversations by all parties connected via a
   conference call when the facilities under surveillance maintain a circuit
   connection to the call.

   (4) Destination. A party or place to which a call is being made (e.g., the
   called party).

   (5) Dialed digit extraction. Capability that permits a LEA to receive on the
   call data channel a digits dialed by a subject after a call is connected to
   another carrier's service for processing and routing.

   (6) Direction. A party or place to which a call is re-directed or the party
   or  place  from  which  it  came, either incoming or outgoing (e.g., a
   redirected-to party or redirected-from party).

   (7) IAP. Intercept access point is a point within a carrier's system where
   some of the communications or call-identifying information of an intercept
   subject's equipment, facilities, and services are accessed.

   (8) In-band and out-of-band signaling. Capability that permits a LEA to be
   informed when a network message that provides call identifying information
   (e.g., ringing, busy, call waiting signal, message light) is generated or
   sent by the IAP switch to a subject using the facilities under surveillance.
   Excludes signals generated by customer premises equipment when no network
   signal is generated.

   (9) J–STD–025. The standard, including the latest version, developed by the
   Telecommunications  Industry  Association  (TIA)  and the Alliance for
   Telecommunications Industry Solutions (ATIS) for wireline, cellular, and
   broadband PCS carriers. This standard defines services and features to
   support  lawfully  authorized  electronic  surveillance, and specifies
   interfaces   necessary   to  deliver  intercepted  communications  and
   call-identifying information to a LEA. Subsequently, TIA and ATIS published
   J–STD–025–A and J–STD–025–B.

   (10) Origin. A party initiating a call (e.g., a calling party), or a place
   from which a call is initiated.

   (11) Party hold, join, drop on conference calls. Capability that permits a
   LEA to identify the parties to a conference call conversation at all times.

   (12) Subject-initiated dialing and signaling information. Capability that
   permits a LEA to be informed when a subject using the facilities under
   surveillance uses services that provide call identifying information, such
   as call forwarding, call waiting, call hold, and three-way calling. Excludes
   signals generated by customer premises equipment when no network signal is
   generated.

   (13) Termination. A party or place at the end of a communication path (e.g.
   the called or call-receiving party, or the switch of a party that has placed
   another party on hold).

   (14)  Timing  information.  Capability that permits a LEA to associate
   call-identifying information with the content of a call. A call-identifying
   message must be sent from the carrier's IAP to the LEA's Collection Function
   within eight seconds of receipt of that message by the IAP at least 95% of
   the time, and with the call event time-stamped to an accuracy of at least
   200 milliseconds.

   (b) In addition to the requirements in §1.20006, wireline, cellular, and PCS
   telecommunications carriers shall provide to a LEA the assistance capability
   requirements  regarding  wire  and  electronic communications and call
   identifying information covered by J–STD–025 (current version), and, subject
   to  the definitions in this section, may satisfy these requirements by
   complying with J–STD–025 (current version), or by another means of their own
   choosing.  These  carriers  also  shall provide to a LEA the following
   capabilities:

   (1) Content of subject-initiated conference calls;

   (2) Party hold, join, drop on conference calls;

   (3) Subject-initiated dialing and signaling information;

   (4) In-band and out-of-band signaling;

   (5) Timing information;

   (6)   Dialed   digit  extraction,  with  a  toggle  feature  that  can
   activate/deactivate this capability.

§ 1.20008   Penalties.

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   In the event of a telecommunications carrier's violation of this subchapter,
   the Commission shall enforce the penalties articulated in 47 U.S.C. 503(b)
   of the Communications Act of 1934 and 47 CFR 1.80.

Appendix A to Part 1—A Plan of Cooperative Procedure in Matters and Cases Under
the Provisions of Section 410 of the Communications Act of 1934

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   (Approved by the Federal Communications Commission October 25, 1938, and
   approved by the National Association of Railroad and Utilities Commissioners
   on November 17, 1938.)

   preliminary statement concerning the purpose and effect of the plan

   Section 410 of the Communications Act of 1934 authorizes cooperation between
   the  Federal Communications Commission, hereinafter called the Federal
   Commission,  and  the  State commissions of the several States, in the
   administration of said Act. Subsection (a) authorizes the reference of any
   matter arising in the administration of said Act to a board to be composed
   of a member or members from each of the States in which the wire, or radio
   communication affected by or involved in the proceeding takes place, or is
   proposed. Subsection (b) authorizes conferences by the Federal Commission
   with State commissions regarding the relationship between rate structures,
   accounts, charges, practices, classifications, and regulations of carriers
   subject to the jurisdiction of such State commissions and of said Federal
   Commission and joint hearings with State commissions in connection with any
   matter with respect to which the Federal Commission is authorized to act.

   Obviously, it is impossible to determine in advance what matters should be
   the subject of a conference, what matters should be referred to a board, and
   what matters should be heard at a joint hearing of State commissions and the
   Federal Commission. It is understood, therefore, that the Federal Commission
   or any State commission will freely suggest cooperation with respect to any
   proceedings or matter affecting any carrier subject to the jurisdiction of
   said Federal Commission and of a State commission, and concerning which it
   is believed that cooperation will be in the public interest.

   To enable this to be done, whenever a proceeding shall be instituted before
   any commission, Federal or State, in which another commission is believed to
   be  interested,  notice  should be promptly given each such interested
   commission  by  the  commission  before  which the proceeding has been
   instituted. Inasmuch, however, as failure to give notice as contemplated by
   the  provisions  of  this  plan  will  sometimes  occur purely through
   inadvertence, any such failure should not operate to deter any commission
   from suggesting that any such proceeding be made the subject matter of
   cooperative action, if cooperation therein is deemed desirable.

   It is understood that each commission whether or not represented in the
   National Association of Railroad and Utilities Commissioners, must determine
   its own course of action with respect to any proceeding in the light of the
   law under which, at any given time, it is called upon to act, and must be
   guided by its own views of public policy; and that no action taken by such
   Association  can  in any respect prejudice such freedom of action. The
   approval by the Association of this plan of cooperative procedure, which was
   jointly prepared by the Association's standing Committee on Cooperation
   between  Federal and State commissions and said Federal Commission, is
   accordingly recommendatory only; but such plan is designed to be, and it is
   believed that it will be, a helpful step in the promotion of cooperative
   relations between the State commissions and said Federal Commission.

   notice of institution of proceeding

   Whenever  there  shall be instituted before the Federal Commission any
   proceeding involving the rates of any telephone or telegraph carrier, the
   State  commissions  of  the  States  affected thereby will be notified
   immediately thereof by the Federal Commission, and each notice given a State
   commission will advise such commission that, if it deems the proceeding one
   which should be considered under the cooperative provisions of the Act, it
   should either directly or through the National Association of Railroad and
   Utilities Commissioners, notify the Federal Commission as to the nature of
   its interest in said matter and request a conference, the creation of a
   joint board, or a joint hearing as may be desired, indicating its preference
   and  the  reasons  therefor.  Upon receipt of such request the Federal
   Commission will consider the same and may confer with the commission making
   the request and with other interested commission, or with representatives of
   the National Association of Railroad and Utilities Commissioners, in such
   manner  as may be most suitable; and if cooperation shall appear to be
   practicable and desirable, shall so advise each interested State commission,
   directly, when such cooperation will be by joint conference or by reference
   to a joint board appointed under said sec. 410 (a), and, as hereinafter
   provided, when such cooperation will be by a joint hearing under said sec.
   410(b).

   Each State commission should in like manner notify the Federal Commission of
   any proceeding instituted before it involving the toll telephone rates or
   the  telegraph rates of any carrier subject to the jurisdiction of the
   Federal Commission.

   procedure governing joint conferences

   The Federal Commission, in accordance with the indicated procedure, will
   confer  with any State commission regarding any matter relating to the
   regulation  of  public utilities subject to the jurisdiction of either
   commission. The commission desiring a conference upon any such matter should
   notify the other without delay, and thereupon the Federal Commission will
   promptly arrange for a conference in which all interested State commissions
   will be invited to be present.

   procedure governing matters referred to a board

   Whenever the Federal Commission, either upon its own motion or upon the
   suggestion of a State commission, or at the request of any interested party,
   shall  determine that it is desirable to refer a matter arising in the
   administration of the Communications Act of 1934 to a board to be composed
   of a member or members from the State or States affected or to be affected
   by such matter, the procedure shall be as follows:

   The  Federal  Commission  will send a request to each interested State
   commission to nominate a specified number of members to serve on such board.

   The representation of each State concerned shall be equal, unless one or
   more  of  the  States  affected  chooses  to waive such right of equal
   representation. When the member or members of any board have been nominated
   and appointed, in accordance with the provisions of the Communications Act
   of 1934, the Federal Commission will make an order referring the particular
   matter  to  such board, and such order shall fix the time and place of
   hearing, define the force and effect the action of the board shall have, and
   the  manner  in which its proceedings shall be conducted. The rules of
   practice and procedure, as from time to time adopted or prescribed by the
   Federal Commission, shall govern such board, as far as applicable.

   procedure governing joint hearings

   Whenever  the  Federal  Commission, either upon its own motion or upon
   suggestions made by or on behalf of any interested State commission or
   commissions, shall determine that a joint hearing under said sec. 410(b) is
   desirable  in  connection  with any matter pending before said Federal
   Commission, the procedure shall be as follows:

   (a) The Federal Commission will notify the general solicitor of the National
   Association of Railroad and Utilities Commissioners that said Association,
   or, if not more than eight States are within the territory affected by the
   proceeding,  the  State  commissions  interested,  are invited to name
   Cooperating Commissioners to sit with the Federal Commission for the hearing
   and consideration of said proceeding.

   (b)  Upon  receipt of any notice from said Federal Commission inviting
   cooperation,  if  not more than eight States are involved, the general
   solicitor shall at once advise the State commissions of said States, they
   being represented in the membership of the association, of the receipt of
   such notice, and shall request each such commission to give advice to him in
   writing,  before  a  date  to be indicated by him in his communication
   requesting such advice (1) whether such commission will cooperate in said
   proceeding, (2) if it will, by what commissioner it will be represented
   therein.

   (c) Upon the basis of replies received, the general solicitor shall advise
   the Federal Commission what States, if any, are desirous of making the
   proceeding cooperative and by what commissioners they will be represented,
   and he shall give like advice to each State commission interested therein.

   (d) If more than eight States are interested in the proceeding, because
   within territory for which rates will be under consideration therein, the
   general solicitor shall advise the president of the association that the
   association  is  invited  to  name  a  cooperating  committee of State
   commissioners representing the States interested in said proceeding.

   The  president  of  the association shall thereupon advise the general
   solicitor in writing (1) whether the invitation is accepted on behalf of the
   association,  and  (2) the names of commissioners selected to sit as a
   cooperating committee. The president of the association shall have the
   authority to accept or to decline said invitation for the association, and
   to  determine  the  number  of commissioners who shall be named on the
   cooperating committee, provided that his action shall be concurred in by the
   chairman of the association's executive committee. In the event of any
   failure of the president of the association and chairman of its executive
   committee to agree, the second vice president of the association (or the
   chairman  of  its  committee  on cooperation between State and Federal
   commissions, if there shall be no second vice president) shall be consulted,
   and the majority opinion of the three shall prevail. Consultations and
   expressions of opinion may be by mail or telegraph.

