Electronic Tariff Filing System (ETFS), 48629-48641 [2010-19580]
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Federal Register / Vol. 75, No. 154 / Wednesday, August 11, 2010 / Proposed Rules
or by e-mail at
Wolfersberger.chris@epa.gov.
SUPPLEMENTARY INFORMATION: In the
final rules section of the Federal
Register, EPA is approving revisions to
the state’s SIP and Operating Permits
Program as a direct final rule without
prior proposal because the Agency
views this as a noncontroversial
revision amendment and anticipates no
relevant adverse comments to this
action. A detailed rationale for the
approval is set forth in the direct final
rule. If no relevant adverse comments
are received in response to this action,
no further activity is contemplated in
relation to this action. If EPA receives
relevant adverse comments, the direct
final rule will be withdrawn and all
public comments received will be
addressed in a subsequent final rule
based on this proposed action. EPA will
not institute a second comment period
on this action. Any parties interested in
commenting on this action should do so
at this time. Please note that if EPA
receives adverse comment on part of
this rule and if that part can be severed
from the remainder of the rule, EPA may
adopt as final those parts of the rule that
are not the subject of an adverse
comment. For additional information,
see the direct final rule which is located
in the rules section of this Federal
Register.
Dated: July 21, 2010.
William Rice,
Acting Regional Administrator, Region 7.
[FR Doc. 2010–19568 Filed 8–10–10; 8:45 am]
BILLING CODE 6560–50–P
FEDERAL COMMUNICATIONS
COMMISSION
47 CFR Parts 61 and 64
[WC Docket No. 10–141; FCC 10–127]
Electronic Tariff Filing System (ETFS)
Federal Communications
Commission.
ACTION: Notice of proposed rulemaking.
AGENCY:
In this document, the Federal
Communications Commission
(Commission) seeks comment on
extending the electronic tariff filing
requirement for incumbent local
exchange carriers to all carriers that file
tariffs and related documents.
Additionally, the Commission seeks
comment on the appropriate time frame
for implementing this proposed
requirement. The Commission also
seeks comment on the proposal that the
Chief of the Wireline Competition
Bureau administer the adoption of this
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extended electronic filing requirement.
Also, the Commission seeks comment
on proposed rule changes to implement
mandatory electronic tariff filing.
DATES: Comments are due on or before
September 10, 2010 and reply
comments are due on or before
September 27, 2010. Written comments
on the Paperwork Reduction Act
proposed information collection
requirements must be submitted by the
public, Office of Management and
Budget (OMB), and other interested
parties on or before October 12, 2010. If
you anticipate that you will be
submitting comments, but find it
difficult to do so within the period of
time allowed by this notice, you should
advise the contact listed below as soon
as possible.
ADDRESSES: You may submit comments,
identified by WC Docket No. 10–141 by
any of the following methods:
• Federal eRulemaking Portal: https://
www.regulations.gov. Follow the
instructions for submitting comments.
• Federal Communications
Commission’s Web site: https://
fjallfoss.fcc.gov/ecfs2/. Follow the
instructions for submitting comments.
• People with Disabilities: Contact the
FCC to request reasonable
accommodations (accessible format
documents, sign language interpreters,
CART, etc.) by e-mail: FCC504@fcc.gov
or phone: (202) 418–0530 or TTY: (202)
418–0432.
• In addition to filing comments with
the Secretary, a copy of any comments
on the Paperwork Reduction Act
information collection requirements
contained herein should be submitted to
the Federal Communications
Commission via e-mail to PRA@fcc.gov
and to Nicholas A. Fraser, Office of
Management and Budget, via e-mail to
Nicholas_A._Fraser@omb.eop.gov or via
fax at 202–395–5167.
For detailed instructions for
submitting comments and additional
information on the rulemaking process,
see the SUPPLEMENTARY INFORMATION
section of this document.
FOR FURTHER INFORMATION CONTACT:
Pamela Arluk at (202) 418–1520 or
Lynne Hewitt Engledow at (202) 418–
1520, Wireline Competition Bureau,
Pricing Policy Division. For additional
information concerning the Paperwork
Reduction Act information collection
requirements contained in this
document, send an e-mail to
PRA@fcc.gov and to Nicholas A. Fraser,
Office of Management and Budget,
Nicholas_A._Fraser@omb.eop.gov or via
fax at 202–395–5167.
SUPPLEMENTARY INFORMATION: This is a
synopsis of the Commission’s Notice of
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48629
Proposed Rulemaking (NPRM) in WC
Docket No. 10–141, FCC 10–127,
adopted July 15, 2010, and released July
15, 2010. The complete text of this
document is available for inspection
and copying during normal business
hours in the FCC Reference Information
Center, Portals II, 445 12th Street, SW.,
Room CY–A257, Washington, DC 20554.
The document may also be purchased
from the Commission’s duplicating
contractor, Best Copy and Printing, Inc.,
445 12th Street, SW., Room CY–B402,
Washington, DC 20554, telephone (800)
378–3160 or (202) 863–2893, facsimile
(202) 863–2898, or via the Internet at
https://www.bcpiweb.com. It is also
available on the Commission’s Web site
at https://www.fcc.gov.
Pursuant to §§ 1.415 and 1.419 of the
Commission’s rules, 47 CFR 1.415,
1.419, interested parties may file
comments and reply comments on or
before the dates indicated on the first
page of this document. Comments may
be filed using: (1) The Commission’s
Electronic Comment Filing System
(ECFS), (2) the Federal Government’s
eRulemaking Portal, or (3) by filing
paper copies. See Electronic Filing of
Documents in Rulemaking Proceedings,
63 FR 24121, May 1, 1998.
• Electronic Filers: Comments may be
filed electronically using the Internet by
accessing the ECFS: https://www.fcc.gov/
cgb/ecfs/ or the Federal eRulemaking
Portal: https://www.regulations.gov.
Filers should follow the instructions
provided on the Web site for submitting
comments.
Æ For ECFS filers, if multiple docket
or rulemaking numbers appear in the
caption of this proceeding, filers must
transmit one electronic copy of the
comments for each docket or
rulemaking number referenced in the
caption. In completing the transmittal
screen, filers 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, filers should send an email to ecfs@fcc.gov, and include the
following words in the body of the
message, ‘‘get form.’’ A sample form and
directions will be sent in response.
• Paper Filers: 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, filers must submit two
additional copies for each additional
docket or rulemaking number.
Filings can be sent by hand or
messenger delivery, by commercial
overnight courier, or by first-class or
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overnight U.S. Postal Service mail
(although we continue to experience
delays in receiving U.S. Postal Service
mail). All filings must be addressed to
the Commission’s Secretary, Office of
the Secretary, Federal Communications
Commission.
Æ All hand-delivered or messengerdelivered paper filings for the
Commission’s Secretary must be
delivered to FCC Headquarters at 445
12th Street, SW., Room TW–A325,
Washington, DC 20554. All hand
deliveries must be held together with
rubber bands or fasteners. Any
envelopes must be disposed of before
entering the building. The filing hours
are Monday through Friday, 8 a.m. to 7
p.m.
Æ 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.
Æ U.S. Postal Service first-class,
Express, and Priority mail should be
addressed to 445 12th Street, SW.,
Washington, DC 20554.
People with Disabilities: To request
materials in accessible formats for
people with disabilities (Braille, large
print, electronic files, audio format),
send an e-mail to fcc504@fcc.gov or call
the Consumer & Governmental Affairs
Bureau at (202) 418–0530 (voice) or
(202) 418–0432 (TTY). Contact the FCC
to request reasonable accommodations
for filing comments (accessible format
documents, sign language interpreters,
CART, etc.) by e-mail: fcc504@fcc.gov;
phone: (202) 418–0530 or (202) 418–
0432 (TTY).
In addition, one copy of each
pleading must be sent to each of the
following:
Æ The Commission’s duplicating
contractor, Best Copy and Printing, Inc,
445 12th Street, SW., Room CY–B402,
Washington, DC 20554; Web site: https://
www.bcpiweb.com; phone: 1–800–378–
3160; and
Æ Pamela Arluk, Pricing Policy
Division, Wireline Competition Bureau,
445 12th Street, SW., Room 5–A131,
Washington, DC 20554; e-mail:
pamela.arluk@fcc.gov or telephone
number (202) 418–1520; and
Æ Lynne Hewitt Engledow, Pricing
Policy Division, Wireline Competition
Bureau, 445 12th Street, SW., Room 5–
A361, Washington, DC 20554; e-mail:
lynne.engledow@fcc.gov or telephone
number (202) 418–1520.
Filings and comments are also
available for public inspection and
copying during regular business hours
at the FCC Reference Information
Center, Portals II, 445 12th Street, SW.,
Room CY–A257, Washington, DC 20554.
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Copies may also be purchased from the
Commission’s duplicating contractor,
BCPI, 445 12th Street, SW., Room CY–
B402, Washington, DC 20554.
Customers may contact BCPI through its
Web site: https://www.bcpiweb.com, by
e-mail at fcc@bcpiweb.com, by
telephone at (202) 488–5300 or (800)
378–3160 (voice), (202) 488–5562
(TTY), or by facsimile at (202) 488–
5563.
Comments and reply comments must
include a short and concise summary of
the substantive arguments raised in the
pleading. Comments and reply
comments must also comply with § 1.49
and all other applicable sections of the
Commission’s rules. We direct all
interested parties to include the name of
the filing party and the date of the filing
on each page of their comments and
reply comments. All parties are
encouraged to utilize a table of contents,
regardless of the length of their
submission. We also strongly encourage
parties to track the organization set forth
in the NPRM in order to facilitate our
internal review process.
Initial Paperwork Reduction Act of
1995 Analysis
This document contains proposed
information collection requirements.
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 requirements contained in
this document, as required by the
Paperwork Reduction Act of 1995,
Public Law 104–13. Public and agency
comments are due October 12, 2010.
Comments on the proposed
information collection requirements
should address: (a) Whether the
proposed collection of information is
necessary for the proper performance of
the functions of the Commission,
including whether the information shall
have practical utility; (b) the accuracy of
the Commission’s burden estimates; (c)
ways to enhance the quality, utility, and
clarity of the information collected; and
(d) ways to minimize the burden of the
collection of information on the
respondents, including the use of
automated collection techniques or
other forms of information technology.
In addition, pursuant to the Small
Business Paperwork Relief Act of 2002,
Public Law 107–198, see 44 U.S.C.
3506(c)(4), we seek specific comment on
how we might further reduce the
information collection burden for small
business concerns with fewer than 25
employees.
OMB Control Number: 3060–XXXX.
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Title: Electronic Tariff Filing System
(ETFS).
Form Number(s): N/A.
Type of Review: New information
collection.
Respondents: Business or other forprofit and not-for-profit institutions.
Number of Respondents and
responses: Estimated 1,500 respondents
and 1,500 responses.
Estimated Time per Response: 1 hour
(average time per response).
Obligation to Respond: Required to
obtain or retain benefits.
Frequency of Response: Annual and
on occasion reporting requirements.
Total Annual Burden: 1,500 hours.
Total Annual Cost: $150,000.
Privacy Act Impact Assessment: No
impact.
Nature of Extent of Confidentiality:
The Commission is not requesting that
the respondents submit confidential
information to the FCC. Respondents
may, however, request confidential
treatment for information they believe to
be confidential under 47 CFR 0.459 of
the Commission’s rules.
Needs and Uses: The Commission is
requesting review and approval of a new
information collection requiring all
tariff filing entities to use the Federal
Communications Commission’s
Electronic Tariff Filing System (ETFS)
to file their tariffs and related
documents.
Currently, incumbent local exchange
carriers (LECs) file their tariffs and
associated documents electronically,
using ETFS. ETFS has improved the
usefulness of tariff filings for both filers
and the public and made the entire tariff
filing process more transparent. By
contrast, competitive LECs currently do
not file tariffs and associated documents
electronically. In the Notice of Proposed
Rulemaking (NPRM), in WC Docket No.
10–141, we initiate a rulemaking
proceeding to consider extending the
existing electronic filing requirement to
all tariff filing entities. In particular, to
create a more open, transparent and
efficient flow of information to the
public, we consider whether the
benefits of using the ETFS for
incumbent LEC tariff filings would also
be obtained if all tariff filers filed
electronically.
Additionally, the Commission seeks
comment on the appropriate time frame
for implementing this proposed
requirement. Relevant rule
modifications are also proposed in the
NPRM. The Commission also seeks
comment on the proposal that the Chief
of the Wireline Competition Bureau
administer the adoption of this
extended electronic filing requirement.
We believe such action will benefit the
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public and carriers by creating a central
system providing online access to all
carrier tariffs and related documents
filed with the Commission.
I. Introduction
1. Currently, incumbent local
exchange carriers (LECs) file their tariffs
and associated documents
electronically, using the Electronic
Tariff Filing System (ETFS). ETFS has
improved the usefulness of tariff filings
for both filers and the public and made
the entire tariff filing process more
transparent. By contrast, competitive
LECs do not file tariffs and associated
documents electronically. In this NPRM,
we initiate a rulemaking proceeding to
consider extending the existing
electronic filing requirement to all tariff
filing entities, consistent with the public
interest. In particular, to create a more
open, transparent and efficient flow of
information to the public, we consider
whether the benefits of using the ETFS
for incumbent LEC tariff filings would
also be obtained if all tariff filers filed
electronically. As discussed below, we
propose rule modifications that expand
the electronic tariff filing requirement to
all tariff filers. We believe such action
will benefit the public and carriers by
creating a central system providing
online access to all carrier tariffs filed
with the Commission.
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II. Background
2. In adopting the
Telecommunications Act of 1996 (1996
Act), Congress sought to establish ‘‘a
pro-competitive, de-regulatory national
policy framework’’ for the
telecommunications industry.
Consistent with that goal, section
402(b)(1)(A)(iii) of the 1996 Act added
section 204(a)(3) to the Communications
Act of 1934, as amended, providing for
streamlined tariff filings by local
exchange carriers. On September 6,
1996, in an effort to meet the goals of
the 1996 Act, the Commission released
the Tariff Streamlining NPRM, 61 FR
49,987, September 24, 1996, proposing
measures to implement the tariff
streamlining requirements of section
204(a)(3). Among other suggestions, the
Commission proposed requiring LECs to
file tariffs electronically. The
Commission also tentatively concluded
that electronic tariff filing would reduce
burdens on carriers and the
Commission, facilitate access to tariffs
and associated documents by the public,
make all tariff information available to
state and other federal regulators, and
facilitate the compilation of aggregate
carrier data for industry analysis
purposes.
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3. The Commission began
implementing the electronic filing of
tariffs on January 31, 1997, when it
released the Streamlined Tariff Order.
The Streamlined Tariff Order
established rules implementing the 1996
Act’s tariff streamlining provisions and
also required LECs to file tariffs and
associated documents electronically in
accordance with requirements
established by the Common Carrier
Bureau (Bureau). On November 17,
1997, the Bureau made this electronic
system, known as the Electronic Tariff
Filing System, available for voluntary
filing by incumbent LECs. The Bureau
also announced that the use of ETFS
would become mandatory for all
incumbent LECs in 1998.
4. On May 28, 1998, in the ETFS
Order, 63 FR 35,539, June 30, 1998, the
Bureau established July 1, 1998, as the
date after which incumbent LECs would
be required to use ETFS to file tariffs
and associated documents. The ETFS
Order also revised the Commission’s
rules to establish other requirements
necessary to implement the
Commission’s electronic tariff filing
program. Specifically, the revised rules
required incumbent LECs to
electronically file complete tariff Base
Documents, tariff revisions, applications
for special permission, supporting
information, and Tariff Review Plans
(TRPs) via ETFS. Although the Tariff
Streamlining NPRM proposed
mandatory electronic filing by all local
exchange carriers, the Bureau limited
the scope of the ETFS Order to
incumbent LECs. The Commission
deferred consideration of establishing
mandatory electronic filing for nonincumbent LECs until the conclusion of
a proceeding considering the mandatory
detariffing of interstate long distance
services.
