Facilitate the Development and Use of the Universal Licensing System in the Wireless Telecommunications Services
Federal RegisterApr 7, 1998
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FEDERAL COMMUNICATIONS COMMISSION
47 CFR Part 0, 1, 13, 22, 24, 26, 27, 80, 87, 90, 95, 97, and 101
[WT Docket No. 98-20; FCC 98-25]
Facilitate the Development and Use of the Universal Licensing
System in the Wireless Telecommunications Services
AGENCY: Federal Communications Commission.
ACTION: Notice of proposed rulemaking.
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SUMMARY: In this Notice of Proposed Rulemaking, the Commission sets
forth proposals to consolidate the licensing rules into a single set of
rules for all wireless radio services. The Commission's goal is to
establish a streamlined set of rules that minimizes filing requirements
as much as possible; eliminates redundant, inconsistent, or unnecessary
submission requirements; and assures ongoing collection of reliable
licensing and ownership data. These consolidated rules will eliminate
duplication and inconsistencies that exist in the current rules. These
proposed rules will make it easier for applicants to understand the
licensing process and application requirements because there will be,
if adopted, only one set of licensing rules.
DATES: Comments are due May 7, 1998, reply comments are due May 22,
1998. Comments on the proposed information collections are due June 8,
1998.
ADDRESS(ES): Federal Communications Commission, 1919 M Street, NW.,
Washington, DC 20554.
FOR FURTHER INFORMATION CONTACT: Wilbert E. Nixon, Jr., Policy and
Rules Branch, Commercial Wireless Division, Wireless Telecommunications
Bureau, at (202) 418-7240 or Susan Magnotti, Policy and Rules Branch,
Public Safety and Private Wireless Division, Wireless
Telecommunications Bureau, at (202) 418-0871.
SUPPLEMENTARY INFORMATION: This Notice of Proposed Rule Making in WT
Docket No. 98-20, adopted February 19, 1998 and released March 18, 1998
is available for inspection and copying during normal business hours in
the FCC Reference Center, Room 230, 1919 M Street NW., Washington DC.
The complete text may be purchased from the Commission's copy
contractor, International Transcription Service, Inc., 1231 20th
Street, NW, Washington DC 20036 (202) 857-3800. The document is also
available via the internet at http://www.fcc.gov/Bureaus/Wireless/
Notices/1998/index.html.
[[Page 16939]]
Synopsis of Notice of Proposed Rulemaking
I. Introduction
1. In this Notice of Proposed Rule Making (NPRM), the Commission
proposes to consolidate, revise, and streamline the rules governing
application procedures for radio services licensed by the Wireless
Telecommunications Bureau (WTB or Bureau). This proceeding is closely
related to the Commission's ongoing development of Universal Licensing
System (ULS), which will become fully operational later this year. This
NPRM proposes rule changes that will facilitate the implementation of
the ULS, an integrated database and automated processing system now
being developed to be used by the Bureau to support electronic filing
of applications, collection of licensing information, and public access
to such information for all wireless services licensed by the Bureau.
As part of the ULS initiative, the Commission is replacing eleven
separate WTB licensing databases with a new integrated licensing
system, and establishing the Universal Licensing database to
accommodate all wireless radio services. One of the most significant
features of ULS is that it will support full electronic filing of all
licensing-related applications and other filings associated with such
applications (e.g., amendments and modifications, waiver requests, and
applications for transfer and assignment of licenses). To fully
implement ULS for all wireless radio services, the Commission proposes
to consolidate the wireless radio services licensing rules in a single
section of part 1, to the extent practicable.
2. In addition, ULS will make licensing information both more
accessible and more usable by Commission staff in carrying out our
regulatory responsibilities. For example, ULS will greatly enhance the
Commission's ability to collect reliable and accurate information on
such issues as licensee ownership, including information regarding
entities holding major ownership interests in licenses, and affiliated
entities such as parents and subsidiaries of licensees. This will
enable the Commission staff to monitor spectrum use and competitive
conditions in the wireless marketplace more easily and will promote
more effective implementation of our spectrum management policies.
Similarly, ULS will enhance the availability of licensing information
to the public, which will have on-line access to ULS by dialing into
the Commission's wide area network (WAN) and using any World Wide Web
(WWW) browser.
3. License applicants will be charged normal filing fees for filing
applications under ULS, but will save time and resources by filing
electronically. For other uses of ULS, e.g., persons seeking to
retrieve licensing or mapping information, the Commission will charge
for on-line access, but these charges will be limited to the amount
necessary solely to recover the Commission's costs of maintaining ULS,
including the cost of protecting the security of the system from
outside tampering. The Commission anticipates that when ULS is fully
operational, it will be possible to reduce these charges because the
cost can be spread among a larger number of users.
4. The Commission also notes that ULS will provide greater access
to persons with disabilities. ULS will incorporate several features
that will enable persons with disabilities to use the electronic filing
and public access functions. The technical support hotline will have
Text Telephone capabilities for the hearing impaired. In addition, the
system will allow sight impaired individuals access to Interactive
Voice Response Technology. This will allow applicants to determine the
status of pending license applications through a touch tone telephone.
5. This proceeding is also part of the 1998 biennial review of its
regulations pursuant to section 11 of the Communications Act of 1934,
as amended, (Communications Act). The Commission's goal in this
proceeding is to establish a simplified set of rules that (1) minimizes
filing requirements as much as possible; (2) eliminates redundant,
inconsistent, or unnecessary submission requirements; and (3) assures
ongoing collection of reliable licensing and ownership data.
6. In this proceeding, the Commission is guided by the principles
of (1) furthering competition in the telecommunications industry; (2)
ensuring that all communities have access to telecommunications
technology; and (3) using common sense to draft clear and concise rules
that provide for fair, efficient, consistent, and effective regulation
of radio services licensed by WTB (wireless radio services).
Accordingly, the Commission seeks to: (1) Facilitate the development of
electronic filing in general; (2) require, where appropriate,
applicants for wireless radio services licenses to file applications
and notifications electronically; (3) streamline licensing processes
and procedures; and (4) conform application and filing rules for all
wireless radio services so that similarly situated applicants and
licensees are treated equally.
II. Discussion
A. Electronic Filing and New Forms
1. Consolidation of Application Forms
7. Background. Presently there are over 30 different forms used in
the WTB application and licensing process. This myriad of forms can
create substantial confusion for applicants. WTB devotes significant
resources to providing the appropriate forms to the public and advising
applicants of the appropriate form required for their particular
business purpose.
8. Discussion. The Commission proposes to consolidate the current
30 forms into five new forms that have been developed specifically for
ULS: FCC Forms 601, 602, 603, 604, and 605. The Commission seeks
comment on any additional modifications to the proposed forms: (1) FCC
Form 601 (Long-form Application for Authorization) will replace the
Form 600, and will be used by the majority of applicants to file
initial license applications, as well as filings for modification,
renewal, special temporary authority, or other routine applications.
(2) FCC Form 602 (Wireless Telecommunications Bureau Ownership Form)
will be used to submit initial and updated ownership information for
those wireless radio services that require the submission of such
information. (3) FCC Form 603 (Application for Assignment of
Authorization) will be used for requesting approval of assignment of
licenses, including partitioning and disaggregation requests. (4) FCC
Form 604 (Application for Transfer of Control) will be used to request
approval of transfers of control of licensees, which require less
information than assignments because the identity of the licensee does
not change. (5) FCC Short Form 605 (Short-Form Application for
Authorization in the Ship, Aircraft, Amateur, Restricted, and General
Mobile Radio Services, as well as for Commercial Radio Operator
Licenses) will be used as a short-form application for applicants who
are not presently required to submit extensive technical data to
receive a license, such as General Mobile Radio Service, Amateurs,
Ships, Aircraft, and Commercial Radio Operators. The Commission seeks
comment on each of these forms and on any possible modifications
commenters may wish to suggest.
9. The Commission tentatively concludes that elimination of the
separate long-form filing requirement
[[Page 16940]]
for winning bidders after the completion of an auction will expedite
the post-auction licensing process and eliminate substantial
administrative burdens for both the public and the Commission. With the
advent of ULS and electronic filing of long-form applications after the
completion of an auction, the filing of individual applications for
each license won at auction is unnecessary. The Commission proposes to
permit parties to routinely file a single application to authorize all
licenses won by them in a single auction. The Commission seeks comment
on this tentative conclusion and proposal.
10. The Commission does not propose to eliminate use of the auction
short-form application (FCC Form 175) or our antenna registration form
(FCC Form 854).
2. Mandatory Electronic Filing
11. Background. ULS has the capability to accept electronically
filed applications in all wireless radio services. The Commission's
policies have consistently encouraged electronic filing. With respect
to applications for licenses obtained through competitive bidding, the
Commission recently amended 47 CFR 1.205(a) and 1.2107(c), to require
electronic filing of all short-form and long-form applications
beginning January 1, 1999, unless not feasible. See amendment of part 1
of the Commission's Rules--Competitive Bidding Procedures, WT Docket
No. 97-82, Third Report and Order and Second Further Notice of Proposed
Rulemaking, 63 FR 770, January 7, 1998 (Part 1 Third Report and Order).
12. Discussion. With the advent of ULS, the Commission will have
the ability to accept electronic filing of all forms used for wireless
radio services. The Commission proposes that beginning on January 1,
1999, applicants, licensees, and frequency coordinators be required to
file electronically. The Commission believes that requiring electronic
filing of applications for all wireless radio services is in the public
interest because it will help to accomplish the goals of: (1) Effecting
a more rapid transition to ULS; (2) streamlining the application
processing; (3) affording parties a quick and economical means to file
applications; and (4) making all licensing information quickly and
easily available to interested parties and the public. The Commission
requests comment on these proposals.
13. The Commission seeks comment on whether manual filing should
continue as an option for certain services or classes of applicants.
Some applicants may not have access to computers with the hardware and
capability to utilize the software necessary to submit their
applications electronically, particularly since electronic filing will
be accomplished by dial-in procedures and not over the Internet.
Accordingly, the Commission seeks comment on whether certain wireless
radio services, excluding those subject to competitive bidding, should
be exempted from our proposed general requirement to file
electronically. Commenters advocating an exemption from mandatory
electronic filing should explain why a particular service or a
particular class of applicant requires manual filing. Commenters should
also address whether it would be appropriate to require electronic
filing for such services after a period of time. Commenters should
suggest an appropriate period of time before mandatory electronic
filing would be implemented for these exempted services, with a
rationale supporting such proposals. In addition, the Commission
proposes that applications affecting multiple call signs, such as mass
renewals or cancellations, may only be filed electronically. Finally,
the Commission requests comment on whether it would benefit applicants
and licensees subject to electronic filing if computer facilities would
be maintained in field offices and at the Washington, DC., offices for
the public to use to file forms and pleadings electronically.
Commenters should discuss the resources needed to support this, such as
the number of computers necessary for the public to use.
3. Copy and Microfiche Requirements
14. Background. Current Commission rules require the filing of a
specified number of copies of all applications and pleadings in order
to ensure that appropriate Commission staff have access to the
documents and that timely information is provided to the public.
Additionally, in many cases copies of applications must be filed on
microfiche for inclusion in the station file for the licensee.
15. Discussion. The Commission proposes to change the current copy
and microfiche requirements to eliminate those requirements that are no
longer necessary. The Commission tentatively concludes that reducing
the number of copies that parties have to file and eliminating current
microfiche requirements would serve the public interest because such
requirements are unnecessary under ULS. In the past multiple copies and
microfiche were required to make application and licensing information
available to the public. ULS, however, provides an unprecedented degree
of accessibility to this information. Whether applications or pleadings
are filed electronically or manually, all information will be available
online to interested parties. After implementation of ULS, any data
that is filed manually will be entered or scanned as necessary and will
be available in the same fashion as electronically filed information.
