**PUBLIC NOTICE**![](media/image1.png){width="0.7388888888888889in"
height="0.7458333333333333in"}

**FEDERAL COMMUNICATIONS COMMISSION**

**445 TWELFTH STREET, S.W.; TW-A325**

**WASHINGTON, D.C. 20554**

News Media Information: (202) 418-0500

Fax-On-Demand: (202) 418-2830

Internet: http://www.fcc.gov

ftp.fcc.gov

**DA 99-1267**

# Released: June 28, 1999

**WIRELESS TELECOMMUNICATIONS BUREAU REVISES AND BEGINS PHASED
IMPLEMENTATION OF ITS UNIFIED POLICY FOR REVIEWING LICENSE APPLICATIONS
AND PLEADINGS**

*Revised policy to take effect July 1, 1999, for Cellular, PCS, WCS,
Part 22 Paging, Offshore, and Auctioned Licenses; Antenna Structure
Registrations also affected*

Beginning July 1, 1999, the Wireless Telecommunications Bureau (Bureau)
will begin implementing its unified policy for dismissing and returning
applications, as well as pleadings related to such applications (unified
policy). The unified policy will take effect for Cellular, Personal
Communications Services (PCS), Wireless Communications Services (WCS),
Part 22 Paging, Offshore, and Auctioned Licenses (*i.e*., those radio
services for which electronic filing via the Bureau's Universal
Licensing System (ULS) has been available for more than 6 months). Under
the unified policy, applications or pleadings that are defective will be
dismissed, rather than returned to the applicant for correction, except
as described below. As a result of discussions with the Federal
Communications Bar Association (FCBA) and others, the Bureau has
determined that it will return for correction, rather than dismiss,
timely filed renewal applications and timely filed notifications of
construction (*i.e.,* where dismissal could result in expiration or
termination of a license).[^1] The Bureau is taking this approach to
promote (1) the filing of applications (and pleadings associated with
such applications) in good order, (2) the expedited processing of all
wireless applications, and (3) consistency in the treatment of all
applications received by the Bureau. The unified policy and its
potential effects on licensees are described in detail herein.

[BACKGROUND]{.underline}

Currently the Wireless Telecommunications Bureau (Bureau) receives
hundreds of thousands of applications annually involving wireless radio
services under Parts 22, 24, 26, 27, 80, 87, 90, 95, 97, and 101, as
well as Commercial Radio Operators under Part 13 and Antenna Structure
Registration under Part 17 of the Commission's Rules (collectively
referred to herein as "applications"). Most of these applications when
submitted are generally \"in good order\" (*i.e.*, can be processed
without correction by the applicant). Applications filed in good order
significantly assist the Bureau in its efforts to provide timely,
efficient public service. Many wireless applications, however, are not
filed in good order (*e.g*., are incomplete or contain inaccurate
information) and, consequently, cannot be processed without obtaining
additional information from the applicant.

Prior to adoption of the *ULS Report and Order*,[^2] the Commission's
Rules contained a variety of service-specific rules for dismissal or
return of incomplete or facially defective applications. Under these
rules, such applications could be subject to dismissal, but the Bureau
staff also had discretion to return applications providing the applicant
an opportunity to correct deficiencies without losing its fee and/or
place in the processing line. As a result, different procedures and
practices evolved with respect to the return of applications.

In the *ULS Report and Order*, the Commission adopted a new uniform rule
with respect to dismissal and return of defective applications in all
wireless services, and eliminated previously inconsistent
service-specific rules.[^3] In accordance with the *ULS Report and
Order*, and in an effort to conform our procedures for processing
applications in all wireless services, the Bureau released a Public
Notice on February 24, 1999, announcing a new unified policy for
reviewing applications and pleadings related to applications.[^4] In
sum, the Bureau stated that, effective May 1, 1999, it would begin
dismissing defective applications and pleadings rather than returning
them to the applicant for correction. On April 7, 1999, the Bureau held
a public forum in order to address the industry's concerns with the
policy.[^5] Subsequently, Bureau staff had discussions with the FCBA
regarding the group's concerns about how renewal applications and
notifications of construction, and ultimately a licensee's authority to
continue operation, would be negatively affected by the unified policy.

