[Federal Register Volume 67, Number 9 (Monday, January 14, 2002)]
[Rules and Regulations]
[Pages 1643-1649]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 02-869]


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FEDERAL COMMUNICATIONS COMMISSION

47 CFR Parts 20 and 64

[CC Docket No. 92-105, WT Docket No. 00-110; FCC 01-351]


The Use of N11 Codes and Other Abbreviated Emergency Dialing 
Arrangements

AGENCY: Federal Communications Commission.

ACTION: Final rule.

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SUMMARY: The Commission, through this document, takes several steps 
towards implementation of 911 as the universal emergency assistance 
number for both wireline and wireless telephones. Specifically, the 
Commission adopts a maximum period for all carriers, serving areas with 
a designated public safety answering point (PSAP) or serving areas 
where a PSAP has not yet been designated, to transition to routing 911 
calls to a PSAP, an existing statewide established default point, or an 
appropriate local emergency authority. The decision also addresses 
steps the Commission will take to encourage and support States in their 
efforts to develop and implement end-to-end emergency communications 
infrastructure and programs for the improved delivery of emergency 
services to the public. Finally, the decision clarifies that VHF Public 
Coast Station licensees are not required to use 911 dialing for 
accessing emergency services to the extent that they are providing 
maritime services. The action is taken to satisfy the Commission's 
legislative mandate and to promote public safety through the deployment 
of a seamless, nationwide emergency communications infrastructure that 
includes wireless communications services.

EFFECTIVE DATE: February 13, 2002, except for Sec. 64.3002, which 
contains modified information collection requirements that are not 
effective until approved by the Office of Management and Budget. The 
Commission will publish a document in the Federal Register announcing 
the effective date for this section. Public comment on the information 
collections are due March 15, 2002, and comments by the Office of 
Management and Budget are due May 14, 2002.

ADDRESSES: A copy of any comments on the information collection 
contained herein should be submitted to Judy Boley, Federal 
Communications Commission, Room 1-C804, 445 12th Street, SW., 
Washington, DC 20554, or via the Internet to [email protected].

FOR FURTHER INFORMATION CONTACT: Susan Kimmel or David Siehl,202-418-
1310, or Cheryl Callahan, 202-418-1806. For further information 
concerning the information collection contained in this Order, contact 
Judy Boley, Federal Communications Commission, 202-418-0214, or via the 
Internet at [email protected].

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Fifth 
Report and Order in CC Docket No. 92-105, First Report and Order in WT 
Docket No. 00-110 (Order), and Memorandum Opinion and Order in CC 
Docket No. 92-105 and WT Docket No. 00-110, FCC No. 01-351 (cited 
collectively as Order), adopted November 29, 2001, and released 
December 11, 2001. The complete text of this Order is available for 
inspection and copying during normal business hours in the FCC 
Reference Information Center, Courtyard Level, 445 12th Street, SW., 
Washington, DC, and also may be purchased from the Commission's copy 
contractor, Qualex International, Portals II, 445 12th Street, SW., 
Room CY-B402, Washington, DC 20554. Copies of the full text of this 
decision may also be found at the Commission's Internet site at 
www.fcc.gov.

Synopsis of the Order

    1. The Commission, in the Order, takes further steps to implement 
the provisions in the Wireless Communications and Public Safety Act of 
1999 (911 Act), enacted by Congress to promote public safety through 
the deployment of a seamless, nationwide emergency communications 
infrastructure that includes wireless communications services and to 
implement 911 as the universal emergency assistance number. (A summary 
of the Third Notice of Proposed Rulemaking in CC Docket No. 92-105 may 
be found at 65 FR 56752, September 19, 2000. The First Notice of 
Proposed Rulemaking in WT Docket No. 00-110 was summarized at 65 FR 
56757, September 19, 2000.)
    2. The Commission first adopts a flexible transition approach to 
implementation of 911 as the emergency assistance number. This approach 
reflects the different technical and operational measures that carriers 
need to undertake and provides carriers the flexibility necessary for 
them to effectuate transition to 911 expeditiously. The Commission 
notes that the transition period adopted in the Order does not apply to 
those carriers who currently route 911 calls to PSAPs in their service 
area.
    3. As an initial matter, paragraph 14 of the Order discusses the 
use of the term ``appropriate authorities'' as used in the 911 Act, and 
finds it reasonable to interpret this term to include emergency 
answering points such as county sheriff offices, volunteer fire 
departments, or other similar points that are effectively functioning 
as PSAPs for purposes of receiving emergency calls, and, if necessary, 
relaying the calls to other emergency service providers, for the 
purpose of responding to emergencies.
    4. As discussed in paragraphs 15 through 31 of the full text of the 
Order, the Commission establishes a flexible transition approach to 911 
implementation. First, where carriers do not currently route 911 calls 
to officially designated PSAPs, the Commission