Thus, there will no longer be a need for an applicant to file numerous
paper copies or microfiche. The Commission proposes to amend the rules
so that applicants who file applications electronically will not be
required to provide paper copies, diskettes, or microfiche. The
Commission seeks comment on these proposals and tentative conclusions.
The Commission also seek comment on whether it would impose a
significant burden on manual filers to require them to file a diskette
containing electronic copies of all attachments and exhibits filed with
paper forms. Requiring a diskette containing electronic copies of all
attachments to be filed with manually filed applications would expedite
the addition of such applications to ULS.
4. Filing of Pleadings Associated with Applications
16. Background. Currently, 47 CFR 1.49 requires that pleadings and
documents filed in any Commission proceeding be filed on paper.
17. Discussion. The Commission proposes to modify the rules to
allow electronic filing of pleadings regarding wireless radio service
applications. With the advent of ULS, the Commission also has the
ability to allow pleadings and informal requests for actions associated
with applications or licenses in the wireless radio services to be
filed electronically. Such pleadings include petitions to deny,
petitions for reconsideration, applications for review, comments,
motions for extension of time, and subsequently filed pleadings related
to such filings. In addition, ULS allows waiver requests to be filed
electronically on the FCC Form 601 or in connection with requests
submitted on other ULS forms. Parties submitting pleadings via the ULS
will continue to be required to serve paper copies on all interested
parties. The Commission seeks comment on this proposal. We also seek
comment on whether other WTB pleadings that are not associated with an
application or a docketed proceeding should be permitted to be filed
electronically via ULS.
5. Letter Requests
18. Background. The Commission's rules currently permit licensees
in some
[[Page 16941]]
wireless services to request certain actions by letter instead of with
a formal application filing. Each year WTB receives thousands of letter
requests which must be processed manually. In addition, section 308(a)
of the Communications Act of 1934, as amended (Communications Act)
states that formal applications are not required during national
emergencies or under other exceptional circumstances (Special
Situations), 47 U.S.C. 308(a). This provision is not to be confused
with the filing of requests for special temporary authority under
section 309(f) of the Communications Act, 47 U.S.C. 309(f).
19. Discussion. The Commission seeks comment on whether requiring
requests relating to licenses or applications to be filed using ULS
forms rather than continuing to accept and process letter requests will
better serve the public interest. Commenters should address whether the
Commission should eliminate letter filings for applications,
modifications, renewals, amendments, extensions, cancellations, special
temporary authorizations, and name and address changes, except for the
Special Situations set forth in section 308(a) of the Communications
Act. The Commission notes that the forms are widely available to the
public on the FCC's web page, via toll free telephone number, and
through a fax-on-demand service, and their use should be far less
burdensome for the public than drafting a letter request. Using a form
instead of a letter will also enable Commission staff to handle
requests more quickly and accurately. The Commission also notes that
even if manually filed the ULS form is more likely than a letter to be
sent directly to the appropriate Bureau and division for processing. In
addition, many requests for minor modifications could, if filed on a
form, be automatically granted, thus relieving the Commission of a
significant processing burden. Nonetheless, the Commission is mindful
that it may be unduly burdensome for some licensees to use a specific
form rather than a letter to request minor changes to an application or
license, such as a change of address. Therefore, commenters should
address whether letter requests should be permitted under certain
circumstances and if so, identify those circumstances.
B. Standardization of Practices and Procedures for WTB Applications and
Authorizations
1. Overview--Consolidation of Procedural Rules in Part 1
20. Background. In the past, the Commission has adopted service-
specific rules and procedures for processing applications in each
wireless service, which are for the most part set forth in separate
rule parts pertaining to each service. Thus, because many wireless
service providers hold licenses in more than one service, they must
consult multiple rule parts when filing applications. Each service's
rules have generally been addressed in separate rulemaking proceedings,
which took place at different times, inconsistencies arose in the
processing procedures for each service as the Commission increasingly
took a deregulatory approach to licensing procedures.
21. Discussion. The Commission proposes to consolidate the existing
procedural rules for the wireless radio services into unified rules,
located in part 1, that will be tailored to the new ULS database.
Moreover, the Commission proposes to eliminate unnecessary or outdated
procedural rules and conform inconsistent procedures to the extent
feasible. The Commission notes that adopting a single set of procedural
rules tailored to ULS will also make the licensing process more
efficient and user-friendly. For example, applicants seeking multiple
licenses in the same service or in more than one service will be able
to submit basic licensee information (e.g., name, address, ownership
information) only once, and ULS can automatically incorporate this
information into all subsequent applications associated with the same
applicant. Thus, licensees need not resubmit licensee information that
is already in the system unless that information has changed, in which
case only a single filing would be required to update the system. The
Commission encourages commenters to address the proposed changes, both
to identify unnecessary and inconsistent rules and to identify any
instances in which retention of service-specific rules is justified.
2. Standardization of Major and Minor Filing Rules
22. Background. Under current WTB rules, the standards for
distinguishing between major and minor filings, particularly amendments
to applications and modifications of licenses, have been addressed on a
service-specific basis and are found in many provisions throughout the
rules. The distinction between major and minor filings has significant
procedural consequences in the application process, because a major
amendment to an application causes the application to be considered
newly filed, while a minor amendment generally has no impact on the
filing date. A major amendment may be subject to an additional public
notice period (where public notice is required) or deemed untimely
filed if the new filing date falls outside a filing window. For
example, a major ownership amendment to an application for which the
filing window has closed would normally make that application untimely
and therefore unacceptable for filing. Distinguishing major and minor
modifications to licenses is similarly important, because major
modifications are subject to the same public notice requirements as
initial applications, and typically require prior Commission approval
even where public notice is not required. Minor modifications, by
contrast, do not trigger public notice obligations and often do not
require prior Commission approval.
23. Discussion. The Commission proposes to adopt a single rule in
part 1 that defines categories of major and minor changes for purposes
of defining whether an amendment to an application or a request for
license modification is major or minor. The Commission proposes that
these major and minor categories should uniformly govern the filing
date of applications in all wireless radio services. The Commission is
not, however, proposing to revise the types of applications which
require public notice or frequency coordination.
24. Some differentiation between services remains necessary based
on whether they are licensed on a geographic area basis or a site-
specific basis. For example, where a license is granted on a site-
specific basis, virtually any change to the technical characteristics
of the facility (e.g., a change of coordinates, antenna height, or
transmitting power) requires the Commission to modify the license. By
contrast, most geographic licenses do not generally require
modification for technical changes of this type to individual sites
within a licensee's service area, because the license affords the
licensee the flexibility to make these changes without modification of
its authorization provided it complies with the basic operational and
technical rules applicable to the service. As a result, where
geographic licensing is involved, there are far fewer types of possible
license modifications than where licensing is site-specific.
[[Page 16942]]
25. In addition, even among services licensed on a site-specific
basis, some differentiation is required in defining major and minor
changes due to the differing technical parameters governing mobile and
fixed services. For example, mobile services involve communications
between two or more stations in which at least one of the stations
involved is mobile. See 47 U.S.C. 153(27). A common scenario would be
where one or more mobile units communicate with a fixed base station
and nearby co-channel and adjacent-channel stations are coordinated
based on point-radius calculations of potential interference. In
contrast, fixed services involve communications among one or more fixed
sites. This results in the coordination of neighboring co-channel and
adjacent-channel stations by identifying the potential for radio
``paths'' to interfere with one another. In both cases, however, the
technical parameters proposed herein to define major and minor
modifications are appropriate to identify which applications could
significantly affect nearby licensees and differ consistent with the
distinct ways in which co-channel stations are coordinated.
Major
26. Based on the proposed new categorizations, the Commission
tentatively concludes that the following changes should be considered
major:
For all stations in all wireless radio services, whether licensed
geographically or on a site-specific basis:
Any substantial change in ownership or control;
Any addition or change in frequency, excluding removing a
frequency;
Any request for partitioning or disaggregation;
Any modification or amendment requiring an environmental
assessment (as governed by 47 CFR 1.1301-1319);
Any request requiring frequency coordination--non-
commercial mobile radio services (CMRS) private land mobile only; or
Any modification or amendment requiring notification to
the Federal Aviation Administration as defined in 47 CFR part 17
Subpart B.
In addition to those changes listed above, the following are major
changes applicable to stations licensed to provide base-to-mobile,
mobile-to-base, mobile-to-mobile, or repeater communications on a site-
specific basis:
Any increase in antenna height above average terrain
(HAAT);
Any increase in effective radiated power (ERP);
Any change in latitude or longitude; or
Any increase or expansion of coverage area (in this
context, coverage area is defined in the rule parts governing the
particular radio services).
In addition to those changes listed above, the following are major
changes that apply to stations licensed to provide exclusively fixed
point-to-point, multipoint-to-point, or point-to-multipoint
communications on a site-specific basis:
Any change in transmit antenna location by more than 5
seconds in latitude or longitude (e.g., a 5 second change in either
latitude or longitude would be minor);
Any increase in frequency tolerance (Fixed Microwave
only);
Any increase in bandwidth;
Any change in emission type;
Any increase in EIRP greater than 3 dB;
Any increase in EIRP greater than 1.5 dB (DEMS only);
Any increase in transmit antenna height (above mean sea
level) more than 3 meters;
Any increase in transmit antenna beamwidth;
Any change in transmit antenna polarization (fixed
microwave only); or
Any change in transmit antenna azimuth greater than 1
degree.
Any change in latitude or longitude that requires special
aeronautical study; or
Any change which together with all minor modifications or
amendments since the last major modification or amendment produces a
cumulative effect greater than any of the above major criteria.
Minor
27. The Commission tentatively concludes that any change not
specifically listed above as major should be considered minor. This
would include:
Any pro forma transfer or assignment;
Any name change not involving change in ownership of the
license;
Any address and/or telephone number changes;
Any changes in contact person;
Any change to a CMRS site where the licensee's
interference contours are not extended and co-channel separation
criteria are met; or
Any conversion of a site-specific license into a single
wide-area license where there is no change in the licensee's aggregate
service area.
28. In addition, the Commission proposes to combine the two
categories of minor filings in part 101 into one category, which will
not be required to be placed on public notice. The Commission is also
correcting a minor discrepancy in the standard for a major change to
antenna parameters that exists between an application amendment and
modification to a station. The Commission seeks comment on these
changes.
29. The Commission further proposes to allow licensees to implement
minor modifications to their facilities without prior approval;
licensees would be required only to electronically notify the
Commission within 30 days of implementing the change. The Commission
notes that there are times that applicants and licensees may submit
multiple amendments or modifications that individually would be
considered minor changes, but that combine to constitute a major
change. In this connection, the Commission proposes that multiple minor
changes will be considered a major change to the extent that their
cumulative effects relative to the original authorization exceed the
threshold(s) as major changes. We seek comment on this proposal.
Commenters should address the standard we should adopt to alert
applicants and licensees that multiple minor amendments or
modifications will be considered a major change.
30. There are times that applicants and licensees may submit
multiple amendments or modifications that individually would be
considered minor changes, but that combine to constitute a major
change. In this connection, the Commission proposes that multiple minor
changes will be considered a major change to the extent that their
cumulative effects relative to the original authorization exceed the
threshold(s) as major changes. The Commission seeks comment on this
proposal. Commenters should address the standard the Commission should
adopt to alert applicants and licensees that multiple minor amendments
or modifications will be considered a major change.