   (e) If any proceeding, involving more than eight States, is pending before
   the Federal Commission, in which cooperation has not been invited by that
   Commission, which the association's president and the first and second vice
   presidents,  or any two of them, consider should be made a cooperating
   proceeding,  they may instruct the general solicitor to suggest to the
   Federal Commission that the proceeding be made a cooperative proceeding; and
   any  State  commission considering that said proceeding should be made
   cooperative may request the president of the association or the chairman of
   its executive committee to make such suggestion after consideration with the
   executive officers above named. If said Federal Commission shall assent to
   the suggestion, made as aforesaid, the president of the association shall
   have the same authority to proceed, and shall proceed in the appointment of
   a cooperating committee, as is provided in other cases involving more than
   eight States, wherein the Federal Commission has invited cooperation, and
   the invitation has been accepted.

   (f) Whenever any case is pending before the Federal Commission involving
   eight States or less, which a commission of any of said States considers
   should be made cooperative, such commission, either directly or through the
   general solicitor of the association, may suggest to the Federal Commission
   that the proceeding be made cooperative. If said Federal Commission accedes
   to such suggestion, it will notify the general solicitor of the association
   to that effect and thereupon the general solicitor shall proceed as is
   provided in such case when the invitation has been made by the Federal
   Commission without State commission suggestion.

   appointment of cooperating commissioners by the president

   In  the appointment of any cooperating committee, the president of the
   association shall make appointments only from commissions of the States
   interested in the particular proceeding in which the committee is to serve.
   He shall exercise his best judgment to select cooperating commissioners who
   are especially qualified to serve upon cooperating committees by reason of
   their ability and fitness; and in no case shall he appoint a commissioner
   upon  a cooperating committee until he shall have been advised by such
   commissioner that it will be practicable for him to attend the hearings in
   the proceeding in which the committee is to serve, including the arguments
   therein, and the cooperative conferences, which may be held following the
   submission of the proceeding, to an extent that will reasonably enable him
   to be informed upon the issues in the proceeding and to form a reasonable
   judgment in the matters to be determined.

   tenure of cooperators

   (a) No State commissioner shall sit in a cooperative proceeding under this
   plan  except a commissioner who has been selected by his commission to
   represent it in a proceeding involving eight States or less, or has been
   selected by the president of the association to sit in a case involving more
   than eight States, in the manner hereinbefore provided.

   (b) A commissioner who has been selected, as hereinbefore provided, to serve
   as a member of a cooperating committee in any proceeding, shall without
   further appointment, and without regard to the duration of time involved,
   continue to serve in said proceeding until the final disposition thereof,
   including hearings and conferences after any order or reopening, provided
   that he shall continue to be a State commissioner.

   (c) No member of a cooperating committee shall have any right or authority
   to designate another commissioner to serve in his place at any hearing or
   conference in any proceeding in which he has been appointed to serve.

   (d) Should a vacancy occur upon any cooperating committee, in a proceeding
   involving more than eight States, by reason of the death of any cooperating
   commissioner, or of his ceasing to be a State commissioner, or of other
   inability to serve, it shall be the duty of the president of the association
   to  fill  the vacancy by appointment, if, after communication with the
   chairman of the cooperating committee, it be deemed necessary to fill such
   vacancy.

   (e) In the event of any such vacancy occurring upon a cooperating committee
   involving not more than eight States, the vacancy shall be filled by the
   commission from which the vacancy occurs.

   cooperating committee to determine respecting any report of statement of its
   attitude

   (a) Whenever a cooperating committee shall have concluded its work, or shall
   deem such course advisable, the committee shall consider whether it is
   necessary  and  desirable  to  make  a  report to the interested State
   commissions, and, if it shall determine to make a report, it shall cause the
   same to be distributed through the secretary of the association, or through
   the general solicitor to all interested commissions.

   (b) If a report of the Federal Commission will accompany any order to be
   made in said proceeding, the Federal Commission will state therein the
   concurrence or nonconcurrence of said cooperating committee in the decision
   or order of said Federal Commission.

   construction hereof in certain respects expressly provided

   It is understood and provided that no State or States shall be deprived of
   the right of participation and cooperation as hereinbefore provided because
   of nonmembership in the association. With respect to any such State or
   States, all negotiations herein specified to be carried on between the
   Federal Commission and any officer of such association shall be conducted by
   the Federal Commission directly with the chairman of the commission of such
   State or States.

   [ 28 FR 12462 , Nov. 22, 1963, as amended at  29 FR 4801 , Apr. 4, 1964]

Appendix B to Part 1—Nationwide Programmatic Agreement for the Collocation of
Wireless Antennas

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   Nationwide Programmatic Agreement for the Collocation of Wireless Antennas

   Executed by the Federal Communications Commission, the National Conference
   of State Historic Preservation Officers and the Advisory Council on Historic
   Preservation

   Whereas, the Federal Communications Commission (FCC) establishes rules and
   procedures for the licensing of wireless communications facilities in the
   United States and its Possessions and Territories; and,

   Whereas, the FCC has largely deregulated the review of applications for the
   construction of individual wireless communications facilities and, under
   this  framework,  applicants  are required to prepare an Environmental
   Assessment (EA) in cases where the applicant determines that the proposed
   facility falls within one of certain environmental categories described in
   the FCC's rules (47 CFR 1.1307), including situations which may affect
   historical sites listed or eligible for listing in the National Register of
   Historic Places (“National Register”); and,

   Whereas, Section 106 of the National Historic Preservation Act (16 U.S.C.
   470 et seq. ) (“the Act”) requires federal agencies to take into account the
   effects of their undertakings on historic properties and to afford the
   Advisory Council on Historic Preservation (Council) a reasonable opportunity
   to comment; and,

   Whereas, Section 800.14(b) of the Council's regulations, “Protection of
   Historic Properties” (36 CFR 800.14(b)), allows for programmatic agreements
   to  streamline and tailor the Section 106 review process to particular
   federal programs; and,

   Whereas,  in August 2000, the Council established a Telecommunications
   Working Group to provide a forum for the FCC, Industry representatives,
   State  Historic  Preservation  Officers  (SHPOs)  and  Tribal Historic
   Preservation  Officers  (THPOs),  and  the Council to discuss improved
   coordination of Section 106 compliance regarding wireless communications
   projects affecting historic properties; and,

   Whereas, the FCC, the Council and the Working Group have developed this
   Collocation Programmatic Agreement in accordance with 36 CFR 800.14(b) to
   address the Section 106 review process as it applies to the collocation of
   antennas (collocation being defined in Stipulation I.A below); and,

   Whereas, the FCC encourages collocation of antennas where technically and
   economically  feasible,  in  order  to  reduce  the need for new tower
   construction; and,

   Whereas, the parties hereto agree that the effects on historic properties of
   collocations of antennas on towers, buildings and structures are likely to
   be minimal and not adverse, and that in the cases where an adverse effect
   might occur, the procedures provided and referred to herein are proper and
   sufficient, consistent with Section 106, to assure that the FCC will take
   such effects into account; and

   Whereas, the execution of this Nationwide Collocation Programmatic Agreement
   will streamline the Section 106 review of collocation proposals and thereby
   reduce  the  need for the construction of new towers, thereby reducing
   potential effects on historic properties that would otherwise result from
   the construction of those unnecessary new towers; and,

   Whereas, the FCC and the Council have agreed that these measures should be
   incorporated into a Nationwide Programmatic Agreement to better manage the
   Section 106 consultation process and streamline reviews for collocation of
   antennas; and,

   Whereas, since collocations reduce both the need for new tower construction
   and the potential for adverse effects on historic properties, the parties
   hereto agree that the terms of this Agreement should be interpreted and
   implemented wherever possible in ways that encourage collocation; and

   Whereas, the parties hereto agree that the procedures described in this
   Agreement are, with regard to collocations as defined herein, a proper
   substitute for the FCC's compliance with the Council's rules, in accordance
   and consistent with Section 106 of the National Historic Preservation Act
   and its implementing regulations found at 36 CFR part 800; and

   Whereas,  the  FCC has consulted with the National Conference of State
   Historic Preservation Officers (NCSHPO) and requested the President of
   NCSHPO  to  sign this Nationwide Collocation Programmatic Agreement in
   accordance with 36 CFR Section 800.14(b)(2)(iii); and,

   Whereas, the FCC sought comment from Indian tribes and Native Hawaiian
   Organizations regarding the terms of this Nationwide Programmatic Agreement
   by letters of January 11, 2001 and February 8, 2001; and,

   Whereas, the terms of this Programmatic Agreement do not apply on “tribal
   lands” as defined under Section 800.16(x) of the Council's regulations, 36
   CFR 800.16(x) (“Tribal lands means all lands within the exterior boundaries
   of any Indian reservation and all dependent Indian communities.”); and,

   Whereas, the terms of this Programmatic Agreement do not preclude Indian
   tribes or Native Hawaiian Organizations from consulting directly with the
   FCC or its licensees, tower companies and applicants for antenna licenses
   when collocation activities off tribal lands may affect historic properties
   of religious and cultural significance to Indian tribes or Native Hawaiian
   organizations; and,

   Whereas, the execution and implementation of this Nationwide Collocation
   Programmatic Agreement will not preclude members of the public from filing
   complaints with the FCC or the Council regarding adverse effects on historic
   properties from any existing tower or any activity covered under the terms
   of this Programmatic Agreement.

   Now therefore, the FCC, the Council, and NCSHPO agree that the FCC will meet
   its Section 106 compliance responsibilities for the collocation of antennas
   as follows.

   Stipulations

   The FCC, in coordination with licensees, tower companies and applicants for
   antenna licenses, will ensure that the following measures are carried out.

   I. Definitions

   For  purposes of this Nationwide Programmatic Agreement, the following
   definitions apply.

   A. ”Collocation” means the mounting or installation of an antenna on an
   existing tower, building or structure for the purpose of transmitting and/or
   receiving radio frequency signals for communications purposes.

   B.  ”Tower”  is any structure built for the sole or primary purpose of
   supporting FCC-licensed antennas and their associated facilities.

   C.”Substantial increase in the size of the tower” means: 

   (1) The mounting of the proposed antenna on the tower would increase the
   existing height of the tower by more than 10%, or by the height of one
   additional antenna array with separation from the nearest existing antenna
   not to exceed twenty feet, whichever is greater, except that the mounting of
   the proposed antenna may exceed the size limits set forth in this paragraph
   if necessary to avoid interference with existing antennas; or

   (2) The mounting of the proposed antenna would involve the installation of
   more than the standard number of new equipment cabinets for the technology
   involved, not to exceed four, or more than one new equipment shelter; or

   (3)  The  mounting  of  the  proposed  antenna would involve adding an
   appurtenance to the body of the tower that would protrude from the edge of
   the  tower  more than twenty feet, or more than the width of the tower
   structure at the level of the appurtenance, whichever is greater, except
   that the mounting of the proposed antenna may exceed the size limits set
   forth in this paragraph if necessary to shelter the antenna from inclement
   weather or to connect the antenna to the tower via cable; or

   (4) The mounting of the proposed antenna would involve excavation outside
   the current tower site, defined as the current boundaries of the leased or
   owned property surrounding the tower and any access or utility easements
   currently related to the site.

   II. Applicability

   A. This Nationwide Collocation Programmatic Agreement applies only to the
   collocation of antennas as defined in Stipulation I.A, above.

   B. This Nationwide Collocation Programmatic Agreement does not cover any
   Section 106 responsibilities that federal agencies other than the FCC may
   have with regard to the collocation of antennas.