[[Page 1644]]

adopts a nine-month transition period for each of the particular 
circumstances carriers will face. Where a PSAP has been designated, the 
Commission adopts a maximum period, running from the release of this 
Order and expiring nine months later, for carriers to deliver all 911 
calls to that PSAP. Similarly, in areas where no PSAP has been 
designated, the Commission adopts a requirement that within nine months 
of the release of this Order, carriers must begin delivering 911 calls: 
(a) statewide-established default point; (b) if none exists, to an 
appropriate local emergency authority, such as the police or county 
sheriff, selected by an authorized State or local entity; or (c) as a 
matter of last resort and to avoid the blocking of 911 calls, if no 
PSAP has been designated and neither a statewide default answering 
point nor an appropriate local emergency authority has been selected, 
to an appropriate local emergency authority, based on the exercise of 
the carrier's reasonable judgment, following initiation of contact with 
the State Governor's designated entity under section 3(b) of the 911 
Act.
    5. In this regard, the Commission strongly encourages State and 
local authorities to designate the appropriate emergency response 
points. The Commission believes that these government agencies, as the 
primary safety and security agencies should decide the routing of 911 
calls. For these reasons, once a carrier has been made aware that no 
appropriate local emergency authority has been selected, the carrier 
should notify the Governor's designated entity as soon as practicable 
of that matter and allow at least 15 days for a response from that 
entity before proceeding to select an answering point on its own 
initiative.
    6. Further, as discussed in paragraphs 16, 33, and 34 of the Order, 
in transitioning to the use of 911, carriers must implement a 
permissive dialing period, during which emergency calls will be routed 
to the appropriate emergency response point using either 911 or the 
seven or ten-digit number to allow time for the education of consumers 
as to the transition to the use of 911. The Commission requires 
carriers to continue to deliver both 911 calls and emergency calls made 
using a seven or ten-digit number under a permissive dialing scheme 
until the State or local jurisdiction determines to phase out the use 
of the seven or ten-digit number entirely. Once a determination has 
been made to end a permissive dialing period, as described in 
paragraphs 16 and 37 of the Order, the Commission requires carriers to 
furnish a standard intercept message, in accordance with accepted 
industry practices and guidelines to further educate callers about the 
dialing code change.
    7. Additionally, as indicated in paragraphs 42 through 45 of the 
Order, the Commission adopts a limited transition report requirement. 
Specifically, the Commission requires carriers to file two transition 
reports covering the following geographic areas: (1) Those counties 
where there is no 911 service; (2) those counties in the process of 
implementing 911; and (3) those counties that have basic 911 service 
only in some parts. The first transition report must be filed three 
months following the release of the Order. The second transition report 
must be filed 15 calendar days following the end of the transition. 
Carrier transition reports must be filed, as appropriate depending upon 
whether the carrier's service is wireline or wireless, with the Chief 
of the Common Carrier Bureau or the Chief of the Wireless 
Telecommunications Bureau, Federal Communications Commission, 445 12th 
Street, SW., Washington, DC 20554. The Commission encourages carriers 
to file their transition reports electronically to the appropriate 
electronic mailbox that has been established by each Bureau. For ease 
of accessibility, a link to these reports will be placed on the 
Commission's E911 website. Depending upon whether the carrier's service 
is wireline or wireless, please email the report to either 
[email protected] or [email protected]. In 
addition to the information included in the reports as described in 
paragraphs 44 and 45 of the Order, the Commission delegates authority 
to the Chiefs of the Common Carrier Bureau and the Wireless 
Telecommunications Bureau to require additional information, as 
necessary to evaluate the carriers' progress in achieving the 
transition and their compliance with the transition requirements 
adopted in the Order.
    8. Paragraphs 46 through 52 of the Order address steps the 
Commission will take to encourage and support States in their efforts 
to develop and implement end-to-end emergency communications 
infrastructure and programs for the improved delivery of emergency 
services to the public. The Commission assumes a leadership role to 
encourage and support States' efforts to deploy comprehensive emergency 
communications networks by pursuing an informal approach rather than 
the adoption of specific rules. To carry out its role, the Commission 
will maintain an ongoing dialog with State and local officials, through 
interactions with various associated groups such as the National 
Governors' Association, the National Conference of State Legislatures, 
and the National Association of Regulatory Utility Commissioners. The 
Commission also will make presentations on 911-related issues at 
conferences of various associations, hold roundtable discussions, and 
provide an information clearinghouse function with links from its E911 
website. The Commission will also explore participation in the National 
Emergency Number Association's (NENA) ``critical issues forums,'' 
providing a website link for NENA's Report Card to the Nation and 
updates to that report and assisting in the establishment of State-
level clearinghouses.
    9. Finally, paragraphs 55 through 62 of the Order clarify that VHF 
Public Coast Station licensees are not required to use 911 dialing for 
accessing emergency services to the extent that they are providing 
maritime services.