3. Submission of Ownership Information
31. Background. The existing service-specific rules contain varying
requirements for submission of ownership information by wireless
applicants and licensees. For example, in part 22, applicants for
licenses are required to provide detailed real-party-in-interest
information conceding stockholders, subsidiaries, and affiliates. See
47 CFR 22.108. Assignees and transferees of part 22 licenses must also
file current ownership information on
[[Page 16943]]
Form 430 if a current report is not on file with the Commission. See 47
CFR 22.137(a). In part 101, microwave applicants are required to file
real-party-in-interest information in conjunction with their
applications. See 47 CFR 101.19. Most recently, in the Part 1 Third
Report and Order, the Commission required all applicants for licenses
or for consent to assignment or transfer of licenses in auctionable
services to provide specific ownership information with either their
short-form or long-form application. See 47 CFR 1.2112(a).
32. Discussion. These various reporting requirements are intended
to enable the Commission to review whether applicants and licensees are
in compliance with the real-party-in-interest rules, as well as with
ownership restrictions such as the CMRS spectrum cap, cellular cross-
ownership restrictions, eligibility for treatment as a small business
at auction, and foreign ownership limitations. Entities who hold or
apply for multiple licenses may be required to submit duplicative or
inconsistent ownership information with each application.
33. The development of ULS provides an opportunity to fully
implement the decision in the Part 1 Third Report and Order streamline
the Commission's ownership disclosure requirements.
The Commission proposes to adopt a consolidated rule governing all
submissions of ownership information by wireless applicants and
licensees. The Commission proposes to utilize the new Form 602,
developed for ULS, as the common form on which all wireless applicants
and licensees submit required ownership information in connection with
any application or licensing change. For entities applying for a
license for the first time, whether by initial licensing, assignment,
or transfer of control, an applicant subject to ownership reporting
requirements would file this form simultaneously with the relevant
license application (Form 175, 601, 603, or 604). The applicant would
be required to submit only a single Form 602 in connection with
multiple applications (whether in one wireless service or multiple
services), and would be able to reference the same information in all
future applications without refiling the form. The licensee would also
use the Form 602 to provide amended or updated ownership information as
required by the relevant rules, e.g., in connection with transfers and
assignments. The licensee would only have to file one ownership form to
update this data for all of its licenses. The Commission seeks comment
on this proposal.
34. The Commission also proposes to streamline and consolidate the
rules regarding the types of ownership information that must be
submitted by wireless applicants and licensees. The Commission proposes
to eliminate all duplicative and inconsistent reporting requirements in
service-specific rule parts that deal with auctionable services, e.g,
the reporting requirements in part 22. This proposal does not preclude
requiring different or more specific ownership information where
circumstances warrant; e.g., applicants seeking small business
eligibility for auction purposes must typically file more detailed
information regarding ownership and financial structure than other
entities.
35. The Commission also seeks comment on whether to revise the
rules regarding ownership information to be provided by applicants and
licensees in non-auctionable services that are not subject to the
disclosure requirements of the Part 1 Third Report and Order. For
example, under part 101, all applicants, including private licensees
operating systems exclusively for internal use, are required to
disclose real party in interest information and certify that they are
not representatives of foreign governments, but are not otherwise
subject to ownership reporting requirements. The Commission also seeks
comment on whether ULS should collect ownership information from
applicants and licensees in non-auctionable services beyond what is
currently required. For example, in some instances, licenses in
private, non-auctionable services are held by commercial enterprises
such as railroads or utilities, which could also hold licenses or
interests in licenses in auctionable wireless services. The Commission
seeks comment on whether the possible holding of both types of licenses
raises potential competitive or spectrum management issues that would
justify requiring such entities to provide ownership information in
connection with applications for non-auctionable as well as auctionable
licenses.
The Commission also seeks comment on what types of information
should be provided. The Commission tentatively concludes that there is
no need to extend ownership reporting requirements to applications or
licenses held by governmental entities. The Commission also tentatively
concludes that such requirements are unnecessary for the Amateur or
General Mobile Radio Services or for Commercial Radio Operators,
because these services are essentially personal in nature. The
Commission seeks comment on these tentative conclusions.
4. Frequency Coordination of Amendment and Modification Applications
36. Background. In services requiring frequency coordination in
parts 90 and 101 there are differing rules pertaining to coordination
for amendments and modifications that involve substantial engineering
changes to applications. Section 90.175 of the Commission's rules
identifies numerous changes that do not require frequency coordination.
However, Sec. 101.103(d) of the rules requires all applicants seeking
to amend applications or modify their authorizations to obtain a new
frequency coordination.
37. Discussion. The Commission proposes amending Sec. 101.103 by
requiring frequency coordination only for those applicants filing
amendments and modifications that involve changes to technical
parameters that are classified as major.
Licensees making minor changes to technical parameters would only
be required to notify the Commission, as well as the entity(ies) with
which it normally engages in frequency coordination, of the minor
change. The Commission seeks comment on this proposal.
5. Returns and Dismissals of Incomplete or Defective Applications
38. Background. Currently, electronic filing of applications
involves the completion of a form on a computer and forwarding the
completed application to the Commission. Incomplete or incorrectly
filed applications are returned and/or dismissed in accordance with
service-specific rules. The ULS filing system will reduce filing errors
by assisting applicants who file electronically to fill in all required
information. For example, ULS will prefill ownership and address
information for applicants who are already Commission licensees. It
will also interactively check that required elements of applications
are completed and prompt applicants to correct errors. ULS can also be
programmed to interactively perform certain clearances such as
verifying tower registration. The Commission anticipates that this
system, in combination with the consolidated rules proposed herein,
will result in a higher percentage of grantable applications and help
to ensure the integrity of the data in the licensing database.
39. There will be two means for parties to electronically file
applications with the Commission: batch and interactive. Batch filing
involves data transmission in a single action, without
[[Page 16944]]
any interaction with the Commission's ULS system. Batch filers will
follow a set Commission format for entering data. Batch filers will
then send via file transfer protocol (FTP) batches of data to the
Commission for compiling. ULS will compile such filings overnight and
respond the next business day with a return or dismissal for any
defective applications. Thus, batch filers will not receive immediate
corrections from the system as they enter the information.
40. Interactive filers will use a WWW browser to contact the
Commission on the secure network and complete the appropriate
Commission form in real time. Interactive filing will be accomplished
through the Commission's WAN. No filing will be done over the Internet.
The Commission's WAN can be accessed by using software available for
downloading from the Commission's web site at http://www.fcc.gov/wtb/
uls. Interactive filing involves data transmission with screen-by-
screen prompting from the Commission's ULS 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. Interactive filers will be able to enter corrected
information in real time; thus, they are less likely to submit
applications that are incomplete or incorrect with respect to
information in these fields.
41. Discussion. The Commission proposes to conform filing rules for
all wireless radio services applicants so that batch, interactive, and,
where applicable, manual filers will be subject to the same
requirements and procedures for defective or incomplete applications.
Interactively filed applications will be screened in real time by the
ULS system; therefore, errors will be unlikely but may occur in some
instances where erroneous information is entered. In the case of batch
and manually filed applications, incomplete or erroneous filings will
not be detected until after the application is filed. Manually filed
applications, if erroneous, will not be returned until the WTB staff
reviews the application and detects the problem. The Commission
proposes that an applicant who submits an application that is accepted
by ULS but that subsequently is found to have missing or incorrect
information be notified of the defect in all cases, regardless of
filing method, except as indicated below. The Commission seeks comment
on allowing applicants 30 days from the date of this notification to
correct or amend the application if the amendment is minor. If the
amendment is major, the applicant's ability to refile will depend on
whether major amendments are allowed under the circumstances (e.g.,
whether the relevant filing window has closed). Notwithstanding the
above, in all cases applications that are submitted without a
sufficient fee or outside of an applicable filing window and manually
filed applications that do not contain a valid signature will be
immediately dismissed. The Commission seeks comment on these proposals.
42. Finally, the Commission proposes a method for handling
confidential attachments to applications filed in the ULS. Currently,
because applicants may submit proprietary or market sensitive data as
attachments to their applications, they may request that the Commission
treat these attachments as confidential. If the Commission does not
grant this request for confidential treatment, the attachments in
question are returned to the applicant, who may decide whether or not
to resubmit them without restriction. Under the ULS applicants may
request that an electronically submitted attachment be treated as
confidential by checking the appropriate box on the attachment form. To
ensure that these attachments are kept confidential in ULS, the
Commission proposes the following security measures: (1) Any attachment
designated as confidential will not be accessible from publicly
available query utilities; and (2) a special user name and password
will be required for Commission employees to view confidential
attachments. To provide the same treatment under ULS as under the
current system, the Commission proposes that if the request for
confidential treatment is denied, the applicant would be informed and
the attachments in question be deleted from the ULS database. The
Commission requests comment on this proposal.
6. Discontinuation of ``Reinstatement'' Applications
43. Background. Presently, licensees in the Private Land
Mobile Services and Fixed Microwave Radio Services who do not file
a timely renewal application are given a 30-day period following the
expiration of their licenses in which to request reinstatement. See 47
CFR 1.926(c). This practice is inconsistent with other wireless radio
service licensing rules where reinstatement is not permitted. See,
e.g., 47 CFR 22.145. The Commission seeks comment on whether to modify
the rules to utilize ULS to notify applicants of the renewal period for
their licenses. This would eliminate the reinstatement period and
instead automatically cancel the license following expiration.
44. Discussion. In order to provide regulatory symmetry among all
wireless services, the Commission proposes to provide automatic pre-
expiration notification to all wireless radio services licensees
through ULS and to eliminate the reinstatement period in those services
that currently allow reinstatement applications. This proposal does not
affect the five-year grace period within which holders of Commercial
Radio Operator licenses may renew expired licenses without retaking the
required examination. See 47 CFR 13.13(b). Specifically, the Commission
proposes that ULS would send notices to all wireless radio services
licensees, both site-specific licensees and geographic area licensees,
90 days before the expiration of their licenses. The Commission seeks
comment on this proposal. Commenters should address whether 90 days is
the appropriate amount of time prior to expiration to send this
information. Under this procedure, failure to file for renewal of the
license before the end of the license term would result in automatic
cancellation of the license. The Commission tentatively concludes that
existing rules allowing reinstatement of expired licenses should be
eliminated because, under the proposed new rules: (1) Licensees will
receive notification that their licenses are about to expire and,
therefore, should be responsible for submitting timely renewal
applications; and (2) interactive electronic filing will make it easier
for all licensees to timely file renewal applications. In addition,
Commission forms are widely available to the public on the FCC's web
page, http://www.fcc.gov/formpage.html; via toll free telephone number,
1-800-418-3676; and through fax-on-demand service, (202) 418-0177.
Licensees should be able to obtain the form more easily than before to
timely file their renewal application. The Commission seeks comment on
the tentative conclusions and on whether this approach will have a
negative effect on public safety and local government licensees. In
particular, the Commission requests comment on whether such entities
should be subject to a different procedure, and if so, what that
procedure should be.
45. To the extent that the Commission adopts its automatic
cancellation proposals, licensees whose licenses have been
automatically cancelled may file a petition for reconsideration of the
cancellation or may file a new license application. The ULS system will
show a license expiration as final 30 days
[[Page 16945]]
after the automatic cancellation date if no petition for
reconsideration is filed. Such licenses would then be available for the
Commission to reauction or otherwise reassign. If a petition for
reconsideration is filed, the license would remain in the ULS pending
action on the petition. If the Commission determines that the spectrum
is available for reassignment or reauction, the license cancellation
will be placed on public notice and a separate public notice will be
issued indicating filing procedures for that spectrum. This system
comports with the current rules in certain services that allow a filing
window for renewals, and those services that have automatic
cancellation provisions for failure to file a timely renewal
application. The Commission seeks comment on these proposals. Neither
the ULS procedures nor this NPRM is intended to affect the rules in
place governing the amateur vanity call sign system cancellation and
reassignment procedures.
