og96034.txt

Office of the General Counsel
B-274091
August 19, 1996
The Honorable Larry Pressler Chairman The Honorable Ernest F.
Hollings Ranking Minority Member Committee on Commerce, Science,
and Transportation United States Senate
The Honorable Thomas J. Bliley, Jr. Chairman The Honorable John
D. Dingell Ranking Minority Member Committee on Commerce House of
Representatives
Subject: Federal Communications Commission: Revision of the
Commission's Rules To Ensure Compatibility with Enhanced 911
Emergency Calling Systems (Wireless E911 Rules)
Pursuant to section 801(a)(2)(A) of title 5, United States Code,
this is our report on a major rule promulgated by the Federal
Communications Commission, entitled "Revision of the Commission's
Rules To Ensure Compatibility with Enhanced 911 Emergency Calling
Systems (Wireless E911 Rules)" (FCC-96-264). We received the rule
on August 1, 1996. It was published in the Federal Register as a
final rule on August 2, 1996. 61 Fed. Reg. 40348.
In adopting this Report and Order, the Commission promulgates
requirements for basic wireless 911 services and establishes a
framework for improving wireless 911 services. The Commission
adopts these rules pursuant to sections 301 and 303(r) of the
Communications Act of 1934, as amended, 47 U.S.C. §§ 301 and
303(r).
For basic wireless 911 services, the Order requires covered
carriers to transmit to public safety personnel all 911 calls
originating from mobile handsets that transmit a code
identification number without any form of validation. If the public
safety organization decides to receive all calls from these
carriers, the Order requires
GAO/OGC-96-34
carriers to route all such calls even if they do not come from
units that generate any code identification. The Order also
requires that, within 1 year, covered carriers must be capable of
transmitting wireless 911 calls made by hearing-or speech-impaired
individuals through the use of TTY or similar devices.
The Order also requires covered carriers to offer certain 911
enhancements in the next 18 months, including the ability to relay
a caller's phone number and the location of the base station or
cell site receiving a 911 call. Within the next 5 years, the Order
requires carriers to provide a very specific geographical location
under some circumstances.
At the same time the Commission is issuing this Final Report and
Order, it is also issuing a Further Notice of Proposed Rulemaking
(61 Fed. Reg. 40374) to develop additional means of ensuring that
improvements made possible by technological advances are
incorporated into enhanced 911 systems in the future.
Enclosed is our assessment of the Federal Communications
Commission's compliance with the procedural steps required by
sections 801(a)(1)(B)(i) through
(iv) of title 5 with respect to this Final Report and Order. Our
review indicates that the Federal Communications Commission
complied with the applicable requirements.
If you have any questions about this report, please contact
Kathleen E. Wannisky, Associate General Counsel for Operations, at
[phone]. The official responsible for GAO evaluation work
relating to the Federal Communications Commission is John Anderson,
Director of Transportation and Telecommunications Issues. Mr.
Anderson can be reached at [phone].
Robert P. Murphy General Counsel
Enclosure
cc: Mr. Andrew S. Fishel Managing Director Federal
Communications Commission
Page 2 GAO/OGC-96-34
ENCLOSURE
ANALYSIS UNDER 5 U.S.C. § 801(a)(1)(B)(i)-(iv) OF A MAJOR RULE
ISSUED BY THE FEDERAL COMMUNICATIONS COMMISSION ENTITLED "REVISION
OF THE COMMISSION'S RULES TO ENSURE COMPATIBILITY WITH ENHANCED 911
EMERGENCY CALLING SYSTEMS (WIRELESS E911 RULES) (FCC-96-264)



(i)
Cost-benefit analysis

The Commission stated in its submission to us that it was not
required to prepare and did not prepare a cost-benefit analysis of
this Report and Order.


(ii)
Agency actions relevant to the Regulatory Flexibility
Act, 5 U.S.C. §§ 603-605, 607 and 609