5. On October 31, 1996, the
Commission released the Detariffing
Order, which ordered mandatory
detariffing of most interstate, domestic,
interexchange services of nondominant
interexchange carriers (IXCs). In
deciding to detariff these services, the
Commission found that tariffs ‘‘are not
necessary to ensure that the rates,
practices, and classifications of
nondominant interexchange carriers for
interstate, domestic, interexchange
services are just and reasonable and not
unjustly or unreasonably
discriminatory’’ and are not necessary
for the protection of consumers. The
Commission, however, permitted some
exceptions to mandatory detariffing, in
which nondominant carriers could still
file tariffs.
6. In addition, nondominant carriers
continue to file tariffs for other services
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48631
that were unaffected by the Detariffing
Order. For example, domestic operator
service providers (OSPs) must file
informational tariffs pursuant to the
Communications Act and the
Commission’s rules. Moreover, subject
to certain exceptions and limitations,
competitive LECs are permitted to tariff
interstate access charges if the charges
are no higher than the rate charged for
such services by the competing
incumbent LEC. In contrast to tariff
filings by incumbent LECs, tariff filings
by nondominant carriers are currently
submitted via diskette, CD–ROM and/or
paper, which are cumbersome and
costly for the carrier, the Commission,
and make it difficult for interested
parties to review the documents.
III. Discussion
7. With this document we initiate a
rulemaking proceeding to examine
whether mandatory electronic filing of
tariffs and associated documents should
be extended to all tariff filing entities.
As discussed below, we propose rules
that extend the electronic filing
requirement to all tariff filers. We
believe this proposed action is in the
public interest.
8. We solicit comment on our
proposal that mandatory electronic tariff
filing should be required for all tariff
filers. Specifically, we propose that all
tariff filers must follow the
Commission’s rules for electronic tariff
filing and file via ETFS their tariffs,
tariff revisions, base documents, and
associated documents, including
applications for special permission. In
addition, we expect that all carriers
would have the capabilities to file tariffs
electronically and that such a
requirement would not impose an
undue burden on small or rural carriers.
We invite interested parties to comment
and propose alternative means to
accomplish these goals.
9. We believe that electronic filing of
all tariffs and associated documents
would facilitate the administration of
those tariffs. We also believe that the
expected benefits of electronic tariff
filing by incumbent LECs outlined in
the Tariff Streamlining NPRM will also
be realized by requiring electronic filing
of all tariffs and associated documents.
These anticipated benefits include:
Reducing burdens on carriers and the
Commission; facilitating access to tariffs
and associated documents by the public;
increasing the ease in which interested
parties can review all tariffs; making all
tariff information available to state and
other federal regulators; and facilitating
the compilation of aggregate carrier data
for industry analysis purposes. We
believe that including all tariffs on ETFS
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will improve public access to these
filings and will greatly enhance the
transparency and efficiency of the tariff
filing process. We invite interested
parties to comment on these anticipated
benefits. Additionally, we propose that
international dominant carriers filing
pursuant to section 61.28 of the
Commission’s rules should be subject to
electronic filing. We seek comment on
this proposal.
10. Requirements applicable to
carriers filing tariffs electronically are
different from those that apply to
carriers filing tariffs via diskette, CD
ROM and/or paper. By requiring
electronic filing of all tariffs, the same
rules will apply to all tariff filers, which
will help ensure that interested parties
have notice of the type of filing being
made and will be able to more easily
review those filings. In that regard, we
invite interested parties to comment on
expanding the applicability of sections
61.14, 61.15, and 61.16 of the
Commission’s rules in that manner.
11. Section 61.15 also requires the
inclusion of a filer’s FCC Registration
Number (FRN) with each electronic
tariff filing. We propose that consistent
with this rule, each letter of transmittal
must contain the filing carrier’s FRN. If
more than one carrier participates in the
tariff, the FRN for the filing carrier and
the FRNs for each individual carrier that
participates in the tariff should be
included in the letter of transmittal.
This will ensure that it is clear to
Commission staff and the public which
carriers are participating in the tariff.
We also propose that the use of
consecutive transmittal numbers for
letters of transmittal pursuant to the
proposed revision of section 61.15
facilitates the Commission’s ability to
electronically match the mandatory
tariff filing fee with the appropriate
carrier’s filing. We seek comment on
these proposals and appropriate
alternatives.
12. We also invite specific comment
on the use of transmittal numbers if
mandatory electronic filing is required;
for carriers converting from nonelectronic filing, should the transmittal
numbers continue sequentially from the
last non-electronic tariff or associated
document transmission or should
transmittal numbers start anew at the
number one, with the implementation of
mandatory electronic filing? We also
invite comment on the numbering of
special permission applications
pursuant to section 61.17. If mandatory
electronic filing is required, should the
first special permission application filed
electronically for a carrier start with
number one or should the special
permission application continue to be
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numbered sequentially from the last
non-electronically filed special
permission request?
13. Currently, sections 61.52 and
61.54 of our rules, which require
specific formatting and composition of
tariffs, apply only to dominant carriers.
Because we will be requiring all carriers
to file tariffs electronically, we believe
that it may be beneficial for the public
and Commission staff to have consistent
formatting of all tariffs. Accordingly, we
propose that all carriers should be
required to comply with the formatting
and composition requirements of our
rules. This would ensure that all tariffs
have a basic uniformity that will
facilitate an ease of review for customers
and other entities examining such
tariffs. However, we recognize that this
modification may create a burden for
nondominant carriers that have not been
subject to such requirements in the past.
Accordingly, we seek comment on this
proposal and invite specific comment
on whether requiring all carriers to
comply with sections 61.52 and 61.54
would place an undue burden on
carriers that have not been required to
comply with such requirements in the
past. Moreover, we propose amending
the notice requirements of section 61.58
to add a provision that nondominant
carriers who are eligible to file pursuant
to the streamlining requirements of
section 204(a)(3), but choose not to,
must file tariffs on at least one days’
notice. This addition to section 61.58
would permit us to remove section
61.23 as duplicative, and instead require
all carriers to comply with the general
notice requirements of section 61.58.
We seek comment on this proposed
modification to our rules and any
appropriate alternatives.
14. A number of nondominant carriers
operate under a ‘‘doing business as’’ or
d/b/a name. Such a practice can be
confusing to Commission staff and
parties searching for tariff documents.
Section 61.54 of the Commission’s rules
requires the ‘‘exact name of the carrier’’
be used to ‘‘identify the carrier issuing
the tariff publication.’’ We propose to
clarify that this rule requires carriers to
use their legal names in tariffs and
associated documents when filing via
ETFS. If carriers use a d/b/a name in
addition to their legal name, we propose
that the d/b/a name be noted on the
Title page of the tariff other than with
the ‘‘exact name of the carrier.’’ We seek
comment on this proposal and any
alternative means by which to address
such confusion.
15. We note that ETFS has been
available for use since November 17,
1997 and its use has been mandatory for
incumbent LECs since July 1, 1998.
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Given that ETFS has been used by the
public for more than a decade, we seek
comment on the amount of time parties
believe all tariff filers will need before
they can comply with the mandatory
tariff filing requirement. Specifically,
we seek comment on how long after an
order requiring electronic filing for all
tariff filers should filers be required to
use ETFS for all tariff and associated
document filing. We propose that all
tariff filers must use ETFS for all tariff
and associated document filing 120 days
after a final order in this docket
implementing such a requirement (or
summary thereof) is published in the
Federal Register. We also propose that
affected carriers must file their currently
effective tariffs on ETFS no later than
120 days after a final order in this
docket (or summary thereof) is
published in the Federal Register,
which will be the carrier’s Base
Document. Once the initial Base
Documents are filed on ETFS, all future
tariff revisions would also be required to
be filed electronically on ETFS. After
that 120-day period, we propose that the
electronic version of the currently
effective tariffs on ETFS will replace all
prior tariffs, and those previously filed
will be considered null and void.
Similarly, we propose that tariffs
previously filed with the Commission
that are not replaced by an electronic
version on ETFS will also be considered
null and void. After that 120-day period,
we also propose that all tariff filers will
no longer be permitted to file diskette,
CD–ROM and/or paper copies of tariffs
and associated documents that
otherwise would be filed with the
Secretary, the Chief of the Pricing Policy
Division of the Wireline Competition
Bureau, and the Commission’s
commercial contractor. We seek
comment on these proposals and any
suggested alternatives.
16. We propose that the Chief of the
Wireline Competition Bureau should be
responsible for administering the
adoption of electronic tariff filing
requirements for all tariff filers. This is
consistent with the Streamlined Tariff
Order. We seek comment on this
proposal. We also seek comment on the
proposed rule modifications in
Appendix A and we believe that these
proposed requirements are in the public
interest for the reasons stated herein.
17. For consistency and
administrative clarity we propose
changes to additional sections in part 61
of the Commission’s rules as shown in
Appendix A of the NPRM. For example,
we propose consolidating the
requirements for letters of transmittal
and cover letters in section 61.15 of the
Commission’s rules, and therefore,
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propose to delete sections 61.21 and
61.33 of our rules because those rules
would be duplicative of section 61.15.
We believe that these proposed changes
are necessary to accomplish the
numerous goals anticipated with the
implementation of mandatory electronic
tariff filing for all tariff filing entities.
We seek comment on these proposed
changes. Finally, we invite comment on
other considerations and alternatives
interested parties believe relevant to
extending the electronic tariff filing
requirement to all tariff filing entities.
IV. Procedural Matters
A. Initial Regulatory Flexibility Analysis
18. As required by the Regulatory
Flexibility Act of 1980, as amended
(RFA) see 5 U.S.C. 603, the Commission
has prepared the present Initial
Regulatory Flexibility Analysis (IRFA)
of the possible significant economic
impact on small entities that might
result from this NPRM. Written public
comments are requested on this IRFA.
Comments must be identified as
responses to the IRFA and must be filed
by the deadlines for comments on the
NPRM provided above. The
Commission will send a copy of the
Notice, including this IRFA, to the Chief
Counsel for Advocacy of the Small
Business Administration. In addition,
the Notice and IRFA (or summaries
thereof) will be published in the Federal
Register.
1. Need for, and Objectives of, the
Proposed Rules
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19. Today, the Commission adopts a
Notice of Proposed Rulemaking (NPRM)
to consider extending the requirement
to file tariff and associated documents
electronically via the Electronic Tariff
Filing System to all tariff filing entities.
In the NPRM the Commission seeks
comment on the proposal to extend this
requirement to all tariff filing entities
and on the expected benefits of doing
such. Additionally, the Commission
seeks comment on the appropriate time
frame for implementing this proposed
requirement. The Commission also
seeks comment on the proposal that the
Chief of the Wireline Competition
Bureau administer the adoption of this
extended electronic filing requirement.
2. Legal Basis
20. The legal basis for any action that
may be taken pursuant to the NPRM is
contained in sections 1, 4(i), 201–205,
and 226(h)(1)(A) of the Communications
Act of 1934, as amended, 47 U.S.C. 151,
154(i), 201–205, and 226(h)(1)(A).
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3. Description and Estimate of the
Number of Small Entities To Which the
Proposed Rules May Apply
21. The RFA directs agencies to
provide a description of, and where
feasible, an estimate of the number of
small entities that may be affected by
the proposed rules, if adopted. The RFA
generally defines the term ‘‘small entity’’
as having the same meaning as the terms
‘‘small business,’’ ‘‘small organization,’’
and ‘‘small governmental jurisdiction.’’
In addition, the term ‘‘small business’’
has the same meaning as the term
‘‘small-business concern’’ under the
Small Business Act. A ‘‘small-business
concern’’ is one which: (1) Is
independently owned and operated; (2)
is not dominant in its field of operation;
and (3) satisfies any additional criteria
established by the Small Business
Administration.
22. Competitive Local Exchange
Carriers (competitive LECs),
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. According to Commission
data, 1,005 carriers reported that they
were engaged in the provision of either
competitive local exchange services or
competitive access provider services. Of
these 1,005 carriers, an estimated 918
have 1,500 or fewer employees and 87
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, 89 carriers have reported that
they are Other Local Service Providers.
Of the 89, all 89 have 1,500 or fewer
employees and none 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.
23. Interexchange Carriers (IXCs).
Neither the Commission nor the SBA
has developed a size standard for small
businesses specifically applicable to
interexchange services. The closest
applicable size standard under SBA
rules is for Wired Telecommunications
Carriers. Under that size standard, such
a business is small if it has 1,500 or
fewer employees. According to
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48633
Commission data, 300 companies
reported that their primary
telecommunications service activity was
the provision of interexchange services.
Of these 300 companies, an estimated
268 have 1,500 or fewer employees and
32 have more than 1,500 employees.
Consequently, the Commission
estimates that the majority of
interexchange service providers are
small entities.
24. Operator Service Providers
(OSPs). Neither the Commission nor the
SBA has developed a small business
size standard specifically for operator
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. According to
Commission data, 28 carriers have
reported that they are engaged in the
provision of operator services. Of these,
an estimated 27 have 1,500 or fewer
employees and one has more than 1,500
employees. Consequently, the
Commission estimates that the majority
of OSPs are small entities.
4. Description of Projected Reporting,
Recordkeeping and Other Compliance
Requirements
25. Should the Commission decide to
expand mandatory electronic filing to
competitive LECs, the associated rules
potentially would modify the reporting
and recordkeeping requirements of
these entities. The NPRM proposed that
tariff filers must follow the
Commission’s rules for electronic tariff
filing and file via ETFS their tariffs,
tariff revisions, base documents and
associated documents, including
applications for special permission.
Moreover, in order to provide
uniformity for tariff filings, the NPRM
would propose to extend certain
procedural requirements to all tariff
filing entities, including: Specific
formatting and composition
requirements, the use of FCC
registration numbers and the use of
transmittal numbers. We seek comment
on the possible burden these
requirements would place on small
entities. Also, we seek comment on
whether a special approach toward any
possible compliance burdens on small
entities might be appropriate. Entities,
especially small businesses, are
encouraged to quantify the costs and
benefits of any reporting requirement
that may be established in this
proceeding.
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5. Steps Taken To Minimize Significant
Economic Impact on Small Entities, and
Significant Alternatives Considered
26. The RFA requires an agency to
describe any significant, specifically
small business, alternatives that it has
considered in reaching its proposed
approach, which may include the
following four alternatives (among
others): ‘‘(1) The establishment of
differing compliance or reporting
requirements or timetables that take into
account the resources available to small
entities; (2) the clarification,
consolidation, or simplification of
compliance and reporting requirements
under the rules for such small entities;
(3) the use of performance rather than
design standards; and (4) an exemption
from coverage of the rule, or any part
thereof, for such small entities.’’
27. The NPRM seeks comment from
all interested parties. Small entities are
encouraged to bring to the
Commission’s attention any specific
concerns they may have with the
proposals outlined in the NPRM. The
Commission believes that most carriers
are familiar with the Electronic Tariff
Filing System, if not currently using it.
As such, the Commission believes the
burden on small entities will be
minimal. In addition, to assist tariff
filers that have not used ETFS
previously, including small entity filers,
the Commission is seeking comment on
the amount of time filers will need to
transition from paper filing to using
ETFS.