46. The Commission now informs applicants and licensees of
Commission actions in writing. The Commission proposes to allow
licensees to choose whether they want to continue to be notified in
writing via regular mail or instead be notified of Commission actions
concerning applications contained in the ULS via electronic mail. The
Commission proposes that notification by electronic mail be considered
the same notice as notification by regular mail. The Commission further
proposes that if the licensee does not choose electronic mail regular
mail will be used for such notifications. The Commission seeks comment
on these proposals.
7. Construction and Coverage Verification
47. Background. In all wireless radio services, licensees are
subject to construction and, in some instances, coverage requirements,
and are subject to automatic license cancellation if these requirements
are not met. Different procedures have evolved in different services
for verifying whether licensees have in fact met these requirements. In
some wireless radio services, the rules provide that licenses are
cancelled if the licensee fails to notify the Commission that it has
met its construction or coverage requirement. See, e.g., 47 CFR 21.44.
In other services, licenses are cancelled automatically if a licensee
fails to construct by its construction deadline. See, e.g., 47 CFR
22.142, 90.155, 90.629, 101.63, 101.65. In some, but not all, of the
latter services, the Commission staff sends letters to determine
compliance and then notifies licensees that their licenses are
cancelled when licensees fail to certify compliance or state that they
did not meet the construction or coverage requirements. In some
services that are licensed by geographic area, licensees may forfeit
their license by failing to meet coverage requirements, but no
procedures have been established for notifying licensees of approaching
deadlines or confirming that these deadlines have been met.
48. Discussion. The ULS can be programmed to remind licensees by
letter or electronic mail that a construction or coverage deadline is
approaching and can also be programmed to permit construction
notifications to be filed electronically. The Commission proposes to
establish uniform procedures for using the ULS to notify all wireless
radio licensees of upcoming construction or coverage deadlines. This
will conform the rules for all wireless radio services licensees so
that similarly situated applicants and licensees are treated equally.
In addition, this will lessen the burden on applicants and will ensure
that deadlines are met or that the public receives timely notification
of terminations. Under this proposal, ULS would automatically send each
licensee via e-mail or regular mail a reminder letter before the
applicable construction or coverage deadline. The Commission seeks
comment on how far in advance the notification should be sent. After
receiving notification, licensees would then verify that they have met
these requirements by updating their FCC Form 601 already on file with
ULS. The Commission notes that the notification procedure proposed is
not intended to replace the basic construction and coverage
requirements. Thus, even if a licensee does not receive a reminder
letter, it remains obligated to meet its construction and coverage
benchmarks and cannot site the lack of notification as an excuse for
non-compliance.
49. The Commission proposes requiring notifications filed by
wireless radio services licensees to be filed electronically. If a
licensee does not file the required notification of completion of
construction or satisfaction of the coverage requirements, the ULS
would send a letter advising the licensee of the termination of the
authorization. The ULS would then generate a public notice announcing
the termination, which would be deemed final 30 days after the public
notice date. The Commission seeks comment on this proposal.
50. The Commission proposes to require wireless radio licensees to
certify compliance with construction requirements relating to
modification applications that involve additional frequencies. The
Commission also proposes to require fixed microwave licenses awarded on
a site-by-site basis to certify compliance with construction
requirements for additional or increased service area coverage (e.g., a
new station, a change in antenna height or EIRP). In addition, the
Commission proposes to amend Sec. 101.63 of the rules, 47 CFR 101.63,
to require fixed microwave licensees to file a further modification
application if they fail to construct a granted modification. This
proposal, if adopted, will codify the processing practice as it
currently exists in which licensees failing to construct a granted
modification must file a further modification application to return the
license to its pre-grant status. The Commission seeks comment on these
proposals.
8. Assignments of Authorization and Transfers of Control
51. Background. The Communications Act requires the Commission to
approve assignments of licenses and transfers of control of licensees.
See 47 U.S.C. 310(d). In the wireless radio services, the Commission
currently process applications for proposed assignments and transfers
of control in two ways. Under the CMRS rules, requests for approval of
both assignments and transfers are filed on a common application form.
Following the approval of the assignment or transfer, the licensee must
then file a notification with the Commission that the transaction has
been consummated, at which point the Bureau amends its licensing
database. See, e.g., 47 CFR 22.137, 24.839, 26.324, 27.324. In the
private and common carrier microwave services, licensees use one of two
forms to request Commission approval, depending on whether the proposed
transaction is an assignment of license or a transfer of control. The
rules applicable to part 90 services and microwave transfers and
assignments also differ from the equivalent CMRS rules in that no post-
consummation notice is required; instead, the Bureau amends its
database upon approval of the assignment or transfer without seeking
confirmation that the transaction was consummated. See, e.g., 47 CFR
80.29, 87.31, 90.153, 101.53.
52. We note that we recently exercised our forbearance authority
for certain pro forma transfers of control and assignments or licenses
involving telecommunications service providers licensed by the Wireless
Telecommunications Bureau. Specifically, we granted a petition for
[[Page 16946]]
forbearance filed by the Federal Communications Bar Association
regarding the prior notification and approval requirements for pro
forma transfers and assignments. Rather than requesting approval of the
pro forma transaction before it has occurred, licensees must submit
written notification of the pro forma transaction within 30 days after
consummation, either in letter form or by using the appropriate FCC
transfer and assignment form, and must update their records as
necessary. See 47 CFR 22.137(a)(1), (b); 24.439(a)(3); 24.839(a)(1);
27.324(a)(3), (b)(3); 90.153(a)(1), (b); 101.53(a)(1). Those licensees
subject to unjust enrichment provisions, and those transactions
involving proxy mechanisms, require additional review and may not take
advantage of this forbearance.
53. Discussion. The Commission proposes to consolidate the transfer
and assignment rules for all wireless services in part 1, and to
eliminate inconsistencies between the procedures that currently govern
CMRS and microwave licenses. First, the Commission proposes to replace
the multiple existing forms for transfers and assignments in the
various services with two ULS forms, FCC Form 603 for assignment of
licenses and FCC Form 604 for transfers of control. See proposed rule
47 CFR 1.931(c). The Commission proposes using two different forms
tailored to the two categories of transactions. This will make entering
the required information easier and will thereby reduce the filing
burden on licensees. The Commission seeks comment on these proposals.
54. The Commission also proposes to conform the rules with respect
to post-transaction notification that a Commission-approved transfer or
assignment has been consummated. The Commission proposes to require
post-consummation notification prior to changing the database to
reflect the grant. See proposed rule 47 CFR 1.913. Problems can occur
when an assignment or transfer approved by the Commission is entered
into the licensing database under this streamlined procedure and is not
subsequently consummated. In the absence of a notification procedure,
no efficient mechanism exists for correcting the database under these
circumstances. Instead, the Commission has generally required the
filing of a second transfer application that reflects the ``return'' of
the license from the putative transferee to the original licensee.
55. With the advent of ULS, a uniform post-consummation
notification process can be established that will be efficient and easy
to use for all wireless licensees. Using the electronic filing
capabilities of the system, licensees will be able to provide such
notification by accessing their previously filed Form 603 or 604
associated with a transaction and entering updated information
regarding its consummation. The Commission proposes to require post-
consummation notification under ULS using procedures similar to those
currently applicable to CMRS transfers and assignments. The Commission
also tentatively concludes that these notification procedures should be
reinstated for transfers and assignments of microwave licenses,
notwithstanding the prior elimination of the post-consummation
notification requirement in the microwave services. Under ULS, the
burden of filing such notifications will be substantially reduced. In
addition, uniform procedures will ensure regulatory symmetry and will
help avoid database errors associated with unconsummated transactions.
The Commission seeks comment on this approach.
56. Finally, the Commission proposes to apply these same post-
consummation procedures to pro forma transactions for which the
streamlined procedures were recently adopted. Thus, in the case of pro
forma transfers and assignments involving telecommunications carriers,
for which prior Commission approval is no longer required, the
Commission tentatively concludes that licensees should provide the
required post-consummation notification and related information
regarding the transaction on Form 603 or 604.
9. Change to North American Datum 83 Coordinate Data
57. Background. To perform its licensing role, WTB requires that
certain applicants submit coordinate data with their applications. In
these rules, applicants are required to submit coordinate data using
the 1927 North American Datum (NAD27) geographical survey. A more
recent North American Datum (NAD83) was completed in 1983, which
provides updated coordinate data. NAD83 was adopted as the official
coordinate system for the United States in 1989.
58. Discussion. The Commission tentatively concludes that use of
NAD83 will result in more accurate licensing decisions via the ULS and
will also conform with the current Federal Aviation Administration
regulations which require the use of NAD83 data. The Commission
proposes that all wireless radio services application processing rules
requiring the submission of site coordinate data should be revised to
require that such data be supplied using the NAD83 datum for sites
located in the coterminous United States and Alaska. Additionally, the
Commission proposes that the rules be revised to require site
coordinate data for sites in areas such as Hawaii, Puerto Rico, the
South Pacific Islands, etc., be submitted using WGS84. Adoption of this
proposal would conform the rules with those of the FAA. The Commission
seeks comment on this tentative conclusion and proposal.
10. Use of Taxpayer Identification Numbers
59. Background. In 1996, Congress enacted the Debt Collection
Improvement Act as part of an effort to increase collection from
private entities of delinquent government debts. See Omnibus
Consolidated Rescissions and Appropriations Act of 1996, Pub. L. 104-
34, Chapter 10, 110 Stat 1321, 1321-1358 (1996) (DCIA). As a result of
DCIA, the Commission and executive agencies are required to monitor and
provide information about their regulatees to the U.S. Treasury. This
provision includes a requirement that the Commission collect Taxpayer
Identifying Numbers (TIN) and share them with the U.S. Treasury to
ensure that the Commission does not refund monies to entities that have
an outstanding debt with the federal government. TINs are 9-digit
identifiers required of all individuals and employers to identify their
tax accounts. Individuals use their Social Security Number as their
TIN. Therefore, for the purposes of this NPRM, the term ``Taxpayer
Identification Number'' shall mean ``Social Security Number'' for
individuals. Employers use their Employer Identification Number (EIN)
as their TIN. Such numbers are sometimes referred to as Federal
Identification Numbers (FIN). EINs are issued by the IRS to all
employers whether or not they pay taxes. These employers include
corporations, sole proprietors, partnerships, state and local
governments, limited liability companies, non-profit organizations, and
federal government/military agencies. TINs are an integral part of the
DCIA system and are necessary for the collection of delinquent debt
owed to federal agencies. The TIN matches payment requests with
delinquent information. As a result, federal agencies have been
required to share the TINs of payment recipients since April 26, 1996,
the effective date of DCIA. The Financial Management Service of the
U.S. Treasury has recommended that agencies obtain the TIN when an
agency first has direct contact with a person.
[[Page 16947]]
60. The Commission has already taken steps to ensure proper
collection of TINs from parties seeking to make filings using ULS.
Development of the ULS will require that we continue to collect TINs
from wireless radio services applicants and licensees because some of
these parties may be the recipients of a refund for overpayment of
filing and/or regulatory fees or auction bids. The WTB has received
approval from OMB to require existing licensees to register their TIN
using FCC Form 606. Form 606 is for use on an interim basis, until the
ULS is operational.
