[Federal Register Volume 69, Number 59 (Friday, March 26, 2004)]
[Proposed Rules]
[Pages 15761-15774]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 04-6618]


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FEDERAL COMMUNICATIONS COMMISSION

47 CFR Parts 0, 4 and 63

[ET Docket No. 04-35; FCC 04-30]


Commission's Rules Concerning Disruptions to Communications

AGENCY: Federal Communications Commission.

ACTION: Proposed rule.

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SUMMARY: This document proposes to extend the Commission's disruption 
reporting requirements to communications providers who are not wireline 
carriers. The Commission also proposes to streamline compliance with 
the reporting requirements through electronic filing with a ``fill in 
the blank'' template and by simplifying the application of that rule. 
In addition, the Commission proposes to delegate authority to the 
Chief, Office of Engineering and Technology, to make the revisions to 
the filing system and template that are necessary to achieve the goals 
of this rulemaking proceeding. We believe that these proposals will 
allow the Commission to obtain the necessary information regarding 
service disruptions in an efficient and expeditious manner and to 
achieve significant concomitant public interest benefits.

DATES: Comments must be filed on or before May 25, 2004, and reply 
comments June 24, 2004. Written comments on the proposed and/or 
modified information collection(s) must be submitted by the public, 
Office of Management and Budget (OMB), and other interested parties on 
or before May 25, 2004.

FOR FURTHER INFORMATION CONTACT: Charles Iseman at (202) 418-2444, 
[email protected], Office of Engineering and Technology, TTY (202) 
418-2989.

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Notice 
of Proposed Rule Making, ET Docket No. 04-35, FCC 04-30, adopted 
February 12, 2004, and released February 23, 2004. The full text of 
this document is available for inspection and copying during normal 
business hours in the FCC Reference Center (Room CY-A257), 445 12th 
Street, SW., Washington, DC 20554. The complete text of this document 
also may be purchased from the Commission's copy contractor, Qualex 
International, 445 12th Street, SW., Room, CY-B402, Washington, DC 
20554. The full text may also be downloaded at www.fcc.gov. Alternate 
formats are available to persons with disabilities by contacting Brian 
Millin at (202) 418-7426 or TTY (202) 418-7365.
    Pursuant to Sec. Sec.  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 25, 2004, and reply comments on or before June 24, 2004. Comments 
may be filed using the Commission's Electronic Comment Filing System 
(ECFS) or by filing paper copies. See Electronic Filing of Documents in 
Rulemaking Proceedings, 63 FR 24121, May 1, 1998. Comments filed 
through the ECFS can be sent as an electronic file via the Internet to 
http://www.fcc.gov/e-file/ecfs.html. Generally, only one copy of an 
electronic submission must be filed. If multiple docket or rulemaking 
numbers appear in the caption of this proceeding, however, commenters 
must transmit one electronic copy of the comments to each docket or 
rulemaking number referenced in the caption. In completing the 
transmittal screen, commenters should include their full name, U.S. 
Postal Service mailing address, and the applicable docket or rulemaking 
number. Parties may also submit an electronic comment by Internet e-
mail. To get filing instructions for e-mail comments, commenters should 
send an e-mail to [email protected], and should include the following words 
in the body of the message, ``get form .'' A sample form and directions will be sent in 
reply. Parties who choose to file by paper must file an original and 
four copies of each filing. If more than one docket or rulemaking 
number appears in the caption of this proceeding, commenters must 
submit two additional copies for each additional docket or rulemaking 
number.
    All paper filings must be addressed to the Commission's Secretary, 
Office of the Secretary, Federal Communications Commission. Filings can 
be sent by hand or messenger delivery, by commercial overnight courier, 
or by first-class or overnight U.S. Postal Service mail (although we 
continue to experience delays in receiving U.S. Postal Service mail). 
The Commission's contractor, Natek, Inc., will receive hand-delivered 
or messenger-delivered paper filings for the Commission's Secretary at 
236 Massachusetts Avenue, NE., Suite 110, Washington, DC 20002. The 
filing hours at this location are 8 a.m. to 7 p.m. All hand deliveries 
must be held together with rubber bands or fasteners. Any envelopes 
must be disposed of before entering the building. Commercial overnight 
mail (other than U.S. Postal Service Express Mail and Priority Mail) 
must be sent to 9300 East Hampton Drive, Capitol Heights, MD 20743. 
U.S. Postal Service first-class mail, Express mail, and Priority Mail 
should be addressed to 445 12th Street, SW., Washington, DC 20554.

Initial Paperwork Reduction Act of 1995 Analysis

    This NPRM contains proposed modified information collection(s). The 
Commission, as part of its continuing effort to reduce paperwork 
burdens, invites the general public and the Office of Management and 
Budget (OMB) to comment on the information collection(s) contained in 
this NPRM, as required by the Paperwork Reduction Act (PRA) of 1995, 
Public Law 104-13. Public and agency comments are due May 25, 2004. PRA 
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

[[Page 15762]]

respondents, including the use of automated collection techniques or 
other forms of information technology.
    Written comments by the public on the new or modified information 
collections are due May 25, 2004. In addition to filing comments with 
the Secretary, a copy of any Paperwork Reduction Act (PRA) comments on 
the information collection(s) contained herein should be submitted to 
Les Smith, Federal Communications Commission, Room 1-CA804, 445 12th 
Street, SW., Washington, DC 20554, or via the Internet to 
[email protected], and to Kristy L. LaLonde, OMB Desk Officer, Room 
10234 NEOB, 725 17th Street, NW., Washington, DC 20503 via the Internet 
to [email protected] or by fax to 202-395-5167.
    OMB Control Number: 3060-0484.
    Title: Part 4 of the Commission's Rules Concerning Disruptions to 
Communications.
    Form No.: NA.
    Type of Review: Revision of a currently approved collection.
    Respondents: Business or other for-profit entities; Not-for-profit 
institutions; and/or State, local or tribal governments.
    Number of Respondents: 52.
    Estimated Time per Response: 5 hours.
    Frequency of Response: On occasion reporting requirements.
    Total Annual Burden: 1,040 hours.
    Total Annual Costs: $41,600.
    Needs and Uses: In recognition of the critical need for rapid, 
full, and accurate information on service disruptions that could affect 
homeland security, public health and safety, as well as the economic 
well-being of our Nation, and in view of the increasing importance of 
non-wireline communications in the Nation's communications networks and 
critical infrastructure, we propose to extend our disruption reporting 
requirements to communications providers who are not wireline carriers. 
We also propose to move the outage-reporting requirements from part 63 
of our rules to part 4.

Summary of Notice of Proposed Rulemaking

    1. This Notice of Proposed Rulemaking (NPRM) proposes to extend the 
Commission's disruption reporting requirements to communications 
providers who are not wireline carriers and to move the outage-
reporting requirements from rule part 63 to part 4. In making these 
proposals, the Commission recognizes that, although these requirements 
were originally established within the telecommunications common 
carrier context, it is now appropriate to adapt and apply them more 
broadly across all communications platforms to the extent discussed in 
the NPRM. In an effort to promote rapid reporting and minimal 
administrative burden on covered entities, the Commission also proposes 
to streamline compliance with the reporting requirements through 
electronic filing with a ``fill in the blank'' template and by 
simplifying the application of the existing rule (47 CFR 63.100). The 
Commission seeks comment on these proposals and notes, as an initial 
matter, that the actual text of the final rules and the final reporting 
template that will be adopted may differ from the text and template 
that are contained in Appendix A and Appendix B to the Notice of 
Proposed Rulemaking. Accordingly, the Commission invites interested 
parties to file comments and reply comments to address the issues that 
are discussed in this NPRM as well as the specific rules that are 
proposed in Appendix A and the reporting template that is proposed in 
Appendix B. The Commission also requests comment on any other changes 
to its communications outage reporting rules that would eliminate 
inadequacies in these reporting requirements. Based on the comments 
that the Commission receives in this proceeding and on its analysis of 
the information that is before it, the Commission may make such 
additional modifications to its existing and proposed communications 
outage-reporting requirements as may be necessary or desirable to 
fulfill, more fully, the objectives that are set forth in the 
Communications Act.
    2. Communications disruptions can be characterized as consisting 
of: (i) A lack of ``generally-useful availability'' of communications, 
which means an inability to access a network (e.g., an inability to 
acquire dial-tone); or (ii) a lack of ``generally-useful connectivity'' 
of communications, which means the inability to complete the 
communication effectively after a network has been successfully 
accessed. Section 63.100 applies to both types of communications 
disruptions which are further classified into, essentially, two types 
of reporting requirements: (i) The reporting of disruptions that could 
have a direct effect on the safety of life or property or on the 
National defense and security; and (ii) the reporting of outages that 
are otherwise sufficiently significant that they warrant reporting. The 
Commission proposes to retain this basic type of reporting framework 
with modifications to improve its usefulness, and seek comment on this 
proposal.
    3. General Outage-Reporting Criteria and Proposed Revisions to 
Them. Currently, the general reporting criteria requires that an outage 
be reported whenever its duration is at least 30 minutes and the number 
of customers potentially affected by the outage is at least 30,000. By 
the term ``customer'' the Commission means the individual end user 
(i.e., a person), but some carriers have counted each large corporate 
or organizational customer as a single ``customer.'' The latter 
interpretation leads to underreporting of significant outages. Another 
anomaly in the current rule is that outages whose duration lasts many 
hours or days but that affect slightly less than 30,000 customers are 
not required to be reported.
    4. The Commission proposes to correct these anomalies in its 
general reporting criteria by requiring that an outage report be filed 
whenever the duration of the outage is at least 30 minutes and the 
outage potentially affects at least 900,000 user-minutes. A user-minute 
would be defined as the mathematical product of the number of end users 
and the outage duration expressed in minutes. For telephony, an ``end 
user'' would be defined as an assigned telephone number, and the number 
of potentially-affected user minutes would be the mathematical result 
of multiplying the outage's duration (expressed in minutes) by the 
number of potentially-affected assigned telephone numbers. (``Assigned 
telephone numbers'' would be defined as the sum of ``assigned numbers'' 
and ``administrative numbers,'' where the latter terms are currently 
defined in 47 CFR 52.15(f)(i) and (iii).) We seek comment on this 
proposal.
    5. Wireline Communications Providers. The outage reporting 
requirements (subject to the proposed revisions) would continue to 
apply to ``wireline providers,'' which are entities that provide 
terrestrial communications through direct connectivity, predominantly 
by wire, coaxial cable, or optical fiber, between the serving central 
office (as defined in the Appendix-Glossary to 47 CFR part 36) and end 
user location(s). (For outage reporting purposes, wireline 
communications includes any augmentation through the use of micro-wave 
links and other links that use other radio frequencies.)
    6. LEC and IXC Tandem Outages. For the tandem facilities of 
interexchange or local exchange carriers, the current rule requires 
that ``carriers must, if technically possible, use real-time to 
determine whether the criteria for reporting an outage have been 
reached. Carriers must report IXC and LEC tandem outages * * * where 
more than 90,000 calls are blocked during a period