   III. Collocation of Antennas on Towers Constructed on or Before March 16,
   2001

   A. An antenna may be mounted on an existing tower constructed on or before
   March  16,  2001  without  such  collocation  being reviewed under the
   consultation process set forth under Subpart B of 36 CFR Part 800, unless:

   1. The mounting of the antenna will result in a substantial increase in the
   size of the tower as defined in Stipulation I.C, above; or

   2. The tower has been determined by the FCC to have an effect on one or more
   historic properties, unless such effect has been found to be not adverse
   through  a  no  adverse  effect  finding, or if found to be adverse or
   potentially adverse, has been resolved, such as through a conditional no
   adverse effect determination, a Memorandum of Agreement, a programmatic
   agreement, or otherwise in compliance with Section 106 and Subpart B of 36
   CFR Part 800; or

   3. The tower is the subject of a pending environmental review or related
   proceeding before the FCC involving compliance with Section 106 of the
   National Historic Preservation Act; or

   4. The collocation licensee or the owner of the tower has received written
   or electronic notification that the FCC is in receipt of a complaint from a
   member of the public, a SHPO or the Council, that the collocation has an
   adverse effect on one or more historic properties. Any such complaint must
   be in writing and supported by substantial evidence describing how the
   effect from the collocation is adverse to the attributes that qualify any
   affected historic property for eligibility or potential eligibility for the
   National Register.

   IV. Collocation of Antennas on Towers Constructed After March 16, 2001

   A. An antenna may be mounted on an existing tower constructed after March
   16, 2001 without such collocation being reviewed under the consultation
   process set forth under Subpart B of 36 CFR Part 800, unless:

   1. The Section 106 review process for the tower set forth in 36 CFR Part 800
   and any associated environmental reviews required by the FCC have not been
   completed; or

   2. The mounting of the new antenna will result in a substantial increase in
   the size of the tower as defined in Stipulation I.C, above; or

   3. The tower as built or proposed has been determined by the FCC to have an
   effect on one or more historic properties, unless such effect has been found
   to be not adverse through a no adverse effect finding, or if found to be
   adverse  or  potentially adverse, has been resolved, such as through a
   conditional no adverse effect determination, a Memorandum of Agreement, a
   programmatic agreement, or otherwise in compliance with Section 106 and
   Subpart B of 36 CFR Part 800; or

   4. The collocation licensee or the owner of the tower has received written
   or electronic notification that the FCC is in receipt of a complaint from a
   member of the public, a SHPO or the Council, that the collocation has an
   adverse effect on one or more historic properties. Any such complaint must
   be in writing and supported by substantial evidence describing how the
   effect from the collocation is adverse to the attributes that qualify any
   affected historic property for eligibility or potential eligibility for the
   National Register.

   V. Collocation of Antennas on Buildings and Non-Tower Structures Outside of
   Historic Districts

   A. An antenna may be mounted on a building or non-tower structure without
   such collocation being reviewed under the consultation process set forth
   under Subpart B of 36 CFR Part 800, unless:

   1. The building or structure is over 45 years old;^1 or

   ^1 Suitable methods for determining the age of a building include, but are
   not limited to: (1) obtaining the opinon of a consultant who meets the
   Secretary of Interior's Professional Qualifications Standards (36 CFR Part
   61) or (2) consulting public records.

   2. The building or structure is inside the boundary of a historic district,
   or if the antenna is visible from the ground level of the historic district,
   the building or structure is within 250 feet of the boundary of the historic
   district; or

   3. The building or non-tower structure is a designated National Historic
   Landmark, or listed in or eligible for listing in the National Register of
   Historic Places based upon the review of the licensee, tower company or
   applicant for an antenna license; or

   4. The collocation licensee or the owner of the tower has received written
   or electronic notification that the FCC is in receipt of a complaint from a
   member of the public, a SHPO or the Council, that the collocation has an
   adverse effect on one or more historic properties. Any such complaint must
   be in writing and supported by substantial evidence describing how the
   effect from the collocation is adverse to the attributes that qualify any
   affected historic property for eligibility or potential eligibility for the
   National Register.

   B. Subsequent to the collocation of an antenna, should the SHPO/THPO or
   Council determine that the collocation of the antenna or its associated
   equipment installed under the terms of Stipulation V has resulted in an
   adverse effect on historic properties, the SHPO/THPO or Council may notify
   the FCC accordingly. The FCC shall comply with the requirements of Section
   106 and 36 CFR Part 800 for this particular collocation.

   VI. Reservation of Rights

   Neither execution of this Agreement, nor implementation of or compliance
   with any term herein shall operate in any way as a waiver by any party
   hereto, or by any person or entity complying herewith or affected hereby, of
   a  right  to assert in any court of law any claim, argument or defense
   regarding the validity or interpretation of any provision of the National
   Historic Preservation Act (16 U.S.C. 470 et seq. ) or its implementing
   regulations contained in 36 CFR Part 800.

   VII. Monitoring

   A. FCC licensees shall retain records of the placement of all licensed
   antennas, including collocations subject to this Nationwide Programmatic
   Agreement, consistent with FCC rules and procedures.

   B. The Council will forward to the FCC and the relevant SHPO any written
   objections it receives from members of the public regarding a collocation
   activity  or general compliance with the provisions of this Nationwide
   Programmatic Agreement within thirty (30) days following receipt of the
   written objection. The FCC will forward a copy of the written objection to
   the appropriate licensee or tower owner.

   VIII. Amendments

   If any signatory to this Nationwide Collocation Programmatic Agreement
   believes that this Agreement should be amended, that signatory may at any
   time propose amendments, whereupon the signatories will consult to consider
   the  amendments.  This  agreement may be amended only upon the written
   concurrence of the signatories.

   IX. Termination

   A.  If  the  FCC determines that it cannot implement the terms of this
   Nationwide Collocation Programmatic Agreement, or if the FCC, NCSHPO or the
   Council determines that the Programmatic Agreement is not being properly
   implemented by the parties to this Programmatic Agreement, the FCC, NCSHPO
   or the Council may propose to the other signatories that the Programmatic
   Agreement be terminated.

   B. The party proposing to terminate the Programmatic Agreement shall notify
   the other signatories in writing, explaining the reasons for the proposed
   termination and the particulars of the asserted improper implementation.
   Such party also shall afford the other signatories a reasonable period of
   time of no less than thirty (30) days to consult and remedy the problems
   resulting in improper implementation. Upon receipt of such notice, the
   parties shall consult with each other and notify and consult with other
   entities that are either involved in such implementation or that would be
   substantially  affected  by  termination  of  this Agreement, and seek
   alternatives to termination. Should the consultation fail to produce within
   the original remedy period or any extension, a reasonable alternative to
   termination, a resolution of the stated problems, or convincing evidence of
   substantial implementation of this Agreement in accordance with its terms ,
   this Programmatic Agreement shall be terminated thirty days after notice of
   termination is served on all parties and published in theFederal Register.

   C. In the event that the Programmatic Agreement is terminated, the FCC shall
   advise its licensees and tower construction companies of the termination and
   of the need to comply with any applicable Section 106 requirements on a
   case-by-case basis for collocation activities.

   X. Annual Meeting of the Signatories

   The signatories to this Nationwide Collocation Programmatic Agreement will
   meet on or about September 10, 2001, and on or about September 10 in each
   subsequent year, to discuss the effectiveness of this Agreement, including
   any issues related to improper implementation, and to discuss any potential
   amendments that would improve the effectiveness of this Agreement.

   XI. Duration of the Programmatic Agreement

   This Programmatic Agreement for collocation shall remain in force unless the
   Programmatic  Agreement is terminated or superseded by a comprehensive
   Programmatic Agreement for wireless communications antennas.

   Execution of this Nationwide Programmatic Agreement by the FCC, NCSHPO and
   the Council, and implementation of its terms, evidence that the FCC has
   afforded  the  Council an opportunity to comment on the collocation as
   described herein of antennas covered under the FCC's rules, and that the FCC
   has  taken  into account the effects of these collocations on historic
   properties  in  accordance  with  Section 106 of the National Historic
   Preservation Act and its implementing regulations, 36 CFR Part 800.

   Federal Communications Commission
   ____________________
   Date:____________________

   Advisory Council on Historic Preservation
   ____________________
   Date:____________________

   National Conference of State Historic Preservation Officers
   ____________________
   Date:____________________

   [ 70 FR 578 , Jan. 4, 2005]

Appendix C to Part 1—Nationwide Programmatic Agreement Regarding the Section
106 National Historic Preservation Act Review Process

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   Nationwide  Programmatic  Agreement  for Review of Effects on Historic
   Properties for Certain Undertakings Approved by the Federal Communications
   Commission

   Executed by the Federal Communications Commission, the National Conference
   of State Historic Preservation Officers and the Advisory Council on Historic
   Preservation

   September 2004

   Introduction

   Whereas, Section 106 of the National Historic Preservation Act of 1966, as
   amended (“NHPA”) (codified at 16 U.S.C. 470f), requires federal agencies to
   take into account the effects of certain of their Undertakings on Historic
   Properties (see Section II, below), included in or eligible for inclusion in
   the National Register of Historic Places (“National Register”), and to
   afford  the  Advisory  Council  on Historic Preservation (“Council”) a
   reasonable opportunity to comment with regard to such Undertakings; and

   Whereas, under the authority granted by Congress in the Communications Act
   of 1934, as amended (47 U.S.C. 151 et seq. ), the Federal Communications
   Commission (“Commission”) establishes rules and procedures for the licensing
   of non-federal government communications services, and the registration of
   certain antenna structures in the United States and its Possessions and
   Territories; and

   Whereas, Congress and the Commission have deregulated or streamlined the
   application process regarding the construction of individual Facilities in
   many of the Commission's licensed services; and

   Whereas, under the framework established in the Commission's environmental
   rules,  47  CFR 1.13011.1319, Commission licensees and applicants for
   authorizations and antenna structure registrations are required to prepare,
   and  the Commission is required to independently review and approve, a
   pre-construction Environmental Assessment (“EA”) in cases where a proposed
   tower  or  antenna may significantly affect the environment, including
   situations where a proposed tower or antenna may affect Historic Properties
   that are either listed in or eligible for listing in the National Register,
   including properties of religious and cultural importance to an Indian tribe
   or Native Hawaiian organization (“NHO”) that meet the National Register
   criteria; and

   Whereas, the Council has adopted rules implementing Section 106 of the NHPA
   (codified at 36 CFR Part 800) and setting forth the process, called the
   “Section 106 process,” for complying with the NHPA; and

   Whereas, pursuant to the Commission's rules and the terms of this Nationwide
   Programmatic Agreement for Review of Effects on Historic Properties for
   Certain Undertakings Approved by the Federal Communications Commission
   (“Nationwide  Agreement”),  Applicants ( see Section II.A.2) have been
   authorized, consistent with the terms of the memorandum from the Council to
   the Commission, titled “Delegation of Authority for the Section 106 Review
   of Telecommunications Projects,” dated September 21, 2000, to initiate,
   coordinate, and assist the Commission with compliance with many aspects of
   the Section 106 review process for their Facilities; and

   Whereas,  in August 2000, the Council established a Telecommunications
   Working Group (the “Working Group”) to provide a forum for the Commission,
   the Council, the National Conference of State Historic Preservation Officers
   (“Conference”), individual State Historic Preservation Officers (“SHPOs”),
   Tribal   Historic   Preservation   Officers  (“THPOs”),  other  tribal
   representatives,  communications  industry  representatives, and other
   interested members of the public to discuss improved Section 106 compliance
   and to develop methods of streamlining the Section 106 review process; and