On April 29, 1999, the Bureau released a Public Notice delaying and
revising implementation of the unified policy.[^6] The Bureau stated
that the unified policy would take effect for each radio service either
July 1, 1999, or 6 months after conversion of the radio service to the
ULS, whichever is later. Under this phased approach, the unified policy
would take effect for Cellular, PCS, WCS, Part 22 Paging, Offshore, and
Auctioned Licenses on July 1, 1999. Appendix A to this Public Notice
lists the implementation dates for other services that were converted to
ULS less than 6 months ago. Although the Bureau did not specifically
mention Antenna Structure Registration applications in its April 29,
1999, Public Notice, it has delayed implementation of the dismissal
policy until July 1, 1999, for these applications as well.

**[REVISED POLICY ON DISMISSALS]{.underline}**

Section 1.934(d) of the Rules, as recently amended, states that the
Commission may dismiss as defective, applications that: (1) are unsigned
or incomplete with respect to answers to questions, informational
showings, or other matters of a formal character; (2) request an
authorization that would not comply with one or more of the Commission's
Rules, and do not contain a waiver request (or in cases where the waiver
is denied contain an alternative proposal); or (3) do not contain an
adequate fee.[^7] As under prior rules, the Bureau also retains
discretion to return a defective application in lieu of dismissing it.
Our goals here are to facilitate the timely processing of wireless
applications and unify our processes under the ULS. We believe the
unified policy outlined below will promote consistency and increase the
number of applications that are submitted to the Bureau in good order.
Further, the policy will decrease the number of applications processed
by the staff that require additional information to be submitted.

As a result, the Bureau may dismiss without prejudice any application
that:

• Is not signed;

• Does not contain an adequate fee (including waiver requests and
requests for fee exemption);

• Requires a specific FCC Form or Schedule to be submitted and the Form
or Schedule is missing;

• Requires a specific showing under the Rules (e.g., frequency
coordination, an engineering study, a certificate of service to other
licensees) and the showing is missing, invalid, or inconsistent with
other information provided in the application and renders it
unprocessable;

• Proposes operations not permitted under the Rules and does not
properly request a waiver;

• Proposes use of a radio antenna structure that requires FCC Antenna
Structure Registration and the Registration Number of the structure is
not provided by the applicant (see Policy on Antenna Structure
Registration *infra*); or

• Is missing information or contains information inconsistent with the
Bureau's licensing records and renders the application unprocessable
(excluding cases where the applicant provides in its application
evidence that the Bureau's records are inaccurate).

Applications dismissed and later refiled will lose their original place
in the processing line and be treated as newly-filed applications. As
newly filed applications, they could be deemed untimely filed with
respect to a filing window or other competing applications and be
dismissed for these reasons. In addition, these refiled applications
must be accompanied by a new filing fee.[^8]

*Revised Applicability*. As a result of staff discussions with the FCBA
and others, the Bureau will return for correction, rather than dismiss,
timely filed renewal applications and timely filed construction
notifications that contain errors. The revised policy on returns is
described in detail later in this Public Notice. The following
application purposes remain subject to dismissal under the unified
policy: New, Modification, Amendment (where the original purpose was not
Renewal Only, Renewal/Modification, or Notification of Construction),
Assignment of Authorization, Transfer of Control, Withdraw, Notification
of Consummation, Extension of Time, Cancel, and Call sign consolidation.

*Revised Implementation*. The unified policy becomes effective for a
radio service either July 1, 1999, or 6 months after conversion of that
service to ULS, whichever is later. For each radio service, this
approach aligns the effective dates for: (1) mandatory electronic filing
where applicable, (2) the unified policy, and (3) the sunset on use of
pre-ULS forms. The unified policy is effective July 1, 1999, for
Cellular, PCS, WCS, Part 22 Paging, Offshore, and Auctioned Licenses. A
complete list of effective dates is included as Appendix A to this
Public Notice.

*Practical effect on licensees using the ULS*. Many of the filing errors
routinely made by applicants involve missing signatures, missing or
invalid answers to mandatory questions, missing or incorrect fees, and
technical information inconsistent with the applicant's authorization.
Using the ULS, however, will nearly eliminate the filing of applications
with these types of errors because the applicant receives real-time
feedback online and is prompted to correct errors prior to submitting
the application. For example, the ULS will not allow an application to
be filed without a signature or answers to mandatory questions. Further,
the ULS allows the applicant to select from drop-down lists of call
signs and tower sites, and pre-fills technical information so that typos
and inconsistent technical parameters will hopefully be a thing of the
past. With regard to fees, the ULS helps to eliminate errors by
calculating the fee due and prompting the applicant to print FCC Form
159 directly from the ULS. This does not, however, ensure that the
applicant will remit the proper payment in a timely manner.