[[Page 15763]]

of 30 or more minutes for purposes of complying with the 30,000 
potentially affected customers threshold,'' 47 CFR 63.100(g). The NPRM 
proposes to modify this rule to replace the reference to ``customers'' 
with a reference to ``user-minutes,'' for consistency purposes. We also 
note that the term ``blocked calls'' is not clearly defined in Sec.  
63.100 and that some companies count only originating calls that are 
blocked, while other companies count both originating and terminating 
blocked calls. To eliminate this ambiguity and to gain an understanding 
of the full impact of each outage, as well as to promote consistent 
reporting by all carriers, the Commission proposes to require that all 
blocked calls, regardless of whether they are originating or 
terminating calls, be counted in determining compliance with the outage 
reporting threshold criteria. For those outages where the failure 
prevents the counting of blocked calls in either the originating or 
terminating direction, or in both directions, historical data may be 
used. Three times the actual number of carried calls for the same day 
of the week and the same time of day should be used as a surrogate for 
the number of blocked calls that could not be measured directly. 
``Blocked calls'' are a ``running measurement'' made for the total 
duration of the outage. That is, an outage that blocks only 50,000 
calls in the first 30 minutes may nevertheless reach the 90,000 
blocked-call threshold criterion if the outage lasts, for example, for 
one hour. In relatively rare cases, it may be possible to obtain the 
number of originating blocked calls only, or the number of terminating 
blocked calls only, but not both. For these cases, the Commission 
proposes to require that the blocked-call count be doubled to 
compensate for the missing data, unless the carrier certifies that only 
one direction of the call set-up was affected by the outage. The 
Commission seeks comment on these proposals.
    7. Cable Communications Providers--Circuit Switched Telephony. 
Circuit-switched telephony provided by cable operators has always been 
subject to the communications disruptions reporting requirements set 
forth in 47 CFR 63.100. The Commission proposes to clarify this point 
and to modify these requirements in a manner consistent with its 
proposed changes (i.e., 30 minutes duration and 900,000 user-minutes 
criteria) to the outage-reporting requirements for wireline telephony 
and seek comment on this proposal.
    8. Satellite Communications Providers. Given the increased role 
played by satellites in our Nation's communications infrastructure, and 
the likelihood that the importance of satellite communications will 
grow substantially in the future, the Commission proposes to eliminate 
the satellite exemption in its outage reporting rules and proposes to 
require that all major failures be reported by providers of satellite 
communications to the public. This would apply to satellites or 
transponders used to provide telephony and/or paging. The proposal does 
not include satellites or transponders used solely to provide intra-
corporate or intra-organizational private telecommunications or solely 
for the one-way distribution of video or audio programming. The 
Commission seeks comment on this proposal.
    9. Satellite communications have space components and terrestrial 
components. The proposed reporting requirements cover all satellite 
communications outages, regardless of whether they result from failures 
in the space or terrestrial components. The proposal would require the 
reporting of any loss of complete accessibility to a satellite or any 
of its transponders for 30 minutes or more. Such outages could result, 
for example, from an inability to control a satellite, a loss of uplink 
or downlink communications, Telemetry Tracking and Command failures, or 
the loss of a satellite telephony terrestrially-based control center, 
all of which the Commission deems to be major infrastructure failures. 
Analogous to the cases of wireline, wireless, and cable communications, 
the proposal would also require the reporting of the loss, for 30 
minutes or more, of any satellite link or its associated terrestrial 
components that are used to provide telephony and/or paging, whenever 
at least 900,000 user-minutes are potentially affected. The Commission 
seeks comment on these proposals.
    10. Wireless Communications Providers. Similar to the case of 
satellite communications, the Commission recognizes the increased and 
critical role of wireless communications in our Nation's communications 
infrastructure and proposes to eliminate the exemption for wireless 
communications in its outage reporting rules. The term ``wireless 
service providers,'' refers to entities that provide communications by 
using cellular architecture in the Cellular Radio Telephone Service 
(``CRTS'') (part 22 of the Commission's Rules); Personal Communications 
Service (``PCS'') (part 24); and enhanced Special Mobile Radio Service 
(``SMRS'') (part 90) (such as that provided by NEXTEL). It also 
includes Short Message Service (``SMS'') communications, which consist 
of short text messages (typically 20 octets or less), as well as CMRS 
paging services (see 47 CFR 20.9(a)(1), (6), 22.99, 22.507(c), and 
90.7) and narrowband PCS (part 24), as wireless services. Consistent 
with the 30 minutes/900,000 user-minutes criteria, the Commission 
proposes to require wireless service providers to report outages of at 
least 30 minutes duration that potentially affect 900,000 user-minutes. 
While the Commission believes in the importance of a common metric that 
is based on the outage impact on people irrespective of the 
communications system involved, it also seeks comment on possible 
alternative criteria that would yield outage data that would be useful 
in developing best practices. Paging remains an important technology 
for emergency responders and therefore the Commission is proposing to 
include paging service providers within the scope of the outage 
reporting requirements for wireless service providers. For those paging 
systems in which each individual user is assigned a telephone number, 
the Commission proposes to define an end user as an assigned telephone 
number, and the number of potentially-affected user minutes would be 
the mathematical result of multiplying the outage's duration (expressed 
in minutes) by the number of potentially-affected assigned telephone 
numbers. It is the Commission's understanding that for other paging 
systems in which a caller must first dial a central number (e.g., an 
``800 number'') and then dial a unique identifier for the called party, 
the paging provider maintains a database of identifiers for its end 
users and would therefore know how many of its end users are 
potentially affected by any particular outage. The number of 
potentially-affected end users for those paging systems would simply be 
the mathematical result of multiplying the outage's duration (expressed 
in minutes) by the number of end users potentially affected by the 
outage. The Commission seeks comment on this interpretation and 
proposed addition to our rules, and on whether there are alternative 
approaches for measuring the extent of the impact of the outage of CMRS 
paging systems. For other wireless services, the determination of the 
number of potentially affected users can be more complex.
    11. To measure the extent of wireless services system degradation, 
the Commission proposes to require the use of blocked calls instead of 
using assigned telephone numbers as a proxy for the usefulness of the 
system to users. In the wireless telephony service, a call is deemed 
``blocked'' whenever the

[[Page 15764]]

Mobile Switching Center (MSC, also referred to as a Mobile Telephone 
Switching Office, or MTSO) cannot process the call request of an 
authenticated, registered user. Call blocking can result from a 
malfunction or from an overloaded condition in the wireless service 
network. Usually when calls are blocked, users newly attempting to 
access the system cannot be registered on the system until the 
underlying problem is corrected. Because wireless service networks 
typically provide user access through several MSCs, an outage on a 
single MSC affects only those subscribers served by that MSC. 
Accordingly, call blocking on a single MSC would be reportable if it 
were to result in an outage of at least 30 minutes duration that meets 
or exceeds the proposed 900,000 user-minute criterion. The Commission 
seeks comment on this proposal.
    12. To estimate the number of potential users affected by a 
significant system degradation of wireless service facilities, we 
propose to require providers to determine the total call capacity of 
the affected MSC switch (or, in the case of a MSC that has more than 
one switch, the total call capacity of all switches in the affected 
MSC) and multiply the call capacity by the concentration ratio. 
Although the concentration ratio may vary among MSCs, we believe that, 
on average, the concentration ratio used for determining the outage 
reporting threshold should be uniform to facilitate correlative 
analyses of outage reports from different wireless providers. Based 
upon discussions with telecommunications engineers and our 
understanding of typical traffic loading/switch design parameters, we 
propose that the concentration factor be ten. Thus, a MSC switch that 
is capable of handling 3,000 simultaneous calls would have 30,000 
potentially affected users (i.e., (3,000) x (10) = 30,000). The 
Commission believes that this proposed concentration factor should 
adequately account for those users that are in the service area of the 
MSC and are thus eligible for immediate service. This factor would also 
take into account users that are assigned to the local home location 
register database for the MSC as well as potential visitors. Thus, 
under the general outage-reporting criteria that we are proposing, 
wireless service providers would be required to report MSC outages of 
at least 30 minutes duration that potentially affect at least 900,000 
user-minutes. The Commission seeks comment on this proposed addition to 
our rules and on whether there are specific types of wireless systems 
for which a concentration factor of other than ten should be applied. 
As with its proposals for CMRS paging providers, the Commission also 
seeks comment on possible alternative criteria for wireless service 
providers and approaches to measure the extent of the impact of system 
degradation that would yield useful outage data on which to base the 
development of best practices.
    13. The Commission further proposes to require the filing of an 
outage report whenever an MSC is incapable of processing communications 
for at least 30 minutes, without regard to the number of user-minutes 
potentially affected by the outage. The Commission reason for this 
specific proposal on MSC-outage reporting is based on its continuing 
need to be aware of the underlying robustness, as well as the overall 
reliability, of wireless networks. The MSC, in this regard, is a 
critical architectural component in wireless systems that is designed 
to process significant levels of traffic aggregation and call routing 
that are dependent upon SS7 signaling. The Commission also seeks 
comment on these additional conclusions and further proposal.
    14. Outages That Potentially Affect Special Offices and Facilities, 
or 911 Services and Facilities. The Commission also proposes to 
simplify the requirements for reporting communications outages that 
potentially affect special offices and facilities or potentially affect 
the ability to complete 911 calls. Section 63.100(e) of our rules 
presently requires the reporting of outages of at least 30 minutes 
duration that potentially affect special offices and facilities. The 
Commission proposes to keep this requirement substantively intact with 
a minor modification that will make it applicable to all airports, not 
just major airports. Section 63.100(e), however, only applies to local 
exchange carriers, interexchange carriers, and competitive access 
providers. In light of the rapid changes that have occurred since this 
rule was adopted, we anticipate that special offices and facilities 
will increasingly take advantage of new communications technologies and 
services as they become available, with decreasing regard for the 
particular technological platform over which they are provided. As a 
consequence, the Commission proposes to extend the requirement to 
report outages potentially affecting special offices and facilities to 
include all communications providers for which we are proposing general 
communications outage-reporting requirements. These include wireline, 
wireless, cable, and satellite communications providers. The Commission 
seeks comment on this proposal.
    15. In addition, the current requirements for reporting outages 
that potentially affect 911 services are differentiated by the length 
of the outage, the number of lines potentially affected, and other 
factors. The Commission tentatively conclude that these requirements 
are overly complex. The Commission proposes to revise these rules and 
simply require the reporting of all communications outages of at least 
30 minutes duration that potentially affect the ability to originate, 
complete, or terminate 911 calls successfully (including the delivery 
of all associated name, identification, and location data). Because the 
Commission anticipates that the public safety community and 911-type 
services will also evolve to utilize new technologies, services, and 
platforms, it proposes to apply this requirement to all communications 
providers for which it is proposing general outage-reporting 
requirements. The Commission has been aware for some time that the use 
of wireless telephony to place emergency 911 calls has been increasing. 
Accordingly, we adopted rules requiring wireless providers to 
facilitate the work of E911 service responders by providing to Public 
Safety Answering Points (``PSAPs'') both the automatic name information 
(ANI) and automatic location information (ALI) associated with the 
handset. The reliability of E911 service continues to be of vital 
concern to this Commission and is an essential part of our 
responsibilities. The Commission therefore proposes to require wireless 
service providers to report any failure of a wireless network element 
that prevents a MSC from receiving, or responding to, 911 calls 
(including the delivery of all associated data) for at least 30 
minutes. The Commission seeks comment on this proposed rule and whether 
local network element failures or degradations should also be reported 
to the affected PSAPs in real time. In addition, the Commission seeks 
comments as to whether the time metric that is most appropriate for 
determining that a failure of call completion to a PSAP is significant 
and should be reported in 30 minutes. Finally, if a commenting party 
were to conclude that metric of 30 minutes is not the most appropriate 
one, the Commission then requests such party include in its comments 
its reasoning for that conclusion and a recommendation for a more 
appropriate time interval for E911 emergency calls.