   Whereas, Section 214 of the NHPA (16 U.S.C. 470v) authorizes the Council to
   promulgate regulations implementing exclusions from Section 106 review, and
   Section 800.14(b) of the Council's regulations (36 CFR 800.14(b)) allows for
   programmatic agreements to streamline and tailor the Section 106 review
   process to particular federal programs, if they are consistent with the
   Council's regulations; and

   Whereas, the Commission, the Council, and the Conference executed on March
   16, 2001, the Nationwide Programmatic Agreement for the Collocation of
   Wireless Antennas (the “Collocation Agreement”), in order to streamline
   review  for  the  collocation of antennas on existing towers and other
   structures and thereby reduce the need for the construction of new towers
   (Attachment 1 to this Nationwide Agreement); and

   Whereas, the Council, the Conference, and the Commission now agree it is
   desirable to further streamline and tailor the Section 106 review process
   for Facilities that are not excluded from Section 106 review under the
   Collocation Agreement while protecting Historic Properties that are either
   listed in or eligible for listing in the National Register; and

   Whereas, the Working Group agrees that a nationwide programmatic agreement
   is  a desirable and effective way to further streamline and tailor the
   Section 106 review process as it applies to Facilities; and

   Whereas, this Nationwide Agreement will, upon its execution by the Council,
   the  Conference,  and  the Commission, constitute a substitute for the
   Council's rules with respect to certain Commission Undertakings; and

   Whereas, the Commission sought public comment on a draft of this Nationwide
   Agreement through a Notice of Proposed Rulemaking released on June 9, 2003;

   Whereas, the Commission has actively sought and received participation and
   comment from Indian tribes and NHOs regarding this Nationwide Agreement; and

   Whereas, the Commission has consulted with federally recognized Indian
   tribes regarding this Nationwide Agreement ( see Report and Order, FCC
   04–222, at ¶31); and

   Whereas,  this  Nationwide  Agreement  provides for appropriate public
   notification and participation in connection with the Section 106 process;
   and

   Whereas, Section 101(d)(6) of the NHPA provides that federal agencies “shall
   consult with any Indian tribe or Native Hawaiian organization” that attaches
   religious and cultural significance to properties of traditional religious
   and cultural importance that may be determined to be eligible for inclusion
   in the National Register and that might be affected by a federal undertaking
   (16 U.S.C. 470a(d)(6)); and

   Whereas, the Commission has adopted a “Statement of Policy on Establishing a
   Government-to-Government Relationship with Indian Tribes” dated June 23,
   2000,  pursuant  to  which the Commission: recognizes the unique legal
   relationship that exists between the federal government and Indian tribal
   governments,  as  reflected  in the Constitution of the United States,
   treaties, federal statutes, Executive orders, and numerous court decisions;
   affirms the federal trust relationship with Indian tribes, and recognizes
   that this historic trust relationship requires the federal government to
   adhere to certain fiduciary standards in its dealings with Indian tribes;
   commits to working with Indian tribes on a government-to-government basis
   consistent  with the principles of tribal self-governance; commits, in
   accordance with the federal government's trust responsibility, and to the
   extent practicable, to consult with tribal governments prior to implementing
   any regulatory action or policy that will significantly or uniquely affect
   tribal governments, their land and resources; strives to develop working
   relationships  with  tribal governments, and will endeavor to identify
   innovative mechanisms to facilitate tribal consultations in the Commission's
   regulatory processes; and endeavors to streamline its administrative process
   and procedures to remove undue burdens that its decisions and actions place
   on Indian tribes; and

   Whereas, the Commission does not delegate under this Programmatic Agreement
   any portion of its responsibilities to Indian tribes and NHOs, including its
   obligation to consult under Section 101(d)(6) of the NHPA; and

   Whereas, the terms of this Nationwide Agreement are consistent with and do
   not attempt to abrogate the rights of Indian tribes or NHOs to consult
   directly with the Commission regarding the construction of Facilities; and

   Whereas, the execution and implementation of this Nationwide Agreement will
   not  preclude Indian tribes or NHOs, SHPO/THPOs, local governments, or
   members of the public from filing complaints with the Commission or the
   Council regarding effects on Historic Properties from any Facility or any
   activity covered under the terms of the Nationwide Agreement; and

   Whereas, Indian tribes and NHOs may request Council involvement in Section
   106 cases that present issues of concern to Indian tribes or NHOs ( see 36
   CFR Part 800, Appendix A, Section (c)(4)); and

   Whereas, the Commission, after consulting with federally recognized Indian
   tribes, has developed an electronic Tower Construction Notification System
   through which Indian tribes and NHOs may voluntarily identify the geographic
   areas  in which Historic Properties to which they attach religious and
   cultural  significance  may be located, Applicants may ascertain which
   participating Indian tribes and NHOs have identified such an interest in the
   geographic  area  in  which  they propose to construct Facilities, and
   Applicants may voluntarily provide electronic notification of proposed
   Facilities construction for the Commission to forward to participating
   Indian tribes, NHOs, and SHPOs/THPOs; and

   Whereas, the Council, the Conference and the Commission recognize that
   Applicants' use of qualified professionals experienced with the NHPA and
   Section 106 can streamline the review process and minimize potential delays;
   and

   Whereas,  the  Commission  has created a position and hired a cultural
   resources professional to assist with the Section 106 process; and

   Whereas, upon execution of this Nationwide Agreement, the Council may still
   provide advisory comments to the Commission regarding the coordination of
   Section 106 reviews; notify the Commission of concerns raised by consulting
   parties and the public regarding an Undertaking; and participate in the
   resolution  of  adverse  effects  for complex, controversial, or other
   non-routine projects;

   Now Therefore, in consideration of the above provisions and of the covenants
   and  agreements  contained herein, the Council, the Conference and the
   Commission (the “Parties”) agree as follows:

   I. Applicability and Scope of This Nationwide Agreement

   A. This Nationwide Agreement (1) Excludes from Section 106 review certain
   Undertakings involving the construction and modification of Facilities, and
   (2)  streamlines  and tailors the Section 106 review process for other
   Undertakings involving the construction and modification of Facilities. An
   illustrative list of Commission activities in relation to which Undertakings
   covered by this Agreement may occur is provided as Attachment 2 to this
   Agreement.

   B.  This  Nationwide Agreement applies only to federal Undertakings as
   determined by the Commission (“Undertakings”). The Commission has sole
   authority to determine what activities undertaken by the Commission or its
   Applicants constitute Undertakings within the meaning of the NHPA. Nothing
   in this Agreement shall preclude the Commission from revisiting or affect
   the existing ability of any person to challenge any prior determination of
   what does or does not constitute an Undertaking. Maintenance and servicing
   of  Towers,  Antennas,  and  associated equipment are not deemed to be
   Undertakings subject to Section 106 review.

   C. This Agreement does not apply to Antenna Collocations that are exempt
   from Section 106 review under the Collocation Agreement ( see Attachment 1).
   Pursuant to the terms of the Collocation Agreement, such Collocations shall
   not be subject to the Section 106 review process and shall not be submitted
   to the SHPO/THPO for review. This Agreement does apply to collocations that
   are not exempt from Section 106 review under the Collocation Agreement.

   D. This Agreement does not apply on “tribal lands” as defined under Section
   800.16(x) of the Council's regulations, 36 CFR §800.16(x) (“Tribal lands
   means all lands within the exterior boundaries of any Indian reservation and
   all dependent Indian communities.”). This Nationwide Agreement, however,
   will apply on tribal lands should a tribe, pursuant to appropriate tribal
   procedures  and upon reasonable notice to the Council, Commission, and
   appropriate SHPO/THPO, elect to adopt the provisions of this Nationwide
   Agreement. Where a tribe that has assumed SHPO functions pursuant to Section
   101(d)(2) of the NHPA (16 U.S.C. 470(d)(2)) has agreed to application of
   this Nationwide Agreement on tribal lands, the term SHPO/THPO denotes the
   Tribal Historic Preservation Officer with respect to review of proposed
   Undertakings on those tribal lands. Where a tribe that has not assumed SHPO
   functions has agreed to application of this Nationwide Agreement on tribal
   lands, the tribe may notify the Commission of the tribe's intention to
   perform the duties of a SHPO/THPO, as defined in this Nationwide Agreement,
   for proposed Undertakings on its tribal lands, and in such instances the
   term SHPO/THPO denotes both the State Historic Preservation Officer and the
   tribe's  authorized  representative.  In all other instances, the term
   SHPO/THPO denotes the State Historic Preservation Officer.

   E. This Nationwide Agreement governs only review of Undertakings under
   Section  106 of the NHPA. Applicants completing the Section 106 review
   process  under the terms of this Nationwide Agreement may not initiate
   construction without completing any environmental review that is otherwise
   required for effects other than historic preservation under the Commission's
   rules ( See 47 CFR 1.13011.1319). Completion of the Section 106 review
   process under this Nationwide Agreement satisfies an Applicant's obligations
   under the Commission's rules with respect to Historic Properties, except for
   Undertakings that have been determined to have an adverse effect on Historic
   Properties  and  that  therefore  require preparation and filing of an
   Environmental Assessment ( See 47 CFR 1.1307(a)(4)).

   F.   This  Nationwide  Agreement  does  not  govern  any  Section  106
   responsibilities that agencies other than the Commission may have with
   respect to those agencies' federal Undertakings.

   II. Definitions

   A. The following terms are used in this Nationwide Agreement as defined
   below:

   1.  Antenna.  An  apparatus designed for the purpose of emitting radio
   frequency  (“RF”)  radiation, to be operated or operating from a fixed
   location pursuant to Commission authorization, for the transmission of
   writing, signs, signals, data, images, pictures, and sounds of all kinds,
   including the transmitting device and any on-site equipment, switches,
   wiring, cabling, power sources, shelters or cabinets associated with that
   antenna and added to a Tower, structure, or building as part of the original
   installation of the antenna. For most services, an Antenna will be mounted
   on or in, and is distinct from, a supporting structure such as a Tower,
   structure or building. However, in the case of AM broadcast stations, the
   entire Tower or group of Towers constitutes the Antenna for that station.
   For purposes of this Nationwide Agreement, the term Antenna does not include
   unintentional radiators, mobile stations, or devices authorized under Part
   15 of the Commission's rules.

   2. Applicant. A Commission licensee, permittee, or registration holder, or
   an applicant or prospective applicant for a wireless or broadcast license,
   authorization or antenna structure registration, and the duly authorized
   agents, employees, and contractors of any such person or entity.

   3. Area of Potential Effects (“APE”). The geographic area or areas within
   which an Undertaking may directly or indirectly cause alterations in the
   character or use of Historic Properties, if any such properties exist.

   4. Collocation. The mounting or installation of an Antenna on an existing
   Tower,  building,  or  structure for the purpose of transmitting radio
   frequency signals for telecommunications or broadcast purposes.

   5. Effect. An alteration to the characteristics of a Historic Property
   qualifying it for inclusion in or eligibility for the National Register.

   6.  Experimental  Authorization.  An  authorization  issued to conduct
   experimentation utilizing radio waves for gathering scientific or technical
   operation  data  directed  toward  the  improvement or extension of an
   established service and not intended for reception and use by the general
   public. “Experimental Authorization” does not include an “Experimental
   Broadcast Station” authorized under Part 74 of the Commission's rules.