6. Federal Rules That May Duplicate,
Overlap, or Conflict With the Proposed
Rules
28. None.
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B. Paperwork Reduction Act Analysis
29. The NPRM contains proposed
information collection requirements. As
part of the continuing effort to reduce
paperwork burdens, we invite the
general public and the OMB to comment
on the information collections
contained in this NPRM, as required by
the Paperwork Reduction Act of 1995,
44 U.S.C. 3501 et seq. Public and agency
comments are due at the same time as
other comments on this NPRM; OMB
comments are due 60 days from the date
of publication of this NPRM in the
Federal Register. Comments should
address: (1) 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; (2) the accuracy of the
Commission’s burden estimates; (3)
ways to enhance the quality, utility, and
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clarity of the information collected; and
(4) ways to minimize the burden of the
collection of information on the
respondents, including the use of
automated collection techniques or
other forms of information technology.
In addition, pursuant to the Small
Business Paperwork Relief Act of 2002,
Public Law 107–198, see 44 U.S.C.
3506(c)(4), we seek specific comment on
how we might further reduce the
information collection burden for small
business concerns with fewer than 25
employees.
C. Ex Parte Presentations
30. This proceeding shall be treated as
a ‘‘permit-but-disclose’’ proceeding in
accordance with the Commission’s ex
parte rules. Persons making oral ex
parte presentations are reminded that
memoranda summarizing the
presentations must contain summaries
of the substance of the presentations
and not merely a listing of the subjects
discussed. More than a one or two
sentence description of the views and
arguments presented is generally
required. Other requirements pertaining
to oral and written presentations are set
forth in § 1.1206(b) of the Commission’s
rules.
List of Subjects
47 CFR Part 61
Communications common carriers,
Tariffs, Telecommunications,
Telephone.
47 CFR Part 64
Communications common carriers,
Tariffs, Telecommunications,
Telephone.
Federal Communications Commission.
Marlene H. Dortch,
Secretary.
Proposed Rules
For the reasons discussed in the
preamble, the Federal Communications
Commission proposes to amend 47 CFR
parts 61 and 64 as follows:
PART 61—TARIFFS
1. The authority citation for part 61
continues to read as follows:
Authority: Secs. 1, 4(i), 4(j), 201–205 and
403 of the Communications Act of 1934, as
amended; 47 U.S.C. 151, 154(i), 154(j), 201–
205 and 403, unless otherwise noted.
2. Section 61.3 is amended by
redesignating paragraphs (t) through (y)
as paragraphs (u) through (z) and by
adding paragraph (t) to read as follows:
§ 61.3
*
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Definitions.
*
*
Frm 00020
*
Fmt 4702
*
Sfmt 4702
(t) Incumbent Local Exchange Carrier.
‘‘Incumbent Local Exchange Carrier’’ or
ILEC’’ has the same meaning as that term
is defined in 47 U.S.C. 251(h).
*
*
*
*
*
3. Section 61.13 is amended by
revising paragraphs (a) and (b) to read
as follows:
§ 61.13
Scope.
(a) This applies to all tariff
publications of issuing carriers required
to file tariff publications electronically,
and any tariff publication that a carrier
chooses to file electronically.
(b) All issuing carriers that file tariffs
are required to file tariff publications
electronically.
*
*
*
*
*
4. Section 61.14 is amended by
revising paragraphs (b) and (e) to read
as follows:
§ 61.14
Method of filing publications.
*
*
*
*
*
(b) In addition, except for issuing
carriers filing tariffing fees
electronically, for all tariff publications
requiring fees as set forth in part 1,
subpart G of this chapter, issuing
carriers must submit the original of the
cover letter (without attachments), FCC
Form 159, and the appropriate fee to the
address set forth in § 1.1105 of this
chapter.
*
*
*
*
*
(e) Carriers that are required to file
publications electronically must comply
with the format requirements set forth
in §§ 61.52 and 61.54.
5. Section 61.15 is revised to read as
follows:
§ 61.15 Letters of transmittal and cover
letters.
(a) All tariff publications filed with
the Commission electronically must be
accompanied by a letter of transmittal.
All letters of transmittal filed with the
Commission must be numbered
consecutively by the issuing carrier
beginning with Number 1. All letters of
transmittal must also:
(1) Concisely explain the nature and
purpose of the filing;
(2) Specify whether supporting
information is required for the new tariff
or tariff revision, and specify the
Commission rule or rules governing the
supporting information requirements for
that filing;
(3) Contain a statement indicating the
date and method of filing of the original
of the transmittal as required by
§ 61.14(b);
(4) Include the FCC Registration
Number (FRN) of the carrier(s) on whose
behalf the cover letter is submitted. See
subpart W of part 1 of this title.
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(b) Local exchange carriers filing
tariffs electronically pursuant to the
notice requirements of section 204(a)(3)
of the Communications Act shall
display prominently, in the upper right
hand corner of the letter of transmittal,
a statement that the filing is made
pursuant to that section and whether the
tariff is filed on 7 or 15 days notice.
(c) Any carrier filing a new or revised
tariff made on 15 days’ notice or less
shall include in the letter of transmittal
the name, room number, street address,
telephone number, and facsimile
number of the individual designated by
the filing carrier to receive personal or
facsimile service of petitions against the
filing as required under § 1.773(a)(4) of
this chapter.
(d) International carriers must certify
that they are authorized under Section
214 of the Communications Act of 1934,
as amended, to provide service, and
reference the FCC file number of that
authorization.
(e) In addition to the requirements set
forth in paragraph (a) of this section,
any incumbent local exchange carrier
choosing to file an Access Tariff under
§ 61.39 must include in the transmittal:
(1) A summary of the filing’s basic
rates, terms and conditions;
(2) A statement concerning whether
any prior Commission facility
authorization necessary to the
implementation of the tariff has been
obtained; and
(3) A statement that the filing is made
pursuant to § 61.39.
(f) In addition to the requirements set
forth in paragraph (a) of this section,
any price cap local exchange carrier
filing a price cap tariff must include in
the letter of transmittal a statement that
the filing is made pursuant to § 61.49.
(g) The letter of transmittal must
specifically reference by number any
special permission necessary to
implement the tariff publication.
Special permission must be granted
prior to the filing of the tariff
publication and may not be requested in
the transmittal letter.
(h)(1) The letter of transmittal must be
substantially in the following format:
lllllllllllllllllllll
(Exact name of carrier in full)
lllllllllllllllllllll
(Post Office Address)
lllllllllllllllllllll
(Date)
lllllllllllllllllllll
Transmittal No.
Secretary, Federal Communications
Commission; Washington, DC 20554
Attention: Wireline Competition Bureau
The accompanying tariff (or other
publication) issued by ll, and bearing FCC
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No. ll, effective ll, 20 l, is sent to you
for filing in compliance with the
requirements of the Communications Act of
1934, as amended. (Here give the additional
information required.)
lllllllllllllllllllll
(Name of issuing officer or agent)
lllllllllllllllllllll
(Title)
(2) A separate letter of transmittal may
accompany each publication, or the
above format may be modified to
provide for filing as many publications
as desired with one transmittal letter.
(i) All submissions of documents
other than a new tariff or revisions to an
existing tariff, such as Base Documents
or Tariff Review Plans, must be
accompanied by a cover letter that
concisely explains the nature and
purpose of the filing. Publications
submitted under this paragraph are not
required to submit a tariffing fee.
6. Section 61.16 is amended by
revising paragraphs (a) and (b) to read
as follows:
§ 61.16
Base documents.
(a) The Base Document is a complete
tariff which incorporates all effective
revisions, as of the last day of the
preceding month. The Base Document
should be submitted with a cover letter
as specified in § 61.15(i) and identified
as the Monthly Updated Base
Document.
(b) Initially, issuing carriers that
currently have tariffs on file with the
commission must file a Base Document
within five days of the initiation of
mandatory electronic filing.
*
*
*
*
*
7. Section 61.17 is revised to read as
follows:
§ 61.17 Applications for special
permission.
(a) All issuing carriers that file
applications for special permission,
associated documents, such as
transmittal letters, requests for special
permission, and supporting information,
shall file those documents
electronically.
(b) Applications for special
permission must contain:
(1) A detailed description of the tariff
publication proposed to be put into
effect;
(2) A statement citing the specific
rules and the grounds on which waiver
is sought;
(3) A showing of good cause; and
(4) The appropriate Illustrative tariff
pages the issuing carrier wishes to either
revise or add as new pages to its tariff.
(c) An application for special
permission must be addressed to
‘‘Secretary, Federal Communications
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48635
Commission, Washington, DC 20554.’’
The Electronic Tariff Filing System will
accept filings 24 hours a day, seven days
a week. The official filing date of a
publication received by the Electronic
Tariff Filing System will be determined
by the date and time the transmission
ends. If the transmission ends after the
close of a business day, as that term is
defined in § 1.4(e)(2) of this chapter, the
filing will be date and time stamped as
of the opening of the next business day.
(d) In addition, except for issuing
carriers filing tariffing fees
electronically, for special permission
applications requiring fees as set forth
in part 1, subpart G of this chapter,
issuing carriers must submit the original
of the application letter (without
attachments), FCC Form 159, and the
appropriate fee to the address set forth
in § 1.1105 of this chapter.
(e) In addition, if an issuing carrier
applies for special permission to revise
joint tariffs, the application must state
that it is filed on behalf of all carriers
participating in the affected service.
Applications must be numbered
consecutively in a series separate from
FCC tariff numbers and Letters of
Transmittal, bear the signature of the
officer or agent of the carrier, and be in
the following format:
Application No. lllllllllllll
(Date) llllllllllllllllll
Secretary
Federal Communications Commission
Washington, DC 20554.
Attention: Wireline Competition Bureau
(here provide the statements required by
section 61.17(b)).
(Exact name of carrier) llllllllll
(Name of officer or agent) lllllllll
(Title of officer or agent) lllllllll
(f) If approved, the issuing carrier
must comply with all terms and use all
authority specified in the grant. If a
carrier elects to use less than the
authority granted, it must apply to the
Commission for modification of the
original grant. If a carrier elects not to
use the authority granted within sixty
days of its effective date, the original
grant will be automatically cancelled by
the Commission.
8. Section 61.20 is revised to read as
follows:
§ 61.20
Method of filing publications.
(a) All issuing carriers that file tariffs
shall file all tariff publications and
associated documents, such as
transmittal letters, requests for special
permission, and supporting information,
electronically in accordance with the
requirements set forth in § 61.13
through § 61.17.
(b) In addition, except for issuing
carriers filing tariffing fees
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electronically, for all tariff publications
requiring fees as set forth in part 1,
subpart G of this chapter, issuing
carriers must submit the original of the
cover letter (without attachments), FCC
Form 159, and the appropriate fee to the
address set forth in § 1.1105 of this
chapter.
§§ 61.21 through 61.23
Reserved]
[Removed and
9. Remove and reserve §§ 61.21
through 61.23.
§§ 61.32 and 61.33
Reserved]
[Removed and
10. Remove and reserve §§ 61.32 and
61.33.
11. Section 61.38 is revised to read as
follows:
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§ 61.38 Supporting information to be
submitted with letters of transmittal.
(a) Scope. This section applies to
dominant carriers whose gross annual
revenues exceed $500,000 for the most
recent 12 month period of operations or
are estimated to exceed $500,000 for a
representative 12 month period.
Incumbent Local exchange carriers
serving 50,000 or fewer access lines in
a given study area that are described as
subset 3 carriers in § 69.602 of this
chapter may submit Access Tariff filings
for that study area pursuant to either
this section or § 61.39. However, the
Commission may require any issuing
carrier to submit such information as
may be necessary for a review of a tariff
filing. This section (other than the
preceding sentence of this paragraph)
shall not apply to tariff filings proposing
rates for services identified in § 61.42
(d), (e), and (g).
(b) Explanation and data supporting
either changes or new tariff offerings.
The material to be submitted for a tariff
change which affects rates or charges or
for a tariff offering a new service, must
include an explanation of the changed
or new matter, the reasons for the filing,
the basis of ratemaking employed, and
economic information to support the
changed or new matter.
(1) For a tariff change the issuing
carrier must submit the following,
including complete explanations of the
bases for the estimates.
(i) A cost of service study for all
elements for the most recent 12 month
period;
(ii) A study containing a projection of
costs for a representative 12 month
period;
(iii) Estimates of the effect of the
changed matter on the traffic and
revenues from the service to which the
changed matter applies, the issuing
carrier’s other service classifications,
and the carrier’s overall traffic and
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revenues. These estimates must include
the projected effects on the traffic and
revenues for the same representative 12
month period used in (b)(1)(ii) of this
section.
(2) For a tariff filing offering a new
service, the issuing carrier must submit
the following, including complete
explanations of the bases for the
estimates.
(i) A study containing a projection of
costs for a representative 12 month
period; and
(ii) Estimates of the effect of the new
matter on the traffic and revenues from
the service to which the new matter
applies, the issuing carrier’s other
service classifications, and the issuing
carrier’s overall traffic and revenues.
These estimates must include the
projected effects on the traffic and
revenues for the same representative 12
month period used in paragraph (b)(2)(i)
of this section.
(3) [Reserved]
(4) For a tariff that introduces a
system of density pricing zones, as
described in § 69.123 of this chapter, the
issuing carrier must, before filing its
tariff, submit a density pricing zone
plan including, inter alia,
documentation sufficient to establish
that the system of zones reasonably
reflects cost-related characteristics, such
as the density of total interstate traffic
in central offices located in the
respective zones, and receive approval
of its proposed plan.
(c) Working papers and statistical
data. (1) Concurrently with the filing of
any tariff change or tariff filing for a
service not previously offered, the
issuing carrier must file the working
papers containing the information
underlying the data supplied in
response to paragraph (b) of this section,
and a clear explanation of how the
working papers relate to that
information.
(2) All statistical studies must be
submitted and supported in the form
prescribed in § 1.363 of this chapter.
(d) Form and content of additional
material to be submitted with certain
rate increases. In the circumstances set
out in paragraphs (d)(1) and (2) of this
section, the issuing carrier must submit
all additional cost, marketing and other
data underlying the working papers to
justify a proposed rate increase. The
issuing carrier must submit this
information in suitable form to serve as
the carrier’s direct case in the event the
rate increase is set by the Commission
for investigation.
(1) Rate increases affecting single
services or tariffed items.
(i) A rate increase in any service or
tariffed item which results in more than
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$1 million in additional annual
revenues, calculated on the basis of
existing quantities in service, without
regard to the percentage increase in
such revenues; or
(ii) A single rate increase in any
service or tariffed item, or successive
rate increases in the same service or
tariffed item within a 12 month period,
either of which results in:
(A) At least a 10 percent increase in
annual revenues from that service or
tariffed item, and
(B) At least $100,000 in additional
annual revenues, both calculated on the
basis of existing quantities in service.
(2) Rate increases affecting more than
one service or tariffed item.
(i) A general rate increase in more
than one service or tariffed item
occurring at one time, which results in
more than $1 million in additional
revenues calculated on the basis of
existing quantities in service, without
regard to the percentage increase in
such revenues; or
(ii) A general rate increase in more
than one service or tariffed item
occurring at one time, or successive
general rate increases in the same
services or tariffed items occurring
within a 12 month period, either of
which results in:
(A) At least a 10 percent increase in
annual revenues from those services or
tariffed items, and
(B) At least $100,000 in additional
annual revenues, both calculated on the
basis of existing quantities in service.
(e) Submission of explanation and
data by connecting carriers. If the
changed or new matter is being filed by
the issuing carrier at the request of a
connecting carrier, the connecting
carrier must provide the data required
by paragraphs (b) and (c) of this section
on the date the issuing carrier files the
tariff matter with the Commission.
(f) Copies of explanation and data to
customers. Concurrently with the filing
of any rate for special construction (or
special assembly equipment and
arrangements) developed on the basis of
estimated costs, the issuing carrier must
transmit to the customer a copy of the
explanation and data required by
paragraphs (b) and (c) of this section.