In some radio services, electronic filing via ULS will be an option, but
will not be mandatory. In such cases we urge licensees to file
electronically in order to take advantage of the real-time feedback and
online prompts available via ULS. Licensees who continue to file
applications manually will risk dismissal of their applications for the
reasons stated above.

**[REVISED POLICY ON RETURNS]{.underline}**

In discussions with Bureau staff, the FCBA and others have contended
that the unified policy is inappropriate in the context of renewal
applications and notifications of construction (*i.e*., where dismissal
results in expiration or termination of a license) for two reasons.
First, renewals and construction notifications are very simple filings
where it is unlikely that applicants will make a large number of errors.
Second, because dismissal will lead to expiration or termination of the
license, the Bureau will likely have to subsequently review Special
Temporary Authority (STA) requests, waiver requests, and/or Petitions
for Reconsideration filed by the applicant in an effort to continue
operation and regain the license. Therefore, because renewals and
construction notifications would likely represent only a small
percentage of applications filed with errors, and dismissal would result
in a much greater processing burden for the Bureau, we will return for
correction, rather than dismiss, timely filed renewals and timely filed
notifications of construction.

Under our unified policy on dismissals, we anticipate that the number of
applications returned to the applicant for amendment will be greatly
reduced. Even so, there will be limited circumstances where the Bureau
will return an application to the applicant for correction. In addition
to timely filed renewals and timely filed construction notifications, an
application containing an engineering study or legal showing as required
by the Rules may be in good order, but staff may require clarification
of some matters or more detailed information than initially submitted by
the applicant but not explicitly required by the rules. In cases where
the application is returned, the applicant must respond by amending its
application to provide the requested information within 60 days.[^9] An
additional fee will be required only in cases where the amendment is
feeable under Part 1 of the Commission's Rules.

Returns will be done by letter and will clearly state that failure to
respond within 60 days will result in dismissal of the subject
application. If at the end of the 60-day period the Bureau is still
unable to process the application (whether or not it has been amended),
the Bureau may dismiss the application pursuant to Section 1.934(c) for
failure to prosecute. As noted above, all applications dismissed and
later refiled will lose their original place in the processing line and
be treated as newly-filed applications.

**NOTE**: Applicants should note that mandatory electronic filing will
be in effect for certain radio services beginning **July 1, 1999**, and
that amendments must be filed electronically, rather than by informal
means the Bureau has accepted in the past (*e.g*., letter, fax, email,
phone.)

#### **[POLICY ON PLEADINGS]{.underline}**

We also take this opportunity to clarify our policy regarding pleadings
associated with applications filed before the Bureau. The rules provide
for interested parties to file petitions to deny applications pending
before the Bureau as well as petitions for reconsideration of actions
taken by the Bureau under delegated authority. Pursuant to Section 1.939
of the Commission\'s Rules, petitions to deny may be dismissed as
procedurally defective unless they meet the minimum criteria set forth
below.[^10] Each petition to deny must:

• be filed manually at the Federal Communications Commission, Office of
the Secretary, 445 Twelfth Street, S.W.; TW‑A325, Washington, D.C. 20554
, or electronically via the ULS (when capability becomes available);

• be timely filed (pleading cycles are set forth in the Public Notices
listing the applications or major amendments as acceptable for filing);

• contain proof that a copy has been served on all interested parties;

• reference the file number of the subject application; and,

• include allegations of fact sufficient to make a prima facie showing
that the Petitioner is a party in interest and that a grant would be
inconsistent with the public interest, convenience and necessity
(allegations of fact must be supported by affidavit of a person or
persons with personal knowledge thereof).

Likewise, pursuant to Section 1.106 of the Commission\'s Rules,
petitions for reconsideration of delegated authority actions taken by
the Bureau regarding license applications may be dismissed as
procedurally defective unless they meet the minimum criteria set forth
below. Each petition for reconsideration must:

• be filed manually at the Federal Communications Commission, Office of
the Secretary, 445 Twelfth Street, S.W.; TW‑A325, Washington, D.C.
20554, or electronically via the ULS (when capability becomes
available);

• be filed no later than 30 days from the date of final action or in
cases where final actions are put on Public Notice, 30 days from the
date of the Public Notice as that date is defined in 47 C.F.R. § 1.4(b);

• set forth how the action taken should be changed, and specify the type
of relief sought; and,

• where the petition is based upon a claim of electrical interference to
an authorized station, be accompanied by an affidavit of a qualified
radio engineer showing that electrical interference will be caused
within the station's protected contour; this showing must utilize either
actual measurements or the methods described in the appropriate rule
part for determining interference.