61. Discussion. The Commission proposes that all parties seeking to
make filings through ULS should be required to submit a TIN as a
prerequisite for using the system and the Bureau should use TINs as the
unique identifier for such parties. Parties submitting manually filed
applications should also be required to supply their TIN on their
application form because all such applications will be placed on the
ULS and a TIN is necessary to track these applications. Parties filing
applications using ULS would be required to complete Form 606 to
register their TIN. Parties seeking to file a pleading electronically
through ULS would not be required to submit a TIN but rather will be
permitted to register with the ULS using a unique identifier and
password of their choosing. Members of the public would not be required
to register to simply view applications or search the ULS database. The
Commission seeks comment on whether requiring the use of TINs with the
ULS system would satisfy the requirements of the DCIA and would provide
a unique identifier for parties filing applications with the ULS that
would ensure that the system functions properly. The Commission
tentatively concludes that the TIN is the logical choice for the system
identifier because it is unique to each licensee and applicant, and
these parties will likely have already obtained a TIN from the Internal
Revenue Service in order to conduct their business. The Commission
would take steps to prevent misuse of TINs; for example, the ULS system
would be designed so that TINs will not be available to the public.
Only a small number of Commission employees would have access to TIN
information in conjunction with their work. Finally, a Privacy Act
submission would be published in the Federal Register to obtain the
requisite public and Congressional comment and OMB approval prior to
implementation of the ULS system. The Commission seeks comment on these
tentative conclusions and proposals.
C. Collection of Licensing and Technical Data
1. Overview
62. The Commission has identified certain existing data collection
requirements and licensing requirements that no longer serve a useful
purpose or that can be further streamlined. Accordingly, the Commission
takes this opportunity to propose the elimination or streamlining of
such requirements. The Commission seeks comment on the types of
technical data that should be collected from applicants and licensees,
and whether there are particular data collection requirements that
should be either added or deleted.
63. Background. Prior to geographic area licensing, all wireless
radio services were licensed on a site-by-site basis. The Commission's
rules currently require most applicants for site-specific licenses in
the wireless radio services to submit technical details regarding their
proposed stations. For example, all applicants are required to disclose
the location of all antenna sites, transmit power, and emission
characteristics. See, e.g., 47 CFR 90.119. Such detail is necessary for
site-specific licensing (1) to minimize the potential for harmful
interference between stations; (2) to meet the requirements of the
National Environmental Policy Act of 1969, 42 U.S.C. 4321-4335; (3) to
perform international coordination; (4) to carry out spectrum
management responsibilities; and (5) to ensure the proper enforcement
of our rules. The collection of technical data for each site may not be
appropriate under geographic area licensing. The Commission has reduced
the amount of technical information required by geographic area
licensees; however, geographic area licensees currently have different
reporting requirements depending on the service under which they are
licensed. For example, PCS licensees must comply with the technical
rules of 47 CFR part 24, but are not required to submit any technical
data to the Commission on their application forms and cellular
licensees need only submit technical data for the cell sites that
comprise their Cellular Geographic Service Area (CGSA). In contrast,
the service specific rules for the Local Multipoint Distribution
Service (LMDS), 220 MHz, and 800 MHz Specialized Mobile Radio (SMR)
require that applicants submit technical data for all sites even though
licenses for these services either have been or are scheduled to be
auctioned on a geographic basis.
64. Discussion. The Commission proposes to examine the technical
reporting requirements for all geographic area licensees with a view
toward equalizing, as much as possible, the reporting burden on such
license holders. This proposal will ensure that similarly situated
licensees are treated in a consistent manner, and allow the Commission
to more effectively collect the data needed to fulfill the statutory
mandates. The Commission believes that applicants for geographic area
licenses in the wireless telecommunications services should, at a
minimum, provide technical information (1) when an Environmental
Assessment is needed, as prescribed by 47 CFR 1.1307; or (2) to effect
international coordination, when necessary. Site data is also needed
where towers will extend more than 200 feet above ground or will be
located near an airport in order to maintain safety in air navigation.
65. The Commission believes that a reduced filing burden would be
in the public interest. The Commission believes that it can eliminate
those rules and requirements that are no longer necessary by changing
the rules to make the technical reporting requirements more consistent.
The Commission realizes that technical data is needed in situations
other than those cited above (e.g., for coordination between adjacent
geographic areas, for enforcement purposes, or to improve our overall
management of the spectrum), and that some licensees may be required to
submit more detailed information than previously required. The
Commission seeks comment on what reporting requirements, both technical
and non-technical, should be established for geographic area licensees.
Commenters should indicate those rules and requirements that can be
eliminated from the wireless radio services rules, those that will need
to be modified, and any additional requirements that may be necessary
to make the reporting requirements consistent across services. When
providing comments on this issue, commenters should clearly distinguish
between the reporting requirements for geographic area and site-
specific licensees. Additionally, there are many instances where
geographic area licenses have been granted in areas that have site-
specific, incumbent licensees (e.g., LMDS, 220 MHz, 800 MHz SMR). These
situations should also be considered when addressing reporting
requirements. Finally, when discussing rule and reporting requirement
changes,
[[Page 16948]]
commenters should suggest specific procedures to allow the collection
of required information in a way that puts the least burden on
licensees.
2. Use of Notification or Certification in lieu of Informational
Filings
66. Discussion. The Commission proposes to replace many data or
other informational filing requirements with either certification or
notification, where appropriate. As with applications, the Commission
proposes to require that wireless radio services licensees file
certifications and notifications electronically. Some certification
statements will be made directly on a form or schedule, while others
will be made in an exhibit. Only certifications made on a form or
schedule will be searchable in ULS. An example of a new certification
requirement in lieu of an information filing requirement can be found
in proposed Sec. 101.701, which requires common carrier fixed microwave
licensees to certify that substantial non-private use is being made of
facilities used to relay broadcast television signals.
67. The Commission is proposing to change some informational
filings to notification. An example of a new notification requirement
in lieu of an informational filing is in proposed section 101.305,
where non-dominant common carriers planning to discontinue service must
give electronic notification of discontinuance to the Commission. The
Commission seeks comment on these proposals.
3. Public Mobile Radio Service Data Requirements
68. Discussion. Under part 22 of the Commission's rules, applicants
for certain Public Mobile Radio Service licenses are required to file
antenna model, manufacturer, and type with the Commission. See 47 CFR
22.529(b)(2). This antenna information is no longer required due to the
way that service contours and CGSAs are determined. Accordingly, the
Commission tentatively concludes that the antenna information that is
presently collected is superfluous. The Commission proposes to
eliminate this filing requirement.
69. In addition, the rules currently require that unserved area
applicants in the Cellular Radiotelephone Service submit paper copies
of: (1) An application cover, (b) transmittal sheet, (c) table of
contents, and (d) numerous engineering exhibits. See 47 CFR 22.953.
These paper copy requirements are inconsistent with the proposal to
require electronic filing by cellular applicants. The Commission
proposes to eliminate this requirement for cellular unserved
applicants. The Commission seeks comment on this proposal.
4. Fixed Microwave Service Data Requirements
70. Discussion. Effective August 1996, the Commission consolidated
all regulations concerning fixed microwave services from parts 21 and
94 of the Commission's rules into a single consolidated part 101,
eliminating and combining a number of rules. Fixed microwave service
applicants are required to file the following four items of technical
information: Type acceptance number, line loss, channel capacity, and
baseband signal type for each application. See 47 CFR 101.21. The
Commission proposes to eliminate these filing requirements for fixed
microwave service applicants because it is not critical that such
information be filed with the Commission, nor does it provide useful
data in support of WTB licensing processes. The Commission seeks
comment on this proposal.
5. Maritime and Aviation Services Data Requirements
71. Discussion. Presently, applicants for certain types of station
licenses in the Maritime and Aviation radio services are required to
submit written showings with their applications in order to provide
specific information concerning eligibility, to verify frequency
coordination, or to show that the U.S. Coast Guard or Federal Aviation
Administration approves of the operation of the proposed station. In
order to facilitate electronic filing for these radio services, the
Commission proposes to eliminate various rules which currently require
applicants to attach the types of showings and coordination statements
described above. See 47 CFR 80.21, 80.33, 80.53, 80.469, 80.511,
80.513, 80.553, 80.605, 87.37, 87.215, 87.239, 87.301, 87.305, 87.307,
87.321, 87.323, 87.347, 87.419, 87.421, 87.423, 87.447, 87.475, 87.481,
87.527. The Commission proposes to allow applicants to certify that
certain information is correct or that appropriate coordination has
taken place in lieu of these written showings. Where applications
involve safety of life at sea or in air navigation, the Commission
proposes to reserve the right to contact applicants to obtain
additional information where such action serves the public interest.
The Commission seeks comment on whether this proposal could negatively
affect the quality of maritime or aviation communications. Commenters
opposing the proposed rule changes should identify which written
showings should be retained, why they should be retained, and any
alternative rule changes that could aid in achieving our goal of
facilitating electronic filing in the wireless services.
72. Section 87.305 requires flight test station applications to
include a statement from a frequency advisory committee, including
detailed technical information to be specified at the time of
licensing. This is in contrast to other coordination statements
required for these services. The Commission seeks comment on how best
to implement these proposals. The Commission seeks comment on whether
the frequency advisory committee should be required to submit the
application on behalf of the applicant, as is current practice in the
Private Land Mobile Radio Services. Alternatively, the Commission seeks
comment on whether individual applicants should be allowed to specify
the technical data at time of application and certify that it is
correct and represents the committee's recommendation.
73. In addition to the written showings, there is another
inconsistency between the current procedures for licensing Maritime and
Aviation radio stations and other types of wireless systems. The rules
currently prohibit the assignment of ship and aircraft station licenses
between entities otherwise eligible for licensing. See 47 CFR 80.56 and
87.33. The intent of these rules is to maintain the integrity of the
data stored in the Commission's ship and aircraft licensing databases.
As a practical matter, this means that when a ship or aircraft is sold,
the former owner is required to submit its license to the Commission
for cancellation and the new owner must request a new station license.
The Commission tentatively concludes that prohibiting the assignment of
ship and aircraft station licenses no longer serves any regulatory
purpose and that better service to the public could be provided by
allowing licensees to assign their station licenses, as is done for
other wireless services. Therefore, the Commission proposes to
eliminate the prohibition against assigning ship and aircraft station
licenses, so long as applicants provide updated information concerning
the stations in question upon application for assignment. The
Commission seeks comment on this tentative conclusion and proposal.
6. Commercial Radio Operator License Data Requirements
74. Discussion. Commission-licensed Commercial Radio Operators
serve as radio officers aboard U.S. vessels, repair and maintain
maritime or aviation radio
[[Page 16949]]
equipment, and use international maritime and aviation frequencies to
communicate with foreign stations. In order to obtain a license, an
applicant must contact a Commission-certified examination manager, pass
one or more written tests, obtain a proof of passing certificate (PPC)
from the examination manager, and provide the original PPC to the
Commission upon application for a license. See 47 CFR 13.9. The
Commission tentatively concludes that it must retain measures to verify
whether an applicant has passed the requisite examinations. License
holders are responsible for emergency communications aboard vessels and
for repairing radio equipment that serves as a mariner's or pilot's
lifeline during emergencies. In the future, the Commission's role in
ship inspections may be performed by the private sector and license
holders may be responsible for inspecting compulsory radio
installations aboard U.S. vessels. Because of the critical, safety-
related responsibilities of license holders, the Commission must ensure
that only qualified individuals receive a Commercial Radio Operator
license. The Commission seeks comment on ways to automate the
verification of applicants' PPCs. One alternative would be for
examination managers to electronically file with the Commission data
showing which examination elements an examinee has passed. A second
option would be for examination managers to establish procedures that
would allow them to verify the authenticity of a PPC, upon Commission
request. A third option would be to require examination managers to
submit applications on behalf of applicants. Commenters should discuss
the administrative burdens associated with automating the verification
of PPCs, and any alternative solutions.