(g) On each page of cost support
material submitted pursuant to this
section, the issuing carrier shall indicate
the transmittal number under which
that page was submitted.
12. Section 61.39 is revised to read as
follows:
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(i) For the first biennial filings, the
common line revenue requirement shall
be determined by the incumbent local
exchange carrier’s most recent annual
Common Line settlement from the
National Exchange Carrier Association.
Subscriber line charges shall be based
on cost and demand data for the same
period. Carrier common line rates shall
be determined by the following formula:
CCL Rev Req
CCL MOUb ∗ (1 + h/2)2
Where:
CCL Rev Req
CCL MOUb ∗ (1 + h/2)2
Where:
h=
And where:
CCL Rev Req
CCL MOUb ∗ (1 + h/2)5 2
CCL Rev Req
CCL MOUb ∗ (1 + h/2)5 2
Where:
Where:
CCL MOU1
h=
−1
CCL MOU0
h=
And where:
CCL Rev Req = carrier common line revenue
requirement for the most recent
24-month period;
CCL MOUb = carrier common line minutes of
use for the most recent 24-month period;
CCL MOU1 = carrier common line minutes of
use for the 12-month period; and
CCL MOU0 = carrier common line minutes of
use for the 12-month period preceding
the most recent 12-month period.
(4) For a tariff change, the incumbent
local exchange carrier which is an
average schedule carrier must propose
common line rates based on the
following:
Frm 00023
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Sfmt 4702
CCL MOU1
−1
CCL MOU0
And where:
CCL Rev Req = carrier common line
settlement for the most recent 24-month
period;
CCL MOUb = carrier common line minutes of
use for the most recent 24-month period;
CCL MOU1 = carrier common line minutes of
use for the most recent 12-month period;
and
CCL MOU0 = carrier common line minutes of
use for the 12-month period preceding
the most recent 12-month period.
(5) For End User Common Line
charges included in a tariff pursuant to
this Section, the incumbent local
E:\FR\FM\11AUP1.SGM
11AUP1
EP11AU10.035
EP11AU10.034
(ii) For subsequent biennial filings,
the common line revenue requirement
shall be determined by a cost of service
study for the most recent 24-month
period. Subscriber line charges shall be
based on cost and demand data for the
same period. Carrier common line rates
shall be determined by the following
formula:
(ii) For subsequent biennial filings,
the common line revenue requirement
shall be an amount calculated to reflect
the average schedule pool settlements
the carrier would have received if the
carrier had continued to participate in
the carrier common line pool, based
upon the average schedule Common
Line formulas developed by the
National Exchange Carrier Association
for the most recent 24-month period.
Subscriber line charges shall be based
on cost and demand data for the same
period. Carrier common line rates shall
be determined by the following formula:
EP11AU10.033
CCL Rev Req = carrier common line revenue
requirement for the most recent
12-month period;
CCL MOUb = carrier common line minutes of
use for the most recent 12-month period;
CCL MOU1 = CCL MOUb; and
CCL MOU0 = carrier common line minutes of
use for the 12-month period preceding
the most recent 12-month period.
EP11AU10.032
And where:
CCL Rev Req = carrier common line
settlement for the most recent 12-month
period;
CCL MOUb = carrier common line minutes of
use for the most recent 12-month period;
CCL MOU1 = CCL MOUb; and
CCL MOU0 = carrier common line minutes of
use for the 12-month period preceding
the most recent 12-month period.
EP11AU10.031
CCL MOU1
−1
CCL MOU0
EP11AU10.030
h=
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CCL MOU1
−1
CCL MOU0
EP11AU10.029
(a) Scope. This section provides for an
optional method of filing for any
incumbent local exchange carrier that is
described as subset 3 carrier in § 69.602
of this chapter, which elects to issue its
own Access Tariff for a period
commencing on or after April 1, 1989,
and which serves 50,000 or fewer access
lines in a study area as determined
under § 36.611(a)(8) of this chapter.
However, the Commission may require
any issuing carrier to submit such
information as may be necessary for
review of a tariff filing. This section
(other than the preceding sentence of
this paragraph) shall not apply to tariff
filings of price cap local exchange
carriers.
(b) Explanation and data supporting
tariff changes. The material to be
submitted to either a tariff change or a
new tariff which affects rates or charges
must include an explanation of the
filing in the transmittal as required by
§ 61.15. The basis for ratemaking must
comply with the following
requirements. Except as provided in
paragraph (b)(5) of this section, it is not
necessary to submit this supporting data
at the time of filing. However, the
incumbent local exchange carrier
should be prepared to submit the data
promptly upon reasonable request by
the Commission or interested parties.
(1) For a tariff change, the incumbent
local exchange carrier that is a cost
schedule carrier must propose Tariff
Sensitive rates based on the following:
(i) For the first period, a cost of
service study for Traffic Sensitive
elements for the most recent 12 month
period with related demand for the
same period.
(ii) For subsequent filings, a cost of
service study for Traffic Sensitive
elements for the total period since the
incumbent local exchange carrier’s last
annual filing, with related demand for
the same period.
(2) For a tariff change, the incumbent
local exchange carrier that is an average
schedule carrier must propose Traffic
Sensitive rates based on the following:
(i) For the first period, the incumbent
local exchange carrier’s most recent
annual Traffic Sensitive settlement from
the National Exchange Carrier
Association pool.
(ii) For subsequent filings, an amount
calculated to reflect the Traffic Sensitive
average schedule pool settlement the
carrier would have received if the
carrier had continued to participate,
based upon the most recent average
schedule formulas approved by the
Commission.
(3) For a tariff change, the incumbent
local exchange carrier that is a cost
schedule carrier must propose Common
Line rates based on the following:
(i) For the first biennial filing, the
common line revenue requirement shall
be determined by a cost of service study
for the most recent 12-month period.
Subscriber line charges shall be based
on cost and demand data for the same
period. Carrier common line rates shall
be determined by the following formula:
EP11AU10.028
jlentini on DSKJ8SOYB1PROD with PROPOSALS
§ 61.39 Optional supporting information to
be submitted with letters of transmittal for
Access Tariff filings by incumbent local
exchange carriers serving 50,000 or fewer
access lines in a given study area that are
described as subset 3 carriers in § 69.602.
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exchange carrier must provide
supporting information for the two-year
historical period with its letter of
transmittal in accordance with § 61.38.
(c) Maximum allowable rate of return.
Incumbent Local exchange carriers
filing tariffs under this section are not
required to comply with §§ 65.700
through 65.701 of this chapter, except
with respect to periods during which
tariffs were not subject to this section.
The Commission may require any
carrier to submit such information if it
deems it necessary to monitor the
carrier’s earnings. However, rates must
be calculated based on the incumbent
local exchange carrier’s prescribed rate
of return applicable to the period during
which the rates are effective.
(d) Rates for a new service that is the
same as that offered by a price cap local
exchange carrier providing service in an
adjacent serving area are deemed
presumptively lawful, if the proposed
rates, in the aggregate, are no greater
than the rates established by the price
cap local exchange carrier. Tariff filings
made pursuant to this paragraph must
include the following:
(1) A brief explanation of why the
service is like an existing service offered
by a geographically adjacent price cap
local exchange carrier; and
(2) Data to establish compliance with
this paragraph that, in aggregate, the
proposed rates for the new service are
no greater than those in effect for the
same or comparable service offered by
that same geographically adjacent price
cap regulated local exchange carrier.
Compliance may be shown through
submission of applicable tariff pages of
the adjacent carrier; a showing that the
serving areas are adjacent; any necessary
explanations and work sheets.
(e) Average schedule companies filing
pursuant to this section shall retain
their status as average schedule
companies.
(f) On each page of cost support
material submitted pursuant to this
section, the issuing carrier shall indicate
the transmittal number under which
that page was submitted.
13. Section 61.40 is amended by
revising paragraph (a) introductory text
to read as follows:
jlentini on DSKJ8SOYB1PROD with PROPOSALS
§ 61.40 Private line rate structure
guidelines.
(a) The Commission uses a variety of
tools to determine whether a dominant
carrier’s private line tariffs are just,
reasonable, and nondiscriminatory. The
dominant carrier’s burden of cost
justification can be reduced when its
private line rate structures comply with
the following five guidelines.
*
*
*
*
*
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14. Section 61.41 is amended by
revising paragraph (a)(2) to read as
follows:
§ 61.41
Price cap requirements generally.
(a) * * *
(2) To such price cap local exchange
carriers as specified by Commission
order, and to all local exchange carriers,
other than average schedule companies,
that are affiliated with such carriers; and
*
*
*
*
*
15. Section 61.42 is amended by
revising paragraphs (d) introductory
text, (d)(4)(i) and (d)(4)(ii), (e)(1)
introductory text, and (f) to read as
follows:
§ 61.42 Price cap baskets and service
categories.
*
*
*
*
*
(d) Each price cap local exchange
carrier shall establish baskets of services
as follows:
*
*
*
*
*
(4)(i) To the extent that a price cap
local exchange carrier specified in
§ 61.41(a)(2) or (a)(3) offers interstate
interexchange services that are not
classified as access services for the
purpose of part 69 of this chapter, such
exchange carrier shall establish a fourth
basket for such services. For purposes of
§§ 61.41 through 61.49, this basket shall
be referred to as the ‘‘interexchange
basket.’’
(ii) If a price cap local exchange
carrier has implemented interLATA and
intraLATA toll dialing parity
everywhere it provides local exchange
services at the holding company level,
that price cap carrier may file a tariff
revision to remove corridor and
interstate intraLATA toll services from
its interexchange basket.
*
*
*
*
*
(e)(1) The traffic sensitive switched
interstate access basket shall contain
such services as the Commission shall
permit or require, including the
following service categories:
*
*
*
*
*
(f) Each price cap local exchange
carrier shall exclude from its price cap
baskets such services or portions of such
services as the Commission has
designated or may hereafter designate
by order.
*
*
*
*
*
16. Section 61.43 is revised to read as
follows:
§ 61.43
Annual price cap filings required.
Price cap local exchange carriers shall
submit annual price cap tariff filings
that propose rates for the upcoming
tariff year, that make appropriate
adjustments to their PCI, API, and SBI
PO 00000
Frm 00024
Fmt 4702
Sfmt 4702
values pursuant to §§ 61.45 through
61.47, and that incorporate new services
into the PCI, API, or SBI calculations
pursuant to §§ 61.45(g), 61.46(b), and
61.47(b) and (c). Price cap local
exchange carriers may propose rate, PCI,
or other tariff changes more often than
annually, consistent with the
requirements of § 61.59.
17. Section 61.45 is amended by
revising paragraphs (a), (b)(1)(i)
introductory text, and (d)(2) to read as
follows:
§ 61.45 Adjustments to the PCI for Local
Exchange Carriers.
(a) Price cap local exchange carriers
shall file adjustments to the PCI for each
basket as part of the annual price cap
tariff filing, and shall maintain updated
PCIs to reflect the effect of mid-year
exogenous cost changes.
(b)(1)(i) Adjustments to price cap
local exchange carrier PCIs, in those
carriers’ annual access tariff filings, the
traffic sensitive basket described in
§ 61.42(d)(2), the trunking basket
described in § 61.42(d)(3), the special
access basket described in § 61.42(d)(5)
and the Interexchange Basket described
in § 61.42(d)(4)(i), shall be made
pursuant to the following formula:
*
*
*
*
*
(d) * * *
(2) Price cap local exchange carriers
specified in §§ 61.41(a)(2) or (a)(3) shall,
in their annual access tariff filing,
recognize all exogenous cost changes
attributable to modifications during the
coming tariff year in their Subscriber
Plant Factor and the Dial Equipment
Minutes factor, and completions of
inside wire amortizations and reserve
deficiency amortizations.
*
*
*
*
*
18. Section 61.46 is amended by
revising paragraph (a) introductory text
to read as follows:
§ 61.46
Adjustments to the API.
(a) Except as provided in paragraphs
(d) and (e) of this section, in connection
with any price cap tariff filing proposing
rate changes, the price cap local
exchange carrier must calculate an API
for each affected basket pursuant to the
following methodology:
*
*
*
*
*
19. Section 61.47 is amended by
revising paragraphs (f), (i)(2), and (i)(5)
to read as follows:
§ 61.47
bands.
Adjustments to the SBI; pricing
*
*
*
*
*
(f) A price cap local exchange carrier
may establish density zones pursuant to
the requirements set forth in § 69.123 of
this chapter, for any service in the
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trunking and special access baskets,
other than the interconnection charge
set forth in § 69.124 of this chapter. The
pricing flexibility of each zone shall be
limited to an annual increase of 15
percent, relative to the percentage
change in the PCI for that basket,
measured from the levels in effect on
the last day of the preceding tariff year.
There shall be no lower pricing band for
any density zone.
*
*
*
*
*
(i)(1) * * *
(2) Effective January 1, 1998,
notwithstanding the requirements of
paragraph (a) of this section, if a price
cap local exchange carrier is recovering
interconnection charge revenues
through per-minute rates pursuant to
§ 69.155 of this chapter, any reductions
to the PCI for the basket designated in
§ 61.42(d)(3) resulting from the
application of the provisions of
§ 61.45(b)(1)(i) and from the application
of the provisions of §§ 61.45(i)(1) and
61.45(i)(2) shall be directed to the SBI
of the service category designated in
§ 61.42(d)(i).
*
*
*
*
*
(5) Effective July 1, 2000,
notwithstanding the requirements of
paragraph (a) of this section and subject
to the limitations of § 61.45(i), if a price
cap local exchange carrier is recovering
an ATS charge greater than its Target
Rate as set forth in § 61.3(qq), any
reductions to the PCI for the traffic
sensitive or trunking baskets designated
in §§ 61.42(d)(2) and 61.42(d)(3)
resulting from the application of the
provisions of § 61.45(b), and the formula
in § 61.45(b) and from the application of
the provisions of §§ 61.45(i)(1), and
61.45(i)(2) shall be directed to the SBIs
of the service categories designated in
§§ 61.42(e)(1) and 61.42(e)(2).
*
*
*
*
*
20. Section 61.48 is amended by
revising paragraphs (i)(2), (i)(3)
introductory text, (i)(4), and (l)(2) to
read as follows:
§ 61.48 Transition rules for price cap
formula calculations.
jlentini on DSKJ8SOYB1PROD with PROPOSALS
*
*
*
*
*
(i) * * *
(2) Simultaneous Introduction of
Special Access and Transport Zones.
Price cap local exchange carriers that
have established density pricing zones
pursuant to § 69.123 of this chapter, and
whose special access zone date and
transport zone date occur on the same
date, shall initially establish density
pricing zone SBIs and bands pursuant to
the methodology in § 61.47(e) and (f).
(3) Sequential Introduction of Zones
in the Same Tariff Year.
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Notwithstanding § 61.47(e) and (f), price
cap local exchange carriers that have
established density pricing zones
pursuant to § 69.123 of this chapter, and
whose special access zone date and
transport zone date occur on different
dates during the same tariff year, shall,
on the earlier date, establish density
pricing zone SBIs and pricing bands
using the methodology described in
§ 61.47(e) and (f), but applicable to the
earlier service only. On the later date,
such carriers shall recalculate the SBIs
and pricing bands to limit the pricing
flexibility of the services included in
each density pricing zone category, as
reflected in its SBI, as follows:
*
*
*
*
*
(4) Introduction of Zones in Different
Tariff Years. Notwithstanding § 61.47(e)
and (f), those price cap local exchange
carriers that have established density
pricing zones pursuant to § 69.123 of
this chapter, and whose special access
zone date and transport zone date do
not occur within the same tariff year,
shall, on the earlier date, establish
density pricing zone SBIs and pricing
bands using the methodology described
in § 61.47(e) and (f), but applicable to
the earlier service only.