   7. Facility. A Tower or an Antenna. The term Facility may also refer to a
   Tower and its associated Antenna(s).

   8. Field Survey. A research strategy that utilizes one or more visits to the
   area where construction is proposed as a means of identifying Historic
   Properties.

   9. Historic Property. Any prehistoric or historic district, site, building,
   structure, or object included in, or eligible for inclusion in, the National
   Register maintained by the Secretary of the Interior. This term includes
   artifacts, records, and remains that are related to and located within such
   properties.  The term includes properties of traditional religious and
   cultural  importance  to an Indian tribe or NHO that meet the National
   Register criteria.

   10. National Register. The National Register of Historic Places, maintained
   by the Secretary of the Interior's office of the Keeper of the National
   Register.

   11.  SHPO/THPO  Inventory.  A  set  of  records of previously gathered
   information, authorized by state or tribal law, on the absence, presence and
   significance of historic and archaeological resources within the state or
   tribal land.

   12. Special Temporary Authorization. Authorization granted to a permittee or
   licensee to allow the operation of a station for a limited period at a
   specified variance from the terms of the station's permanent authorization
   or requirements of the Commission's rules applicable to the particular class
   or type of station.

   13.  Submission  Packet. The document to be submitted initially to the
   SHPO/THPO  to  facilitate  review  of the Applicant's findings and any
   determinations  with  regard  to  the potential impact of the proposed
   Undertaking on Historic Properties in the APE. There are two Submission
   Packets: (a) The New Tower Submission Packet (FCC Form 620) ( See Attachment
   3) and (b) The Collocation Submission Packet (FCC Form 621) ( See Attachment
   4). Any documents required to be submitted along with a Form are part of the
   Submission Packet.

   14. Tower. Any structure built for the sole or primary purpose of supporting
   Commission-licensed or authorized Antennas, including the on-site fencing,
   equipment, switches, wiring, cabling, power sources, shelters, or cabinets
   associated  with that Tower but not installed as part of an Antenna as
   defined herein.

   B.  All  other terms not defined above or elsewhere in this Nationwide
   Agreement shall have the same meaning as set forth in the Council's rules
   section on Definitions (36 CFR 800.16) or the Commission's rules (47 CFR
   Chapter I).

   C. For the calculation of time periods under this Agreement, “days” mean
   “calendar days.” Any time period specified in the Agreement that ends on a
   weekend or a Federal or State holiday is extended until the close of the
   following business day.

   D. Written communications include communications by e-mail or facsimile.

   III. Undertakings Excluded From Section 106 Review

   Undertakings  that  fall within the provisions listed in the following
   sections III.A. through III.F. are excluded from Section 106 review by the
   SHPO/THPO, the Commission, and the Council, and, accordingly, shall not be
   submitted to the SHPO/THPO for review. The determination that an exclusion
   applies to an Undertaking should be made by an authorized individual within
   the Applicant's organization, and Applicants should retain documentation of
   their  determination that an exclusion applies. Concerns regarding the
   application of these exclusions from Section 106 review may be presented to
   and considered by the Commission pursuant to Section XI.

   A.  Enhancement of a tower and any associated excavation that does not
   involve a collocation and does not substantially increase the size of the
   existing  tower,  as  defined in the Collocation Agreement. For towers
   constructed after March 16, 2001, this exclusion applies only if the tower
   has  completed  the  Section  106  review  process  and any associated
   environmental reviews required by the Commission.

   B. Construction of a replacement for an existing communications tower and
   any associated excavation that does not substantially increase the size of
   the existing tower under elements 1–3 of the definition as defined in the
   Collocation Agreement ( see Attachment 1 to this Agreement, Stipulation
   1.c.1–3) and that does not expand the boundaries of the leased or owned
   property surrounding the tower by more than 30 feet in any direction or
   involve excavation outside these expanded boundaries or outside any existing
   access or utility easement related to the site. For towers constructed after
   March 16, 2001, this exclusion applies only if the tower has completed the
   Section 106 review process and any associated environmental reviews required
   by the Commission's rules.

   C. Construction of any temporary communications Tower, Antenna structure, or
   related  Facility that involves no excavation or where all areas to be
   excavated will be located in areas described in Section VI.D.2.c.i below,
   including but not limited to the following:

   1. A Tower or Antenna authorized by the Commission for a temporary period,
   such as any Facility authorized by a Commission grant of Special Temporary
   Authority (“STA”) or emergency authorization;

   2. A cell on wheels (COW) transmission Facility;

   3. A broadcast auxiliary services truck, TV pickup station, remote pickup
   broadcast station ( e.g. , electronic newsgathering vehicle) authorized
   under Part 74 or temporary fixed or transportable earth station in the fixed
   satellite service ( e.g. , satellite newsgathering vehicle) authorized under
   Part 25;

   4. A temporary ballast mount Tower;

   5.  Any  Facility  authorized by a Commission grant of an experimental
   authorization.

   For purposes of this Section III.C, the term “temporary” means “for no more
   than twenty-four months duration except in the case of those Facilities
   associated with national security.”

   D. Construction of a Facility less than 200 feet in overall height above
   ground level in an existing industrial park,^1 commercial strip mall,^2 or
   shopping center^3 that occupies a total land area of 100,000 square feet or
   more, provided that the industrial park, strip mall, or shopping center is
   not  located within the boundaries of or within 500 feet of a Historic
   Property, as identified by the Applicant after a preliminary search of
   relevant records. Proposed Facilities within this exclusion must complete
   the process of participation of Indian tribes and NHOs pursuant to Section
   IV of this Agreement. If as a result of this process the Applicant or the
   Commission  identifies  a  Historic Property that may be affected, the
   Applicant must complete the Section 106 review process pursuant to this
   Agreement notwithstanding the exclusion.

   ^1 A tract of land that is planned, developed, and operated as an integrated
   facility for a number of individual industrial uses, with consideration to
   transportation facilities, circulation, parking, utility needs, aesthetics
   and compatibility.

   ^2 A structure or grouping of structures, housing retail business, set back
   far enough from the street to permit parking spaces to be placed between the
   building entrances and the public right of way.

   ^3 A group of commercial establishments planned, constructed, and managed as
   a  total  entity, with customer and employee parking provided on-site,
   provision for goods delivery separated from customer access, aesthetic
   considerations and protection from the elements, and landscaping and signage
   in accordance with an approved plan.

   E. Construction of a Facility in or within 50 feet of the outer boundary of
   a right-of-way designated by a Federal, State, local, or Tribal government
   for  the  location  of  communications  Towers or above-ground utility
   transmission or distribution lines and associated structures and equipment
   and in active use for such purposes, provided:

   1. The proposed Facility would not constitute a substantial increase in
   size, under elements 1–3 of the definition in the Collocation Agreement,
   over existing structures located in the right-of-way within the vicinity of
   the proposed Facility, and;

   2. The proposed Facility would not be located within the boundaries of a
   Historic Property, as identified by the Applicant after a preliminary search
   of relevant records.

   Proposed Facilities within this exclusion must complete the process of
   participation of Indian tribes and NHOs pursuant to Section IV of this
   Agreement. If as a result of this process the Applicant or the Commission
   identifies a Historic Property that may be affected, the Applicant must
   complete  the  Section  106  review process pursuant to this Agreement
   notwithstanding the exclusion.

   F. Construction of a Facility in any area previously designated by the
   SHPO/THPO at its discretion, following consultation with appropriate Indian
   tribes and NHOs, as having limited potential to affect Historic Properties.
   Such designation shall be documented by the SHPO/THPO and made available for
   public review.

   IV. Participation of Indian Tribes and Native Hawaiian Organizations in
   Undertakings Off Tribal Lands

   A. The Commission recognizes its responsibility to carry out consultation
   with  any  Indian  tribe  or  NHO that attaches religious and cultural
   significance to a Historic Property if the property may be affected by a
   Commission  undertaking.  This  responsibility  is founded in Sections
   101(d)(6)(a–b) and 106 of the NHPA (16 U.S.C. 470a(d)(6)(a–b) and 470f), the
   regulations of the Council (36 CFR Part 800), the Commission's environmental
   regulations (47 CFR 1.13011.1319), and the unique legal relationship that
   exists between the federal government and Indian Tribal governments, as
   reflected  in the Constitution of the United States, treaties, federal
   statutes, Executive orders, and numerous court decisions. This historic
   trust relationship requires the federal government to adhere to certain
   fiduciary  standards  in  its dealings with Indian Tribes. (Commission
   Statement of Policy on Establishing a Government-to-Government Relationship
   with Indian Tribes).

   B.  As an initial step to enable the Commission to fulfill its duty of
   consultation, Applicants shall use reasonable and good faith efforts to
   identify any Indian tribe or NHO that may attach religious and cultural
   significance to Historic Properties that may be affected by an Undertaking.
   Applicants should be aware that frequently, Historic Properties of religious
   and  cultural  significance  to  Indian tribes and NHOs are located on
   ancestral, aboriginal, or ceded lands of such tribes and organizations and
   Applicants  should  take  this  into account when complying with their
   responsibilities. Where an Indian tribe or NHO has voluntarily provided
   information to the Commission's Tower Construction Notification System
   regarding the geographic areas in which Historic Properties of religious and
   cultural significance to that Indian tribe or NHO may be located, reference
   to the Tower Construction Notification System shall constitute a reasonable
   and good faith effort at identification with respect to that Indian tribe or
   NHO. In addition, such reasonable and good faith efforts may include, but
   are  not  limited  to,  seeking relevant information from the relevant
   SHPO/THPO, Indian tribes, state agencies, the U.S. Bureau of Indian Affairs
   (“BIA”), or, where applicable, any federal agency with land holdings within
   the state ( e.g. , the U.S. Bureau of Land Management). Although these
   agencies can provide useful information in identifying potentially affected
   Indian tribes, contacting BIA, the SHPO or other federal and state agencies
   is not a substitute for seeking information directly from Indian tribes that
   may attach religious and cultural significance to a potentially affected
   Historic Property, as described below.

   C. After the Applicant has identified Indian tribes and NHOs that may attach
   religious  and  cultural significance to potentially affected Historic
   Properties,  the Commission has the responsibility, and the Commission
   imposes on the Applicant the obligation, to ensure that contact is made at
   an early stage in the planning process with such Indian tribes and NHOs in
   order to begin the process of ascertaining whether such Historic Properties
   may be affected. This initial contact shall be made by the Commission or the
   Applicant, in accordance with the wishes of the Indian tribe or NHO. This
   contact shall constitute only an initial effort to contact the Indian tribe
   or NHO, and does not in itself fully satisfy the Applicant's obligations or
   substitute for government-to-government consultation unless the Indian tribe
   or NHO affirmatively disclaims further interest or the Indian tribe or NHO
   has otherwise agreed that such contact is sufficient. Depending on the
   preference of the Indian tribe or NHO, the means of initial contact may
   include, without limitation:

   1. Electronic notification through the Commission's Tower Construction
   Notification System;

   2.  Written  communication  from  the Commission at the request of the
   Applicant;

   3. Written, e-mail, or telephonic notification directly from the Applicant
   to the Indian tribe or NHO;

   4. Any other means that the Indian Tribe or NHO has informed the Commission
   are acceptable, including through the adoption of best practices pursuant to
   Section IV.J, below; or

   5. Any other means to which an Indian tribe or NHO and an Applicant have
   agreed pursuant to Section IV.K, below.

   D. The Commission will use its best efforts to ascertain the preferences of
   each Indian tribe and NHO for initial contact, and to make these preferences
   available to Applicants in a readily accessible format. In addition, the
   Commission will use its best efforts to ascertain, and to make available to
   Applicants, any locations or types of construction projects, within the
   broad  geographic  areas in which Historic Properties of religious and
   cultural significance to an Indian tribe or NHO may be located, for which
   the Indian tribe or NHO does not expect notification. To the extent they are
   comfortable doing so, the Commission encourages Indian tribes and NHOs to
   accept  the Tower Construction Notification System as an efficient and
   thorough means of making initial contact.