7. Amateur Radio Services
75. Discussion. The United States has reciprocal arrangements with
65 countries to allow amateur operators to operate their stations
temporarily in the other country. The Commission currently grants
annually some 2,000 reciprocal permits for alien amateur licensee (FCC
Form 610-AL) to amateur operators from those countries. The visitor
must obtain the application form (FCC Form 610-A)--which is often
difficult to do in a foreign country--and file it with the Commission.
No standards are required of these applicants other than possession of
the license document issued by their country of citizenship. There is
no fee. The FCC-issued permit simply confirms that the holder of the
permit also holds a license from his or her home country. No permit is
required for Canadian amateur operators who visit the United States
because they are authorized to operate by rule. See CFR 97.5(c)(2),
97.7(b). The Commission tentatively concludes that there is little or
no need to continue issuing the reciprocal permit for alien amateur
licensees because the license from any foreign country with which the
United States has reciprocity would stand as the proof that the foreign
operator is qualified for the reciprocal operating authority. The
Commission proposes to authorize all reciprocal operation by rule. No
citizen of the United States, regardless of any other citizenship held,
would be eligible under this authorization procedure. United States
citizens would continue to have to acquire an FCC-issued amateur
operator license by passing the requisite examinations.
76. Currently, the Commission processes annually some 1,500
applications for new, renewed, and modified amateur service club,
military recreation, and radio amateur civil emergency service
(``RACES'') station grants. Application is made on FCC Form 610-B.
There is no fee. The resulting license grant simply authorizes the use
of a unique call sign in the station identification procedure; it does
not authorize any operating privileges. Section 4(g)(3)(B) of the
Communications Act authorizes the Commission, for purposes of providing
club and military recreation station call signs, to use the voluntary,
uncompensated and unreimbursed services of amateur radio organizations
that have tax-exempt status under section 501(c)(3) of the Internal
Revenue Code. ULS provides an opportunity to utilize the electronic
batch filing services provided by the private sector. The Commission
proposes to accept the services of any organization meeting the minimum
requirements of section 4(g)(3)(B) of the Communications Act that
completes a pilot electronic autogrant batch filing project similar to
that completed by the 16 volunteer-examiner coordinators (``VECs'').
The Commission anticipates that many VECs would be likely to volunteer
their service as club station call sign administrators. The Commission
seeks comment on this proposal.
8. General Mobile Radio Service
77. Background. The GMRS is a land mobile radio service for short-
distance two-way communications. It is used to facilitate the business
or personal activities of licensees and their immediate family members.
There are fifteen channels allocated to this service. Applicants may be
authorized to use up to ten of these channels. Applicants are currently
required to submit technical information and location information for
control points and small base stations.
78. Discussion. All GMRS channels are shared and no frequency
coordination is required; therefore, the Commission proposes to revise
the rules for GMRS to limit the data collection required of individuals
applying for a license to contact information, such as name, address,
and telephone number. Additionally, the Commission proposes to
authorize stations to transmit on any authorized channel from any
geographical location where the FCC regulates communication without the
need for temporary licensing. The Commission believes that there is no
regulatory purpose to be served by limiting the number of frequencies
for which a licensee may be authorized or by collecting technical
information from applicants. The Commission seeks comment on these
proposals.
III. Conclusion
79. In this proceeding, the Commission has set forth proposals to
consolidate the licensing rules into a single set of rules for all
wireless radio services. The Commission's goal is to establish a
streamlined set of rules that minimizes filing requirements as much as
possible; eliminates redundant, inconsistent, or unnecessary submission
requirements; and assures ongoing collection of reliable licensing and
ownership data. These consolidated rules will eliminate duplication and
inconsistencies that exist in the rules and will make it easier for
applicants to determine our application requirements by referencing a
single set of licensing rules. Such consolidation will allow the ULS to
function more efficiently and provide licensing information to members
of the public. The Commission also believes that development of full
electronic filing and universally available databases for the wireless
radio services will shorten application filing times for applicants,
make the most recent data available to them concerning other spectrum
uses, and allow the Commission to operate with greater efficiency.
IV. Procedural Matters and Ordering Clauses
A. Regulatory Flexibility Act
Summary: As required by the Regulatory Flexibility Act (RFA), the
Commission has prepared this Initial Regulatory Flexibility Analysis
(IRFA) of the expected impact on small entities
[[Page 16950]]
of the rules proposed in the Notice of Proposed Rulemaking (NPRM) in WT
Docket No. 98-20. Written public comments are requested on the IRFA.
Comments on the IRFA must have a separate and distinct heading
designating them as responses to the IRFA and must be filed by the
deadlines for comments on the NPRM. The Commission's Office of Public
Affairs, Reference Operations Division, shall send a copy of the NPRM,
including this IRFA, to the Chief Counsel for Advocacy of the Small
Business Administration.
Reason for Action: In this NPRM, the Commission proposes to revise,
consolidate, and streamline the rules governing application procedures
for radio services licensed by the Wireless Telecommunications Bureau
(``wireless radio services'').
Objectives: The Commission proposes to modify and consolidate the
rules to: (1) Facilitate the development of electronic filing through
the universal licensing system (ULS); (2) require, where appropriate,
electronic filing of applications; (3) streamline licensing processes
and procedures; and (4) conform application and filing rules for all
wireless radio services licensees so that similarly situated applicants
and licensees are treated fairly.
Reporting, Recordkeeping and Other Compliance Requirements: All
wireless radio services will be subject to processing through the ULS,
if the proposed rules are adopted. Therefore, under the proposed rules,
all new wireless radio services license applications will be processed
through ULS using one or more of the new forms to the NPRM. In
addition, any modification to an existing license will also use the new
forms and will be entered and processed in the ULS. Other notifications
that are required by the proposed rules will also be filed with the new
standard forms and processed through ULS.
Under the proposed rules, each applicant or licensee must submit
the appropriate application form depending on the purpose of the
application. In addition, some licensees may be required to submit or
confirm ownership information on an annual basis. The NPRM seeks
comment on whether manual filing will be permitted. Electronic filing
through the ULS should be easier for applicants than the current
system. The ULS will prompt the applicant for the necessary information
and will provide interactive error messages if information is not filed
correctly. The system will allow the applicants to correct applications
prior to submitting them, saving time and processing steps for the FCC
and the applicants. The Commission notes that electronic filing will
require a modem equipped computer to file interactively through the FCC
private wide area network, which may be burdensome for some filers.
The ULS was designed to identify each individual licensee by their
taxpayer identification number (TIN) assigned to the entity or
individual (social security number will be used in the case of an
individual filing for a license). The TIN is required by licensees
pursuant to the Debt Collection Act of 1995. All existing licensees
will be required to identify all of their call signs and their TIN. The
system will assign a unique sequential identification number to each
entity or individual. This number will be used instead of the TIN for
public queries to the ULS database. Uniquely identifying entities and
associating their license records to the entity will eliminate the data
collection requirement for modifications and new license applications
that are filed electronically through the ULS.
Federal Rules Which Overlap, Duplicate or Conflict With These
Rules: None.
Description and Number of Small Entities Involved: The RFA directs
agencies to provide a description of and, where feasible, an estimate
of the number of small entities that will be affected by our rules. The
RFA generally defines the term ``small entity'' as having the same
meaning as the terms ``small business,'' ``small organization,'' and
``small governmental jurisdiction.'' A small organization is generally
``any not-for-profit enterprise which is independently owned and
operated and is not dominant in its field.'' Nationwide, there are
275,801 small organizations. ``Small governmental jurisdiction''
generally means ``governments of cities, counties, towns, townships,
villages, school districts, or special districts, with a population of
less than 50,000.'' As of 1992, there were 85,006 such jurisdictions in
the United States.
In addition, the term ``small business'' has the same meaning as
the term ``small business concern'' under section 3 of the Small
Business Act. Under the Small Business Act, a ``small business
concern'' is one which: (1) Is independently owned and operated; (2) is
not dominant in its field of operation; and (3) meets any additional
criteria established by the Small Business Administration (SBA).
The rule changes proposed in the NPRM, if adopted, will affect all
small businesses filing new license applications or modifying or
renewing an existing license. To assist the Commission in analyzing the
total number of affected small entities, commenters are requested to
provide estimates of the number of small entities who will be affected
by the rules proposed in this NPRM. The Commission estimates the
following number of small entities may be affected by the proposed rule
changes:
1. Cellular Radiotelephone Services
The Commission has not developed a definition of small entities
applicable to cellular licensees. Therefore, the applicable definition
of small entity is the definition under the SBA rules applicable to
radiotelephone companies. This definition provides that a small entity
is a radiotelephone company employing no more than 1,500 persons. The
size data provided by the SBA does not enable the Commission to make a
meaningful estimate of the number of cellular providers which are small
entities because it combines all radiotelephone companies with 500 or
more employees. The 1992 Census of Transportation, Communications, and
Utilities, conducted by the Bureau of the Census, is the most recent
information available. This document shows that only twelve
radiotelephone firms out of a total of 1,178 such firms which operated
during 1992 had 1,000 or more employees. Therefore, even if all twelve
of these firms were cellular telephone companies, nearly all cellular
carriers were small businesses under the SBA's definition. The
Commission assumes, for purposes of this IRFA, that all of the current
cellular licensees are small entities, as that term is defined by the
SBA. In addition, the Commission notes that there are 1,758 cellular
licenses; however, a cellular licensee may own several licenses. The
most reliable source of information regarding the number of cellular
service providers nationwide appears to be data the Commission
publishes annually in its Telecommunications Industry Revenue report,
regarding the Telecommunications Relay Service (TRS). The report places
cellular licensees and Personal Communications Service (PCS) licensees
in one group. According to the data released in November, 1997, there
are 804 companies reporting that they engage in cellular or PCS
service. It seems certain that some of these carriers are not
independently owned and operated, or have more than 1,500 employees;
however, the Commission is unable at this time to estimate with greater
precision the number of cellular service carriers qualifying as small
business concerns under the SBA's definition.
[[Page 16951]]
For purposes of this IRFA, the Commission estimates that there are
fewer than 804 small cellular service carriers.
2. Broadband and Narrowband PCS
Broadband PCS. The broadband PCS spectrum is divided into six
frequency blocks designated A through F. The Commission has defined
``small entity'' in the auctions for Blocks C and F as a firm that had
average gross revenues of less than $40 million in the three previous
calendar years. This definition of ``small entity'' in the context of
broadband PCS auctions has been approved by the SBA. The Commission has
auctioned broadband PCS licenses in blocks A through F. All qualified
bidders in the C and F block auctions were entrepreneurs. Entrepreneur
was defined for these auctions as entities, together with affiliates,
having gross revenues of less than $125 million and total assets of
less than $500 million at the time the FCC Form 175 application was
filed. Ninety bidders, including C block reauction winners, won 493 C
block licenses and 88 bidders won 491 F block licenses. For purposes of
this IRFA, the Commission assumes that all of the 90 C block broadband
PCS licensees and 88 F block broadband PCS licensees, a total of 178
licensees, are small entities.
Narrowband PCS. The Commission has auctioned nationwide and
regional licenses for narrowband PCS. There are 11 nationwide and 30
regional licensees for narrowband PCS. The Commission does not have
sufficient information to determine whether any of these licensees are
small businesses within the SBA-approved definition for radiotelephone
companies. At present, there have been no auctions held for the major
trading area (MTA) and basic trading area (BTA) narrowband PCS
licenses. The Commission anticipates a total of 561 MTA licenses and
2,958 BTA licenses will be awarded in the auctions. Given that nearly
all radiotelephone companies have no more than 1,500 employees, and
that no reliable estimate of the number of prospective MTA and BTA
narrowband licensees can be made, the Commission assumes, for purposes
of this IRFA, that all of the licenses will be awarded to small
entities, as that term is defined by the SBA.