Procedural Matters

Paperwork Reduction Act of 1995 Analysis

    10. This Order contains a modified information collection. As part 
of the Commission's continuing effort to reduce paperwork burdens, the 
Commission invites the general public and the Office of Management and 
Budget to take this opportunity to comment on the information 
collections contained in this Order, as required by the Paperwork 
Reduction Act of 1995, Public Law 104-13. Public and agency comments 
are due March 15, 2002, and comments from the Office of Management and 
Budget are due May 14, 2002. Comments should address: (a) Whether the 
modified 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. The Commission has requested OMB 
emergency approval of these modified burdens and will place a document 
in the Federal Register once this approval is received.
    OMB Control Number: 3060-0954.
    Title: Implementation of the 911 Act, The Use of N11 Codes and 
Other Abbreviated Dialing Arrangements.

[[Page 1645]]

    Form No. N.A.
    Type of Review: Revision of an existing information collection.
    Respondents: Business or other for profit; not for profit 
institutions, State or local government.
    Number of Respondents: 800 respondents, 400 responses.
    Estimated Time Per Response: 4.5 hours.
    Frequency of Response: Third-party Disclosure, on occasion; 
Reporting, twice.
    Total Annual Burden: 3,100 hours.
    Cost to Respondents: 0.
    Needs and Uses: The burdens contained in this Order are all needed 
to ensure prompt and smooth transition to universal 911 emergency 
calling services.

Final Regulatory Flexibility Act Analysis

    11. This is a summary of the Commission's Final Regulatory 
Flexibility Analysis. The full text of the Analysis may be found in 
Appendix C of the Order.
    12. As required by the Regulatory Flexibility Act of 1980, as 
amended (RFA), Initial Regulatory Flexibility Analyses (IRFA) were 
incorporated in the Notice of Proposed Rulemaking (NPRM) and the Third 
NPRM (Third NPRM) in this proceeding. The Commission sought written 
public comment on the proposals in the NPRM and the Third NPRM, 
including comment on both IRFAs. This present Final Regulatory 
Flexibility Analysis (FRFA) conforms to the RFA.

Need for, and Objectives of the Memorandum Opinion and Order on 
Reconsideration and Fifth Report and Order

    13. In this and Fifth Report and Order (Fifth R&O) in CC Docket No. 
92-105, First Report and Order (First R&O) in WT Docket No. 00-110, and 
Memorandum Opinion and Order on Reconsideration in both dockets 
(collectively referred to as the Order) the Commission takes further 
steps to implement the provisions in the Wireless Communications and 
Public Safety Act of 1999 (911 Act) enacted to promote public safety 
through the deployment of a seamless, nationwide emergency 
communications infrastructure that includes wireless communications 
services. The actions adopted in the Order are intended to ensure that 
these Congressional goals are implemented effectively and efficiently.

Summary of Significant Issues Raised by Public Comments in Response 
to the IFRAs

    14. No comments were filed in direct response to the IRFAs. 
However, the Commission received comments regarding several issues 
affecting small entities. For example, as discussed in paragraphs 4 
through 9 of the Order, commenters questioned whether the Commission is 
the appropriate entity to establish transition periods for 
implementation of universal 911 dialing. The Commission disagrees, 
finding that to delegate the responsibility to States and localities 
for establishing transition periods for carriers could result in 
multiple, conflicting transition periods. Also, as indicated in 
paragraphs 42 through 45 of the Order, commenters opposed a requirement 
that carriers file transition reports for Commission use as a tool to 
monitor carrier progress in converting to universal 911. However, the 
Commission adopts a limited transition report requirement which is less 
burdensome than that proposed in the Third NPRM. As adopted, carriers 
are required to file only two reports and these reports will focus only 
on carriers serving those areas of country in which 911 is not 
currently in use. This requirement is discussed in more depth in the 
FRFA section, infra, considering steps taken to minimize the 
significant economic impact on small entities and alternatives 
considered.
    15. Paragraphs 48 through 52 of the Order discusses ways in which 
the Commission can comply with its obligation to offer support of 
comprehensive state emergency plans. Although the Commission received 
only nine comments on this issue, one comment, for American Samoa 
License, Inc., in particular, provided significant input on, among 
other things, the unique circumstances of its situation and the way a 
``one-size-fits-all'' model plan would not address its particular 
needs. In response to such comment, the Commission adopts an informal 
leadership approach to its responsibilities in this regard, for 
example, by participating in organizational meetings setup by 
interested parties, and placing details of information-sharing measures 
by means of the FCC's website and public notice, which the Commission 
hopes will encourage increased participation to which we can add our 
support.