[[Page 15765]]

    16. E911 and the MSS. In the ``E911 Scope'' proceeding the 
Commission decided to require Mobile-Satellite Service (``MSS'') 
providers of voice service that is interconnected with the Public 
Switched Telephone Network (``PSTN'') to establish E911 call centers. 
In the Matter of Revision of the Commission's Rules to Ensure 
Compatibility with Enhanced 911 Emergency Calling Systems and Amendment 
of parts 2 and 25 to Implement the Global Mobile Personal 
Communications by Satellite (GMPCS) Memorandum of Understanding and 
Arrangements et al., CC Docket No. 94-102 and IB Docket No. 99-67, 
Report and Order and Second Further Notice of Proposed Rulemaking, FCC 
03-290, released December 1, 2003, at ]] 20-48 and 111-112 (adopting 
911 service call center requirements and seeking further comment on how 
to implement E911 requirements for the MSS), 69 FR 6578 (February 11, 
2004; final rule) and 69 FR 6595 (February 11, 2004; proposed rules). 
In that proceeding, the Commission also directed the Network 
Reliability and Interoperability Council (``NRIC'') to study several 
E911 implementation technical issues for satellite systems. Finally, 
the Commission sought comment on whether transition periods are 
necessary for MSS providers with an ancillary terrestrial component 
(ATC) to comply with the terrestrial wireless E911 requirements and on 
proposed reporting and record-keeping requirements in connection with 
implementation of the emergency call center rule. In the instant 
proceeding, the Commission now proposes to subject MSS providers of 
interconnected voice service to E911 outage-reporting requirements but 
to delay implementation of the proposed requirements for MSS providers 
until the MSS-implementation issues raised in the Second Further Notice 
in the E911 Scope proceeding are resolved. The Commission seeks comment 
on the instant proposal.
    17. Elimination of Separate Requirement to Report Outages Caused by 
Fires. A separate reporting requirement, set forth in Sec.  63.100(d), 
pertains to the reporting of outages caused by fires. Carriers are 
required to report fire-related incidents that affect 1,000 or more 
service lines for a period of 30 minutes or more. Only a few outages 
have been reported pursuant to this subsection and these have tended to 
be very minor outages. In general, major fire outages have met the more 
general reporting criteria because they exceed the current 30-minute, 
30,000-customer threshold criteria. Such outages would also exceed the 
proposed 900,000 user-minute threshold criterion. Thus, retention of 
separate outage reporting criteria for fire-related incidents appears 
to be an unnecessary complication for reporting carriers that does not 
appear to provide any significant benefit to the Commission or to the 
public. The Commission therefore proposes to eliminate this requirement 
and seeks comment on its conclusion and its proposed elimination of 
this rule.
    18. Other Simplifications to the Existing Rule. The rule requires 
the filing of an initial outage report that contains contact 
information so that additional information can be obtained if 
necessary. Initial reports are helpful in determining whether an 
immediate response is required (e.g., terrorist attacks or systemic 
failures) and whether patterns of outages are emerging (e.g., phased 
terrorist attacks) that warrant further coordination or other action. 
Section 63.100 of the Commission's rules currently distinguishes 
between how quickly outages, of at least 30 minutes duration, are 
required to be reported, based on whether the number of customers 
potentially affected meets or exceeds a threshold criterion of 50,000. 
If this secondary threshold is exceeded, the carrier's initial report 
must be made ``by facsimile or other record means delivered within 120 
minutes of the carrier's first knowledge. * * * '' Otherwise, when such 
outages potentially affect less than 50,000 customers (but satisfy the 
primary threshold criterion of 30,000 customers), the initial 
notification must be delivered within ``3 days of the carrier's first 
knowledge.'' The Commission believes that this distinction complicates 
the outage-reporting requirements without any offsetting benefit and 
should, therefore, be eliminated. The current rule also requires that 
the filing be made ``by facsimile or other record means.'' In the 
future, the ability to file initial reports electronically (e.g., over 
the Internet), coupled with the ``fill in the blank'' template that is 
proposed in this NPRM, should make it possible for communications 
providers to notify us more promptly, and more easily, when 
communications disruptions arise. The improvements in filing 
requirements, as well as the electronic filing process that we are 
proposing, should make it easy for communications providers to file all 
initial disruption reports within 120 minutes of discovering a 
reportable outage. This, in turn, will facilitate more rapid action in 
the event of a serious crisis, and will also facilitate more rapid, 
more coherent, and more accurate responses when multiple outages are 
occurring during simultaneous (or virtually coincident) crises. The 
Commission therefore proposes to require all initial outage reports to 
be filed electronically within 120 minutes of becoming reportable. All 
final outage reports would continue to be required to be filed within 
30 days of the filing of the initial report. The Commission seeks 
comment on these conclusions and proposed requirements. It also seeks 
comment as to whether, given the rapid response time that the Internet 
and circuit-switched telephony (e.g., dial-up modems) enable, the 
Commission should require the filing of initial outage reports over the 
Internet within a shorter period of time than the 120-minute period 
discussed.
    19. The Commission's experience in administering Sec.  63.100 has 
enabled it to understand more completely other aspects of its reporting 
requirements that should be revised. As a consequence, the Commission 
finds that existing requirements for final disruption reports should be 
modified to require inclusion of the following information:
     A statement as to whether the reported outage 
was at least partially caused because the network did not follow 
engineering standards for full diversity (redundancy); and
     A statement of all of the causes of the outage. 
Outages may result from the occurrence of several events. The current 
rule requires that the final report identify the root cause. Experience 
in administering this part of its rules has convinced the Commission 
that there may be more than one root cause and that, to facilitate 
analysis, all causes of each outage should be reported.

    In addition, as the communications market evolves, the Commission 
anticipates that communications may increasingly be offered through 
complex arrangements among communications providers and other entities 
(which may or may not be affiliated with the provider) that maintain or 
provide communications systems or services for them. For example, local 
exchange carriers have long provided Signaling System 7 (``SS7'') 
communications for their own use as well as for their customers, but 
some entities have more recently emerged to provide SS7 for such 
carriers. The Commission proposes to require these entities to comply 
with any disruption reporting requirements that it may adopt to the 
same extent as would be required of them if they were communications 
providers directly providing voice or data communications or 
maintaining the system. The

[[Page 15766]]

Commission seeks comment on these proposals.
    20. Major Infrastructure Failures. The communications outage 
reports that the Commission has received over the past ten years have 
provided significant insight into some of the major problems affecting 
circuit-switched voice communications. The infrastructure used to 
provide these services, however, is also used to provide many other 
services that are essential to Homeland Security and our Nation's 
economy. A tiny glimpse into the other uses of our Nation's 
communications infrastructure was provided in Verizon's network outage 
report covering the World Trade Center disaster on September 11, 2001. 
That report states that ``some 300,000 dial tone lines and some 3.6 
million DS0 equivalent data circuits were out of service'' as a result 
of the damage. The ratio of more than ten times as many DS0 equivalent 
services using the infrastructure as dial tone lines is not unusual in 
a major metropolitan area. Most of the DS0 equivalent circuits are used 
to carry what are frequently called ``special services.'' While the 
Commission has not previously required the reporting of communications 
outages that affected large numbers of special services, it needs to 
recognize in its communications disruption reporting rules the 
continuously increasing importance of data communications throughout 
the United States. The Commission believes that its rules should be 
revised to account for important attributes of special services that 
have not been fully addressed in the earlier sections of this NPRM that 
focused on different communications platforms. Rather than collect 
information that is limited specifically to ``special services,'' 
however, the Commission proposes to directly address the underlying 
issue and collect information on the potential impact on all 
communications services of major infrastructure failures.
    21. DS3 Minutes. As a consequence, the Commission proposes to 
establish additional outage-reporting criteria that would apply to 
failures of communications infrastructure components having significant 
traffic-carrying capacity. This requirement would apply to those 
communications providers for which the Commission has already proposed 
outage-reporting requirements and would also apply to those affiliated 
and non-affiliated entities that maintain or provide communications 
systems on their behalf. The Commission believes that the threshold 
reporting criterion for such infrastructure outages should be based on 
the number of DS3 minutes affected by the outage because DS3s are the 
common denominator used throughout the communications industry as a 
measure of capacity. A DS3 can handle 28 DS1s (T1s) or 672 DS0 (64 kbps 
voice or data circuits). On the higher end of the multiplexing 
hierarchy, an OC3 includes 3 DS3s, an OC48 includes 48 DS3s, and an 
OC192 includes 192 DS3s. Specifically, the Commission proposes to 
require the reporting of all outages of at least 30 minutes duration 
that potentially affect at least 1,350 DS3 minutes. The Commission 
proposes to count only working DS3s in this measure, by which it means 
those actually carrying some traffic of any type at the time of a 
failure. The Commission requests comment on these conclusions and 
proposed rules.
    22. Signaling System 7 (``SS7''). SS7 systems provide information 
to process, and terminate, virtually all domestic and international 
telephone calls irrespective of whether the call is wireless, wireline, 
local, long distance, or dial-up telephone modem access to ISPs. SS7 is 
also used in providing SMS text messaging services, 8XX number (i.e., 
toll free) services, local number portability, VoIP Signaling Gateway 
services, 555 type number services, and most paging services. Currently 
the Commission's rules do not require outage reporting by those 
companies that do not provide service directly to end users. In 
addition, even for companies currently subject to outage reporting 
requirements, no threshold reporting criteria are currently based on 
blocked or lost SS7 messages.
    23. As a consequence of the Commission's recognition of the 
critical role that SS7 plays in the national communications 
infrastructure, it proposes the addition of SS7 communications 
disruption reporting requirements. To be more specific, all providers 
of Signaling System 7 service (or its equivalent) would be required to 
report those communications disruptions of at least 30 minutes duration 
for which the number of blocked or lost ISDN User Part (ISUP) messages 
(or its equivalent) was at least 90,000. This reporting threshold is 
similar to the blocked-call criterion that was previously addressed in 
connection with LEC and IXC Tandem outages. The Commission requests 
comment on these conclusions and proposed addition to its rules.
    24. Electronic Filing and New Reporting Process. Consistent with 
authority granted by the Communications Act of 1934, as amended, and in 
furtherance of the objectives of the Government Paperwork Elimination 
Act, the Commission proposes to require that communications outage 
reports be filed electronically. Electronic filing would have several 
major advantages for the Commission, reporting communications 
providers, and the public. For example:
     Providers would be able to file reports more 
rapidly and more efficiently.
     Information would be updated immediately. The 
expenses and efforts that are associated with the outage reporting 
process should be reduced substantially which, in turn, should result 
in continuing productivity gains.
     Changes to outage report data should be more 
easily accessible by communications providers, the public, and the 
Commission. Thus, reporting entities should be able to file initial and 
final report information more easily, and interested parties should 
also be able to access this information more quickly.
     Changes to electronic input form(s) can be 
implemented more quickly. Two of the purposes of the reliability 
database are to help identify causes of outages and to refine best 
practices for averting failures in communications networks. As networks 
evolve and experience is gained, the data fields can be more easily 
revised to improve the quality of the information received to reflect 
changes in communications infrastructures and management procedures.
     In addition, security precautions can be 
implemented to authenticate access by authorized users.
    25. The Commission's current outage reporting rules do not require, 
or even refer to, electronic filing (other than by facsimile). Although 
it is understandable, in retrospect, that those rules did not 
incorporate electronic filing because the Internet was just beginning 
to expand in 1992, the time has now arrived to implement electronic 
filing procedures. These procedures should not only facilitate 
compliance with the objectives that are expressed in the Government 
Paperwork Elimination Act but also should improve service to the 
public, enhance the efficiency of our internal operations, and 
virtually eliminate any burden that would be associated with complying 
with the proposed reporting requirements. It may, however, be desirable 
for other reasons to have alternative ways by which outage reports can 
be filed with this Commission. The Commission requests comment on 
whether there are any circumstances under which electronic filing would 
not be appropriate and, if so, on what alternative filing procedures 
should be