3. 220 MHz Radio Services
Since the Commission has not yet defined a small business with
respect to 220 MHz radio services, it will utilize the SBA definition
applicable to radiotelephone companies, i.e., an entity employing no
more than 1,500 persons. With respect to the 220 MHz services, the
Commission has proposed a two-tiered definition of small business for
purposes of auctions: (1) For Economic Area (EA) licensees, a firm with
average annual gross revenues of not more than $6 million for the
preceding three years; and (2) for regional and nationwide licensees, a
firm with average annual gross revenues of not more than $15 million
for the preceding three years. Given that nearly all radiotelephone
companies employ no more than 1,500 employees, for purposes of this
IRFA the Commission will consider the approximately 3,800 incumbent
licensees as small businesses under the SBA definition.
4. Paging Services
The Commission has proposed a two-tier definition of small
businesses in the context of auctioning geographic area paging licenses
in the Common Carrier Paging and exclusive Private Carrier Paging
services. Under the proposal, a small business will be defined as
either (1) an entity that, together with its affiliates and controlling
principals, has average gross revenues for the three preceding years of
not more than $3 million; or (2) an entity that, together with
affiliates and controlling principals, has average gross revenues for
the three preceding calendar years of not more than $15 million. Since
the SBA has not yet approved this definition for paging services, the
Commission will utilize the SBA definition applicable to radiotelephone
companies, i.e., an entity employing no more than 1,500 persons. At
present, there are approximately 24,000 Private Paging licenses and
74,000 Common Carrier Paging licenses. According to Telecommunications
Industry Revenue data, there were 172 ``paging and other mobile''
carriers reporting that they engage in these services. Consequently,
the Commission estimates that there are fewer than 172 small paging
carriers. The Commission estimates that the majority of private and
common carrier paging providers would qualify as small entities under
the SBA definition.
5. Air-Ground Radiotelephone Service
The Commission has not adopted a definition of small business
specific to the Air-Ground radiotelephone service. Accordingly, the
Commission will use the SBA definition applicable to radiotelephone
companies, i.e., an entity employing no more than 1,500 persons. There
are approximately 100 licensees in the Air-Ground radiotelephone
service, and the Commission estimates that almost all of them qualify
as small entities under the SBA definition.
6. Specialized Mobile Radio (SMR) Service
The Commission awarded bidding credits in auctions for geographic
area 800 MHz and 900 MHz SMR licenses to firms that had revenues of no
more than $15 million in each of the three previous calendar years.
This regulation defining ``small entity'' in the context of 900 MHz SMR
has been approved by the SBA. The Commission does not know how many
firms provide 800 MHz or 900 MHz geographic area SMR service pursuant
to extended implementation authorizations, nor how many of these
providers have annual revenues of no more than $15 million. One firm
has over $15 million in revenues. The Commission assumes for purposes
of this IRFA that all of the remaining existing extended implementation
authorizations are held by small entities, as that term is defined by
the SBA. The Commission has held auctions for geographic area licenses
in the 900 MHz SMR band, and recently completed an auction for
geographic area 800 MHz SMR licenses. There were 60 winning bidders who
qualified as small entities in the 900 MHz auction. In the recently
concluded 800 MHz SMR auction there were 524 licenses won by winning
bidders, of which 38 licenses were won by small or very small entities.
7. Private Land Mobile Radio Service
Private Land Mobile Radio systems serve an essential role in a
range of industrial, business, land transportation, and public safety
activities. The Commission has not developed a definition of small
entities specifically applicable to Private Land Mobile Radio licensees
due to the vast array of Private Land Mobile Radio users. For the
purpose of determining whether a licensee is a small business as
defined by the SBA, each licensee would need to be evaluated within its
own business area. The Commission is unable at this time to estimate
the number of small businesses which could be impacted by the rules.
The Commission's 1994 Annual Report on Private Land Mobile Radio
indicates that at the end of fiscal year 1994 there were 1,087,267
licensees operating 12,481,989 transmitters in the Private Land Mobile
Radio bands below 512 MHz. Any entity engaged in a commercial activity
is eligible to hold a Private Land Mobile Radio license, therefore
these proposed rules could potentially impact every small business in
the United States.
[[Page 16952]]
8. Aviation and Marine Radio Service
Small entities in the aviation and marine radio services use a
marine very high frequency (VHF) radio, any type of emergency position
indicating radio beacon (EPIRB) and/or radar, a VHF aircraft radio,
and/or any type of emergency locator transmitter (ELT). The Commission
has not developed a definition of small entities specifically
applicable to these small businesses. Therefore, the applicable
definition of small entity is the definition under the SBA rules. Most
applicants for individual recreational licenses are individuals.
Approximately 581,000 ship station licensees and 131,000 aircraft
station licensees operate domestically and are not subject to the radio
carriage requirements of any statute or treaty. Therefore, for purposes
of the evaluations and conclusions in this IRFA, the Commission
estimates that there may be at least 712,000 potential licensees which
are individuals or are small entities, as that term is defined by the
SBA.
9. Offshore Radiotelephone Service
This service operates on several TV broadcast channels that are not
used for TV broadcasting in the coastal area of the states bordering
the Gulf of Mexico. At present, there are approximately 55 licensees in
this service. The Commission is unable at this time to estimate the
number of licensees that would qualify as small entities under the SBA
definition for radiotelephone communications.
10. General Wireless Communication Service (GWCS)
This service was created by the Commission by transferring 25 MHz
of spectrum in the 4660-4685 MHz band from the federal government to
private sector use. The Commission has scheduled the GWCS auction for
May 27, 1998. The Commission is unable at this time to estimate the
number of licensees that would qualify as small entities under the SBA
definition for radiotelephone communications.
11. Fixed Microwave Services
Microwave services include common carrier fixed, private
operational fixed, and broadcast auxiliary radio services. At present,
there are 22,015 common carrier fixed licensees and approximately
61,670 private operational fixed licensees and broadcast auxiliary
radio licensees in the microwave services. The Commission has not yet
defined a small business with respect to microwave services. For
purposes of this IRFA, the Commission will utilize the SBA definition
applicable to radiotelephone companies, i.e., an entity with less than
1,500 persons. The Commission estimates that for purposes of this IRFA
all of the Fixed Microwave licensees (excluding broadcast auxiliary
radio licensees) would qualify as small entities under the SBA
definition for radiotelephone communications.
12. Commercial Radio Operators (restricted and commercial)
There are several types of commercial radio operator licenses.
Individual licensees are tested by Commercial Operator License
Examination managers (COLEMs). COLEMs file the applications on behalf
of the licensee. The Commission has not developed a definition for a
small business or small organization that is applicable for COLEMs. The
RFA defines the term ``small organization'' as meaning ``any not-for-
profit enterprise which is independently owned and operated and is not
dominant in its field * * *'' The Commission's rules do not specify the
nature of the entity that may act as a COLEM. However, all of the COLEM
organizations would appear to meet the RFA definition for small
organizations.
13. Amateur Radio Services
Amateur Radio Service licensees are coordinated by Volunteer
Examiner Coordinators (VECs). The Commission has not developed a
definition for a small business or small organization that is
applicable for VECs. The RFA defines the term ``small organization'' as
meaning ``any not-for-profit enterprise which is independently owned
and operated and is not dominant in its field * * *'' The Commission's
rules do not specify the nature of the entity that may act as a VEC.
All of the sixteen VEC organizations would appear to meet the RFA
definition for small organizations.
14. Personal Radio Services
Personal radio services provide short-range, low power radio for
personal communications, radio signaling, and business communications
not provided for in other services. These services include citizen band
(CB) radio service, general mobile radio service (GMRS), radio control
radio service, and family radio service (FRS). Inasmuch as the CB,
GMRS, and FRS licensees are individuals, no small business definition
applies for these services. The Commission is unable at this time to
estimate the number of licensees that would qualify as small entities
under the SBA definition.
15. Public Safety Radio Services and Governmental Entities
Public Safety radio services include police, fire, local
governments, forestry conservation, highway maintenance, and emergency
medical services. There are a total of approximately 127,540 licensees
within these services. Governmental entities as well as private
businesses comprise the licensees for these services. All governmental
entities with populations of less than 50,000 fall within the
definition of a small business. There are approximately 37,566
governmental entities with populations of less than 50,000. The RFA
also includes small governmental entities as a part of the regulatory
flexibility analysis. The definition of a small governmental entity is
one with a population of less than 50,000. There are 85,006
governmental entities in the nation. This number includes such entities
as states, counties, cities, utility districts, and school districts.
There are no figures available on what portion of this number has
populations of fewer than 50,000; however, this number includes 38,978
counties, cities, and towns and of those, 37,566 or 96 percent have
populations of fewer than 50,000. The Census Bureau estimates that this
ratio is approximately accurate for all governmental entities. Thus, of
the 85,006 governmental entities, the Commission estimates that 96
percent or 81,600 are small entities that may be affected by our rules.
16. Rural Radiotelephone Service
The Commission has not adopted a definition of small entity
specific to the Rural Radiotelephone Service. A significant subset of
the Rural Radiotelephone Service is the Basic Exchange Telephone Radio
Systems (BETRS). The Commission will use the SBA definition applicable
to radiotelephone companies; i.e., an entity employing fewer than 1,500
persons. There are approximately 1,000 licensees in the Rural
Radiotelephone Service, and the Commission estimates that almost all of
them qualify as small entities under the SBA definition.
17. Marine Coast Service
The Commission has not adopted a definition of small business
specific to the Marine Coast Service. The Commission will use the SBA
definition applicable to radiotelephone companies; i.e., an entity
employing fewer than 1,500 persons. There are approximately 10,500
licensees in the Marine Coast Service, and the Commission estimates
that almost all of them qualify as small under the SBA definition.
[[Page 16953]]
18. Wireless Communications Services (WCS)
WCS is a wireless service which can be used for fixed, mobile,
radiolocation, and digital audio broadcasting satellite uses. The
Commission defined ``small business'' for the WCS auction as an entity
with average gross revenues of $40 million for each of the three
preceding years. The Commission auctioned geographic area licenses in
the WCS service. There were seven winning bidders who qualified as very
small business entities and one small business entity in the WCS
auction. Based on this information, the Commission concludes that the
number of geographic area WCS licensees affected include these eight
entities.
In addition to the above estimates, new applicants in the wireless
radio services will be affected by these rules, if adopted. To assist
the Commission in analyzing the total number of affected small
entities, commenters are requested to provide information regarding how
many small business entities will be affected by the proposed rules.
Comments relating to the number of small business entities affected are
due by the deadlines contained in the NPRM.
Significant Alternatives Minimizing the Impact on Small Entities
Consistent With the Stated Objectives:
1. Electronic Filing and Consolidated Application Forms. In
services that do not require extensive technical data, such as
Amateurs, Maritime, Aviation, Commercial Operators, and GMRS, the
Commission proposed implementing a quick form to minimize the economic
impact on small entities in these services. In addition, the forms have
been developed to ensure that applicants are not required to duplicate
information that has been already filed with the Commission. The
Commission has also proposed to modify the current copy and microfiche
requirements for electronically filed applications.
2. Auction Long Form Application Submissions. For auctionable
services, the Commission proposes to modify the current process to
allow winning bidders to file a single long-form application to cover
all markets. Elimination of separate filing requirements will lift the
administrative burden to small businesses of having to file separate
long form applications for each license won in the auction.