Description and Estimate of the Number of Small Entities to Which 
Rules Will Apply

    16. The RFA directs agencies to provide a description of, and where 
feasible, an estimate of the number of small entities that may be 
affected by the proposed rules adopted in this action. The RFA 
generally defines the term ``small entity'' as having the same meaning 
as the terms ``small business,'' ``small organization,'' and ``small 
governmental jurisdiction.'' In addition, the term ``small business'' 
has the same meaning as the term ``small business concern'' 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) satisfies any additional criteria established by the 
Small Business Administration (SBA).
    17. A small organization is generally ``any not-for-profit 
enterprise which is independently owned and operated and is not 
dominant in its field.'' Nationwide, as of 1992, there were 
approximately 275,801 small organizations. The definition of ``small 
governmental jurisdiction'' generally means ``governments of cities, 
counties, towns, townships, villages, school districts, or special 
districts with populations of fewer than 50,000.'' There are 85,006 
governmental jurisdictions 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, 37,556, or 96 
percent, have populations of fewer than 50,000. The Census Bureau 
estimates that this ratio is approximately accurate for all government 
entities. Thus, of the 85,006 governmental entities, we estimate that 
96 percent, or about 81,600, are small entities that may be affected by 
our rules.
    18. This list includes categories that at present may not be 
subject to the 911 Act rules. At present, covered carriers include all 
cellular licensees, broadband PCS licensees, and certain carriers of 
Specialized Mobile Radio (SMR) licensees. The SMR providers that are 
presently covered include ``only licensees that offer real-time, two-
way switched voice service that is interconnected with the public 
switched network, either on a stand-alone basis or packaged with other 
telecommunications services.'' For those carriers that presently do not 
need to comply with the 911 requirements, such

[[Page 1646]]

as Mobile Satellite Service (MSS) carriers, the Commission acknowledges 
that, at some point in the future, they may be required to provide 
appropriate access to emergency services.
    19. Neither the Commission nor the SBA has developed definitions 
for small providers of the specific industries affected. Therefore, 
throughout our analysis, the Commission uses the closest applicable 
definition under the SBA rules, the North American Industry 
Classification System (NAICS) standards for ``Cellular and Other 
Wireless Telecommunications'' and ``Wired Telecommunications 
Carriers.'' According to these standards, a small entity is one with no 
more than 1,500 employees. To determine which of the affected entities 
in the effected services fit into the SBA definition of small business, 
the Commission has consistently referred to Table 5.3 in Trends in 
Telephone Service (Trends) a report published annually by the 
Commission's Common Carrier Bureau.
    20. Local Exchange Carriers. According to the most recent Trends 
data, 1,335 incumbent carriers reported that they were engaged in the 
provision of local exchange services. We do not have data specifying 
the number of these carriers that are either dominant in their field of 
operations, or are not independently owned. However Trends indicates 
that 1,037 local exchange carriers report that, in combination with 
their affiliates, they have 1,500 or fewer employees, and would thus be 
considered small businesses as defined by NAICS.
    21. We have included small incumbent local exchange carriers in 
this RFA analysis. A ``small business'' under the RFA is one that, 
inter alia, meets the pertinent small business size standard (e.g., a 
telephone communications business having 1,500 or fewer employees), and 
``is not dominant in its field of operation.'' The SBA's Office of 
Advocacy contends that, for RFA purposes, small incumbent local 
exchange carriers are not dominant in their field of operation because 
any such dominance is not ``national'' in scope. We have therefore 
included small incumbent carriers in this RFA analysis, although we 
emphasize that this RFA action has no effect on the Commission's 
analyses and determinations in other, non-RFA contexts.
    22. Also included in the number of Local Exchange Carriers is the 
rural radio telephone service. A significant subset of the Rural 
Radiotelephone Service is the Basic Exchange Telephone Radio Systems 
(BETRS). There are approximately 1,000 licensees in the Rural 
Radiotelephone Service, and we estimate that almost all of them qualify 
as small entities under the NAICS definition.
    23. Competitive Access Providers and Competitive Local Exchange 
Carriers (CAPs and CLECs). Trends indicates that 349 CAPs and CLECs, 87 
local resellers, and 60 other local exchange carriers reported that 
they were engaged in the provision of competitive local exchange 
services. The Commission does not have data specifying the number of 
these carriers that are not independently owned and operated. However, 
Trends states that 297 CAPs and CLECs, 86 local resellers, and 56 other 
local exchange carriers report that, in combination with their 
affiliates, they have 1,500 or fewer employees for a total of 439 such 
entities qualified as small entities.
    24. Fixed Local Service Providers and Payphone Providers. Trends 
reports that there are 1,831 fixed local service providers and 758 
payphone providers. Using the NAICS standard for small entity of fewer 
than 1,500 employees, Trends estimates that 1,476 fixed local service 
providers, in combination with affiliates have 1,500 or few employees 
and thus qualify as small entities. In addition, 755 payphone providers 
report that, in combination with their affiliates, they employ 1,500 or 
fewer individuals.
    25. Wireless Telephone Including Cellular, Personal Communications 
Service (PCS) and SMR Telephony Carriers. There are 806 entities in 
this category as estimated in Trends, and 323 such licensees in 
combination with their affiliates have 1,500 or fewer employees and 
thus qualify using the NAICS guide, as small businesses.
    26. Other Mobile Service Providers. Trends estimates that there are 
44 providers of other mobile services, and again using the NAICS 
standard, 43 providers of other mobile services in combination with 
their affiliates hire 1,500 or fewer employees and thus may be 
considered small entities.
    27. Toll Service Providers. Trends calculates that there are 738 
toll service providers, including 204 interexchange carriers, 21 
operator service providers, 21 pre-paid calling card providers, 21 
satellite service carriers, 454 toll resellers, and 17 carriers 
providing other toll services. Trends further estimates that 656 toll 
service providers with their affiliates have 1,500 or fewer employees 
and thus qualify as small entities as defined by NAICS. This figure 
includes 163 interexchange carriers, 20 operator service providers, 20 
pre-paid calling card providers, 16 satellite service carriers, 423 
toll resellers, and 15 carriers providing other toll services.
    28. Offshore Radiotelephone Service. This service operates on 
several TV broadcast channels that are not otherwise 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. The Commission assumes, 
for purposes of this FRFA, that all of the 55 licensees are small 
entities, as that term is defined by NAICS.