Section 603: Initial Regulatory Flexibility Analysis
The Commission initiated this proceeding with a Notice of
Proposed Rulemaking that addressed issues raised by the provision
of 911 and enhanced 911 services through certain technologies.
(Revision of the Commission's Rules to Ensure Compatibility with
Enhanced 911 Emergency Calling Systems, CC Docket No. 94102, 9 FCC
Rcd 6170 (1994)). In that Notice, the Commission prepared and
published an Initial Regulatory Flexibility Analysis and invited
written public comments on the proposed rulemaking, including
comments on the Initial Regulatory Flexibility Analysis.
The analysis included in the proposed rulemaking provides the
information required by sections 603(b)(1) and (2). It describes
the reasons for the proposed action and its objectives and legal
basis. The information required by sections 603(b)(3) and
(4) concerning the estimate of the classes of small entities
subject to the Report and Order and the projected reporting,
recordkeeping and other compliance requirements of the proposed
rulemaking is also included.
In accordance with section 603(b)(5), the Commission stated its
belief that the proposed Report and Order does not duplicate,
overlap or conflict with any other relevant federal rules. Finally,
in considering any significant alternatives minimizing the impact
on small entities, the Commission asks for comments on whether the
rule should be applied in situations with very limited PBX
configurations in compliance with section 603(c).
GAO/OGC-96-34
Section 604: Final Regulatory Flexibility Analysis
The Supplementary Information published in the Federal Register
includes the full text of the Commission's Final Regulatory
Flexibility Analysis. 61 Fed. Reg. 40348. The analysis includes
information required by section 604, including a description of the
need for and purpose of this Report and Order. The Commission's
analysis describes how this Report and Order will make 911 and
enhanced 911 services for users of wireless telephones more widely
available and much more effective.
Although no comments were submitted in direct response to the
Initial Regulatory Flexibility Analysis, the Commission noted that
a number of the general comments on the Notice might have an effect
on small entities, particularly on site-specific Specialized Mobile
Radio (SMR) licensees and on rural cellular providers. The
Commission describes how, in response to these comments, it
attempted to minimize the burdens on small entities by:
--limiting the regulations to mass market two-way voice
services,
--providing for waivers for small rural carriers,
--accepting the recommendation of trade associations and public
safety organizations to extend the implementation period for some
provisions over a 5-year period, and
--offsetting the burden on small entities by requiring that a
cost recovery mechanism will be in place before requiring
implementation of the requirements.
The analysis further describes the small entities covered by the
Report and Order, addressing separately cellular licensees,
broadband personal communication service licensees, and specialized
mobile radio licensees. The analysis also discusses the projected
reporting, recordkeeping and other compliance requirements of the
Report and Order.
Finally, in compliance with section 604(a)(5), the analysis
describes the significant alternatives considered and rejected,
including universal applicability to commercial mobile voice
services, automatic exclusion of all rural cellular carriers, and a
Commission-developed set of standards for implementation. The
analysis discusses why the Commission rejected these alternatives
and instead selected those adopted in the Final Report and
Order.
Page 2 GAO/OGC-96-34
Section 609: Participation by small entities
The Commission offered the opportunity to comment on the
proposed Report and Order to any interested parties, including
small entities. In its Notice of Proposed Rulemaking, the
Commission specifically stated that the proposed regulation would
affect a number of entities both large and small. The Commission
published the Notice of Proposed Rulemaking in both the Federal
Register and the FCC Record, publications that should be easily
obtained by small as well as large entities in the
telecommunications industry. The Commission's submission to GAO did
not highlight any other actions taken to encourage small entity
participation in the rulemaking process.
(iii) Agency actions relevant to sections 202-205 of the
Unfunded Mandates Reform Act of 1995, 2 U.S.C. §§ 1532-1535
As an independent regulatory agency, the Commission is not
subject to Title II of the Unfunded Mandates Reform Act of
1995.
(iv) Other relevant information or requirements under Acts and
Executive orders
Administrative Procedure Act, 5 U.S.C. §§ 551 et seq.
The Commission promulgated this rule under the notice and
comment procedures of 5 U.S.C. § 553. A Notice of Proposed
Rulemaking was released on October 19, 1994 (9 FCC Rcd 6170). A
summary of the notice was published in the Federal Register (59
Fed. Reg. 54878). In response to the Notice, over 110 parties filed
comments and reply comments regarding the wireless 911 issues. The
commenters included wireless service providers, public safety
organizations, equipment manufacturers and others. Appendix A to
the Report and Order lists the commenters. The Final Report and
Order provides a detailed discussion of comments and Commission
reactions to them.
Paperwork Reduction Act, 44 U.S.C. §§ 3501-3520
The Report and Order does not impose an information collection,
although the Commission expects that future rulemaking in this area
will impose such a requirement. When the Commission released this
Report and Order on July 26, 1996, it included a Further Notice of
Proposed Rulemaking. That Further Notice does anticipate an
information collection and invites comments from the general public
and the Office of Management and Budget. See 61 Fed. Reg.
40374.
Page 3 GAO/OGC-96-34
Statutory authorization for the rule
Authorization for this rule is contained in sections 301 and
303(r) of the Communications Act of 1934, as amended, 47 U.S.C. §§
301 and 303(r).
The Commission did not identify any other statutes or executive
orders imposing requirements relevant to this Report and Order.
Page 4 GAO/OGC-96-34