**[POLICY ON ANTENNA STRUCTURE REGISTRATION]{.underline}**

In November of 1995, the Commission adopted rules requiring tower owners
(not tenant licensees) to register with the Commission each antenna
structure for which Federal Aviation Administration (FAA) notification
is required. Generally, this includes all structures more than 60.96
meters (200 feet) above ground or located near or on a public use
airport. The specific registration criteria is contained in Part 17 of
the Commission's Rules, and summarized in WTB Fact Sheet #15. The
registration rules required preexisting structures to be registered
between July 1996 and June 1998. At this point, all existing structures
meeting the registration criteria are required to have been registered
and proposed structures must be registered prior to construction.
Parties unfamiliar with the Commission's Rules concerning antenna
structure registration should consult the Bureau's Antenna Homepage on
the Internet at <http://www.fcc.gov/wtb/antenna>, or obtain a copy of
WTB Fact Sheet #15 by calling the FCC's Forms Distribution Center at
1-800-418-FORM (3676).

**Changes Concerning Antenna Structure Registration Applications**

**(FCC Form 854).**

Beginning July 1, 1999, all Antenna Structure Registration applications
that are defective or incomplete are subject to dismissal. This policy
applies to all applications, regardless of purpose, and was described in
a Public Notice released June 21, 1999.[^11] Owners of antenna
structures required to be registered pursuant to Section 17.4 of the
Commission\'s rules must first file FAA Form 7460-1 with the FAA and
obtain a final determination of "no hazard" for the structure. Second,
owners must file FCC Form 854 with the Commission either manually or
electronically to register the antenna structure. Under the dismissal
policy that takes effect on July 1, 1999, the Bureau will begin
dismissing as defective those registration applications where data on
the final FAA determination does not agree with data submitted on FCC
Form 854. Specifically, site coordinates must be within one second of
latitude and one second of longitude and heights must be within one
foot.

**Changes Concerning License Applications**

Today we are clarifying the policies that will be used to process radio
station license applications expeditiously with regard to Antenna
Structure Registration in the wake of the ULS. The following policy
takes effect July 1, 1999, for Cellular, PCS, WCS, Part 22 Paging,
Offshore, and Auctioned Licenses, and 6 months after conversion to ULS
for all other radio services. *See* Appendix A. Applications proposing
new operations or modifications to existing operations on antenna
structures must contain the FCC Antenna Registration Number if
registration is required for the site under Part 17. In these cases, if
the Registration Number is not present, the application will be
dismissed without prejudice. In certain instances registration is not
required pursuant to Section 17.14 of the Commission\'s Rules if a
structure is shielded, if the "20 foot rule" applies, or if the antenna
structure is fixed by function at an airport. In lieu of a registration
number, **applicants who claim registration is not required** **must so
state on their application** **or it will be dismissed**.

Structure owners are required to provide a copy of the Registration (FCC
Form 854R which includes the Registration Number) to all tenant
licensees in cases where registration is required. Accordingly, tenant
licensees should obtain a copy of the Registration from the owner in
order to provide the Registration Number on each application submitted
to the Bureau.

In determining whether registration is needed for a site, the Bureau
will first determine whether the overall height is more than 60.96
meters (200 feet) above ground. Second, the Bureau will use its TOWAIR
software to determine whether structures near public use airports
require registration. A link to the TOWAIR software is provided from the
Bureau's Antenna Homepage on the Internet
(http://www.fcc.gov/wtb/antenna).

As we originally described in our February 24, 1999, Public Notice,[^12]
we realize this policy will require operational changes in the way
licensees and structure owners perform regulatory work for newly-built
structures. For example, some licensee/owners are accustomed to
notifying the FAA of proposed construction at the same time they file an
FCC license application, and then registering the structure while their
license application is pending before the Bureau. In the future,
however, applicants must notify the FAA well in advance and obtain a
Registration Number from the Bureau prior to submitting a license
application. Therefore, the Bureau urges licensees and antenna structure
owners to initiate changes in their internal regulatory processes
immediately in order to avoid dismissal and/or processing delays.

We also realize that there may be situations where the Commission
establishes filing windows without enough lead time for the applicant to
notify the FAA, obtain a Registration Number, and file a timely
application within the window. Applicants under these circumstances
should file timely within the applicable window and simultaneously
request a waiver of the instant policy.

**[FOR FURTHER INFORMATION]{.underline}**

For Commercial Wireless Service information contact Charlene Lagerwerff
at (202) 418-1349 or via email at clagerwe@fcc.gov.