Description of Projected Reporting, Recordkeeping, and Other 
Compliance Requirements

    29. The Commission adopts a flexible approach of basic requirements 
based on maximum periods for certain technical and operational aspects 
of a transition and recommends steps to ensure the prompt delivery of 
emergency calls across the nation. Paragraphs 18 through 21 of the 
Order consider transition periods for areas where there is a designated 
public safety answering point (PSAP) or once a PSAP is designated. For 
areas in which State or local authorities have established a PSAP, the 
Commission adopts a maximum nine-month transition period that runs from 
December 11, 2001, for carriers to deliver all 911 calls to that PSAP. 
Subsequent to the transition period, the Commission establishes a 
permissive dialing period in order for carriers to educate consumers on 
the transition to 911-dialing. The Commission also encourages such 
carriers, following the permissive dialing period, to furnish a 
standard intercept message. (See paragraphs 16 and 37 of the Order).
    30. Also, as detailed in paragraphs 22 through 31 of the Order, in 
areas where there is no PSAP, the Commission adopts the following 
requirements: within nine months of the effective date of this Order, 
carriers must begin delivering 911 calls to either a statewide 
established default point or, if none exists, to an appropriate local 
emergency authority, such as the police or country sheriff. If a State 
or local authority prefers that carriers deliver 911 calls to some 
other local default point, the Commission provides that carriers must 
begin delivering 911 calls to such a default point no later than nine 
months from the date of the request by the local authority or 
appropriate State entity. Once a State or local authority has formally 
designated a PSAP for an area, a carrier will have a nine-month period 
to deliver 911 calls

[[Page 1647]]

to that PSAP. Paragraph 27 of the Order establishes that, where no 
appropriate local emergency authority has been selected, that carriers 
contact, as soon as practicable, the entity designated by that State's 
Governor to assist in implementation of 911, and to allow 15 days for a 
response. If none is forthcoming, then carriers should exercise 
reasonable judgment in determining where to deliver 911 calls.
    31. Paragraphs 42 through 45 of the Order consider implementation 
and enforcement of transition period deadlines. In this regard, the 
Commission adopts a limited transition report requirement which 
requires that carriers serving areas where 911 is not in use as the 
emergency number on the date of enactment of the law file two reports 
as detailed in paragraphs 43-45 of the Fifth R&O.

Steps Taken to Minimize Significant Economic Impact on Small 
Entities, and Significant Alternatives Considered