[[Page 15767]]

used in such circumstances. The Commission recognizes that as 
experience is gained with the electronic filing of outage reports, 
modifications to the filing template may be necessary to fully 
implement an automated outage reporting system that will maximize 
reporting efficiency and minimize the time for providers to prepare, 
and for the Commission staff to review, outage reports. The Commission 
also proposes to delegate authority to the Chief, Office of Engineering 
and Technology to make the revisions to the filing system and template 
that may become necessary to achieve these goals. The Commission seeks 
comment on these proposals.
    26. Historically, outage reports from wireline carriers have been 
available to the public. The Commission seeks comment as to whether 
this policy should not be applied, in whole or in part, to outage 
reports that will be filed by wireless, wireline, satellite, or cable 
providers and, if so, why.

Initial Regulatory Flexibility Act Analysis

    27. As required by the Regulatory Flexibility Act (``RFA''),\1\ the 
Commission has prepared this Initial Regulatory Flexibility Act 
Analysis (``IRFA'') of the possible significant economic impact on 
small entities by the policies and rules proposed in this Notice of 
Proposed Rule Making (``NPRM''). Written public comments are requested 
on this IRFA and must be filed by May 25, 2004. The Commission will 
send a copy of the NPRM, including this IRFA, to the Chief Counsel for 
Advocacy of the Small Business Administration.\2\ In addition, the NPRM 
(or summaries thereof), including the IRFA, will be published in the 
Federal Register.\3\
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    \1\ See 5 U.S.C. 603. The RFA, see 5 U.S.C. 601-612, has been 
amended by the Small Business Regulatory Enforcement Fairness Act of 
1966 (SBREFA), Public Law 104-121, 110 Stat. 847 (1996).
    \2\ 5 U.S.C. 603(a).
    \3\ Id.
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    A. Need for and Objectives of the Proposed Rules. We seek comment 
on whether communications providers, whose customers experience outages 
on any facilities that the providers own, operate, lease, or otherwise 
utilize, should be required to report those outages that meet the 
revised reporting criteria set forth in our proposed amendments to 
Sec.  63.100 of the Commission's Rules, 47 CFR 63.100. The current rule 
applies outage-reporting requirements only to wireline common carriers 
and to circuit-switched telephony service, if any, that is offered by 
cable television service providers. Our proposal, however, would extend 
such requirements to those commercial mobile radio service (CMRS) 
providers that employ cellular architecture (``wireless service 
providers''), terrestrial or satellite paging providers, satellite 
communications providers, affiliated or non-affiliated entities that 
maintain or provide communications systems or services used by the 
provider in offering such communications, and Signaling System 7 (SS7) 
providers. We believe that this proposed extension of the outage 
reporting requirements will provide needed information for fulfilling 
our statutory responsibilities with respect to the reliability of 
communications and their underlying infrastructures, given the 
increasing substitutability of communications through different media 
and our Nation's increasing reliance on these substitutes for Homeland 
Defense and National Security. Similarly, the changes that we propose 
in the threshold reporting criteria are well tailored, we believe, to 
accomplish this objective. Our proposal to move the outage-reporting 
requirements out of part 63 and into part 4 of the Commission's rules 
reflects that the proposed rules would be adapted to and applied 
broadly across all communications platforms to the extent discussed in 
the Notice of Proposed Rule Making. Finally, the proposed rules would 
require electronic filing of outage reports, pursuant to the 
requirements of the Omnibus Consolidated and Emergency Supplemental 
Appropriations Act of 1998, 44 U.S.C. 1704.
    B. Legal Basis. The legal basis for the rule changes proposed in 
this NPRM are contained in sections 1, 4(i), 4(k), 4(o), 218, 219, 230, 
256, 301, 302(a), 303(f), 303(g), 303(j), 303(r), 303(v), 403, 
621(b)(3), and 621(d) of the Communications Act of 1934, as amended, 47 
U.S.C. 151, 154(i), 154(k), 154(o), 218, 219, 230, 256, 301, 302(a), 
303(f), 303(g), 303(j), 303(r), 303(v), 403, 621(b)(3), and 621(d), and 
in section 1704 of the Omnibus Consolidated and Emergency Supplemental 
Appropriations Act of 1998, 44 U.S.C. 1704.
    C. Description and Estimates of the Number of Small Entities to 
Which the Rules Adopted in This Notice May Apply. 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 the proposed 
rules.\4\ The RFA generally defines the term ``small entity'' as having 
the same meaning as the terms ``small business,'' ``small 
organization,'' and ``small governmental jurisdiction.''\5\ In 
addition, the term ``small business'' has the same meaning as the term 
``small business concern'' under the Small Business Act.\6\ 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).\7\
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    \4\ 5 U.S.C. 603(b)(3), 604(a)(3).
    \5\ Id. 601(6).
    \6\ 5 U.S.C. 601(3) (incorporating by reference the definition 
of ``small business concern'' in the Small Business Act, 15 U.S.C. 
632). Pursuant to 5 U.S.C. 601(3), the statutory definition of a 
small business applies ``unless an agency, after consultation with 
the Office of Advocacy of the Small Business Administration and 
after opportunity for public comment, establishes one or more 
definitions of such terms which are appropriate to the activities of 
the agency and publishes such definitions(s) in the Federal 
Register.''
    \7\ 15 U.S.C. 632.
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    We further describe and estimate the number of small entity 
licensees and regulates that may be affected by rules adopted pursuant 
to this NPRM. The most reliable source of information regarding the 
total numbers of certain common carrier and related providers 
nationwide, as well as the number of commercial wireless entities, 
appears to be the data that the Commission publishes in its Trends in 
Telephone Service report.\8\ The SBA has developed small business size 
standards for wireline and wireless small businesses within the three 
commercial census categories of Wired Telecommunications Carriers,\9\ 
Paging,\10\ and Cellular and Other Wireless Telecommunications.\11\ 
Under these categories, a business is small if it has 1,500 or fewer 
employees. Below, using the above size standards and others, we discuss 
the total estimated numbers of small businesses that might be affected 
by our actions.
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    \8\ FCC, Wire line Competition Bureau, Industry Analysis and 
Technology Division, Trends in Telephone Service, Table 5.3 (May 
2002) (Trends in Telephone Service).
    \9\ 13 CFR 121.201, North American Industry Classification 
System (NAICS) code 517110.
    \10\ 13 CFR 121.201, NAICS code 517211.
    \11\ 13 CFR 121.201, NAICS code 517212.
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    We have included small incumbent LECs in this present RFA analysis. 
As noted above, a ``small business'' under the RFA is one that, inter 
alia, meets the pertinent small business size standard (e.g., a wired 
telecommunications carrier having 1,500 or fewer employees), and ``is 
not dominant in its field of operation.'' \12\ The SBA's Office of 
Advocacy contends that, for RFA purposes, small incumbent LECs are not 
dominant in their field of operation