   E. In the absence of any contrary indication of an Indian tribe's or NHO's
   preference, where an Applicant does not have a pre-existing relationship
   with an Indian tribe or NHO, initial contact with the Indian tribe or NHO
   shall be made through the Commission. Unless the Indian tribe or NHO has
   indicated otherwise, the Commission may make this initial contact through
   the  Tower  Construction  Notification System. An Applicant that has a
   pre-existing relationship with an Indian tribe or NHO shall make initial
   contact in the manner that is customary to that relationship or in such
   other manner as may be accepted by the Indian tribe or NHO. An Applicant
   shall  copy the Commission on any initial written or electronic direct
   contact with an Indian tribe or NHO, unless the Indian tribe or NHO has
   agreed through a best practices agreement or otherwise that such copying is
   not necessary.

   F. Applicants' direct contacts with Indian tribes and NHOs, where accepted
   by the Indian tribe or NHO, shall be made in a sensitive manner that is
   consistent with the reasonable wishes of the Indian tribe or NHO, where such
   wishes are known or can be reasonably ascertained. In general, unless an
   Indian tribe or NHO has provided guidance to the contrary, Applicants shall
   follow the following guidelines:

   1. All communications with Indian tribes shall be respectful of tribal
   sovereignty;

   2.  Communications shall be directed to the appropriate representative
   designated or identified by the tribal government or other governing body;

   3. Applicants shall provide all information reasonably necessary for the
   Indian tribe or NHO to evaluate whether Historic Properties of religious and
   cultural significance may be affected. The parties recognize that it may be
   neither feasible nor desirable to provide complete information about the
   project at the time of initial contact, particularly when initial contact is
   made early in the process. Unless the Indian tribe or NHO affirmatively
   disclaims interest, however, it shall be provided with complete information
   within the earliest reasonable time frame;

   4. The Applicant must ensure that Indian tribes and NHOs have a reasonable
   opportunity to respond to all communications. Ordinarily, 30 days from the
   time the relevant tribal or NHO representative may reasonably be expected to
   have received an inquiry shall be considered a reasonable time. Should a
   tribe or NHO request additional time to respond, the Applicant shall afford
   additional  time as reasonable under the circumstances. However, where
   initial  contact  is made automatically through the Tower Construction
   Notification System, and where an Indian tribe or NHO has stated that it is
   not interested in reviewing proposed construction of certain types or in
   certain  locations, the Applicant need not await a response to contact
   regarding proposed construction meeting that description;

   5.  Applicants  should  not assume that failure to respond to a single
   communication establishes that an Indian tribe or NHO is not interested in
   participating, but should make a reasonable effort to follow up.

   G. The purposes of communications between the Applicant and Indian tribes or
   NHOs are: (1) To ascertain whether Historic Properties of religious and
   cultural significance to the Indian tribe or NHO may be affected by the
   undertaking and consultation is therefore necessary, and (2) where possible,
   with the concurrence of the Indian tribe or NHO, to reach an agreement on
   the  presence  or  absence  of  effects  that may obviate the need for
   consultation.  Accordingly,  the Applicant shall promptly refer to the
   Commission  any  request  from a federally recognized Indian tribe for
   government-to-government consultation. The Commission will then carry out
   government-to-government consultation with the Indian tribe. Applicants
   shall also seek guidance from the Commission in the event of any substantive
   or procedural disagreement with an Indian tribe or NHO, or if the Indian
   tribe or NHO does not respond to the Applicant's inquiries. Applicants are
   strongly advised to seek guidance from the Commission in cases of doubt.

   H. If an Indian tribe or NHO indicates that a Historic Property of religious
   and cultural significance to it may be affected, the Applicant shall invite
   the commenting tribe or organization to become a consulting party. If the
   Indian  tribe  or NHO agrees to become a consulting party, it shall be
   afforded that status and shall be provided with all of the information,
   copies of submissions, and other prerogatives of a consulting party as
   provided for in 36 CFR 800.2.

   I. Information regarding Historic Properties to which Indian tribes or NHOs
   attach religious and cultural significance may be highly confidential,
   private, and sensitive. If an Indian tribe or NHO requests confidentiality
   from the Applicant, the Applicant shall honor this request and shall, in
   turn, request confidential treatment of such materials or information in
   accordance with the Commission's rules and Section 304 of the NHPA (16
   U.S.C. 470w–3(a)) in the event they are submitted to the Commission. The
   Commission shall provide such confidential treatment consistent with its
   rules and applicable federal laws. Although the Commission will strive to
   protect  the  privacy  interests of all parties, the Commission cannot
   guarantee  its  own  ability  or  the ability of Applicants to protect
   confidential, private, and sensitive information from disclosure under all
   circumstances.

   J. In order to promote efficiency, minimize misunderstandings, and ensure
   that communications among the parties are made in accordance with each
   Indian tribe or NHO's reasonable preferences, the Commission will use its
   best efforts to arrive at agreements regarding best practices with Indian
   tribes and NHOs and their representatives. Such best practices may include
   means of making initial contacts with Indian tribes and NHOs as well as
   guidelines for subsequent discussions between Applicants and Indian tribes
   or NHOs in fulfillment of the requirements of the Section 106 process. To
   the extent possible, the Commission will strive to achieve consistency among
   best practice agreements with Indian tribes and NHOs. Where best practices
   exist, the Commission encourages Applicants to follow those best practices.

   K.  Nothing  in  this  Section shall be construed to prohibit or limit
   Applicants  and Indian tribes or NHOs from entering into or continuing
   pre-existing arrangements or agreements governing their contacts, provided
   such arrangements or agreements are otherwise consistent with federal law
   and no modification is made in the roles of other parties to the process
   under this Nationwide Agreement without their consent. Documentation of such
   alternative arrangements or agreements should be filed with the Commission.

   V. Public Participation and Consulting Parties

   A. On or before the date an Applicant submits the appropriate Submission
   Packet to the SHPO/THPO, as prescribed by Section VII, below, the Applicant
   shall provide the local government that has primary land use jurisdiction
   over the site of the planned Undertaking with written notification of the
   planned Undertaking.

   B. On or before the date an Applicant submits the appropriate Submission
   Packet to the SHPO/THPO, as prescribed by Section VII, below, the Applicant
   shall provide written notice to the public of the planned Undertaking. Such
   notice may be accomplished (1) through the public notification provisions of
   the relevant local zoning or local historic preservation process for the
   proposed Facility; or (2) by publication in a local newspaper of general
   circulation. In the alternative, an Applicant may use other appropriate
   means of providing public notice, including seeking the assistance of the
   local government.

   C.  The written notice to the local government and to the public shall
   include: (1) The location of the proposed Facility including its street
   address; (2) a description of the proposed Facility including its height and
   type of structure; (3) instruction on how to submit comments regarding
   potential effects on Historic Properties; and (4) the name, address, and
   telephone number of a contact person.

   D. A SHPO/THPO may make available lists of other groups, including Indian
   tribes, NHOs and organizations of Indian tribes or NHOs, which should be
   provided notice for Undertakings to be located in particular areas.

   E.  If the Applicant receives a comment regarding potentially affected
   Historic Properties, the Applicant shall consider the comment and either
   include it in the initial submission to the SHPO/THPO, or, if the initial
   submission has already been made, immediately forward the comment to the
   SHPO/THPO for review. An Applicant need not submit to the SHPO/THPO any
   comment that does not substantially relate to potentially affected Historic
   Properties.

   F. The relevant SHPO/THPO, Indian tribes and NHOs that attach religious and
   cultural significance to Historic Properties that may be affected, and the
   local government are entitled to be consulting parties in the Section 106
   review of an Undertaking. The Council may enter the Section 106 process for
   a given Undertaking, on Commission invitation or on its own decision, in
   accordance with 36 CFR Part 800, Appendix A. An Applicant shall consider all
   written requests of other individuals and organizations to participate as
   consulting parties and determine which should be consulting parties. An
   Applicant is encouraged to grant such status to individuals or organizations
   with  a demonstrated legal or economic interest in the Undertaking, or
   demonstrated expertise or standing as a representative of local or public
   interest in historic or cultural resources preservation. Any such individual
   or organization denied consulting party status may petition the Commission
   for  review  of  such  denial. Applicants may seek assistance from the
   Commission in identifying and involving consulting parties. All entities
   granted consulting party status shall be identified to the SHPO/THPO as part
   of the Submission Packet.

   G.  Consulting parties are entitled to: (1) Receive notices, copies of
   submission packets, correspondence and other documents provided to the
   SHPO/THPO in a Section 106 review; and (2) be provided an opportunity to
   have their views expressed and taken into account by the Applicant, the
   SHPO/THPO and, where appropriate, by the Commission.

   VI. Identification, Evaluation, and Assessment of Effects

   A. In preparing the Submission Packet for the SHPO/THPO and consulting
   parties pursuant to Section VII of this Nationwide Agreement and Attachments
   3 and 4, the Applicant shall: (1) Define the area of potential effects
   (APE); (2) identify Historic Properties within the APE; (3) evaluate the
   historic significance of identified properties as appropriate; and (4)
   assess the effects of the Undertaking on Historic Properties. The standards
   and  procedures  described  below shall be applied by the Applicant in
   preparing  the  Submission  Packet,  by the SHPO/THPO in reviewing the
   Submission  Packet, and where appropriate, by the Commission in making
   findings.

   B. Exclusion of Specific Geographic Areas from Review.

   The SHPO/THPO, consistent with relevant State or tribal procedures, may
   specify geographic areas in which no review is required for direct effects
   on archeological resources or no review is required for visual effects.

   C. Area of Potential Effects.

   1. The term “Area of Potential Effects” is defined in Section II.A.3 of this
   Nationwide Agreement. For purposes of this Nationwide Agreement, the APE for
   direct effects and the APE for visual effects are further defined and are to
   be established as described below.

   2. The APE for direct effects is limited to the area of potential ground
   disturbance  and  any  property,  or any portion thereof, that will be
   physically altered or destroyed by the Undertaking.

   3.  The  APE  for  visual  effects is the geographic area in which the
   Undertaking has the potential to introduce visual elements that diminish or
   alter  the  setting,  including  the landscape, where the setting is a
   character-defining feature of a Historic Property that makes it eligible for
   listing on the National Register.

   4. Unless otherwise established through consultation with the SHPO/THPO, the
   presumed APE for visual effects for construction of new Facilities is the
   area from which the Tower will be visible:

   a. Within a half mile from the tower site if the proposed Tower is 200 feet
   or less in overall height;

   b. Within3/4of a mile from the tower site if the proposed Tower is more than
   200 but no more than 400 feet in overall height; or

   c. Wthin 11/2miles from the proposed tower site if the proposed Tower is
   more than 400 feet in overall height.

   5. In the event the Applicant determines, or the SHPO/THPO recommends, that
   an alternative APE for visual effects is necessary, the Applicant and the
   SHPO/THPO may mutually agree to an alternative APE.