    32. The RFA requires an agency to describe any significant 
alternatives that it has considered in reaching its proposed approach, 
which may include, among others, the following four alternatives: (1) 
The establishment of differing compliance or reporting requirements or 
timetables that take into account the resources available to small 
entities; (2) the clarification, consolidation, or simplification of 
compliance and reporting requirements under the rule for such small 
entities; (3) the use of performance rather than design standards; and 
(4) any exemption from coverage of the rule, or any part thereof, for 
such small entities.
    33. The Commission is limited in establishing less stringent 
requirements for small entities in this proceeding by the critical 
public safety issues of concern and by legislative mandate. The results 
of delayed or insufficient response to wireless 911 calls can be 
equally fatal whether the carrier involved is a large or small entity. 
When given alternatives which do not compromise the public safety goals 
of this proceeding but offer all entities the flexibility to carry out 
their responsibilities in a way that is tailored to their individual 
locality and its needs, the Commission has chosen the more flexible 
option. For example, in areas where there is neither a PSAP nor a 
statewide default answering point, many of which are served by small 
carriers or are governed by small entities, an existing local law 
enforcement agency such as a country sheriff could serve as the local 
emergency authority.
    34. On the other hand, several carrier-commenters recommend that 
the Commission allow carriers and States and localities to establish 
transition periods for implementation of 911 dialing. As discussed in 
paragraphs 5 through 9 of the Fifth R&O, the Commission declines to 
adopt this alternative, finding that to delegate such authority to 
carriers and PSAPs could result in multiple, conflicting transition 
periods and create confusion in critical emergency situations as 
travelers move from one locality to another. Further, the Commission 
finds that delegating the authority to establish 911 transition periods 
to carriers and PSAPS could hinder the Commission's ability to ensure 
that the transition to 911 dialing occurs on a timely basis and could 
hinder the Commission's overall ability to monitor the transition to 
911 as the nationwide emergency number. If the Commission had 
authorized States and localities to establish 911 transition periods, 
it would place the responsibility and burden for this administrative 
work on the entities themselves, many of whom are small. It should be 
noted, however, that the Commission recognized the need for a 
transition period, noting the fluid nature of technology, and provided 
the flexible transition period adopted in the Fifth R&O. The transition 
period will allow both large and small carriers time, not only to 
complete the technological updates and coordination which may be 
necessary to provide 911 service, but also time to educate the public 
regarding 911 service. Also, in establishing flexible transition 
periods, the Commission recognizes that individual service areas face 
different technical and operational measures.
    35. In this regard, as discussed in paragraphs 32 through 39 of the 
Order, the Commission elects not to promulgate rules for carriers to 
educate the public about 911 transition, but simply encourages carriers 
to plan and provide time in the transition period for planning and 
executing a public education program. Several commenters suggest 
additional requirements regarding educating the public, which the 
Commission found to be unnecessary and burdensome, particularly on 
small entities. One commenter, for example, proposed a requirement that 
carriers service areas that currently use non-911 abbreviated numbers 
for emergency purposes notify the agency using such numbers that they 
will not be available after the transition period. The same commenter 
recommended requirements for carriers to provide billing inserts 
apprising customers of the conversion to 911 as the universal emergency 
assistance number. The Commission encourages such public education 
efforts to enable the permissive dialing period to be discontinued. 
Nonetheless, once discontinued, the Rules require the carriers to 
intercept calls made via non-911 emergency numbers with an announcement 
to alert the caller to the change to 911 for emergency calls. This 
offers all carriers, including small carriers, the flexibility to 
design the appropriate public education program that best satisfies the 
need for 911 education within the individual service area, while 
offering the carrier some control over expenditures in this area.
    36. In one area, however, the Commission, faced with its 
legislative mandate to monitor the progress of carriers in the 
transition to 911, adopted a requirement that may particularly impact 
rural and small carriers. As indicated in paragraphs 42 through 45 of 
the Order, the Commission adopts a limited requirement for transition 
reports. In the NPRM, the Commission proposed a broader approach to 
transition reports that would have affected all carriers and would be 
filed on a more regular basis than the requirement adopted in the Fifth 
R&O. The adopted requirement states that only those carriers providing 
service in areas where 911 is not in use as the emergency number on the 
date of enactment of the law must file two reports. The filing of the 
reports will be limited to those counties where there is no 911 
service; those counties that are in the process of implementing 911; 
and those counties that have basic 911 service only in some parts. The 
first report is to be filed March 11, 2002 and the second report 15 
calendar days after the end of the transition period. Although the 
actual regulation is less burdensome overall on all carriers, it is 
likely that carriers that do not yet offer 911 service would be small 
entities as defined by the SBA. In addition, as described in paragraph 
27 of the Order, the Commission adopts a requirement that carriers 
serving areas where no PSAP or appropriate local emergency authority 
has been established must initiate contact with the entity designated 
by the Governor before exercising reasonable judgment as to where to 
deliver 911 calls.
    37. The Commission recognizes that the burden for making progress 
towards 911 implementation may fall, during the transition period, on 
small and rural entities because they are most likely to require the 
most effort in implementing 911. They may cover larger, less populated 
areas who may face funding

[[Page 1648]]

problems and who may have farther to go in achieving the expensive 
technological advances which facilities serving more urban areas have 
access to. By the same token, however, these same disadvantages that 
many such small carriers and State or local governments face also 
dictate a need for optimum 911 emergency service as quickly as 
possible. The Commission has tried to make compliance with 911 rules 
and implementation dates as fair as possible to small entities by, for 
example, establishing flexible transition periods. In establishing the 
limited transition report requirement, the Commission provides that 
carriers might, at their option, consolidate reporting and eliminate 
redundant reports by filing the transition reports either collectively 
with those carriers similarly situated or combining reports for several 
counties facing similar problems, thus saving the affected carriers 
time and costs. It is intended that the transition reports will provide 
the Commission with information leading to solutions to the unique 
problems faced by small entities in the implementation of 911 service. 
In addition, the Commission hopes the reporting process will generate a 
cooperative dialogue regarding how entities with similar problems can 
resolve such issues.
    38. The Commission, instead of establishing a proposed program that 
would require carriers and PSAPS, large and small, to provide 
information to each other or to the Commission regarding problems 
exclusive to their locality, establishes an informal program in which 
the Commission would serve as a clearinghouse for such information. 
Further, instead of establishing a coordination requirement forcing 
PSAPs and carriers to meet to discuss intra-locality issues, the 
Commission emphasizes the importance of assuming a leadership role in 
providing coordination and technical assistance and endorses the joint 
leadership of the Commission and State Governors in this area to assist 
parties involved with integrated comprehensive emergency communications 
systems. (See paragraphs 46 through 52 of the Order)
    39. Report to Congress: The Commission will send a copy of this 
decision, including this FRFA, in a report to be sent to Congress 
pursuant to the Congressional Review Act, 5 U.S.C. 801(a)(1)(a). In 
addition, the Commission will send a copy of the Order, including this 
FRFA to the Chief Counsel for Advocacy of the Small Business 
Administration.