[[Page 15768]]

because any such dominance is not ``national'' in scope.\13\ We have 
therefore included small incumbent LECs in this RFA analysis, although 
we emphasize that this RFA action has no effect on Commission analyses 
and determinations in other, non-RFA contexts.
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    \12\ 5 U.S.C. 601(3).
    \13\ Letter from Jere W. Glover, Chief Counsel for Advocacy, 
SBA, to William E. Kennard, Chairman, FCC (May 27, 1999). The Small 
Business Act contains a definition of ``small business concern,'' 
which the RFA incorporates into its own definition of ``small 
business.'' See 15 U.S.C. 632(a); 5 U.S.C. 601(3). SBAS regulations 
interpret ``small business concern'' to include the concept of 
dominance on a national basis, 13 CFR 121.102(b).
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    Wired Telecommunications Carriers. The SBA has developed a small 
business size standard for Wired Telecommunications Carriers, which 
consists of all such companies having 1,500 or fewer employees.\14\ 
According to Census Bureau data for 1997, there were 2,225 firms in 
this category, total, that operated for the entire year.\15\ Of this 
total, 2,201 firms had employment of 999 or fewer employees, and an 
additional 24 firms had employment of 1,000 employees or more.\16\ 
Thus, under this size standard, the great majority of firms can be 
considered small.
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    \14\ 13 CFR 121.201 (1997), NAICS code 513310 (changed to 517110 
in October 2002).
    \15\ U.S. Census Bureau, 1997 Economic Census, Subject Series: 
Information, ``Establishment and Firm Size (Including Legal Form of 
Organization),'' Table 5, NAICS code 513310 (issued October 2000).
    \16\ Id. The census data do not provide a more precise estimate 
of the number of firms that have employment of 1,500 or fewer 
employees; the largest category provided is ``Firms with 1,000 
employees or more.''
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    Incumbent Local Exchange Carriers (LECs). Neither the Commission 
nor the SBA has developed a small business size standard specifically 
for incumbent local exchange services. The appropriate size standard 
under SBA rules is for the category Wired Telecommunications Carriers. 
Under that size standard, such a business is small if it has 1,500 or 
fewer employees.\17\ According to Commission data,\18\ 1,337 carriers 
have reported that they are engaged in the provision of incumbent local 
exchange services. Of these 1,337 carriers, an estimated 1,032 have 
1,500 or fewer employees and 305 have more than 1,500 employees. 
Consequently, the Commission estimates that most providers of incumbent 
local exchange service are small businesses that may be affected by our 
action.
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    \17\ 13 CFR 121.201, NAICS code 517110 (changed from 513310 in 
Oct. 2002).
    \18\ FCC, Wireline Competition Bureau, Industry Analysis and 
Technology Division, ``Trends in Telephone Service'' at Table 5.3, 
Page 5-5 (Aug. 2003) (hereinafter ``Trends in Telephone Service''). 
This source uses data that are current as of December 31, 2001.
---------------------------------------------------------------------------

    Competitive Local Exchange Carriers (CLECs), Competitive Access 
Providers (CAPs), ``Shared-Tenant Service Providers,'' and ``Other 
Local Service Providers.'' Neither the Commission nor the SBA has 
developed a small business size standard specifically for these service 
providers. The appropriate size standard under SBA rules is for the 
category Wired Telecommunications Carriers. Under that size standard, 
such a business is small if it has 1,500 or fewer employees.\19\ 
According to Commission data,\20\ 609 carriers have reported that they 
are engaged in the provision of either competitive access provider 
services or competitive local exchange carrier services. Of these 609 
carriers, an estimated 458 have 1,500 or fewer employees and 151 have 
more than 1,500 employees. In addition, 16 carriers have reported that 
they are ``Shared-Tenant Service Providers,'' and all 16 are estimated 
to have 1,500 or fewer employees. In addition, 35 carriers have 
reported that they are ``Other Local Service Providers.'' Of the 35, an 
estimated 34 have 1,500 or fewer employees and one has more than 1,500 
employees. Consequently, the Commission estimates that most providers 
of competitive local exchange service, competitive access providers, 
``Shared-Tenant Service Providers,'' and ``Other Local Service 
Providers'' are small entities that may be affected by our action.
---------------------------------------------------------------------------

    \19\ 13 CFR 121.201, NAICS code 517110 (changed from 513310 in 
Oct. 2002).
    \20\ ``Trends in Telephone Service'' at Table 5.3.
---------------------------------------------------------------------------

    Interexchange Carriers (IXCs). Neither the Commission nor the SBA 
has developed a small business size standard specifically for providers 
of interexchange services. The appropriate size standard under SBA 
rules is for the category Wired Telecommunications Carriers. Under that 
size standard, such a business is small if it has 1,500 or fewer 
employees.\21\ According to Commission data,\22\ 261 carriers have 
reported that they are engaged in the provision of interexchange 
service. Of these, an estimated 223 have 1,500 or fewer employees and 
38 have more than 1,500 employees. Consequently, the Commission 
estimates that the majority of IXCs are small entities that may be 
affected by our action.
---------------------------------------------------------------------------

    \21\ 13 CFR 121.201, NAICS code 51710 (chaged from 513310 in 
Oct. 2002).
    \22\ Trends in Telephone Service at Table 5.3.
---------------------------------------------------------------------------

    Wireless Service Providers. The SBA has developed a small business 
size standard for wireless small businesses within the two separate 
categories of Paging \23\ and Cellular and Other Wireless 
Telecommunications.\24\ Under both SBA categories, a wireless business 
is small if it has 1,500 or fewer employees. According to the 
Commission's most recent data,\25\ 1,387 companies reported that they 
were engaged in the provision of wireless service. Of these 1,387 
companies, an estimated 945 have 1,500 or fewer employees and 442 have 
more than 1,500 employees.\26\ Consequently, the Commission estimates 
that most wireless service providers are small entities that may be 
affected by the rules and policies adopted.
---------------------------------------------------------------------------

    \23\ 13 CFR 121.201, North American Industry Classification 
System (NAICS) code 517211.
    \24\ 13 CFR 121.201, North American Industry Classification 
System (NAICS) code 517212.
    \25\ FCC, Wireline Competition Bureau, Industry Analysis and 
Technology Division, Trends in Telephone Service, Table 5.3, (August 
2002).
    \26\ Id.
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    Broadband Personal Communications Service. The broadband Personal 
Communications Service (PCS) spectrum is divided into six frequency 
blocks designated A through F, and the Commission has held auctions for 
each block. The Commission defined ``small entity'' for Blocks C and F 
as an entity that has average gross revenues of $40 million or less in 
the three previous calendar years.\27\ For Block F, an additional 
classification for ``very small business'' was added and is defined as 
an entity that, together with its affiliates, has average gross 
revenues of not more than $15 million for the preceding three calendar 
years.''\28\ These standards defining ``small entity'' in the context 
of broadband PCS auctions have been approved by the SBA.\29\ No small 
businesses, within the SBA-approved small business size standards bid 
successfully for licenses in Blocks A and B. There were 90 winning 
bidders that qualified as small entities in the Block C auctions. A 
total of 93 small and very small business bidders won approximately 40 
percent of the 1,479 licenses for Blocks D, E, and F.\30\ On March 23, 
1999, the Commission re-

[[Page 15769]]

auctioned 347 C, D, E, and F Block licenses. There were 48 small 
business winning bidders. On January 26, 2001, the Commission completed 
the auction of 422 C and F Broadband PCS licenses in Auction No. 35. Of 
the 35 winning bidders in this auction, 29 qualified as ``small'' or 
``very small'' businesses. Based on this information, the Commission 
concludes that the number of small broadband PCS licenses would have 
included the 90 winning C Block bidders, the 93 qualifying bidders in 
the D, E, and F Block auctions, the 48 winning bidders in the 1999 re-
auction, and the 29 winning bidders in the 2001 re-auction, for a total 
of 260 small entity broadband PCS providers, as defined by the SBA 
small business size standards and the Commission's auction rules. 
Consequently, the Commission estimates that 260 broadband PCS providers 
would have been small entities that could be affected by the rules and 
policies adopted herein. The results of Auction No. 35, however, were 
set aside and the licenses previously awarded to NextWave, which had 
qualified as a small entity, were reinstated. Therefore, the Commission 
estimates that less than 260 broadband PCS providers will be small 
entities that may be affected by the rules and policies adopted herein.
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    \27\ See Amendment of Parts 20 and 24 of the Committee's Rules--
Broadband PCS Competitive Bidding and the Commercial Mobile Radio 
Service Spectrum Cap, WT Docket No. 96-59, Report and Order, 61 FR 
33859 (July 1, 1996); see also 47 CFR 24.720(b).
    \28\ See Amendment of Parts 20 and 24 of the Committee's Rules--
Broadband PCS Competitive Bidding and the Commercial Mobile Radio 
Service Spectrum Cap, WT Docket No. 96-59, Report and Order, 61 FR 
33859 (July 1, 1996).
    \29\ See. e.g., Implementation of Section 309(j) of the 
Communications Act--Competitive Bidding PP Docket No. 93-256, Fifth 
Report and Order, 59 FR 37566 (July 22, 1994).
    \30\ FCC News, Broadband PCS, D, E and F Block Auction Closes, 
No. 71744 (released January 14, 1997). See also Amendment of the 
Commission's Rules Regarding Installment Payment Financing for 
Personal Communications Services (PCS) Licenses, WT Docket No. 97-
82, Second Report and Order, 62 FR 55348 (Oct. 24, 1997).
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    Narrowband Personal Communications Services. To date, two auctions 
of narrowband personal communications services (PCS) licenses have been 
conducted. For purposes of the two auctions that have already been 
held, ``small businesses'' were entities with average gross revenues 
for the prior three calendar years of $40 million or less. Through 
these auctions, the Commission has awarded a total of 41 licenses, out 
of which 11 were obtained by small businesses. To ensure meaningful 
participation of small business entities in future auctions, the 
Commission has adopted a two-tiered small business size standard in the 
Narrowband PCS Second Report and Order.\31\ A ``small business'' is an 
entity that, together with affiliates and controlling interests, has 
average gross revenues for the three preceding years of not more than 
$40 million. A ``very small business'' is an entity that, together with 
affiliates and controlling interests, has average gross revenues for 
the three preceding years of not more than $15 million. The SBA has 
approved these small business size standards.\32\ In the future, the 
Commission will auction 459 licenses to serve Metropolitan Trading 
Areas (MTAs) and 408 response channel licenses. There is also one 
megahertz of narrowband PCS spectrum that has been held in reserve and 
that the Commission has not yet decided to release for licensing. The 
Commission cannot predict accurately the number of licenses that will 
be awarded to small entities in future actions. However, four of the 16 
winning bidders in the two previous narrowband PCS auctions were small 
businesses, as that term was defined under the Commission's Rules. The 
Commission assumes, for purposes of this analysis that a large portion 
of the remaining narrowband PCS licenses will be awarded to small 
entities. The Commission also assumes that at least some small 
businesses will acquire narrowband PCS licenses by means of the 
Commission's partitioning and disaggregation rules.
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    \31\ In the Matter of Amendment of the Commission's Rules to 
Estalish New Personal Communications Services, Narrowband PCS, 
Docket No. ET 92-100, Docket No. PP 93-253, Second Report and Order 
and Second Further Notice of Proposed Rulemaking, 65 FR 35875 (June 
6, 2000).
    \32\ See Letter to Amy Zoslov, Chief, Auctions and Industry 
Analysis Division, Wireless Telecommunications Bureau, FCC, from 
Aida Alvarez, Administrator, SBA (Dec. 2, 1998).
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    800 MHz and 900 MHz Specialized Mobile Radio Licenses. The 
Commission awards ``small entity'' and ``very small entity'' bidding 
credits in auctions for Specialized Mobile Radio (SMR) geographic area 
licenses in the 800 MHz and 900 MHz bands to firms that had revenues of 
no more than $15 million in each of the three previous calendar years, 
or that had revenues of no more than $3 million in each of the previous 
calendar years, respectively.\33\ These bidding credits apply to SMR 
providers in the 800 MHz and 900 MHz bands that either hold geographic 
area licenses or have obtained extended implementation authorizations. 
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 here, 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 800 MHz and 900 MHz SMR 
bands. There were 60 winning bidders that qualified as small or very 
small entities in the 900 MHz SMR auctions. Of the 1,020 licenses won 
in the 900 MHz auction, bidders qualifying as small or very small 
entities won 263 licenses. In the 800 MHz auction, 38 of the 524 
licenses won were won by small and very small entities. Consequently, 
the Commission estimates that there are 301 or fewer small entity SMR 
licensees in the 800 MHz and 900 MHz bands that may be affected by the 
rules and policies adopted herein.
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    \33\ 47 CFR 90.814(b)(1).
---------------------------------------------------------------------------