*
*
*
*
*
(l) * * *
(2) Once the reductions in paragraph
(l)(1)(i) and paragraphs (l)(1)(ii)(A) and
(B) of this section are identified, the
difference between those reductions and
$2.1 billion is the total amount of
additional reductions that would be
made to ATS rates of price cap local
exchange carriers. This amount will
then be restated as the percentage of
total price cap local exchange carrier
Local Switching revenues as of June 30,
2000 using 2000 annual filing base
period demand (‘‘June 30 Local
Switching revenues’’) necessary to yield
the total amount of additional
reductions and taking into account the
fact that, if participating, a price cap
local exchange carrier would not reduce
ATS rates below its Target Rate as set
forth in § 61.3(qq). Each price cap local
exchange carrier then reduces ATS rate
elements, and associated SBI upper
limits and PCIs, by a dollar amount
equivalent to the percentage times the
June 30 Local Switching revenues for
that filing entity, provided that no price
cap local exchange carrier shall be
required to reduce its ATS rates below
its Target Rate as set forth in § 61.3(qq).
Each price cap local exchange carrier
can take its additional reductions
against any of the ATS rate elements,
provided that at least a proportional
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48639
share must be taken against Local
Switching rates.
*
*
*
*
*
21. Section 61.49 is amended by
revising paragraphs (f)(2), (f)(3), (f)(4),
(g) introductory text, (g)(2), (h), (k) and
(l) to read as follows:
§ 61.49 Supporting information to be
submitted with letters of transmittal for
tariffs of carriers subject to price cap
regulation.
*
*
*
*
*
(f) * * *
(2) Each tariff filing submitted by a
price cap local exchange carrier that
introduces a new loop-based service, as
defined in § 61.3(pp)—including a
restructured unbundled basic service
element (BSE), as defined in § 69.2(mm)
of this chapter, that constitutes a new
loop-based service—that is or will later
be included in a basket, must be
accompanied by cost data sufficient to
establish that the new loop-based
service or unbundled BSE will not
recover more than a just and reasonable
portion of the carrier’s overhead costs.
(3) A price cap local exchange carrier
may submit without cost data any tariff
filings that introduce new services,
other than loop-based services.
(4) A price cap local exchange carrier
that has removed its corridor or
interstate intraLATA toll services from
its interexchange basket pursuant to
§ 61.42(d)(4)(ii), may submit its tariff
filings for corridor or interstate
intraLATA toll services without cost
data.
(g) Each tariff filing submitted by a
price cap local exchange carrier that
introduces a new loop-based service or
a restructured unbundled basic service
element (BSE), as defined in § 69.2(mm)
of this chapter, that is or will later be
included in a basket, or that introduces
or changes the rates for connection
charge subelements for expanded
interconnection, as defined in § 69.121
of this chapter, must also be
accompanied by:
*
*
*
*
*
(2) Working papers and statistical
data. (i) Concurrently with the filing of
any tariff change or tariff filing for a
service not previously offered, the
issuing carriers must file the working
papers containing the information
underlying the data supplied in
response to paragraph (h)(1) of this
section, and a clear explanation of how
the working papers relate to that
information.
(ii) All statistical studies must be
submitted and supported in the form
prescribed in § 1.363 of this chapter.
(h) Each tariff filing submitted by a
price cap local exchange carrier that
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introduces or changes the rates for
connection charge subelements for
expanded interconnection, as defined in
§ 69.121 of this chapter, must be
accompanied by cost data sufficient to
establish that such charges will not
recover more than a just and reasonable
portion of the carrier’s overhead costs.
*
*
*
*
*
(k) In accordance with §§ 61.41
through 61.49, price cap local exchange
carriers that elect to file their annual
access tariff pursuant to section
204(a)(3) of the Communications Act
shall submit supporting material for
their interstate annual access tariffs,
absent rate information, 90 days prior to
July 1 of each year.
(l) On each page of cost support
material submitted pursuant to this
section, the issuing carrier shall indicate
the transmittal number under which
that page was submitted.
Subpart H—[Removed]
22. Remove Subpart H consisting of
§§ 61.151 through 61.153.
Subpart G—[Redesignated as Subpart
H]
23. Redesignate Subpart G (§§ 61.131
to 61.136) as Subpart H.
Subpart F—[Redesignated as Subpart
G]
24. Redesignate Subpart F (§§ 61.66 to
61.87) as Subpart G.
25. Designate §§ 61.52 through 61.59
as subpart F, and add a new subpart F
heading to read as follows:
Subpart F—Formatting and Notice
Requirements for Tariff Publications
26. Section 61.51 is added to newly
designated subpart F to read as follows:
§ 61.51
Scope.
jlentini on DSKJ8SOYB1PROD with PROPOSALS
The rules in this subpart apply to
tariffs filed by issuing carriers, with the
exception of the informational tariffs
filed pursuant to 47 U.S.C. 226(h)(1)(A),
unless otherwise noted.
27. Section 61.52 is amended by
removing paragraph (a), redesignating
paragraphs (b) and (c) as paragraphs (a)
and (b) and revising newly redesignated
paragraph (a) introductory text, and
newly redesignated paragraph (b) to
read as follows:
§ 61.52
Form, size, type, legibility, etc.
(a) Pages of tariffs must be numbered
consecutively and designated as
‘‘Original title page,’’ ‘‘Original page 1,’’
‘‘Original page 2,’’ etc.
*
*
*
*
*
(b) All issuing carriers shall file all
tariff publications and associated
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documents, such as transmittal letters,
requests for special permission, and
supporting information, electronically
in accordance with the requirements set
forth in § 61.13 through § 61.17.
28. Section 61.55 is amended by
revising paragraph (a) to read as follows:
§ 61.55
Contract-based tariffs.
after the scheduled effective date of the
pending revisions.
(c) Changes to rates and regulations
for dominant carriers that have taken
effect but have not been in effect for at
least 30 days may not be made unless
the scheduled effective date of the
proposed changes is at least 30 days
after the effective date of the existing
regulations.
31. Section 61.66 is revised to read as
follows:
(a) This section shall apply to price
cap local exchange carriers permitted to
offer contract-based tariffs under
§ 69.727(a) of this chapter.
*
*
*
*
*
29. Section 61.58 is amended by
revising paragraphs (a)(2)(ii), (d), (e)(1)
introductory text and adding new
paragraph (f) to read as follows:
§ 61.66
§ 61.58
§ 61.68
Notice requirements.
(a) * * *
(2) * * *
(ii) Local exchange carriers may elect
not to file tariffs pursuant to section
204(a)(3) of the Communications Act.
For dominant carriers, any such tariffs
shall be filed on at least 16 days’ notice.
For nondominant carriers, any such
tariffs shall be filed on at least one days’
notice.
*
*
*
*
*
(d)(1) A price cap local exchange
carrier that is filing a tariff revision to
remove its corridor or interstate
intraLATA toll services from its
interexchange basket pursuant to
§ 61.42(d)(4)(ii) shall submit such filing
on at least fifteen days’ notice.
(2) A price cap local exchange carrier
that has removed its corridor and
interstate intraLATA toll services from
its interexchange basket pursuant to
§ 61.42(d)(4)(ii) shall file subsequent
tariff filings for corridor or interstate
intraLATA toll services on at least one
day’s notice.
(e) Non-price cap local exchange
carriers and/or services. (1) Tariff filings
in the instances specified in paragraphs
(e)(1)(i), (ii), and (iii) of this section by
dominant carriers must be made on at
least 15 days’ notice.
*
*
*
*
*
(f) All tariff filings of domestic and
international non-dominant carriers
must be made on at least one days’
notice.
30. Section 61.59 is amended by
revising paragraphs (b) and (c) to read
as follows:
§ 61.59 Effective period required before
changes.
*
*
*
*
*
(b) Changes to rates and regulations
for dominant carriers that have not yet
become effective, i.e., are pending, may
not be made unless the effective date of
the proposed changes is at least 30 days
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Scope.
The rules in this subpart apply to all
issuing carriers, unless otherwise noted.
32. Section 61.68 is amended by
revising paragraph (a) to read as follows:
Special notations.
(a) Any tariff filing made pursuant to
an Application for Special Permission,
Commission decision or order must
contain the following statement:
Issued under authority of (specific
reference to the special permission,
Commission decision, or order) of the
Commission.
*
*
*
*
*
33. Section 61.83 is revised to read as
follows:
§ 61.83
Consecutive numbering.
Issuing carriers should file tariff
publications under consecutive FCC
numbers. If this cannot be done, a
memorandum containing an
explanation of the missing number or
numbers must be submitted.
Supplements to a tariff must be
numbered consecutively in a separate
series.
34. Section 61.86 is revised to read as
follows:
§ 61.86
Supplements.
An issuing carrier may not file a
supplement except to suspend or cancel
a tariff publication, or to defer the
effective date of pending tariff revisions.
A carrier may file a supplement for the
voluntary deferral of a tariff publication.
35. Section 61.87 is amended by
revising paragraph (a) introductory text,
paragraphs (a)(1)(i), (a)(1)(ii), (a)(3), and
(c) to read as follows:
§ 61.87
Cancellation of tariffs.
(a) An issuing carrier may cancel an
entire tariff. Cancellation of a tariff
automatically cancels every page and
supplement to that tariff except for the
canceling Title Page or first page.
(1) * * *
(i) The issuing carrier whose tariff is
being canceled must revise the Title
Page or the first page of its tariff
indicating that the tariff is no longer
effective, or
E:\FR\FM\11AUP1.SGM
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Federal Register / Vol. 75, No. 154 / Wednesday, August 11, 2010 / Proposed Rules
(ii) The issuing carrier under whose
tariff the service(s) will be provided
must revise the Title Page or first page
of the tariff to be canceled, using the
name and numbering shown in the
heading of the tariff to be canceled,
indicating that the tariff is no longer
effective. This carrier must also file with
the Commission the new tariff
provisions reflecting the service(s) being
canceled. Both filings must be effective
on the same date and may be filed under
the same transmittal.
*
*
*
*
*
(3) A carrier canceling its tariff, as
described in this section, must comply
with § 61.54(b)(1) and (b)(5), as
applicable.
*
*
*
*
*
(c) When a carrier ceases to provide
service(s) without a successor, it must
cancel its tariff pursuant to the notice
requirements of § 61.58, as applicable,
unless otherwise authorized by the
Commission.
36. Section 61.132 is revised to read
as follows:
§ 61.132
Method of filing concurrences.
jlentini on DSKJ8SOYB1PROD with PROPOSALS
A carrier proposing to concur in
another carrier’s effective tariff must
deliver one copy of the concurrence to
the issuing carrier in whose favor the
concurrence is issued. The concurrence
must be signed by an officer or agent of
the carrier executing the concurrence,
and must be numbered consecutively in
a separate series from its FCC tariff
numbers. At the same time the issuing
carrier revises its tariff to reflect such a
concurrence, it must file one copy of the
concurrence electronically with the
Commission in accordance with the
VerDate Mar<15>2010
16:23 Aug 10, 2010
Jkt 220001
48641
requirements set forth in §§ 61.13
through 61.17. The concurrence must
bear the same effective date as the date
of the tariff filing reflecting the
concurrence. Carriers shall file revisions
reflecting concurrences in their tariffs
on the notice period specified in
§ 61.58.
37. Section 61.134 is revised to read
as follows:
§ 61.191 Carrier to file supplement when
notified of suspension.
§ 61.134 Concurrences for through
services.
PART 64—MISCELLANEOUS RULES
RELATING TO COMMON CARRIERS
An issuing carrier filing rates or
regulations for through services between
points on its own system and points on
another carrier’s system (or systems), or
between points on another carrier’s
system (or systems), must list all
concurring, connecting or other
participating carriers as provided in
§ 61.54 (f), (g), and (h). A concurring
carrier must tender a properly executed
instrument of concurrence to the issuing
carrier. If rates and regulations of the
other carriers engaging in the through
service(s) are not specified in the
issuing carrier’s tariff, that tariff must
state where the other carrier’s rates and
regulations can be found. Such
reference(s) must contain the FCC
number(s) of the referenced tariff
publication(s), the exact name(s) of the
carrier(s) issuing such tariff
publication(s), and must clearly state
how the rates and regulations in the
separate publications apply.
38. Section 61.191 is revised to read
as follows:
PO 00000
If an issuing carrier is notified by the
Commission that its tariff publication
has been suspended, the carrier must
file, within five business days from the
release date of the suspension order, a
consecutively numbered supplement
without an effective date, which
specifies the schedules which have been
suspended.
39. The authority citation for part 64
continues to read as follows:
Authority: 47 U.S.C. 154, 254(K); secs.
403(b)(2)(B), (c), Pub. L. 104–104, 110 Stat.
56. Interpret or apply 47 U.S.C. 201, 218, 222,
225, 226, 228, and 254(k) unless otherwise
noted.
40. Section 64.709 is amended by
revising paragraphs (d)(1) and (d)(2) to
read as follows:
§ 64.709
Informational tariffs.
*
*
*
*
*
(d) * * *
(1) The original of the cover letter
shall be submitted to the Secretary
without attachments, along with FCC
Form 159, and the appropriate fee to the
address set forth in § 1.1105 of this
chapter.
(2) Carriers should file informational
tariffs and associated documents, such
as cover letters and attachments,
electronically in accordance with
§§ 61.13 and 61.14 of this chapter.
*
*
*
*
*
[FR Doc. 2010–19580 Filed 8–10–10; 8:45 am]
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Agencies
[Federal Register Volume 75, Number 154 (Wednesday, August 11, 2010)]
[Proposed Rules]
[Pages 48629-48641]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2010-19580]
=======================================================================
-----------------------------------------------------------------------
FEDERAL COMMUNICATIONS COMMISSION
47 CFR Parts 61 and 64
[WC Docket No. 10-141; FCC 10-127]
Electronic Tariff Filing System (ETFS)
AGENCY: Federal Communications Commission.
ACTION: Notice of proposed rulemaking.
-----------------------------------------------------------------------
SUMMARY: In this document, the Federal Communications Commission
(Commission) seeks comment on extending the electronic tariff filing
requirement for incumbent local exchange carriers to all carriers that
file tariffs and related documents. Additionally, the Commission seeks
comment on the appropriate time frame for implementing this proposed
requirement. The Commission also seeks comment on the proposal that the
Chief of the Wireline Competition Bureau administer the adoption of
this extended electronic filing requirement. Also, the Commission seeks
comment on proposed rule changes to implement mandatory electronic
tariff filing.
DATES: Comments are due on or before September 10, 2010 and reply
comments are due on or before September 27, 2010. Written comments on
the Paperwork Reduction Act proposed information collection
requirements must be submitted by the public, Office of Management and
Budget (OMB), and other interested parties on or before October 12,
2010. If you anticipate that you will be submitting comments, but find
it difficult to do so within the period of time allowed by this notice,
you should advise the contact listed below as soon as possible.
ADDRESSES: You may submit comments, identified by WC Docket No. 10-141
by any of the following methods:
Federal eRulemaking Portal: https://www.regulations.gov.
Follow the instructions for submitting comments.
Federal Communications Commission's Web site: https://fjallfoss.fcc.gov/ecfs2/. Follow the instructions for submitting
comments.
People with Disabilities: Contact the FCC to request
reasonable accommodations (accessible format documents, sign language
interpreters, CART, etc.) by e-mail: FCC504@fcc.gov or phone: (202)
418-0530 or TTY: (202) 418-0432.
In addition to filing comments with the Secretary, a copy
of any comments on the Paperwork Reduction Act information collection
requirements contained herein should be submitted to the Federal
Communications Commission via e-mail to PRA@fcc.gov and to Nicholas A.
Fraser, Office of Management and Budget, via e-mail to Nicholas_A._Fraser@omb.eop.gov or via fax at 202-395-5167.