Ordering Clauses

    40. Pursuant to Secs. 1, 4(i), 4(j), 7, 10, 201, 202, 208, 214, 
251(e)(3), 301, 303, 308, 309(j), and 310 of the Communications Act of 
1934, as amended, 47 U.S.C. 151, 154(i), 154(j), 157, 160, 210, 202, 
208, 214, 251(e), 301, 303, 308, 309(j), and 310, the Fifth Report and 
Order in CC Docket No. 92-105 is adopted.
    41. Part 64, new Subpart AA, of the Commission's rules is adopted 
to require wireline and wireless licensees to complete the transition 
to 911 as the universal emergency assistance number, as set forth in 
Appendix B of the Order and will become effective February 13, 2002, 
except for Sec. 64.3002, which contains modified information collection 
requirements that are not effective until approved by the Office of 
Management and Budget. The Commission will publish a notice in the 
Federal Register announcing the effective date for this section.
    42. The Commission's Consumer Information Bureau, Reference 
Information Center, shall send a copy of this, Fifth Report and Order, 
First Report and Order, and Memorandum Opinion and Order, including the 
Final Regulatory Flexibility Analysis, to the Chief Counsel for 
Advocacy of the Small Business Administration.
    43. Pursuant to Secs. 1, 4(i), 4(j), 7, 10, 201, 202, 208, 214, 
251(e)(3), 301, 303, 308, 309(j), and 310 of the Communications Act of 
1934, as amended, 47 U.S.C. 151, 154(i), 154(j), 157, 160, 210, 202, 
208, 214, 251(e), 301, 303, 308, 309(j), and 310, the First Report and 
Order in WT Docket No. 00-110 is adopted.
    44. The Petition for Reconsideration or Clarification of the Fourth 
Report and Order, in CC Docket No. 92-105, filed by Maritel, Inc. on 
September 28, 2000, IS GRANTED to the extent described in the Order.
    45. Authority is hereby delegated to the Chiefs of the Common 
Carrier Bureau and the Wireless Telecommunications Bureau to require 
additional information, as necessary, to evaluate carriers progress in 
achieving the transition to the use of 911 and their compliance with 
the transition requirements set forth in the Order.

List of Subjects

47 CFR Part 20

    Communications common carrier, Communications equipment, Radio.

47 CFR Part 64

    Communications common carrier, Radio, Reporting and recordkeeping 
requirements, Telephone.

Federal Communications Commission.
William F. Caton,
Deputy Secretary.

Rule Changes

    For the reasons discussed in the preamble, the Federal 
Communications amends 47 CFR Parts 20 and 64 as follows:

PART 20--COMMERCIAL MOBILE RADIO SERVICES

    1. The authority citation for part 20 continues to read as follows:

    Authority: 47 U.S.C. 154, 160, 251-254, 303, and 332 unless 
otherwise noted.

    2. Section 20.3 is amended by adding definitions of ``appropriate 
local emergency authority'' and ``statewide default answering point'' 
in alphabetical order to read as follows:


Sec. 20.3  Definitions.

    Appropriate local emergency authority. An emergency answering point 
that has not been officially designated as a Public Safety Answering 
Point (PSAP), but has the capability of receiving 911 calls and either 
dispatching emergency services personnel or, if necessary, relaying the 
call to another emergency service provider. An appropriate local 
emergency authority may include, but is not limited, to an existing 
local law enforcement authority, such as the police, county sheriff, 
local emergency medical services provider, or fire department.
* * * * *
    Statewide default answering point. An emergency answering point 
designated by the State to receive 911 calls for either the entire 
State or those portions of the State not otherwise served by a local 
PSAP.

    3. Section 20.18(b) is revised to read as follows:


Sec. 20.18  911 Service.

* * * * *
    (b) Basic 911 Service. Licensees subject to this section must 
transmit all wireless 911 calls without respect to their call 
validation process to a Public Safety Answering Point, or, where no 
Public Safety Answering Point has been designated, to a designated 
statewide default answering point or appropriate local emergency 
authority pursuant to Sec. 64.3001 of this chapter, provided that ``all 
wireless 911 calls'' is defined as ``any call initiated by a wireless 
user dialing 911 on a phone using a compliant radio frequency protocol 
of the serving carrier.''
* * * * *

[[Page 1649]]

PART 64--MISCELLANEOUS RULES RELATING TO COMMON CARRIERS

    4. The authority citation for part 64 continues to read as follows:

    Authority: 47 U.S.C. 154, 47 U.S.C. 225, 47 U.S.C. 251(e)(1), 
151, 154, 201, 202, 205, 218-220, 254, 302, 303, and 337 unless 
otherwise noted. Interpret or apply sections 201, 218, 225, 226, 
227, 229, 332, 48 Stat. 1070, as amended. 47 U.S.C. 201-204, 208, 
225, 226, 227, 229, 332, 501 and 503 unless otherwise noted.