    Paging. The SBA has developed a small business size standard for 
Paging, which consists of all such firms having 1,500 or fewer 
employees.\34\ According to Census Bureau data for 1997, in this 
category there was a total of 1,320 firms that operated for the entire 
year.\35\ Of this total, 1,303 firms had employment of 999 or fewer 
employees, and an additional seventeen firms had employment of 1,000 
employees or more.\36\ Thus, under this size standard, the majority of 
firms can be considered small.
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    \34\ 13 CFR 121.201, NAICS code 517211 (changed from 513321 in 
October 2002).
    \35\ U.S. Census Bureau, 1997 Economic Census, Subject Series: 
Information, ``Establishment and Firm Size (Including Legal Form of 
Organization),'' Table 5, NAICS code 513321 (issued October 2000).
    \36\ Id. The census data do not provide a more precise estimate 
of the number of firms that have employment of 1,500 or fewer 
employees; the largest category provided is ``Firms with 1,000 
employees or more.''
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    Rural Radiotelephone Service. The Commission has not adopted a size 
standard for small businesses specific to the Rural Radiotelephone 
Service.\37\ A significant subset of the Rural Radiotelephone Service 
is the Basic Exchange Telephone Radio System (BETRS).\38\ The 
Commission uses the SBA's small business size standard applicable to 
``Cellular and Other Wireless Telecommunications,'' i.e., an entity 
employing no more than 1,500 persons.\39\ There are approximately 1,000 
licensees in the Rural Radiotelephone Service, and the Commission 
estimates that there are 1,000 or fewer small entity licensees in the 
Rural Radiotelephone Service that may be affected by the rules and 
policies adopted.
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    \37\ The service is defined in 22.99 of the Commission's Rules, 
47 CFR 22.99.
    \38\ BETRS is defined in 22.757 and 22.759 of the Commission's 
Rules, 47 CFR 22.757 and 22.759.
    \39\ 13 CFR 121.201, NAICS code 517212.
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    Cable and Other Program Distribution.\40\ This category includes 
cable systems operators, closed circuit television services, direct 
broadcast satellite services, multipoint distribution systems, 
satellite master antenna systems, and subscription television services. 
According to Census Bureau data for 1997, there were a total

[[Page 15770]]

of 1,311 firms in this category, total, that had operated for the 
entire year.\41\ Of this total, 1,180 firms had annual receipts of 
under $10 million and an additional 52 firms had receipts of $10 
million or more but less than $25 million. Consequently, the Commission 
estimates that the majority of providers in this service category are 
small businesses that may be affected by the rules and policies adopted 
herein.
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    \40\ 13 CFR 121.201, North American Industry Classification 
System (NAICS) code 513220 (changed to 517510 in October 2002).
    \41\ U.S. Census Bureau, 1997 Economic Census, Subject Series: 
Information, ``Establishment and Firm Size (Including Legal Form of 
Organization)'', Table 4, NAICS code 513220 (issued October 2000).
---------------------------------------------------------------------------

    Satellite Telecommunications Providers. The appropriate size 
standards under SBA rules are for the two broad categories of Satellite 
Telecommunications and Other Telecommunications. Under both categories, 
such a business is small if it has $12.5 or less in average annual 
receipts.\42\ For the first category of Satellite Telecommunications, 
Census Bureau data for 1997 show that there were a total of 324 firms 
that operated for the entire year.\43\ Of this total, 273 firms had 
annual receipts of under $10 million, and an additional twenty-four 
firms had receipts of $10 million to $24,999,999. Thus, the majority of 
Satellite Telecommunications firms can be considered small.
---------------------------------------------------------------------------

    \42\ 13 CFR 121.201, NAICS codes 517410 and 517910 (changed from 
513340 and 513390 in Oct. 2002).
    \43\ U.S. Census Bureau, 1997 Economic Census, Subject Service: 
Information, ``Establishment and Firm Size (Including Legal Form of 
Organization),'' Table 4, NAICS code 513340 (issued Oct. 2000).
---------------------------------------------------------------------------

    Signaling System 7 (SS7) Providers. The Commission has not 
developed a definition of small entities applicable to Signaling System 
7 providers. We shall apply the SBA's small business size standard for 
Other Telecommunications, which identifies as small all such companies 
having $12.5 million or less in annual receipts.\44\ We believe that 
there are no more than half-a-dozen SS7 providers and doubt that any of 
them have annual receipts less then $12.5 million. Nonetheless, we 
shall assume that there may be several SS7 providers that are small 
businesses which could be affected by the proposed rules. We request 
comment on how many SS7 providers exist and on how many of these are 
small businesses that may be affected by our proposed rules.
---------------------------------------------------------------------------

    \44\ 13 CFR 121.201, NAICS code 517910.
---------------------------------------------------------------------------

    D. Description of Projected Reporting, Recordkeeping and Other 
Compliance Requirements. The rules proposed in this NPRM would require 
telecommunications providers to report those outages that meet 
specified threshold criteria. These criteria are largely determined by 
the number of end users potentially affected by the outage and the 
duration of the outage, which generally must be at least 30 minutes. 
Under the current rules, which apply only to wireline carriers and 
cable television service providers that also provide telecommunications 
service, only about 200 outage reports per year from all reporting 
sources combined are filed with the Commission. The proposed revisions 
to the threshold criteria are not expected to alter the number of 
outage reports filed annually to a significant degree. Nevertheless, 
the proposed rules would extend the outage reporting requirements to 
telecommunications providers that are not currently subject to these 
rules. Therefore, we anticipate that more than 200 outage reports will 
be filed annually, but estimate that the total number of reports from 
all reporting sources combined will be substantially less than 1,000 
annually. We note that, occasionally, the proposed outage reporting 
requirements could require the use of professional skills, including 
legal and engineering expertise. Without more data, we cannot 
accurately estimate the cost of compliance by small telecommunications 
providers. But irrespective of any of the reporting requirements that 
we are proposing here, we expect that telecommunications providers will 
track, investigate, and correct all of their service disruptions as an 
ordinary part of conducting their business operations--and will do so 
for service disruptions that are considerably smaller than for 
disruptions that would trigger the reporting criteria that we propose 
here. As a consequence, we believe that in the usual case, the only 
burden associated with the reporting requirements contained in this 
Notice will be the time required to complete the initial and final 
reports. We anticipate that electronic filing, through the type of 
template that we have identified in Appendix B of the NPRM, should 
minimize the amount of time and effort that will be required to comply 
with the rules that we propose in this proceeding. In this IFRA, we 
therefore seek comment on the types of burdens telecommunications 
providers will face in complying with the proposed requirements. 
Entities, especially small businesses and small entities, more 
generally, are encouraged to quantify the costs and benefits of the 
proposed reporting requirements.
    E. Steps Taken To Minimize Significant Economic Impact on Small 
Entities, and Significant Alternatives Considered. Since the inception 
of the outage-reporting requirements in 1992, the number of outages 
reported each year has remained relatively steady at about 200. Since 
1992, the substitutability of telecommunications through different 
media has increased substantially, and our Nation increasingly relies 
on these substitutes for Homeland Defense and National Security. We 
believe that the proposed telecommunications outage reporting 
requirements are minimally necessary to assure that we receive adequate 
information to perform our statutory responsibilities with respect to 
the reliability of telecommunications and their infrastructures. Also, 
we believe that the magnitude of the outages needed to trigger the 
reporting requirements (e.g., outages of at least 30 minutes duration 
that potentially affect at least 900,000 user minutes) are sufficiently 
high as to make it unlikely that small businesses would be impacted 
significantly by the proposed rules. Finally, we believe that the 
proposed requirement that outage reports be filed electronically would 
significantly reduce the burdens and costs currently associated with 
manual filing processes.
    F. Federal Rules That Might Duplicate, Overlap, or Conflict With 
the Proposed Rules. None.

Ordering Clauses

    26. Pursuant to the authority contained in sections 1, 4(i)-(j), 
4(k), 4(o), 218, 219, 230, 256, 301, 302(a), 303(f), 303(g), 303(j), 
303(r), 403, 621(b)(3), and 621(d) of the Communications Act of 1934, 
as amended, 47 U.S.C. 151, 154(i)-(j), 154(k), 154(o), 218, 219, 230, 
256, 301, 302(a), 303(f), 303(g), 303(j), 303(r), 403, 621(b)(3), and 
621(d), and in Sec.  1704 of the Omnibus Consolidated and Emergency 
Supplemental Appropriations Act of 1998, 44 U.S.C. 3504, this Notice of 
Proposed Rulemaking IS ADOPTED.
    27. The Commission's Consumer and Governmental Affairs Bureau, 
Reference Information Center, 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

47 CFR Part 0

    Organization and functions (Government agencies), Reporting and 
recordkeeping requirements.

47 CFR Part 4

    Communications common carriers, Communications equipment, Reporting

[[Page 15771]]

and recordkeeping requirements, Telecommunications.

47 CFR Part 63

    Communications common carriers, Reporting and recordkeeping 
requirements.

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

Proposed Rules

    For the reasons discussed in the preamble, the Federal 
Communications Commission proposes to amend parts 0 and 63 and add a 
new part 4 of chapter I of title 47 of the CFR as follows:

PART 0--COMMISSION ORGANIZATION

    1. The authority citation for part 0 continues to read as follows:

    Authority: Sec. 5, 48 Stat. 1068, as amended; 47 U.S.C. 155.

    2. Section 0.31 is amended by revising paragraph (i) to read as 
follows:


Sec.  0.31  Functions of the Office.

* * * * *
    (i) To administer parts 2, 4, 5,,15, and 18 of this chapter, 
including licensing, recordkeeping, rule making, and revising the 
filing system and template used for compliance with the Commission's 
communications disruption reporting requirements.
* * * * *
    3. Section 0.241 is amended by revising paragraph (a) introductory 
text, paragraphs (a)(1), and (b) through (g) and by adding paragraphs 
(h) and (i) to read as follows:


Sec.  0.241  Authority delegated.