For detailed instructions for submitting comments and additional
information on the rulemaking process, see the SUPPLEMENTARY
INFORMATION section of this document.
FOR FURTHER INFORMATION CONTACT: Pamela Arluk at (202) 418-1520 or
Lynne Hewitt Engledow at (202) 418-1520, Wireline Competition Bureau,
Pricing Policy Division. For additional information concerning the
Paperwork Reduction Act information collection requirements contained
in this document, send an e-mail to PRA@fcc.gov and to Nicholas A.
Fraser, Office of Management and Budget, Nicholas_A._Fraser@omb.eop.gov or via fax at 202-395-5167.
SUPPLEMENTARY INFORMATION: This is a synopsis of the Commission's
Notice of Proposed Rulemaking (NPRM) in WC Docket No. 10-141, FCC 10-
127, adopted July 15, 2010, and released July 15, 2010. The complete
text of this document is available for inspection and copying during
normal business hours in the FCC Reference Information Center, Portals
II, 445 12th Street, SW., Room CY-A257, Washington, DC 20554. The
document may also be purchased from the Commission's duplicating
contractor, Best Copy and Printing, Inc., 445 12th Street, SW., Room
CY-B402, Washington, DC 20554, telephone (800) 378-3160 or (202) 863-
2893, facsimile (202) 863-2898, or via the Internet at https://www.bcpiweb.com. It is also available on the Commission's Web site at
https://www.fcc.gov.
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 and reply
comments on or before the dates indicated on the first page of this
document. Comments may be filed using: (1) The Commission's Electronic
Comment Filing System (ECFS), (2) the Federal Government's eRulemaking
Portal, or (3) by filing paper copies. See Electronic Filing of
Documents in Rulemaking Proceedings, 63 FR 24121, May 1, 1998.
Electronic Filers: Comments may be filed electronically
using the Internet by accessing the ECFS: https://www.fcc.gov/cgb/ecfs/
or the Federal eRulemaking Portal: https://www.regulations.gov. Filers
should follow the instructions provided on the Web site for submitting
comments.
[cir] For ECFS filers, if multiple docket or rulemaking numbers
appear in the caption of this proceeding, filers must transmit one
electronic copy of the comments for each docket or rulemaking number
referenced in the caption. In completing the transmittal screen, filers
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,
filers should send an e-mail to ecfs@fcc.gov, and include the following
words in the body of the message, ``get form.'' A sample form and
directions will be sent in response.
Paper Filers: 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,
filers must submit two additional copies for each additional docket or
rulemaking number.
Filings can be sent by hand or messenger delivery, by commercial
overnight courier, or by first-class or
[[Page 48630]]
overnight U.S. Postal Service mail (although we continue to experience
delays in receiving U.S. Postal Service mail). All filings must be
addressed to the Commission's Secretary, Office of the Secretary,
Federal Communications Commission.
[cir] All hand-delivered or messenger-delivered paper filings for
the Commission's Secretary must be delivered to FCC Headquarters at 445
12th Street, SW., Room TW-A325, Washington, DC 20554. All hand
deliveries must be held together with rubber bands or fasteners. Any
envelopes must be disposed of before entering the building. The filing
hours are Monday through Friday, 8 a.m. to 7 p.m.
[cir] 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.
[cir] U.S. Postal Service first-class, Express, and Priority mail
should be addressed to 445 12th Street, SW., Washington, DC 20554.
People with Disabilities: To request materials in accessible
formats for people with disabilities (Braille, large print, electronic
files, audio format), send an e-mail to fcc504@fcc.gov or call the
Consumer & Governmental Affairs Bureau at (202) 418-0530 (voice) or
(202) 418-0432 (TTY). Contact the FCC to request reasonable
accommodations for filing comments (accessible format documents, sign
language interpreters, CART, etc.) by e-mail: fcc504@fcc.gov; phone:
(202) 418-0530 or (202) 418-0432 (TTY).
In addition, one copy of each pleading must be sent to each of the
following:
[cir] The Commission's duplicating contractor, Best Copy and
Printing, Inc, 445 12th Street, SW., Room CY-B402, Washington, DC
20554; Web site: https://www.bcpiweb.com; phone: 1-800-378-3160; and
[cir] Pamela Arluk, Pricing Policy Division, Wireline Competition
Bureau, 445 12th Street, SW., Room 5-A131, Washington, DC 20554; e-
mail: pamela.arluk@fcc.gov or telephone number (202) 418-1520; and
[cir] Lynne Hewitt Engledow, Pricing Policy Division, Wireline
Competition Bureau, 445 12th Street, SW., Room 5-A361, Washington, DC
20554; e-mail: lynne.engledow@fcc.gov or telephone number (202) 418-
1520.
Filings and comments are also available for public inspection and
copying during regular business hours at the FCC Reference Information
Center, Portals II, 445 12th Street, SW., Room CY-A257, Washington, DC
20554. Copies may also be purchased from the Commission's duplicating
contractor, BCPI, 445 12th Street, SW., Room CY-B402, Washington, DC
20554. Customers may contact BCPI through its Web site: https://www.bcpiweb.com, by e-mail at fcc@bcpiweb.com, by telephone at (202)
488-5300 or (800) 378-3160 (voice), (202) 488-5562 (TTY), or by
facsimile at (202) 488-5563.
Comments and reply comments must include a short and concise
summary of the substantive arguments raised in the pleading. Comments
and reply comments must also comply with Sec. 1.49 and all other
applicable sections of the Commission's rules. We direct all interested
parties to include the name of the filing party and the date of the
filing on each page of their comments and reply comments. All parties
are encouraged to utilize a table of contents, regardless of the length
of their submission. We also strongly encourage parties to track the
organization set forth in the NPRM in order to facilitate our internal
review process.
Initial Paperwork Reduction Act of 1995 Analysis
This document contains proposed information collection
requirements. 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
requirements contained in this document, as required by the Paperwork
Reduction Act of 1995, Public Law 104-13. Public and agency comments
are due October 12, 2010.
Comments on the proposed information collection requirements should
address: (a) Whether the proposed collection of information is
necessary for the proper performance of the functions of the
Commission, including whether the information shall have practical
utility; (b) the accuracy of the Commission's burden estimates; (c)
ways to enhance the quality, utility, and clarity of the information
collected; and (d) ways to minimize the burden of the collection of
information on the respondents, including the use of automated
collection techniques or other forms of information technology. In
addition, pursuant to the Small Business Paperwork Relief Act of 2002,
Public Law 107-198, see 44 U.S.C. 3506(c)(4), we seek specific comment
on how we might further reduce the information collection burden for
small business concerns with fewer than 25 employees.
OMB Control Number: 3060-XXXX.
Title: Electronic Tariff Filing System (ETFS).
Form Number(s): N/A.
Type of Review: New information collection.
Respondents: Business or other for-profit and not-for-profit
institutions.
Number of Respondents and responses: Estimated 1,500 respondents
and 1,500 responses.
Estimated Time per Response: 1 hour (average time per response).
Obligation to Respond: Required to obtain or retain benefits.
Frequency of Response: Annual and on occasion reporting
requirements.
Total Annual Burden: 1,500 hours.
Total Annual Cost: $150,000.
Privacy Act Impact Assessment: No impact.
Nature of Extent of Confidentiality: The Commission is not
requesting that the respondents submit confidential information to the
FCC. Respondents may, however, request confidential treatment for
information they believe to be confidential under 47 CFR 0.459 of the
Commission's rules.
Needs and Uses: The Commission is requesting review and approval of
a new information collection requiring all tariff filing entities to
use the Federal Communications Commission's Electronic Tariff Filing
System (ETFS) to file their tariffs and related documents.
Currently, incumbent local exchange carriers (LECs) file their
tariffs and associated documents electronically, using ETFS. ETFS has
improved the usefulness of tariff filings for both filers and the
public and made the entire tariff filing process more transparent. By
contrast, competitive LECs currently do not file tariffs and associated
documents electronically. In the Notice of Proposed Rulemaking (NPRM),
in WC Docket No. 10-141, we initiate a rulemaking proceeding to
consider extending the existing electronic filing requirement to all
tariff filing entities. In particular, to create a more open,
transparent and efficient flow of information to the public, we
consider whether the benefits of using the ETFS for incumbent LEC
tariff filings would also be obtained if all tariff filers filed
electronically.
Additionally, the Commission seeks comment on the appropriate time
frame for implementing this proposed requirement. Relevant rule
modifications are also proposed in the NPRM. The Commission also seeks
comment on the proposal that the Chief of the Wireline Competition
Bureau administer the adoption of this extended electronic filing
requirement. We believe such action will benefit the
[[Page 48631]]
public and carriers by creating a central system providing online
access to all carrier tariffs and related documents filed with the
Commission.
I. Introduction
1. Currently, incumbent local exchange carriers (LECs) file their
tariffs and associated documents electronically, using the Electronic
Tariff Filing System (ETFS). ETFS has improved the usefulness of tariff
filings for both filers and the public and made the entire tariff
filing process more transparent. By contrast, competitive LECs do not
file tariffs and associated documents electronically. In this NPRM, we
initiate a rulemaking proceeding to consider extending the existing
electronic filing requirement to all tariff filing entities, consistent
with the public interest. In particular, to create a more open,
transparent and efficient flow of information to the public, we
consider whether the benefits of using the ETFS for incumbent LEC
tariff filings would also be obtained if all tariff filers filed
electronically. As discussed below, we propose rule modifications that
expand the electronic tariff filing requirement to all tariff filers.
We believe such action will benefit the public and carriers by creating
a central system providing online access to all carrier tariffs filed
with the Commission.
II. Background
2. In adopting the Telecommunications Act of 1996 (1996 Act),
Congress sought to establish ``a pro-competitive, de-regulatory
national policy framework'' for the telecommunications industry.
Consistent with that goal, section 402(b)(1)(A)(iii) of the 1996 Act
added section 204(a)(3) to the Communications Act of 1934, as amended,
providing for streamlined tariff filings by local exchange carriers. On
September 6, 1996, in an effort to meet the goals of the 1996 Act, the
Commission released the Tariff Streamlining NPRM, 61 FR 49,987,
September 24, 1996, proposing measures to implement the tariff
streamlining requirements of section 204(a)(3). Among other
suggestions, the Commission proposed requiring LECs to file tariffs
electronically. The Commission also tentatively concluded that
electronic tariff filing would reduce burdens on carriers and the
Commission, facilitate access to tariffs and associated documents by
the public, make all tariff information available to state and other
federal regulators, and facilitate the compilation of aggregate carrier
data for industry analysis purposes.
3. The Commission began implementing the electronic filing of
tariffs on January 31, 1997, when it released the Streamlined Tariff
Order. The Streamlined Tariff Order established rules implementing the
1996 Act's tariff streamlining provisions and also required LECs to
file tariffs and associated documents electronically in accordance with
requirements established by the Common Carrier Bureau (Bureau). On
November 17, 1997, the Bureau made this electronic system, known as the
Electronic Tariff Filing System, available for voluntary filing by
incumbent LECs. The Bureau also announced that the use of ETFS would
become mandatory for all incumbent LECs in 1998.
4. On May 28, 1998, in the ETFS Order, 63 FR 35,539, June 30, 1998,
the Bureau established July 1, 1998, as the date after which incumbent
LECs would be required to use ETFS to file tariffs and associated
documents. The ETFS Order also revised the Commission's rules to
establish other requirements necessary to implement the Commission's
electronic tariff filing program. Specifically, the revised rules
required incumbent LECs to electronically file complete tariff Base
Documents, tariff revisions, applications for special permission,
supporting information, and Tariff Review Plans (TRPs) via ETFS.
Although the Tariff Streamlining NPRM proposed mandatory electronic
filing by all local exchange carriers, the Bureau limited the scope of
the ETFS Order to incumbent LECs. The Commission deferred consideration
of establishing mandatory electronic filing for non-incumbent LECs
until the conclusion of a proceeding considering the mandatory
detariffing of interstate long distance services.
5. On October 31, 1996, the Commission released the Detariffing
Order, which ordered mandatory detariffing of most interstate,
domestic, interexchange services of nondominant interexchange carriers
(IXCs). In deciding to detariff these services, the Commission found
that tariffs ``are not necessary to ensure that the rates, practices,
and classifications of nondominant interexchange carriers for
interstate, domestic, interexchange services are just and reasonable
and not unjustly or unreasonably discriminatory'' and are not necessary
for the protection of consumers. The Commission, however, permitted
some exceptions to mandatory detariffing, in which nondominant carriers
could still file tariffs.
6. In addition, nondominant carriers continue to file tariffs for
other services that were unaffected by the Detariffing Order. For
example, domestic operator service providers (OSPs) must file
informational tariffs pursuant to the Communications Act and the
Commission's rules. Moreover, subject to certain exceptions and
limitations, competitive LECs are permitted to tariff interstate access
charges if the charges are no higher than the rate charged for such
services by the competing incumbent LEC. In contrast to tariff filings
by incumbent LECs, tariff filings by nondominant carriers are currently
submitted via diskette, CD-ROM and/or paper, which are cumbersome and
costly for the carrier, the Commission, and make it difficult for
interested parties to review the documents.
III. Discussion
7. With this document we initiate a rulemaking proceeding to
examine whether mandatory electronic filing of tariffs and associated
documents should be extended to all tariff filing entities. As
discussed below, we propose rules that extend the electronic filing
requirement to all tariff filers. We believe this proposed action is in
the public interest.
8. We solicit comment on our proposal that mandatory electronic
tariff filing should be required for all tariff filers. Specifically,
we propose that all tariff filers must follow the Commission's rules
for electronic tariff filing and file via ETFS their tariffs, tariff
revisions, base documents, and associated documents, including
applications for special permission. In addition, we expect that all
carriers would have the capabilities to file tariffs electronically and
that such a requirement would not impose an undue burden on small or
rural carriers. We invite interested parties to comment and propose
alternative means to accomplish these goals.
9. We believe that electronic filing of all tariffs and associated
documents would facilitate the administration of those tariffs. We also
believe that the expected benefits of electronic tariff filing by
incumbent LECs outlined in the Tariff Streamlining NPRM will also be
realized by requiring electronic filing of all tariffs and associated
documents. These anticipated benefits include: Reducing burdens on
carriers and the Commission; facilitating access to tariffs and
associated documents by the public; increasing the ease in which
interested parties can review all tariffs; making all tariff
information available to state and other federal regulators; and
facilitating the compilation of aggregate carrier data for industry
analysis purposes. We believe that including all tariffs on ETFS
[[Page 48632]]
will improve public access to these filings and will greatly enhance
the transparency and efficiency of the tariff filing process. We invite
interested parties to comment on these anticipated benefits.
Additionally, we propose that international dominant carriers filing
pursuant to section 61.28 of the Commission's rules should be subject
to electronic filing. We seek comment on this proposal.
10. Requirements applicable to carriers filing tariffs
electronically are different from those that apply to carriers filing
tariffs via diskette, CD ROM and/or paper. By requiring electronic
filing of all tariffs, the same rules will apply to all tariff filers,
which will help ensure that interested parties have notice of the type
of filing being made and will be able to more easily review those
filings. In that regard, we invite interested parties to comment on
expanding the applicability of sections 61.14, 61.15, and 61.16 of the
Commission's rules in that manner.
11. Section 61.15 also requires the inclusion of a filer's FCC
Registration Number (FRN) with each electronic tariff filing. We
propose that consistent with this rule, each letter of transmittal must
contain the filing carrier's FRN. If more than one carrier participates
in the tariff, the FRN for the filing carrier and the FRNs for each
individual carrier that participates in the tariff should be included
in the letter of transmittal. This will ensure that it is clear to
Commission staff and the public which carriers are participating in the
tariff. We also propose that the use of consecutive transmittal numbers
for letters of transmittal pursuant to the proposed revision of section
61.15 facilitates the Commission's ability to electronically match the
mandatory tariff filing fee with the appropriate carrier's filing. We
seek comment on these proposals and appropriate alternatives.