   6. If the Applicant and the SHPO/THPO, after using good faith efforts,
   cannot reach an agreement on the use of an alternative APE, either the
   Applicant  or the SHPO/THPO may submit the issue to the Commission for
   resolution.  The Commission shall make its determination concerning an
   alternative APE within a reasonable time.

   D. Identification and Evaluation of Historic Properties.

   1. Identification and Evaluation of Historic Properties Within the APE for
   Visual Effects.

   a.  Except  to  identify Historic Properties of religious and cultural
   significance to Indian tribes and NHOs, Applicants shall identify Historic
   Properties within the APE for visual effects by reviewing the following
   records. Applicants are required to review such records only to the extent
   they  are available at the offices of the SHPO/THPO or can be found in
   publicly available sources identified by the SHPO/THPO. With respect to
   these properties, Applicants are not required to undertake a Field Survey or
   other measures other than reviewing these records in order to identify
   Historic Properties:

   i. Properties listed in the National Register;

   ii. Properties formally determined eligible for listing by the Keeper of the
   National Register;

   iii. Properties that the SHPO/THPO certifies are in the process of being
   nominated to the National Register;

   iv.  Properties  previously determined eligible as part of a consensus
   determination of eligibility between the SHPO/THPO and a Federal Agency or
   local  government  representing  the  Department  of Housing and Urban
   Development (HUD); and

   v. Properties listed in the SHPO/THPO Inventory that the SHPO/THPO has
   previously evaluated and found to meet the National Register criteria, and
   that are identified accordingly in the SHPO/THPO Inventory.

   b. At an early stage in the planning process and in accordance with Section
   IV  of  this Nationwide Agreement, the Commission or the Applicant, as
   appropriate, shall gather information from Indian tribes or NHOs identified
   pursuant to Section IV.B to assist in identifying Historic Properties of
   religious  and cultural significance to them within the APE for visual
   effects.  Such  information gathering may include a Field Survey where
   appropriate.

   c. Based on the sources listed above and public comment received pursuant to
   Section V of this Nationwide Agreement, the Applicant shall include in its
   Submission  Packet  a list of properties it has identified as apparent
   Historic Properties within the APE for visual effects.

   i. During the review period described in Section VII.A, the SHPO/THPO may
   identify additional properties included in the SHPO/THPO Inventory and
   located within the APE that the SHPO/THPO considers eligible for listing on
   the National Register, and notify the Applicant pursuant to Section VII.A.4.

   ii. The SHPO/THPO may also advise the Applicant that previously identified
   properties on the list no longer qualify for inclusion in the National
   Register.

   d. Applicants are encouraged at their discretion to use the services of
   professionals  who  meet  the Secretary of the Interior's Professional
   Qualification Standards when identifying Historic Properties within the APE
   for visual effects.

   e. Applicants are not required to evaluate the historic significance of
   properties identified pursuant to Section VI.D.1.a., but may rely on the
   previous  evaluation  of  these  properties.  Applicants may, at their
   discretion, evaluate whether such properties are no longer eligible for
   inclusion in the National Register and recommend to the SHPO/THPO their
   removal from consideration. Any such evaluation shall be performed by a
   professional  who  meets  the Secretary of the Interior's Professional
   Qualification Standards.

   2. Identification and Evaluation of Historic Properties Within the APE for
   Direct Effects.

   a. In addition to the properties identified pursuant to Section VI.D.1,
   Applicants shall make a reasonable good faith effort to identify other above
   ground  and  archeological  Historic  Properties, including buildings,
   structures, and historic districts, that lie within the APE for direct
   effects. Such reasonable and good faith efforts may include a Field Survey
   where appropriate.

   b. Identification and evaluation of Historic Properties within the APE for
   direct effects, including any finding that an archeological Field Survey is
   not required, shall be undertaken by a professional who meets the Secretary
   of the Interior's Professional Qualification Standards. Identification and
   evaluation relating to archeological resources shall be performed by a
   professional  who  meets  the Secretary of the Interior's Professional
   Qualification Standards in archeology.

   c. Except as provided below, the Applicant need not undertake a Field Survey
   for archeological resources where:

   i. the depth of previous disturbance exceeds the proposed construction depth
   (excluding footings and other anchoring mechanisms) by at least 2 feet as
   documented in the Applicant's siting analysis; or

   ii. geomorphological evidence indicates that cultural resource-bearing soils
   do not occur within the project area or may occur but at depths that exceed
   2 feet below the proposed construction depth.

   d. At an early stage in the planning process and in accordance with Section
   IV  of  this Nationwide Agreement, the Commission or the Applicant, as
   appropriate, shall gather information from Indian tribes or NHOs identified
   pursuant to Section IV.B to assist in identifying archeological Historic
   Properties of religious and cultural significance to them within the APE for
   direct effects. If an Indian tribe or NHO provides evidence that supports a
   high probability of the presence of intact archeological Historic Properties
   within  the  APE  for  direct  effects, the Applicant shall conduct an
   archeological Field Survey notwithstanding Section VI.D.2.c.

   e. Where the Applicant pursuant to Sections VI.D.2.c and VI.D.2.d finds that
   no  archeological  Field  Survey is necessary, it shall include in its
   Submission Packet a report substantiating this finding. During the review
   period described in Section VII.A, the SHPO/THPO may, based on evidence that
   supports a high probability of the presence of intact archeological Historic
   Properties within the APE for direct effects, notify the Applicant that the
   Submission  Packet is inadequate without an archeological Field Survey
   pursuant to Section VII.A.4.

   f. The Applicant shall conduct an archeological Field Survey within the APE
   for direct effects if neither of the conditions in Section VI.D.2.c applies,
   or if required pursuant to Section VI.D.2.d or e. The Field Survey shall be
   conducted in consul-tation with the SHPO/THPO and consulting Indian tribes
   or NHOs.

   g. The Applicant, in consultation with the SHPO/THPO and appropriate Indian
   tribes or NHOs, shall apply the National Register criteria (36 CFR Part 63)
   to properties identified within the APE for direct effects that have not
   previously  been evaluated for National Register eligibility, with the
   exception of those identified pursuant to Section VI.D.1.a.

   3.  Dispute  Resolution.  Where  there is a disagreement regarding the
   identification or eligibility of a property, and after attempting in good
   faith to resolve the issue the Applicant and the SHPO/THPO continue to
   disagree,  the  Applicant or the SHPO/THPO may submit the issue to the
   Commission. The Commission shall handle such submissions in accordance with
   36 CFR 800.4(c)(2).

   E. Assessment of Effects

   1. Applicants shall assess effects of the Undertaking on Historic Properties
   using the Criteria of Adverse Effect (36 CFR 800.5(a)(1)).

   2. In determining whether Historic Properties in the APE may be adversely
   affected by the Undertaking, the Applicant should consider factors such as
   the topography, vegetation, known presence of Historic Properties, and
   existing land use.

   3. An Undertaking will have a visual adverse effect on a Historic Property
   if  the  visual  effect from the Facility will noticeably diminish the
   integrity of one or more of the characteristics qualifying the property for
   inclusion in or eligibility for the National Register. Construction of a
   Facility will not cause a visual adverse effect except where visual setting
   or visual elements are character-defining features of eligibility of a
   Historic Property located within the APE.

   4. For collocations not excluded from review by the Collocation Agreement or
   this Agreement, the assessment of effects will consider only effects from
   the newly added or modified Facilities and not effects from the existing
   Tower or Antenna.

   5. Assessment pursuant to this Agreement shall be performed by professionals
   who  meet  the  Secretary of the Interior's Professional Qualification
   Standards.

   VII. Procedures

   A. Use of the Submission Packet

   1. For each Undertaking within the scope of this Nationwide Agreement, the
   Applicant shall initially determine whether there are no Historic Properties
   affected, no adverse effect on Historic Properties, or an adverse effect on
   Historic Properties. The Applicant shall prepare a Submission Packet and
   submit it to the SHPO/THPO and to all consulting parties, including any
   Indian tribe or NHO that is participating as a consulting party.

   2.  The  SHPO/THPO  shall  have  30 days from receipt of the requisite
   documentation to review the Submission Packet.

   3. If the SHPO/THPO receives a comment or objection, in accordance with
   Section V.E, more than 25 but less than 31 days following its receipt of the
   initial submission, the SHPO/THPO shall have five calendar days to consider
   such comment or objection before the Section 106 process is complete or the
   matter may be submitted to the Commission.

   4.  If  the  SHPO/THPO determines the Applicant's Submission Packet is
   inadequate, or if the SHPO/THPO identifies additional Historic Properties
   within the APE, the SHPO/THPO will immediately notify the Applicant and
   describe  any  deficiencies.  The SHPO/THPO may close its file without
   prejudice if the Applicant does not resubmit an amended Submission Packet
   within 60 days following the Applicant's receipt of the returned Submission
   Packet. Resubmission of the Submission Packet to the SHPO/THPO commences a
   new 30 day period for review.

   B. Determinations of No Historic Properties Affected

   1. If the SHPO/THPO concurs in writing with the Applicant's determination of
   no Historic Properties affected, it is deemed that no Historic Properties
   exist within the APE or the Undertaking will have no effect on any Historic
   Properties located within the APE. The Section 106 process is then complete,
   and the Applicant may proceed with the project, unless further processing
   for reasons other than Section 106 is required.

   2. If the SHPO/THPO does not provide written notice to the Applicant that it
   agrees  or disagrees with the Applicant's determination of no Historic
   Properties  affected  within  30  days following receipt of a complete
   Submission Packet, it is deemed that no Historic Properties exist within the
   APE or the Undertaking will have no effect on Historic Properties. The
   Section 106 process is then complete and the Applicant may proceed with the
   project, unless further processing for reasons other than Section 106 is
   required.

   3. If the SHPO/THPO provides written notice within 30 days following receipt
   of  the  Submission  Packet  that  it  disagrees  with the Applicant's
   determination of no Historic Properties affected, it should provide a short
   and concise explanation of exactly how the criteria of eligibility and/or
   criteria of Adverse Effect would apply. The Applicant and the SHPO/THPO
   should engage in further discussions and make a reasonable and good faith
   effort to resolve their disagreement.

   4. If the SHPO/THPO and Applicant do not resolve their disagreement, the
   Applicant may at any time choose to submit the matter, together with all
   relevant documents, to the Commission, advising the SHPO/THPO accordingly.

   C. Determinations of No Adverse Effect

   1. If the SHPO/THPO concurs in writing with the Applicant's determination of
   no adverse effect, the Facility is deemed to have no adverse effect on
   Historic  Properties. The Section 106 process is then complete and the
   Applicant  may proceed with the project, unless further processing for
   reasons other than Section 106 is required.

   2. If the SHPO/THPO does not provide written notice to the Applicant that it
   agrees or disagrees with the Applicant's determination of no adverse effect
   within thirty days following its receipt of a complete Submission Packet,
   the  SHPO/THPO  is  presumed  to  have  concurred with the Applicant's
   determination. The Applicant shall, pursuant to procedures to be promulgated
   by  the  Commission,  forward  a  copy of its Submission Packet to the
   Commission, together with all correspondence with the SHPO/THPO and any
   comments or objections received from the public, and advise the SHPO/THPO
   accordingly. The Section 106 process shall then be complete unless the
   Commission  notifies  the Applicant otherwise within 15 days after the
   Commission  receives  the  Submission Packet and accompanying material
   electronically or 25 days after the Commission receives this material by
   other means.