    (a) The performance of functions and activities described in Sec.  
0.31 is delegated to the Chief of the Office of Engineering and 
Technology: Provided, that the following matters shall be referred to 
the Commission en banc for disposition:
    (1) Notices of proposed rulemaking and of inquiry and final orders 
in rulemaking proceedings, inquiry proceedings and non-editorial orders 
making changes, except that the Chief of the Office of Engineering and 
Technology is delegated authority to make the revisions to the filing 
system and template necessary to maximize the efficiency of reporting 
and responding to critical data and minimize the time for providers to 
prepare and for the Commission staff to review the communications 
disruption reports required to be filed pursuant to part 4 of this 
chapter.
* * * * *
    (b) The Chief of the Office of Engineering and Technology is 
delegated authority to administer the Equipment Authorization program 
as described in part 2 of this chapter.
    (c) The Chief of the Office of Engineering and Technology is 
delegated authority to administer the Experimental Radio licensing 
program pursuant to part 5 of this chapter.
    (d) The Chief of the Office of Engineering and Technology is 
delegated authority to administer the communications disruption 
reporting requirements that are contained in part 4 of this chapter and 
to revise the filing system and template used for the submission of 
such reports.
    (e) The Chief of the Office of Engineering and Technology is 
delegated authority to examine all applications for certification 
(approval) of subscription television technical systems as acceptable 
for use under a subscription television authorization as provided for 
in this chapter, to notify the applicant that an examination of the 
certified technical information and data submitted in accordance with 
the provisions of this chapter indicates that the system does or does 
not appear to be acceptable for authorization as a subscription 
television system. This delegation shall be exercised in consultation 
with the Chief, Media Bureau.
    (f) The Chief of the Office of Engineering and Technology is 
authorized to dismiss or deny petitions for rulemaking which are 
repetitive or moot or which for other reasons plainly do not warrant 
consideration by the Commission.
    (g) The Chief of the Office of Engineering and Technology is 
authorized to enter into agreements with the National Institute of 
Standards and Technology and other accreditation bodies to perform 
accreditation of test laboratories pursuant to Sec.  2.948(d) of this 
chapter. In addition, the Chief is authorized to make determinations 
regarding the continued acceptability of individual accrediting 
organizations and accredited laboratories.
    (h) The Chief of the Office Engineering and Technology is delegated 
authority to enter into agreements with the National Institute of 
Standards and Technology to perform accreditation of Telecommunication 
Certification Bodies (TCBs) pursuant to Sec. Sec.  2.960 and 2.962 of 
this chapter. In addition, the Chief is delegated authority to develop 
specific methods that will be used to accredit TCBs, to designate TCBs, 
to make determinations regarding the continued acceptability of 
individual TCBs, and to develop procedures that TCBs will use for 
performing post-market surveillance.
    (i) The Chief of the Office of Engineering and Technology is 
delegated authority to make nonsubstantive, editorial revisions to the 
Commission's rules and regulations contained in parts 2, 4, 5, 15, and 
18 of this chapter.
    4. Part 4 is added to read as follows:

PART 4--DISRUPTIONS TO COMMUNICATIONS

Sec.

General

4.1 Scope, basis and purpose.

Reporting Requirements for Disruptions to Communications

4.3 Communications providers covered by the requirements of this 
part.
4.5 Definitions of outages, special offices and facilities, and 911 
special facilities.
4.7 Definitions of metrics used to determine the general outage-
reporting threshold criteria.
4.9 Outage reporting requirements--threshold criteria.
4.11 Initial and final communications outage reports that must be 
filed by communications providers.
4.13 Reports by the National Communications System (NCS) and by 
special offices and facilities, and related responsibilities of 
communications providers.

    Authority: Sections 1, 4(i), 4(j), 4(o), 218, 219, 230, 256, 
301, 302(a), 303(f), 303(g), 303(j), 303(r), 403, 621(b)(3), and 
621(d) of the Communications Act of 1934, as amended, 47 U.S.C. 151, 
154(i), 154(j), 154(o), 218, 219, 230, 256, 301, 302(a), 303(f), 
303(g), 303(j), 303(r), 403, 621(b)(3), and 621(d), unless other 
noted.

General


Sec.  4.1  Scope, basis and purpose.

    By these rules the Federal Communications Commission is setting 
forth requirements pertinent to the reporting of disruptions to 
communications and to the reliability of communications 
infrastructures.

Reporting Requirements for Disruptions to Communications


Sec.  4.3  Communications providers covered by the requirements of this 
part.

    (a) ``Cable communications'' providers are cable service providers 
that also provide circuit-switched telephony. Also included are 
affiliated and non-affiliated entities that maintain or provide 
communications systems or services used by the provider in offering 
telephony.
    (b) ``Wireless service'' providers include Commercial Mobile Radio 
Service communications providers that use cellular architecture and 
CMRS

[[Page 15772]]

paging providers. In particular, they include Cellular Radio Telephone 
Service (part 22 of this chapter), Personal Communications Service 
(PCS) (part 24), and enhanced Special Mobile Radio Service (part 90) 
providers, as well as those private paging (part 90) providers that are 
treated as CMRS providers (see Sec.  20.9 of this chapter, 47 CFR 20.9) 
and narrowband PCS providers (part 24). Also included are affiliated 
and non-affiliated entities that maintain or provide communications 
systems or services used by the provider in offering such 
communications.
    (c) ``IXC or LEC tandem facilities'' refer to the tandem facilities 
used in the provision of interexchange or local exchange 
communications.
    (d) ``Satellite communications providers'' use space stations as a 
means of providing the public with communications, such as telephony 
and paging. Also included are affiliated and non-affiliated entities 
that maintain or provide communications systems or services used by the 
provider in offering such communications.
    (e) ``Signaling System 7 (SS7)'' is a signaling system used to 
control telecommunications networks. It is frequently used to ``set 
up,'' process, control, and terminate circuit-switched 
telecommunications, including but not limited to domestic and 
international telephone calls (irrespective of whether the call is 
wholly or in part wireless, wireline, local, long distance, or is 
carried over cable or satellite infrastructure), SMS text messaging 
services, 8XX number type services, local number portability, VoIP 
signaling gateway services, 555 number type services, and most paging 
services. For purposes of this rule part, SS7 refers to both the SS7 
protocol and the packet networks through which signaling information is 
transported and switched or routed. It includes future modifications to 
the existing SS7 architecture that will provide the functional 
equivalency of the SS7 services and network elements that will exist 
when the final Report and Order is published. SS7 communications 
providers are subject to the provisions of part 4 of the Commission's 
rules regardless of whether or not they provide service directly to end 
users. Also subject to part 4 of the Commission's rules are affiliated 
and non-affiliated entities that maintain or provide communications 
systems or services used by the SS7 provider in offering SS7 
communications.
    (f) ``Wireline communications providers'' offer terrestrial 
communications through direct connectivity, predominantly by wire, 
coaxial cable, or optical fiber, between the serving central office (as 
now defined on October 1, 2002 in the glossary to part 36 of this 
chapter, 47 CFR part 36, Appendix-Glossary) and end user location(s). 
Also included are affiliated and non-affiliated entities that maintain 
or provide communications systems or services used by the provider in 
offering such communications.
    (g) ``Communications provider'' is an entity that provides two-way 
voice and/or data communications, and/or paging service, by radio, 
wire, cable, satellite, and/or lightguide for a fee to one or more 
unaffiliated entities.


Sec.  4.5  Definitions of outage, special offices and facilities, and 
911 special facilities.

    (a) ``Outage'' is defined as a significant degradation in the 
ability of an end user to establish and maintain a channel of 
communications as a result of failure or degradation in the performance 
of a communications provider's network.
    (b) ``Special offices and facilities'' are defined as airports, 
major military installations, key government facilities, and nuclear 
power plants. The member agencies of the National Communications System 
(NCS) will determine which of their locations are ``major military 
installations'' and ``key government facilities.'' 911 special 
facilities are addressed separately in paragraph (e) of this section.
    (c) An outage that ``potentially affects'' an airport is defined as 
an outage that: disrupts 50% or more of the air traffic control links 
or other FAA communications links to any airport; or has caused an Air 
Route Traffic Control Center (ARTCC) or airport to lose its radar; or 
causes a loss of both primary and backup facilities at any ARTCC or 
airport; or affects an ARTCC or airport that is deemed important by the 
FAA as indicated by FAA inquiry to the provider's management personnel; 
or has affected any ARTCC or airport and that has received any media 
attention of which the communications provider's reporting personnel 
are aware.
    (d) A ``mission-affecting outage'' is defined as an outage that is 
deemed critical to national security/emergency preparedness (NS/EP) 
operations of the affected facility by the National Communications 
System member agency operating the affected facility.
    (e) An ``outage that potentially affects a 911 special facility'' 
is defined as an outage that potentially affects the ability of a 
communications provider to complete 911 calls (including all associated 
name, identification, and location data). Such outages include those 
significant service degradations and switch or transport failures where 
rerouting to the same or an alternative answering location was not 
implemented. Examples of such outages include one or more of the 
following situations:
    (1) Isolation of one or more Public Service Answering Points 
(PSAPs) for at least 30 minutes duration; or
    (2) Loss of call processing capabilities in one or more E911 
tandems for at least 30 minutes duration; or
    (3) Isolation of one or more end office switches or host/remote 
clusters, for at least 30 minutes duration.


Sec.  4.7  Definitions of metrics used to determine the general outage-
reporting threshold criteria.

    (a) ``Administrative numbers'' are defined as the telephone numbers 
used by communications providers to perform internal administrative or 
operational functions necessary to maintain reasonable quality of 
service standards.
    (b) ``Assigned numbers'' are defined as the telephone numbers 
working in the Public Switched Telephone Network under an agreement 
such as a contract or tariff at the request of specific end users or 
customers for their use, or numbers not yet working but having a 
customer service order pending. Numbers that are not yet working and 
have a service order pending for more than five days shall not be 
classified as assigned numbers.
    (c) ``Assigned telephone number minutes'' are defined as the 
mathematical result of multiplying the duration of an outage, expressed 
in minutes, by the sum of the number of assigned numbers (defined in 
paragraph (b) of this section) potentially affected by the outage and 
the number of administrative numbers (defined in paragraph (a) of this 
section) potentially affected by the outage.
    (d) ``DS3 minutes'' are defined as the mathematical result of 
multiplying the duration of an outage, expressed in minutes, by the 
number of previously operating DS3 circuits that were affected by the 
outage.
    (e) ``User minutes'' are defined as:
    (1) Assigned telephone number minutes (as defined in paragraph (c) 
of this section), for telephony and for those paging systems in which 
each individual user is assigned a telephone number;
    (2) The mathematical result of multiplying the duration of an 
outage, expressed in minutes, by the number of end users potentially 
affected by the outage, for all other forms of communications.

[[Page 15773]]

Sec.  4.9  Outage reporting requirements--threshold criteria.