12. We also invite specific comment on the use of transmittal
numbers if mandatory electronic filing is required; for carriers
converting from non-electronic filing, should the transmittal numbers
continue sequentially from the last non-electronic tariff or associated
document transmission or should transmittal numbers start anew at the
number one, with the implementation of mandatory electronic filing? We
also invite comment on the numbering of special permission applications
pursuant to section 61.17. If mandatory electronic filing is required,
should the first special permission application filed electronically
for a carrier start with number one or should the special permission
application continue to be numbered sequentially from the last non-
electronically filed special permission request?
13. Currently, sections 61.52 and 61.54 of our rules, which require
specific formatting and composition of tariffs, apply only to dominant
carriers. Because we will be requiring all carriers to file tariffs
electronically, we believe that it may be beneficial for the public and
Commission staff to have consistent formatting of all tariffs.
Accordingly, we propose that all carriers should be required to comply
with the formatting and composition requirements of our rules. This
would ensure that all tariffs have a basic uniformity that will
facilitate an ease of review for customers and other entities examining
such tariffs. However, we recognize that this modification may create a
burden for nondominant carriers that have not been subject to such
requirements in the past. Accordingly, we seek comment on this proposal
and invite specific comment on whether requiring all carriers to comply
with sections 61.52 and 61.54 would place an undue burden on carriers
that have not been required to comply with such requirements in the
past. Moreover, we propose amending the notice requirements of section
61.58 to add a provision that nondominant carriers who are eligible to
file pursuant to the streamlining requirements of section 204(a)(3),
but choose not to, must file tariffs on at least one days' notice. This
addition to section 61.58 would permit us to remove section 61.23 as
duplicative, and instead require all carriers to comply with the
general notice requirements of section 61.58. We seek comment on this
proposed modification to our rules and any appropriate alternatives.
14. A number of nondominant carriers operate under a ``doing
business as'' or d/b/a name. Such a practice can be confusing to
Commission staff and parties searching for tariff documents. Section
61.54 of the Commission's rules requires the ``exact name of the
carrier'' be used to ``identify the carrier issuing the tariff
publication.'' We propose to clarify that this rule requires carriers
to use their legal names in tariffs and associated documents when
filing via ETFS. If carriers use a d/b/a name in addition to their
legal name, we propose that the d/b/a name be noted on the Title page
of the tariff other than with the ``exact name of the carrier.'' We
seek comment on this proposal and any alternative means by which to
address such confusion.
15. We note that ETFS has been available for use since November 17,
1997 and its use has been mandatory for incumbent LECs since July 1,
1998. Given that ETFS has been used by the public for more than a
decade, we seek comment on the amount of time parties believe all
tariff filers will need before they can comply with the mandatory
tariff filing requirement. Specifically, we seek comment on how long
after an order requiring electronic filing for all tariff filers should
filers be required to use ETFS for all tariff and associated document
filing. We propose that all tariff filers must use ETFS for all tariff
and associated document filing 120 days after a final order in this
docket implementing such a requirement (or summary thereof) is
published in the Federal Register. We also propose that affected
carriers must file their currently effective tariffs on ETFS no later
than 120 days after a final order in this docket (or summary thereof)
is published in the Federal Register, which will be the carrier's Base
Document. Once the initial Base Documents are filed on ETFS, all future
tariff revisions would also be required to be filed electronically on
ETFS. After that 120-day period, we propose that the electronic version
of the currently effective tariffs on ETFS will replace all prior
tariffs, and those previously filed will be considered null and void.
Similarly, we propose that tariffs previously filed with the Commission
that are not replaced by an electronic version on ETFS will also be
considered null and void. After that 120-day period, we also propose
that all tariff filers will no longer be permitted to file diskette,
CD-ROM and/or paper copies of tariffs and associated documents that
otherwise would be filed with the Secretary, the Chief of the Pricing
Policy Division of the Wireline Competition Bureau, and the
Commission's commercial contractor. We seek comment on these proposals
and any suggested alternatives.
16. We propose that the Chief of the Wireline Competition Bureau
should be responsible for administering the adoption of electronic
tariff filing requirements for all tariff filers. This is consistent
with the Streamlined Tariff Order. We seek comment on this proposal. We
also seek comment on the proposed rule modifications in Appendix A and
we believe that these proposed requirements are in the public interest
for the reasons stated herein.
17. For consistency and administrative clarity we propose changes
to additional sections in part 61 of the Commission's rules as shown in
Appendix A of the NPRM. For example, we propose consolidating the
requirements for letters of transmittal and cover letters in section
61.15 of the Commission's rules, and therefore,
[[Page 48633]]
propose to delete sections 61.21 and 61.33 of our rules because those
rules would be duplicative of section 61.15. We believe that these
proposed changes are necessary to accomplish the numerous goals
anticipated with the implementation of mandatory electronic tariff
filing for all tariff filing entities. We seek comment on these
proposed changes. Finally, we invite comment on other considerations
and alternatives interested parties believe relevant to extending the
electronic tariff filing requirement to all tariff filing entities.
IV. Procedural Matters
A. Initial Regulatory Flexibility Analysis
18. As required by the Regulatory Flexibility Act of 1980, as
amended (RFA) see 5 U.S.C. 603, the Commission has prepared the present
Initial Regulatory Flexibility Analysis (IRFA) of the possible
significant economic impact on small entities that might result from
this NPRM. Written public comments are requested on this IRFA. Comments
must be identified as responses to the IRFA and must be filed by the
deadlines for comments on the NPRM provided above. The Commission will
send a copy of the Notice, including this IRFA, to the Chief Counsel
for Advocacy of the Small Business Administration. In addition, the
Notice and IRFA (or summaries thereof) will be published in the Federal
Register.
1. Need for, and Objectives of, the Proposed Rules
19. Today, the Commission adopts a Notice of Proposed Rulemaking
(NPRM) to consider extending the requirement to file tariff and
associated documents electronically via the Electronic Tariff Filing
System to all tariff filing entities. In the NPRM the Commission seeks
comment on the proposal to extend this requirement to all tariff filing
entities and on the expected benefits of doing such. Additionally, the
Commission seeks comment on the appropriate time frame for implementing
this proposed requirement. The Commission also seeks comment on the
proposal that the Chief of the Wireline Competition Bureau administer
the adoption of this extended electronic filing requirement.
2. Legal Basis
20. The legal basis for any action that may be taken pursuant to
the NPRM is contained in sections 1, 4(i), 201-205, and 226(h)(1)(A) of
the Communications Act of 1934, as amended, 47 U.S.C. 151, 154(i), 201-
205, and 226(h)(1)(A).
3. Description and Estimate of the Number of Small Entities To Which
the Proposed Rules May Apply
21. The RFA directs agencies to provide a description of, and where
feasible, an estimate of the number of small entities that may be
affected by the proposed rules, if adopted. The RFA generally defines
the term ``small entity'' as having the same meaning as the terms
``small business,'' ``small organization,'' and ``small governmental
jurisdiction.'' In addition, the term ``small business'' has the same
meaning as the term ``small-business concern'' under the Small Business
Act. A ``small-business concern'' is one which: (1) Is independently
owned and operated; (2) is not dominant in its field of operation; and
(3) satisfies any additional criteria established by the Small Business
Administration.
22. Competitive Local Exchange Carriers (competitive LECs),
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.
According to Commission data, 1,005 carriers reported that they were
engaged in the provision of either competitive local exchange services
or competitive access provider services. Of these 1,005 carriers, an
estimated 918 have 1,500 or fewer employees and 87 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, 89 carriers have reported that they are
Other Local Service Providers. Of the 89, all 89 have 1,500 or fewer
employees and none 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.
23. Interexchange Carriers (IXCs). Neither the Commission nor the
SBA has developed a size standard for small businesses specifically
applicable to interexchange services. The closest applicable size
standard under SBA rules is for Wired Telecommunications Carriers.
Under that size standard, such a business is small if it has 1,500 or
fewer employees. According to Commission data, 300 companies reported
that their primary telecommunications service activity was the
provision of interexchange services. Of these 300 companies, an
estimated 268 have 1,500 or fewer employees and 32 have more than 1,500
employees. Consequently, the Commission estimates that the majority of
interexchange service providers are small entities.
24. Operator Service Providers (OSPs). Neither the Commission nor
the SBA has developed a small business size standard specifically for
operator 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. According to Commission data, 28 carriers have reported that
they are engaged in the provision of operator services. Of these, an
estimated 27 have 1,500 or fewer employees and one has more than 1,500
employees. Consequently, the Commission estimates that the majority of
OSPs are small entities.
4. Description of Projected Reporting, Recordkeeping and Other
Compliance Requirements
25. Should the Commission decide to expand mandatory electronic
filing to competitive LECs, the associated rules potentially would
modify the reporting and recordkeeping requirements of these entities.
The NPRM proposed that tariff filers must follow the Commission's rules
for electronic tariff filing and file via ETFS their tariffs, tariff
revisions, base documents and associated documents, including
applications for special permission. Moreover, in order to provide
uniformity for tariff filings, the NPRM would propose to extend certain
procedural requirements to all tariff filing entities, including:
Specific formatting and composition requirements, the use of FCC
registration numbers and the use of transmittal numbers. We seek
comment on the possible burden these requirements would place on small
entities. Also, we seek comment on whether a special approach toward
any possible compliance burdens on small entities might be appropriate.
Entities, especially small businesses, are encouraged to quantify the
costs and benefits of any reporting requirement that may be established
in this proceeding.
[[Page 48634]]
5. Steps Taken To Minimize Significant Economic Impact on Small
Entities, and Significant Alternatives Considered
26. The RFA requires an agency to describe any significant,
specifically small business, alternatives that it has considered in
reaching its proposed approach, which may include the following four
alternatives (among others): ``(1) The establishment of differing
compliance or reporting requirements or timetables that take into
account the resources available to small entities; (2) the
clarification, consolidation, or simplification of compliance and
reporting requirements under the rules for such small entities; (3) the
use of performance rather than design standards; and (4) an exemption
from coverage of the rule, or any part thereof, for such small
entities.''
27. The NPRM seeks comment from all interested parties. Small
entities are encouraged to bring to the Commission's attention any
specific concerns they may have with the proposals outlined in the
NPRM. The Commission believes that most carriers are familiar with the
Electronic Tariff Filing System, if not currently using it. As such,
the Commission believes the burden on small entities will be minimal.
In addition, to assist tariff filers that have not used ETFS
previously, including small entity filers, the Commission is seeking
comment on the amount of time filers will need to transition from paper
filing to using ETFS.
6. Federal Rules That May Duplicate, Overlap, or Conflict With the
Proposed Rules
28. None.
B. Paperwork Reduction Act Analysis
29. The NPRM contains proposed information collection requirements.
As part of the continuing effort to reduce paperwork burdens, we invite
the general public and the OMB to comment on the information
collections contained in this NPRM, as required by the Paperwork
Reduction Act of 1995, 44 U.S.C. 3501 et seq. Public and agency
comments are due at the same time as other comments on this NPRM; OMB
comments are due 60 days from the date of publication of this NPRM in
the Federal Register. Comments should address: (1) 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; (2) the accuracy of the Commission's
burden estimates; (3) ways to enhance the quality, utility, and clarity
of the information collected; and (4) ways to minimize the burden of
the collection of information on the respondents, including the use of
automated collection techniques or other forms of information
technology. In addition, pursuant to the Small Business Paperwork
Relief Act of 2002, Public Law 107-198, see 44 U.S.C. 3506(c)(4), we
seek specific comment on how we might further reduce the information
collection burden for small business concerns with fewer than 25
employees.
C. Ex Parte Presentations
30. This proceeding shall be treated as a ``permit-but-disclose''
proceeding in accordance with the Commission's ex parte rules. Persons
making oral ex parte presentations are reminded that memoranda
summarizing the presentations must contain summaries of the substance
of the presentations and not merely a listing of the subjects
discussed. More than a one or two sentence description of the views and
arguments presented is generally required. Other requirements
pertaining to oral and written presentations are set forth in Sec.
1.1206(b) of the Commission's rules.
List of Subjects
47 CFR Part 61
Communications common carriers, Tariffs, Telecommunications,
Telephone.
47 CFR Part 64
Communications common carriers, Tariffs, Telecommunications,
Telephone.
Federal Communications Commission.
Marlene H. Dortch,
Secretary.
Proposed Rules
For the reasons discussed in the preamble, the Federal
Communications Commission proposes to amend 47 CFR parts 61 and 64 as
follows:
PART 61--TARIFFS
1. The authority citation for part 61 continues to read as follows:
Authority: Secs. 1, 4(i), 4(j), 201-205 and 403 of the
Communications Act of 1934, as amended; 47 U.S.C. 151, 154(i),
154(j), 201-205 and 403, unless otherwise noted.
2. Section 61.3 is amended by redesignating paragraphs (t) through
(y) as paragraphs (u) through (z) and by adding paragraph (t) to read
as follows:
Sec. 61.3 Definitions.
* * * * *
(t) Incumbent Local Exchange Carrier. ``Incumbent Local Exchange
Carrier'' or ILEC'' has the same meaning as that term is defined in 47
U.S.C. 251(h).
* * * * *
3. Section 61.13 is amended by revising paragraphs (a) and (b) to
read as follows:
Sec. 61.13 Scope.
(a) This applies to all tariff publications of issuing carriers
required to file tariff publications electronically, and any tariff
publication that a carrier chooses to file electronically.
(b) All issuing carriers that file tariffs are required to file
tariff publications electronically.
* * * * *
4. Section 61.14 is amended by revising paragraphs (b) and (e) to
read as follows:
Sec. 61.14 Method of filing publications.
* * * * *
(b) In addition, except for issuing carriers filing tariffing fees
electronically, for all tariff publications requiring fees as set forth
in part 1, subpart G of this chapter, issuing carriers must submit the
original of the cover letter (without attachments), FCC Form 159, and
the appropriate fee to the address set forth in Sec. 1.1105 of this
chapter.
* * * * *
(e) Carriers that are required to file publications electronically
must comply with the format requirements set forth in Sec. Sec. 61.52
and 61.54.
5. Section 61.15 is revised to read as follows:
Sec. 61.15 Letters of transmittal and cover letters.
(a) All tariff publications filed with the Commission
electronically must be accompanied by a letter of transmittal. All
letters of transmittal filed with the Commission must be numbered
consecutively by the issuing carrier beginning with Number 1. All
letters of transmittal must also:
(1) Concisely explain the nature and purpose of the filing;
(2) Specify whether supporting information is required for the new
tariff or tariff revision, and specify the Commission rule or rules
governing the supporting information requirements for that filing;
(3) Contain a statement indicating the date and method of filing of
the original of the transmittal as required by Sec. 61.14(b);
(4) Include the FCC Registration Number (FRN) of the carrier(s) on
whose behalf the cover letter is submitted. See subpart W of part 1 of
this title.
[[Page 48635]]
(b) Local exchange carriers filing tariffs electronically pursuant
to the notice requirements of section 204(a)(3) of the Communications
Act shall display prominently, in the upper right hand corner of the
letter of transmittal, a statement that the filing is made pursuant to
that section and whether the tariff is filed on 7 or 15 days notice.
(c) Any carrier filing a new or revised tariff made on 15 days'
notice or less shall include in the letter of transmittal the name,
room number, street address, telephone number, and facsimile number of
the individual designated by the filing carrier to receive personal or
facsimile service of petitions against the filing as required under
Sec. 1.773(a)(4) of this chapter.