   3. If the SHPO/THPO provides written notice within 30 days following receipt
   of  the  Submission  Packet  that  it  disagrees  with the Applicant's
   determination of no adverse effect, it should provide a short and concise
   explanation  of the Historic Properties it believes to be affected and
   exactly how the criteria of Adverse Effect would apply. The Applicant and
   the SHPO/THPO should engage in further discussions and make a reasonable and
   good faith effort to resolve their disagreement.

   4.  If  the  SHPO/THPO and Applicant do not resolve their dispute, the
   Applicant may at any time choose to submit the matter, together with all
   relevant documents, to the Commission, advising the SHPO/THPO accordingly.

   5.  Whenever the Applicant or the Commission concludes, or a SHPO/THPO
   advises, that a proposed project will have an adverse effect on a Historic
   Property, after applying the criteria of Adverse Effect, the Applicant and
   the SHPO/THPO are encouraged to investigate measures that would avoid the
   adverse effect and permit a conditional “No Adverse Effect” determination.

   6. If the Applicant and SHPO/THPO mutually agree upon conditions that will
   result in no adverse effect, the Applicant shall advise the SHPO/THPO in
   writing that it will comply with the conditions. The Applicant can then make
   a determination of no adverse effect subject to its implementation of the
   conditions. The Undertaking is then deemed conditionally to have no adverse
   effect  on Historic Properties, and the Applicant may proceed with the
   project subject to compliance with those conditions. Where the Commission
   has previously been involved in the matter, the Applicant shall notify the
   Commission of this resolution.

   D. Determinations of Adverse Effect

   1.  If  the  Applicant  determines at any stage in the process that an
   Undertaking would have an adverse effect on Historic Properties within the
   APE(s), or if the Commission so finds, the Applicant shall submit to the
   SHPO/THPO  a plan designed to avoid, minimize, or mitigate the adverse
   effect.

   2. The Applicant shall forward a copy of its submission with its mitigation
   plan and the entire record to the Council and the Commission. Within fifteen
   days following receipt of the Applicant's submission, the Council shall
   indicate  whether  it  intends  to participate in the negotiation of a
   Memorandum of Agreement by notifying both the Applicant and the Commission.

   3. Where the Undertaking would have an adverse effect on a National Historic
   Landmark,  the  Commission shall request the Council to participate in
   consultation  and  shall  invite participation by the Secretary of the
   Interior.

   4.  The Applicant, SHPO/THPO, and consulting parties shall negotiate a
   Memorandum of Agreement that shall be sent to the Commission for review and
   execution.

   5. If the parties are unable to agree upon mitigation measures, they shall
   submit the matter to the Commission, which shall coordinate additional
   actions  in  accordance  with  the  Council's  rules, including 36 CFR
   800.6(b)(1)(v) and 800.7.

   E. Retention of Information

   The  SHPO/THPO  shall,  subject to applicable state or tribal laws and
   regulations, and in accordance with its rules and procedures governing
   historic property records, retain the information in the Submission Packet
   pertaining to the location and National Register eligibility of Historic
   Properties and make such information available to Federal agencies and
   Applicants in other Section 106 reviews, where disclosure is not prevented
   by the confidentiality standards in 36 CFR 800.11(c).

   F. Removal of Obsolete Towers

   Applicants that construct new Towers under the terms of this Nationwide
   Agreement adjacent to or within the boundaries of a Historic Property are
   encouraged to disassemble such Towers should they become obsolete or remain
   vacant for a year or more.

   VIII. Emergency Situations

   Unless the Commission deems it necessary to issue an emergency authorization
   in accordance with its rules, or the Undertaking is otherwise excluded from
   Section 106 review pursuant to the Collocation Agreement or Section III of
   this Agreement, the procedures in this Agreement shall apply.

   IX. Inadvertent or Post-Review Discoveries

   A. In the event that an Applicant discovers a previously unidentified site
   within the APE that may be a Historic Property that would be affected by an
   Undertaking,  the  Applicant shall promptly notify the Commission, the
   SHPO/THPO and any potentially affected Indian tribe or NHO, and within a
   reasonable  time shall submit to the Commission, the SHPO/THPO and any
   potentially affected Indian tribe or NHO, a written report evaluating the
   property's eligibility for inclusion in the National Register. The Applicant
   shall seek the input of any potentially affected Indian tribe or NHO in
   preparing this report. If found during construction, construction must cease
   until evaluation has been completed.

   B. If the Applicant and SHPO/THPO concur that the discovered resource is
   eligible for listing in the National Register, the Applicant will consult
   with the SHPO/THPO, and Indian tribes or NHOs as appropriate, to evaluate
   measures  that will avoid, minimize, or mitigate adverse effects. Upon
   agreement regarding such measures, the Applicant shall implement them and
   notify the Commission of its action.

   C. If the Applicant and SHPO/THPO cannot reach agreement regarding the
   eligibility of a property, the matter will be referred to the Commission for
   review in accordance with Section VI.D.3. If the Applicant and the SHPO/THPO
   cannot reach agreement on measures to avoid, minimize, or mitigate adverse
   effects, the matter shall be referred to the Commission for appropriate
   action.

   D.  If  the  Applicant  discovers  any  human or burial remains during
   implementation  of  an  Undertaking,  the  Applicant  shall cease work
   immediately, notify the SHPO/THPO and Commission, and adhere to applicable
   State and Federal laws regarding the treatment of human or burial remains.

   X. Construction Prior to Compliance With Section 106

   A. The terms of Section 110(k) of the National Historic Preservation Act (16
   U.S.C. 470h–2(k)) (“Section 110(k)”) apply to Undertakings covered by this
   Agreement. Any SHPO/THPO, potentially affected Indian tribe or NHO, the
   Council, or a member of the public may submit a complaint to the Commission
   alleging that a facility has been constructed or partially constructed after
   the effective date of this Agreement in violation of Section 110(k). Any
   such complaint must be in writing and supported by substantial evidence
   specifically describing how Section 110(k) has been violated. Upon receipt
   of  such  complaint  the  Commission  will  assume  responsibility for
   investigating the applicability of Section 110(k) in accordance with the
   provisions herein.

   B. If upon its initial review, the Commission concludes that a complaint on
   its face demonstrates a probable violation of Section 110(k), the Commission
   will immediately notify and provide the relevant Applicant with copies of
   the Complaint and order that all construction of a new tower or installation
   of any new collocations immediately cease and remain suspended pending the
   Commission's resolution of the complaint.

   C. Within 15 days of receipt, the Commission will review the complaint and
   take appropriate action, which the Commission may determine, and which may
   include the following:

   1. Dismiss the complaint without further action if the complaint does not
   establish a probable violation of Section 110(k) even if the allegations are
   taken as true;

   2. Provide the Applicant with a copy of the complaint and request a written
   response within a reasonable time;

   3.  Request from the Applicant a background report which documents the
   history and chronology of the planning and construction of the Facility;

   4. Request from the Applicant a summary of the steps taken to comply with
   the requirements of Section 106 as set forth in this Nationwide Agreement,
   particularly the application of the Criteria of Adverse Effect;

   5. Request from the Applicant copies of any documents regarding the planning
   or construction of the Facility, including correspondence, memoranda, and
   agreements;

   6.  If  the Facility was constructed prior to full compliance with the
   requirements of Section 106, request from the Applicant an explanation for
   such  failure, and possible measures that can be taken to mitigate any
   resulting adverse effects on Historic Properties.

   D. If the Commission concludes that there is a probable violation of Section
   110(k) ( i.e. , that “with intent to avoid the requirements of Section 106,
   [an Applicant] has intentionally significantly adversely affected a Historic
   Property”), the Commission shall notify the Applicant and forward a copy of
   the  documentation  set  forth  in Section X.C. to the Council and, as
   appropriate, the SHPO/THPO and other consulting parties, along with the
   Commission's opinion regarding the probable violation of Section 110(k). The
   Commission will consider the views of the consulting parties in determining
   a resolution, which may include negotiating a Memorandum of Agreement (MOA)
   that will resolve any adverse effects. The Commission, SHPO/THPO, Council,
   and Applicant shall sign the MOA to evidence acceptance of the mitigation
   plan and conclusion of the Section 106 review process.

   E. Nothing in Section X or any other provision of this Agreement shall
   preclude  the  Commission  from  continuing or instituting enforcement
   proceedings under the Communications Act and its rules against an Applicant
   that has constructed a Facility prior to completing required review under
   this Agreement. Sanctions for violations of the Commission's rules may
   include  any  sanctions  allowed  under the Communications Act and the
   Commission's rules.

   F. The Commission shall provide copies of all concluding reports or orders
   for all Section 110(k) investigations conducted by the Commission to the
   original complainant, the Applicant, the relevant local government, and
   other consulting parties.

   G. Facilities that are excluded from Section 106 review pursuant to the
   Collocation Agreement or Section III of this Agreement are not subject to
   review under this provision. Any parties who allege that such Facilities
   have violated Section 110(k) should notify the Commission in accordance with
   the provisions of Section XI, Public Comments and Objections.

   XI. Public Comments and Objections

   Any  member of the public may notify the Commission of concerns it has
   regarding the application of this Nationwide Agreement within a State or
   with regard to the review of individual Undertakings covered or excluded
   under the terms of this Agreement. Comments related to telecommunications
   activities shall be directed to the Wireless Telecommunications Bureau and
   those related to broadcast facilities to the Media Bureau. The Commission
   will consider public comments and following consultation with the SHPO/THPO,
   potentially affected Indian tribes and NHOs, or Council, where appropriate,
   take appropriate actions. The Commission shall notify the objector of the
   outcome of its actions.

   XII. Amendments

   The  signatories may propose modifications or other amendments to this
   Nationwide Agreement. Any amendment to this Agreement shall be subject to
   appropriate public notice and comment and shall be signed by the Commission,
   the Council, and the Conference.

   XIII. Termination

   A. Any signatory to this Nationwide Agreement may request termination by
   written  notice to the other parties. Within sixty (60) days following
   receipt of a written request for termination from a signatory, all other
   signatories shall discuss the basis for the termination request and seek
   agreement on amendments or other actions that would avoid termination.

   B. In the event that this Agreement is terminated, the Commission and all
   Applicants shall comply with the requirements of 36 CFR Part 800.

   XIV. Annual Review

   The signatories to this Nationwide Agreement will meet annually on or about
   the  anniversary of the effective date of the Agreement to discuss the
   effectiveness of this Agreement, including any issues related to improper
   implementation, and to discuss any potential amendments that would improve
   the effectiveness of this Agreement.

   XV. Reservation of Rights

   Neither execution of this Agreement, nor implementation of or compliance
   with any term herein, shall operate in any way as a waiver by any party
   hereto, or by any person or entity complying herewith or affected hereby, of
   a  right  to assert in any court of law any claim, argument or defense
   regarding the validity or interpretation of any provision of the NHPA or its
   implementing regulations contained in 36 CFR Part 800.

   XVI. Severability

   If any section, subsection, paragraph, sentence, clause or phrase in this
   Agreement is, for any reason, held to be unconstitutional or invalid or
   ineffective, such decision shall not affect the validity or effectiveness of
   the remaining portions of this Agreement.

   In witness whereof, the Parties have caused this Agreement to be executed by
   their respective authorized officers as of the day and year first written
   above.

   Federal Communications Commission
   ____________________

   Chairman
   Date____________________

   Advisory Council on Historic Preservation
   ____________________

   Chairman
   Date____________________

   National Conference of State Historic Preservation Officers
   ____________________
   Date____________________

   [ 70 FR 580 , Jan. 4, 2005]
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