    (a) Cable. All cable communications providers shall submit 
electronically an Initial Communications Outage Report to the 
Commission within 120 minutes of discovering that they have experienced 
on any facilities that they own, operate, lease, or otherwise utilize, 
an outage of at least 30 minutes duration that: potentially affects at 
least 900,000 user minutes of telephony service; affects at least 1,350 
DS3 minutes; represents the loss of at least one satellite transponder; 
potentially affects any special offices and facilities (in accordance 
with paragraphs (a) through (d) of Sec.  4.5); or potentially affects a 
911 special facility (as defined in paragraph (e) of Sec.  4.5), in 
which case they also shall notify, as soon as possible by telephone or 
other electronic means, any official who has been designated by the 
management of the affected 911 facility as the provider's contact 
person for communications outages at that facility, and they shall 
convey to that person all available information that may be useful to 
the management of the affected facility in mitigating the effects of 
the outage on callers to that facility. (DS3 minutes and user minutes 
are defined in paragraphs (d) and (e) of Sec.  4.7.) Not later than 
thirty days after the outage, the provider shall submit electronically 
a Final Communications Outage Report to the Commission. The Initial and 
Final reports shall comply with all of the requirements of Sec.  4.11.
    (b) Wireless. All wireless service providers shall submit 
electronically an Initial Communications Outage Report to the 
Commission within 120 minutes of discovering that they have experienced 
on any facilities that they own, operate, lease, or otherwise utilize, 
an outage of at least 30 minutes duration: of a Mobile Switching Center 
(MSC); that potentially affects at least 900,000 user minutes of either 
telephony and associated data (2nd generation or lower) service or 
paging service; that affects at least 1,350 DS3 minutes; represents the 
loss of at least one satellite transponder; that potentially affects 
any special offices and facilities (in accordance with paragraphs (a) 
through (d) of Sec.  4.5); or that potentially affects a 911 special 
facility (as defined in (e) of Sec.  4.5), in which case they also 
shall notify, as soon as possible by telephone or other electronic 
means, any official who has been designated by the management of the 
affected 911 facility as the provider's contact person for 
communications outages at that facility, and they shall convey to that 
person all available information that may be useful to the management 
of the affected facility in mitigating the effects of the outage on 
callers to that facility. (DS3 minutes and user minutes are defined in 
paragraphs (d) and (e) of Sec.  4.7.) Not later than thirty days after 
the outage, the provider shall submit electronically a Final 
Communications Outage Report to the Commission. The Initial and Final 
reports shall comply with all the requirements of Sec.  4.11.
    (c) IXC or LEC tandem facilities. In the case of IXC or LEC tandem 
facilities, providers must, if technically possible, use real-time 
blocked calls to determine whether criteria for reporting an outage 
have been reached. Providers must report IXC and LEC tandem outages of 
at least 30 minutes duration in which at least 90,000 calls are blocked 
or at least 1,350 DS3-minutes are lost. The number of blocked calls is 
the sum of the number of blocked originating calls and the number of 
blocked terminating calls. Providers may use historical data for the 
appropriate time(s) of day to estimate blocked calls when required 
real-time blocked call counts are not possible. When using historical 
data, providers must report incidents where at least 30,000 originating 
and terminating calls are blocked during a period of at least 30 
minutes duration. (DS3 minutes are defined in paragraph (d) of Sec.  
4.7.)
    (d) Satellite. All satellite communications providers shall submit 
electronically an Initial Communications Outage Report to the 
Commission within 120 minutes of discovering that they have experienced 
on any facilities that they own, operate, lease, or otherwise utilize, 
an outage of at least 30 minutes duration that manifests itself as: a 
loss of complete accessibility to at least one satellite or 
transponder; a loss of a satellite communications link that potentially 
affects at least 900,000 user minutes of either telephony service or 
paging service; affecting at least 1,350 DS3 minutes; or potentially 
affecting any special offices and facilities (in accordance with 
paragraphs (a) through (d) of Sec.  4.5). (DS3 minutes and user minutes 
are defined in paragraphs (d) and (e) of Sec.  4.7.) Not later than 
thirty days after the outage, the provider shall submit electronically 
a Final Communications Outage Report to the Commission. The Initial and 
Final reports shall comply with all the requirements of Sec.  4.11. 
Excluded from these outage-reporting requirements are satellite 
transponders used solely for intra-corporate or intra-organizational 
private telecommunications networks, and satellite transponders that 
are used solely for the one-way distribution of video or audio 
programming.
    (e) Signaling System 7. Signaling System 7 (SS7) providers shall 
submit electronically an Initial Communications Outage Report to the 
Commission within 120 minutes of discovering that they have experienced 
on any facilities that they own, operate, lease, or otherwise utilize 
an outage of at least 30 minutes duration that manifests itself as the 
loss or blocking of at least 90,000 ISDN User Part (ISUP) messages. The 
number of lost or blocked messages may be based on call logs if 
available. Otherwise if call logs are not available, the number of lost 
or blocked messages may be estimated based on the normal message 
volumes during the applicable time(s) of day. Not later than thirty 
days after the outage, the provider shall submit electronically a Final 
Communications Outage Report to the Commission. The Initial and Final 
reports shall comply with all the requirements of Sec.  4.11.
    (f) Wireline. All wireline communications providers that operate 
transmission, routing, or switching facilities and provide interstate 
or international communications service shall submit electronically an 
Initial Communications Outage Report to the Commission within 120 
minutes of discovering that they have experienced on any facilities 
that they own, operate, lease, or otherwise utilize, an outage of at 
least 30 minutes duration that: potentially affects at least 900,000 
user minutes of either telephony or paging; affects at least 1,350 DS3 
minutes; represents the loss of at least one satellite transponder; 
potentially affects any special offices and facilities (in accordance 
with paragraphs (a) through (d) of Sec.  4.5); or (5) potentially 
affects a 911 special facility (as defined in (e) of Sec.  4.5), in 
which case they also shall notify, as soon as possible by telephone or 
other electronic means, any official who has been designated by the 
management of the affected 911 facility as the provider's contact 
person for communications outages at that facility, and the provider 
shall convey to that person all available information that may be 
useful to the management of the affected facility in mitigating the 
effects of the outage on efforts to communicate with that facility. 
(DS3 minutes and user minutes are defined in paragraphs (d) and (e) of 
Sec.  4.7.) Not later than thirty days after the outage, the provider 
shall submit electronically a Final Communications Outage Report to the 
Commission. The Initial and Final reports shall comply with all the 
requirements of Sec.  4.11.

[[Page 15774]]

Sec.  4.11  Initial and final communications outage reports that must 
be filed by communications providers.

    Initial and final communications outage reports shall be submitted 
by a person authorized by the communications provider to submit such 
reports to the Commission. The person submitting the Final report to 
the Commission shall also be authorized by the provider to legally bind 
the provider to the truth, completeness, and accuracy of the 
information contained in the report. Each Initial report shall be 
attested by the person submitting the report that he/she has read the 
report prior to submitting it and on oath deposes and states that the 
information contained therein is true, correct, and accurate to the 
best of his/her knowledge and belief. Each Final report shall be 
attested by the person submitting the report that he/she has read the 
report prior to submitting it and on oath deposes and states that the 
information contained therein is true, correct, and accurate to the 
best of his/her knowledge and belief and that the communications 
provider on oath deposes and states that this information is true, 
complete, and accurate. The Final report shall contain all pertinent 
information on the outage, including any information that was not 
contained in, or that has changed from that provided in, the Initial 
report.


Sec.  4.13  Reports by the National Communications System (NCS) and by 
special offices and facilities, and related responsibilities of 
communications providers.

    Reports by the National Communications System (NCS) and by special 
offices and facilities (other than 911 special offices and facilities) 
of outages potentially affecting them (see paragraphs (a) through (d) 
of Sec.  4.5) shall be made according to the following procedures:
    (a) When there is a mission-affecting outage, the affected facility 
will report the outage to the NCS and call the communications provider 
in order to determine if the outage is expected to last 30 minutes. If 
the outage is not expected to, and does not, last 30 minutes, it will 
not be reported to the Commission. If it is expected to last 30 minutes 
or does last 30 minutes, the NCS, on the advice of the affected special 
facility, will either:
    (1) Forward a report of the outage to the Commission, supplying the 
information for initial reports affecting special facilities specified 
in this section of the Commission's Rules;
    (2) Forward a report of the outage to the Commission, designating 
the outage as one affecting ``special facilities,'' but reporting it at 
a level of detail that precludes identification of the particular 
facility involved; or
    (3) Hold the report at the NCS due to the critical nature of the 
application.
    (b) If there is to be a report to the Commission, an electronic, 
written, or oral report will be given by the NCS within 120 minutes of 
an outage to the Commission's Duty Officer, on duty 24 hours a day in 
the FCC's Communications and Crisis Management Center in Washington, 
DC. Notification may be served at such other facility designated by the 
Commission by public notice or (at the time of the emergency) by public 
announcement only if there is a telephone outage or similar emergency 
in Washington, DC. If the report is oral, it is to be followed by an 
electronic or written report the next business day. Those providers 
whose service failures are in any way responsible for the outage must 
consult and cooperate in good faith with NCS upon its request for 
information.
    (c) Additionally, if there is to be a report to the Commission, the 
communications provider will provide a written report to the NCS, 
supplying the information for final reports for special facilities 
required by this section of the Commission's rules. The communications 
provider's final report to the NCS will be filed within 28 days after 
the outage, allowing the NCS to then file the report with the 
Commission within 30 days after the outage. If the outage is reportable 
as described in paragraph (b) of this section, and the NCS determines 
that the final report can be presented to the Commission without 
jeopardizing matters of national security or emergency preparedness, 
the NCS will forward the report as provided in either paragraphs (a)(1) 
or (a)(2) of this section.

PART 63--EXTENSION OF LINES, NEW LINES, AND DISCONTINUANCE, 
REDUCTION, OUTAGE AND IMPAIRMENT OF SERVICE BY COMMON CARRIERS; AND 
GRANTS OF RECOGNIZED PRIVATE OPERATING AGENCY STATUS

    5. The authority citation for part 63 continues to read as follows:

    Authority: Sections 1, 4(i), 4(j), 10, 11, 201-205, 214, 218, 
403, and 651 of the Communications Act of 1934, as amended, 47 
U.S.C. 151, 154(i), 154(j), 160, 161, 201-205, 214, 218, 403, and 
571, unless otherwise noted.

    6. Section 63.100 is revised to reads as follows:


Sec.  63.100  Notification of service outage.

    The requirements for communications providers concerning 
communications disruptions and the filing of outage reports are set 
forth in part 4 of this chapter.

[FR Doc. 04-6618 Filed 3-25-04; 8:45 am]
BILLING CODE 6712-01-P