    5. Add subpart AA to part 64 to read as follows:
Subpart AA--Universal Emergency Telephone Number
Sec.
Sec. 64.3000.  Definitions.
Sec. 64.3001.  Obligation to transmit 911 calls.
Sec. 64.3002.  Transition to 911 as the universal emergency 
telephone number.
Sec. 64.3003  Obligation for providing a permissive dialing period.
Sec. 64.3004  Obligation for providing an intercept message.

Subpart AA--Universal Emergency Telephone Number

    Authority: 47 U.S.C. 151, 154(i), 154(j), 157, 160, 210, 202, 
208, 214, 251(e), 301, 303, 308, 309(j), and 310.


Sec. 64.3000  Definitions.

    (a) 911 calls. Any call initiated by an end user by dialing 911 for 
the purpose of accessing an emergency service provider. For wireless 
carriers, all 911 calls include those they are required to transmit 
pursuant to Sec. 20.18 of the Commission's rules.
    (b) Appropriate local emergency authority. An emergency answering 
point that has not been officially designated as a Public Safety 
Answering Point (PSAP), but has the capability of receiving 911 calls 
and either dispatching emergency services personnel or, if necessary, 
relaying the call to another emergency service provider. An appropriate 
local emergency authority may include, but is not limited to, an 
existing local law enforcement authority, such as the police, county 
sheriff, local emergency medical services provider, or fire department.
    (c) Public Safety Answering Point (PSAP). A facility that has been 
designated to receive 911 calls and route them to emergency services 
personnel.
    (d) Statewide default answering point. An emergency answering point 
designated by the State to receive 911 calls for either the entire 
State or those portions of the State not otherwise served by a local 
PSAP.


Sec. 64.3001  Obligation to transmit 911 calls.

    All telecommunications carriers shall transmit all 911 calls to a 
PSAP, to a designated statewide default answering point, or to an 
appropriate local emergency authority as set forth in Sec. 64.3002.


Sec. 64.3002  Transition to 911 as the universal emergency telephone 
number.

    As of December 11, 2001, except where 911 is already established as 
the exclusive emergency number to reach a PSAP within a given 
jurisdiction, telecommunications carriers shall comply with the 
following transition periods:
    (a) Where a PSAP has been designated, telecommunications carriers 
shall complete all translation and routing necessary to deliver 911 
calls to a PSAP no later than September 11, 2002.
    (b) Where no PSAP has been designated, telecommunications carriers 
shall complete all translation and routing necessary to deliver 911 
calls to the statewide default answering point no later than September 
11, 2002.
    (c) Where neither a PSAP nor a statewide default answering point 
has been designated, telecommunications carriers shall complete the 
translation and routing necessary to deliver 911 calls to an 
appropriate local emergency authority, within nine months of a request 
by the State or locality.
    (d) Where no PSAP nor statewide default answering point has been 
designated, and no appropriate local emergency authority has been 
selected by an authorized state or local entity, telecommunications 
carriers shall identify an appropriate local emergency authority, based 
on the exercise of reasonable judgment, and complete all translation 
and routing necessary to deliver 911 calls to such appropriate local 
emergency authority no later than September 11, 2002.
    (e) Once a PSAP is designated for an area where none had existed as 
of December 11, 2001, telecommunications carriers shall complete the 
translation and routing necessary to deliver 911 calls to that PSAP 
within nine months of that designation.


Sec. 64.3003  Obligation for providing a permissive dialing period.

    Upon completion of translation and routing of 911 calls to a PSAP, 
a statewide default answering point, to an appropriate local emergency 
authority, or, where no PSAP nor statewide default answering point has 
been designated and no appropriate local emergency authority has been 
selected by an authorized state or local entity, to an appropriate 
local emergency authority, identified by a telecommunications carrier 
based on the exercise of reasonable judgment, the telecommunications 
carrier shall provide permissive dialing between 911 and any other 
seven-or ten-digit emergency number or an abbreviated dialing code 
other than 911 that the public has previously used to reach emergency 
service providers until the appropriate State or local jurisdiction 
determines to phase out the use of such seven-or ten-digit number 
entirely and use 911 exclusively.


Sec. 64.3004  Obligation for providing an intercept message.

    Upon termination of permissive dialing, as provided under 
Sec. 64.3003, telecommunications carriers shall provide a standard 
intercept message announcement that interrupts calls placed to the 
emergency service provider using either a seven-or ten-digit emergency 
number or an abbreviated dialing code other than 911 and informs the 
caller of the dialing code change.

[FR Doc. 02-869 Filed 1-11-02; 8:45 am]
BILLING CODE 6712-01-P