For Public Safety and Private Wireless Service contact the Licensing and
Technical Analysis Branch at (717) 338-2646, or via email at
gvillalobos@fcc.gov.

For Antenna Registration information contact Barb Sibert at (717)
388-2522, or via email at <bsibert@fcc.gov>.

**APPENDIX A**

**IMPLEMENTATION SCHEDULE FOR THE UNIFIED POLICY**

Radio Service Implementation Date

Cellular July 1, 1999

Personal Communications Services (PCS) July 1, 1999

Wireless Communications Services (WCS) July 1, 1999

Part 22 Paging July 1, 1999

Offshore July 1, 1999

Auctioned Licenses:

Auction 16 - SMR, 806-821/851-866 MHz July 1, 1999

Auction 17 - Local Multipoint Distribution Service July 1, 1999

Auction 18 - 220 MHz Radio Service July 1, 1999

Auction 20 - VHF Public Coast Service July 1, 1999

Aircraft July 19, 1999

GMRS October 19, 1999

Auctioned 900 MHz SMR October 19, 1999

All other radio services 6 months after conversion to ULS

[^1]: This return policy only affects timely filed renewal applications
    and timely filed notifications of construction on license
    applications. The return policy does not apply to notifications for
    antenna structures (FCC Forms 854 and 854R). *See* Changes
    Concerning Antenna Structure Registration Applications, *infra*.

[^2]: Amendment of Parts 0, 1, 13, 22, 24 26, 27, 80, 87, 90, 95, 97,
    and 101 of the Commission\'s Rules to Facilitate the Development and
    Use of the Universal Licensing System in the Wireless
    Telecommunications Service, WT Docket No. 98-20, *Report and Order*,
    13 FCC Rcd. 21027 (1998) (*ULS Report and Order*). *See also
    Memorandum Opinion and Order on Reconsideration*, FCC 99-139 at
    paras. 18-19, adopted June 10, 1999 *(ULS Memorandum Opinion and
    Order*). In brief, the ULS is a new, interactive licensing system
    developed by the Bureau to consolidate and replace eleven existing
    licensing systems used to process applications and grant licenses in
    the wireless services. Complete information on the ULS may be found
    on the Internet at http://www.fcc.gov/wtb/uls.

[^3]: *See* 47 C.F.R. Section 1.934.

[^4]: *See* Wireless Telecommunications Bureau Announces Unified Policy
    for Dismissing and Returning Applications and Dismissing Pleadings
    Associated with Applications, *Public Notice*, DA 99-385 (February
    24, 1999).

[^5]: *See* Wireless Telecommunications Bureau to Hold a Public Forum on
    New Policy Regarding Dismissing and Returning Applications and
    Dismissing Pleadings Associated with Applications, *Public Notice*,
    DA 99-574 (March 24, 1999).

[^6]: *See* Wireless Telecommunications Bureau Postpones Effective Date
    of Unified

    Dismissal Policy for Applications in the Wireless Services, *Public
    Notice*, DA 99-811 (April 29, 1999).

[^7]: *See* 47 C.F.R. § 1.934(d), adopted in the *ULS Report and Order*.

[^8]: In certain instances, applicants may request a refund of their
    original filing fees pursuant to 47 C.F.R. § 1.1113.

[^9]: *Memorandum Opinion and Order on Reconsideration*, FCC 99-139 at
    paras. 18-19, adopted June 10, 1999. The Bureau will normally
    provide 60 days for the applicant to amend its application, but this
    period may be shortened if conditions warrant. Prior to the *ULS
    Report and Order*, the rules for private wireless services specified
    60 days for returning applications involving frequencies below 470
    MHz and 30 days (with 45 days involving areas outside the
    continental United States) for applications involving frequencies
    above 470 MHz. *See* former Section 1.959 of the Commission\'s
    Rules. This section, however, was amended in the *ULS Report and
    Order* and moved to Section 1.934(c) of the Rules in order to unify
    procedural rules for all wireless services.

[^10]: *See* also 47 C.F.R. § 1.2108 concerning petitions to deny
    auction long form applications. Nothing in this Public Notice is
    intended to alter our procedures with respect to auctions.

[^11]: Commission Announces New Procedures for Antenna Structure
    Registration, *Public Notice*, DA 99-1186 (June 21, 1999).

[^12]: *See* Wireless Telecommunications Bureau Announces Unified Policy
    for Dismissing and Returning Applications and Dismissing Pleadings
    Associated with Applications, *Public Notice*, DA 99-385 (February
    24, 1999).