3. Filings of Pleadings. The Commission proposes permitting, but
not requiring, pleadings to be filed electronically. Manually filed
pleadings will be scanned so that all pleadings will be easily
accessible to the public. Electronic filing through the ULS should be
easier for applicants than the current system because the ULS will
prompt the applicant for the necessary information and will provide
interactive error messages if information is not filed correctly. ULS
will allow the applicant to correct their applications prior to
submitting them. This system will allow all interested parties,
including small entities, easy access to pleadings that are filed in
connection with applications and licenses.
4. Standardization of Major and Minor Filing Rules. The Commission
proposes to consolidate major and minor filing standards to both
amendments of pending applications and to modifications of existing
licenses. The current fragmented system is confusing for applicants and
licensees, including small entities, because they are required to keep
track of different procedures for different radio services. Licensees,
especially small entities, will find it easier and more convenient to
have all standards in one place in the rules.
5. Filing of Multiple Modifications. The Commission proposes to
adopt a unified approach to the filing of multiple modification
applications: If a modification application is pending regarding a
given station parameter, and the licensee decides to elaborate upon or
change that request with an additional request to modify the same or a
related parameter, the document filed to effect that change will be
automatically deemed an amendment to the modification, rather than a
separate modification application. This will prevent applicants from
filing conflicting modification requests and will prevent the
Commission from erroneously granting or dismissing modification
applications because they were processed out of sequence.
6. Construction Notification Requirements. The Commission is
proposing to notify licensees through the ULS by mailing a reminder
letter before the construction or coverage deadline. Notifications of
construction or coverage would be accepted either electronically or
manually. If a licensee fails to file the required notification of
completion of construction or satisfaction of the coverage or
substantial service requirements, the ULS would send a letter
terminating the authorization. The Commission seeks comment on whether
to exempt public safety entities from this procedure.
7. Annual Ownership Requirements. The Commission proposes to
require submission of annual ownership information. Private mobile
radio services (PMRS) licensees, while subject to some alien ownership
restrictions, i.e., they may not be granted to or held by a foreign
government or a representative of a foreign government, are not subject
to most of the other restrictions placed on commercial mobile radio
services (CMRS) licensees. Accordingly, PMRS licensees and private
fixed microwave licensees have not previously been required to submit
detailed ownership information. The Commission proposes that PMRS
licensees be required to certify their status with respect to foreign
government ownership or ownership by a representative of a foreign
government each time they submit a Form 601.
Legal Basis. The proposed action is authorized under sections 4(i),
11, 303(g), 303(r), and 332(c)(7) of the Communications Act of 1934, as
amended, 47 USC 154(i), 161, 303(g), 303(r), and 332(c)(7).
IRFA Comments. The Commission requests written public comment on
the foregoing Initial Regulatory Flexibility Analysis. Comments must
have a separate and distinct heading designating them as responses of
the IRFA and must be filed by the deadline for comments in response to
the NPRM.
B. Paperwork Reduction Act
Dates: Written comments by the public on the proposed and/or
modified information collections are due May 7, 1998. Written comments
must be submitted by OMB on the proposed information collections on or
before June 8, 1998.
Address: In addition to filing comments with the Secretary, a copy
of any comments on the information collections contained herein should
be submitted to Judy Boley, Federal Communications Commission, Room
234, 1919 M Street, NW., Washington, DC 20554, or via the Internet to
[email protected], and to Timothy Fain, OMB Desk Officer, 10236 NEOB, 725-
17th Street, N.W., Washington, DC 20503 or via the Internet to
[email protected].
Further Information: For additional information concerning the
information collections contained in this NPRM contact Judy Boley at
(202) 418-0214, or via the Internet at [email protected].
Supplementary Information: This NPRM contains proposed or modified
information collections subject to the Paperwork Reduction Act of 1995
(PRA). It has been submitted to the Office of Management and Budget
(OMB) for review under PRA. As part of its continuing effort to reduce
paperwork burdens, the Commission invites the general public and OMB to
take this opportunity to comment on the
[[Page 16954]]
proposed or modified information collections contained in this NPRM.
Public and agency comments are due at the same time as other comments
on this NPRM; OMB notification of action is due June 8, 1998. Comments
should address (a) whether the proposed collection of information is
necessary for the proper performance of the functions of the
Commission, including whether the information shall have practical
utility; (b) the accuracy of the Commission's burden estimates; (c)
ways to enhance the quality, utility, and clarity of the information
collected; and (d) ways to minimize the burden of the collection of
information on the respondents, including the use of automated
collection techniques or other forms of information technology.
OMB Approval Number: 3060-XXXX.
Title: Application for Authorization in the Ship, Aircraft,
Amateur, Restricted and Commercial Operator, and General Mobile Radio
Service (Short Form).
Form No.: FCC Form 605.
Type of Review: New collection.
Respondents: individuals or households; businesses and other for-
profit.
Number of Respondents: 170,000.
Estimated Time Per Response: 27 minutes.
Total Annual Burden: 75,366 hours.
Frequency of Response: On occasion.
Needs and Uses: FCC 605 is used to apply, or to amend a pending
application, for an authorization to operate a license for Wireless
Communications Bureau radio services. This includes the Ship Radio,
Aircraft Radio, Amateur Radio, restricted and Commercial Operator
Radio, and the General Mobile Radio Services. The data is used by the
Commission to determine whether the public interest would be served by
a grant of the requested authorization. The FCC 605 replaces FCC 404,
405A, 405B, 506, 574, 574R, 610, 610A, 610B, 610V, 753, 755 and 756.
OMB Approval Number: 3060-0797.
Title: Application for Transfer of Control.
Form No.: FCC Form 604.
Type of Review: Revision of an existing collection.
Respondents: individuals or households; businesses and other for-
profit.
Number of Respondents: 23,368.
Estimated Time Per Response: 1.5 hours.
Total Annual Burden: 35,052 hours.
Frequency of Response: On occasion.
Needs and Uses: FCC 604 is used to apply for FCC consent to
transfer of control of licenses in the Public Mobile Services, Personal
Communications Services, General Wireless Communications Services,
Maritime Services (excluding ships), Private Land Mobile Radio
Services, Fixed Microwave Services and Aviation Services (excluding
aircraft). The data is used by FCC to determine whether the public
interest would be served by a grant of the requested transfer. This
form replaces FCC forms 490, 703, and 704.
OMB Approval Number: 3060-0800.
Title: Application for Assignment of Authorization.
Form No.: FCC Form 603.
Type of Review: Revision of an existing collection.
Respondents: Individuals or households; businesses and other for-
profit.
Number of Respondents: 8,783.
Estimated Time Per Response: 2 hours.
Total Annual Burden: 17,566.
Frequency of Response: On occasion.
Needs and Uses: FCC 603 is used to apply for approval of assignment
of authorizations in the For Public Mobile Services, Personal
Communications Services, General Wireless Communications Services,
Private Land Mobile Radio Services, Broadcast Auxiliary Services, Fixed
Microwave Services, Maritime Services (excluding ships) and Aviation
Services (excluding aircraft). This data is used by the FCC to
determine whether the public interest would be served by the grant of
the request assignment. This form replaces FCC forms 490, 702, and
1046.
OMB Approval Number: 3060-0799.
Title: FCC Ownership Disclosure Information for the Wireless
Telecommunications Services.
Form No.: FCC Form 602.
Type of Review: Revision of an existing collection.
Respondents: Individuals or households; businesses and other for-
profit.
Number of Respondents: 3,000.
Estimated Time Per Response: 2 hours.
Total Annual Burden: 6,000 hours.
Frequency of Response: On occasion.
Needs and Uses: FCC 602 is used to collect ownership data
pertaining to the applicant for proposed authorization. The data is
used by the FCC to determine whether the public interest would be
served by a grant of the requested authorization. The form is to be
filed by applicants who acquired their license by participation in an
auction or who are applying for a license in a service which is subject
to Part 1, subpart Q of the Commission's Rules, or by common carrier
licensees whether or not the service was originally subject to auctions
under the following circumstances: Applicants for a new license or
authorization who do not have a current FCC 602 on file with the FCC;
Applicants filing to renew an existing license if there is no current
FCC 602 on file with the FCC; Applicants for a transfer of control of a
license or assignment of an authorization who do not have a current FCC
602 on file with the FCC; and Applicants who are going to participation
in an FCC auction and do not have a current FCC 602 on file.
OMB Approval Number: 3060-0798.
Title: FCC Application for Wireless Telecommunications Bureau Radio
Service Authorization.
Form No.: FCC Form 601
Type of Review: Revision of an existing collection.
Respondents: Individuals or households; business and other for-
profit.
Number of Respondents: 240,320.
Estimated Time Per Response: 1.25 hours.
Total Annual Burden: 300,400 hours.
Frequency of Response: On occasion.
Needs and Uses: FCC 601 is used to apply, or to amend a pending
application, for an authorization to operate a license for Wireless
Telecommunications Bureau (WTB) radio services. This includes Public
Mobile Services, Personal Communications Services, General Wireless
Communications Services, Private Land Mobile Radio Services, Broadcast
Auxiliary Services, Fixed Microwave Services, Maritime Services
(excluding ships), and Aviation Services (excluding aircraft). The data
is used by the FCC to determine whether the public interest would be
served by a grant of the requested authorization. This form replaces
FCC Forms 313, 13R, 402, 402R, 405, 405A, 406, 415, 464, 464A, 489,
494, P3, 503R, 574, 574R, 600, and 701.
C. Ex Parte Presentations--Permit but disclose Proceeding
This is a permit but disclose notice and comment rulemaking
proceeding. Ex parte presentations are permitted, except during the
Sunshine Agenda period, provided that they are disclosed as provided in
the Commission's rules. See generally 47 CFR 1.1202, 1.1203, 1.1206(a).
D. Comment Period
Pursuant to applicable procedures set forth in sections 1.415 and
1.419 of the Commission's rules, 47 CFR 1.415, 1.419, interested
parties may file comments on or before May 7, 1998.
[[Page 16955]]
Reply comments are to be filed on or before May 22, 1998. To file
formally in this proceeding, you must file an original and five copies
of all comments, reply comments, and supporting comments. If you want
each Commissioner to receive a personal copy of your comments, you must
file an original and ten copies. Comments and reply comments should be
sent to Office of the Secretary, Federal Communications Commission,
1919 M Street, NW., Room 222, Washington, DC 20554. Parties should also
submit two copies of comments and reply comments to Wilbert E. Nixon,
Jr., Commercial Wireless Division, Wireless Telecommunications Bureau,
2100 M Street, NW., Room 7102, Washington, DC. 20554. Parties should
also file one copy of any documents filed in this docket with the
Commission's copy contractor, International Transcription Services,
INc., 1231 20th Street, NW., Washington, DC 20036.
E. Authority
The above action is authorized under the Communications Act of
1934, 1, 4(i), 152, 222, 252(c)(5), 301, and 303, 47 U.S.C. 151,
154(i), 222, 252(c)(5), 301, and 303, as amended.
F. Ordering Clauses:
It is ordered that pursuant to sections 4(i), 11, 303(g), 03(r),
and 332(c)(7) of the Communications Act of 1934, as amended, 47 U.S.C.
154(i), 161, 303(g), 303(r), and 332(c), this notice of proposed
rulemaking is hereby adopted.
It is further ordered that the Commission's Office of Public
Affairs, Reference Operations Division, shall send a copy of this
notice of proposed rulemaking, including the Initial Regulatory
Flexibility Analysis, to the Chief Counsel for Advocacy of the Small
Business Administration.
List of Subjects in 47 CFR Parts 0, 1, 13, 22, 24, 26, 27, 80, 87,
90, 95, 97, and 101
Communications common carriers, Radio, Reporting and recordkeeping
requirements.
Federal Communications Commission.
Magalie Roman Salas,
Secretary.
[FR Doc. 98-9042 Filed 4-6-98; 8:45 am]
BILLING CODE 6712-01-U
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