[Federal Register Volume 63, Number 66 (Tuesday, April 7, 1998)]
[Proposed Rules]
[Pages 16938-16955]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-9042]


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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