(d) International carriers must certify that they are authorized
under Section 214 of the Communications Act of 1934, as amended, to
provide service, and reference the FCC file number of that
authorization.
(e) In addition to the requirements set forth in paragraph (a) of
this section, any incumbent local exchange carrier choosing to file an
Access Tariff under Sec. 61.39 must include in the transmittal:
(1) A summary of the filing's basic rates, terms and conditions;
(2) A statement concerning whether any prior Commission facility
authorization necessary to the implementation of the tariff has been
obtained; and
(3) A statement that the filing is made pursuant to Sec. 61.39.
(f) In addition to the requirements set forth in paragraph (a) of
this section, any price cap local exchange carrier filing a price cap
tariff must include in the letter of transmittal a statement that the
filing is made pursuant to Sec. 61.49.
(g) The letter of transmittal must specifically reference by number
any special permission necessary to implement the tariff publication.
Special permission must be granted prior to the filing of the tariff
publication and may not be requested in the transmittal letter.
(h)(1) The letter of transmittal must be substantially in the
following format:
-----------------------------------------------------------------------
(Exact name of carrier in full)
-----------------------------------------------------------------------
(Post Office Address)
-----------------------------------------------------------------------
(Date)
-----------------------------------------------------------------------
Transmittal No.
Secretary, Federal Communications Commission; Washington, DC 20554
Attention: Wireline Competition Bureau
The accompanying tariff (or other publication) issued by ----, and
bearing FCC No. ----, effective ----, 20 --, is sent to you for
filing in compliance with the requirements of the Communications Act
of 1934, as amended. (Here give the additional information
required.)
-----------------------------------------------------------------------
(Name of issuing officer or agent)
-----------------------------------------------------------------------
(Title)
(2) A separate letter of transmittal may accompany each
publication, or the above format may be modified to provide for filing
as many publications as desired with one transmittal letter.
(i) All submissions of documents other than a new tariff or
revisions to an existing tariff, such as Base Documents or Tariff
Review Plans, must be accompanied by a cover letter that concisely
explains the nature and purpose of the filing. Publications submitted
under this paragraph are not required to submit a tariffing fee.
6. Section 61.16 is amended by revising paragraphs (a) and (b) to
read as follows:
Sec. 61.16 Base documents.
(a) The Base Document is a complete tariff which incorporates all
effective revisions, as of the last day of the preceding month. The
Base Document should be submitted with a cover letter as specified in
Sec. 61.15(i) and identified as the Monthly Updated Base Document.
(b) Initially, issuing carriers that currently have tariffs on file
with the commission must file a Base Document within five days of the
initiation of mandatory electronic filing.
* * * * *
7. Section 61.17 is revised to read as follows:
Sec. 61.17 Applications for special permission.
(a) All issuing carriers that file applications for special
permission, associated documents, such as transmittal letters, requests
for special permission, and supporting information, shall file those
documents electronically.
(b) Applications for special permission must contain:
(1) A detailed description of the tariff publication proposed to be
put into effect;
(2) A statement citing the specific rules and the grounds on which
waiver is sought;
(3) A showing of good cause; and
(4) The appropriate Illustrative tariff pages the issuing carrier
wishes to either revise or add as new pages to its tariff.
(c) An application for special permission must be addressed to
``Secretary, Federal Communications Commission, Washington, DC 20554.''
The Electronic Tariff Filing System will accept filings 24 hours a day,
seven days a week. The official filing date of a publication received
by the Electronic Tariff Filing System will be determined by the date
and time the transmission ends. If the transmission ends after the
close of a business day, as that term is defined in Sec. 1.4(e)(2) of
this chapter, the filing will be date and time stamped as of the
opening of the next business day.
(d) In addition, except for issuing carriers filing tariffing fees
electronically, for special permission applications requiring fees as
set forth in part 1, subpart G of this chapter, issuing carriers must
submit the original of the application letter (without attachments),
FCC Form 159, and the appropriate fee to the address set forth in Sec.
1.1105 of this chapter.
(e) In addition, if an issuing carrier applies for special
permission to revise joint tariffs, the application must state that it
is filed on behalf of all carriers participating in the affected
service. Applications must be numbered consecutively in a series
separate from FCC tariff numbers and Letters of Transmittal, bear the
signature of the officer or agent of the carrier, and be in the
following format:
Application No.--------------------------------------------------------
(Date)-----------------------------------------------------------------
Secretary
Federal Communications Commission
Washington, DC 20554.
Attention: Wireline Competition Bureau (here provide the statements
required by section 61.17(b)).
(Exact name of carrier)------------------------------------------------
(Name of officer or agent)---------------------------------------------
(Title of officer or agent)--------------------------------------------
(f) If approved, the issuing carrier must comply with all terms and
use all authority specified in the grant. If a carrier elects to use
less than the authority granted, it must apply to the Commission for
modification of the original grant. If a carrier elects not to use the
authority granted within sixty days of its effective date, the original
grant will be automatically cancelled by the Commission.
8. Section 61.20 is revised to read as follows:
Sec. 61.20 Method of filing publications.
(a) All issuing carriers that file tariffs shall file all tariff
publications and associated documents, such as transmittal letters,
requests for special permission, and supporting information,
electronically in accordance with the requirements set forth in Sec.
61.13 through Sec. 61.17.
(b) In addition, except for issuing carriers filing tariffing fees
[[Page 48636]]
electronically, for all tariff publications requiring fees as set forth
in part 1, subpart G of this chapter, issuing carriers must submit the
original of the cover letter (without attachments), FCC Form 159, and
the appropriate fee to the address set forth in Sec. 1.1105 of this
chapter.
Sec. Sec. 61.21 through 61.23 [Removed and Reserved]
9. Remove and reserve Sec. Sec. 61.21 through 61.23.
Sec. Sec. 61.32 and 61.33 [Removed and Reserved]
10. Remove and reserve Sec. Sec. 61.32 and 61.33.
11. Section 61.38 is revised to read as follows:
Sec. 61.38 Supporting information to be submitted with letters of
transmittal.
(a) Scope. This section applies to dominant carriers whose gross
annual revenues exceed $500,000 for the most recent 12 month period of
operations or are estimated to exceed $500,000 for a representative 12
month period. Incumbent Local exchange carriers serving 50,000 or fewer
access lines in a given study area that are described as subset 3
carriers in Sec. 69.602 of this chapter may submit Access Tariff
filings for that study area pursuant to either this section or Sec.
61.39. However, the Commission may require any issuing carrier to
submit such information as may be necessary for a review of a tariff
filing. This section (other than the preceding sentence of this
paragraph) shall not apply to tariff filings proposing rates for
services identified in Sec. 61.42 (d), (e), and (g).
(b) Explanation and data supporting either changes or new tariff
offerings. The material to be submitted for a tariff change which
affects rates or charges or for a tariff offering a new service, must
include an explanation of the changed or new matter, the reasons for
the filing, the basis of ratemaking employed, and economic information
to support the changed or new matter.
(1) For a tariff change the issuing carrier must submit the
following, including complete explanations of the bases for the
estimates.
(i) A cost of service study for all elements for the most recent 12
month period;
(ii) A study containing a projection of costs for a representative
12 month period;
(iii) Estimates of the effect of the changed matter on the traffic
and revenues from the service to which the changed matter applies, the
issuing carrier's other service classifications, and the carrier's
overall traffic and revenues. These estimates must include the
projected effects on the traffic and revenues for the same
representative 12 month period used in (b)(1)(ii) of this section.
(2) For a tariff filing offering a new service, the issuing carrier
must submit the following, including complete explanations of the bases
for the estimates.
(i) A study containing a projection of costs for a representative
12 month period; and
(ii) Estimates of the effect of the new matter on the traffic and
revenues from the service to which the new matter applies, the issuing
carrier's other service classifications, and the issuing carrier's
overall traffic and revenues. These estimates must include the
projected effects on the traffic and revenues for the same
representative 12 month period used in paragraph (b)(2)(i) of this
section.
(3) [Reserved]
(4) For a tariff that introduces a system of density pricing zones,
as described in Sec. 69.123 of this chapter, the issuing carrier must,
before filing its tariff, submit a density pricing zone plan including,
inter alia, documentation sufficient to establish that the system of
zones reasonably reflects cost-related characteristics, such as the
density of total interstate traffic in central offices located in the
respective zones, and receive approval of its proposed plan.
(c) Working papers and statistical data. (1) Concurrently with the
filing of any tariff change or tariff filing for a service not
previously offered, the issuing carrier must file the working papers
containing the information underlying the data supplied in response to
paragraph (b) of this section, and a clear explanation of how the
working papers relate to that information.
(2) All statistical studies must be submitted and supported in the
form prescribed in Sec. 1.363 of this chapter.
(d) Form and content of additional material to be submitted with
certain rate increases. In the circumstances set out in paragraphs
(d)(1) and (2) of this section, the issuing carrier must submit all
additional cost, marketing and other data underlying the working papers
to justify a proposed rate increase. The issuing carrier must submit
this information in suitable form to serve as the carrier's direct case
in the event the rate increase is set by the Commission for
investigation.
(1) Rate increases affecting single services or tariffed items.
(i) A rate increase in any service or tariffed item which results
in more than $1 million in additional annual revenues, calculated on
the basis of existing quantities in service, without regard to the
percentage increase in such revenues; or
(ii) A single rate increase in any service or tariffed item, or
successive rate increases in the same service or tariffed item within a
12 month period, either of which results in:
(A) At least a 10 percent increase in annual revenues from that
service or tariffed item, and
(B) At least $100,000 in additional annual revenues, both
calculated on the basis of existing quantities in service.
(2) Rate increases affecting more than one service or tariffed
item.
(i) A general rate increase in more than one service or tariffed
item occurring at one time, which results in more than $1 million in
additional revenues calculated on the basis of existing quantities in
service, without regard to the percentage increase in such revenues; or
(ii) A general rate increase in more than one service or tariffed
item occurring at one time, or successive general rate increases in the
same services or tariffed items occurring within a 12 month period,
either of which results in:
(A) At least a 10 percent increase in annual revenues from those
services or tariffed items, and
(B) At least $100,000 in additional annual revenues, both
calculated on the basis of existing quantities in service.
(e) Submission of explanation and data by connecting carriers. If
the changed or new matter is being filed by the issuing carrier at the
request of a connecting carrier, the connecting carrier must provide
the data required by paragraphs (b) and (c) of this section on the date
the issuing carrier files the tariff matter with the Commission.
(f) Copies of explanation and data to customers. Concurrently with
the filing of any rate for special construction (or special assembly
equipment and arrangements) developed on the basis of estimated costs,
the issuing carrier must transmit to the customer a copy of the
explanation and data required by paragraphs (b) and (c) of this
section.
(g) On each page of cost support material submitted pursuant to
this section, the issuing carrier shall indicate the transmittal number
under which that page was submitted.
12. Section 61.39 is revised to read as follows:
[[Page 48637]]
Sec. 61.39 Optional supporting information to be submitted with
letters of transmittal for Access Tariff filings by incumbent local
exchange carriers serving 50,000 or fewer access lines in a given study
area that are described as subset 3 carriers in Sec. 69.602.
(a) Scope. This section provides for an optional method of filing
for any incumbent local exchange carrier that is described as subset 3
carrier in Sec. 69.602 of this chapter, which elects to issue its own
Access Tariff for a period commencing on or after April 1, 1989, and
which serves 50,000 or fewer access lines in a study area as determined
under Sec. 36.611(a)(8) of this chapter. However, the Commission may
require any issuing carrier to submit such information as may be
necessary for review of a tariff filing. This section (other than the
preceding sentence of this paragraph) shall not apply to tariff filings
of price cap local exchange carriers.
(b) Explanation and data supporting tariff changes. The material to
be submitted to either a tariff change or a new tariff which affects
rates or charges must include an explanation of the filing in the
transmittal as required by Sec. 61.15. The basis for ratemaking must
comply with the following requirements. Except as provided in paragraph
(b)(5) of this section, it is not necessary to submit this supporting
data at the time of filing. However, the incumbent local exchange
carrier should be prepared to submit the data promptly upon reasonable
request by the Commission or interested parties.
(1) For a tariff change, the incumbent local exchange carrier that
is a cost schedule carrier must propose Tariff Sensitive rates based on
the following:
(i) For the first period, a cost of service study for Traffic
Sensitive elements for the most recent 12 month period with related
demand for the same period.
(ii) For subsequent filings, a cost of service study for Traffic
Sensitive elements for the total period since the incumbent local
exchange carrier's last annual filing, with related demand for the same
period.
(2) For a tariff change, the incumbent local exchange carrier that
is an average schedule carrier must propose Traffic Sensitive rates
based on the following:
(i) For the first period, the incumbent local exchange carrier's
most recent annual Traffic Sensitive settlement from the National
Exchange Carrier Association pool.
(ii) For subsequent filings, an amount calculated to reflect the
Traffic Sensitive average schedule pool settlement the carrier would
have received if the carrier had continued to participate, based upon
the most recent average schedule formulas approved by the Commission.
(3) For a tariff change, the incumbent local exchange carrier that
is a cost schedule carrier must propose Common Line rates based on the
following:
(i) For the first biennial filing, the common line revenue
requirement shall be determined by a cost of service study for the most
recent 12-month period. Subscriber line charges shall be based on cost
and demand data for the same period. Carrier common line rates shall be
determined by the following formula:
[GRAPHIC] [TIFF OMITTED] TP11AU10.028
Where:
[GRAPHIC] [TIFF OMITTED] TP11AU10.029
And where:
CCL Rev Req = carrier common line revenue requirement for the most
recent 12-month period;
CCL MOUb = carrier common line minutes of use for the
most recent 12-month period;
CCL MOU1 = CCL MOUb; and
CCL MOU0 = carrier common line minutes of use for the 12-
month period preceding the most recent 12-month period.
(ii) For subsequent biennial filings, the common line revenue
requirement shall be determined by a cost of service study for the most
recent 24-month period. Subscriber line charges shall be based on cost
and demand data for the same period. Carrier common line rates shall be
determined by the following formula:
[GRAPHIC] [TIFF OMITTED] TP11AU10.030
Where:
[GRAPHIC] [TIFF OMITTED] TP11AU10.031
And where:
CCL Rev Req = carrier common line revenue requirement for the most
recent 24-month period;
CCL MOUb = carrier common line minutes of use for the
most recent 24-month period;
CCL MOU1 = carrier common line minutes of use for the 12-
month period; and
CCL MOU0 = carrier common line minutes of use for the 12-
month period preceding the most recent 12-month period.
(4) For a tariff change, the incumbent local exchange carrier which
is an average schedule carrier must propose common line rates based on
the following:
(i) For the first biennial filings, the common line revenue
requirement shall be determined by the incumbent local exchange
carrier's most recent annual Common Line settlement from the National
Exchange Carrier Association. Subscriber line charges shall be based on
cost and demand data for the same period. Carrier common line rates
shall be determined by the following formula:
[GRAPHIC] [TIFF OMITTED] TP11AU10.032
Where:
[GRAPHIC] [TIFF OMITTED] TP11AU10.033
And where:
CCL Rev Req = carrier common line settlement for the most recent 12-
month period;
CCL MOUb = carrier common line minutes of use for the
most recent 12-month period;
CCL MOU1 = CCL MOUb; and
CCL MOU0 = carrier common line minutes of use for the 12-
month period preceding the most recent 12-month period.
(ii) For subsequent biennial filings, the common line revenue
requirement shall be an amount calculated to reflect the average
schedule pool settlements the carrier would have received if the
carrier had continued to participate in the carrier common line pool,
based upon the average schedule Common Line formulas developed by the
National Exchange Carrier Association for the most recent 24-month
period. Subscriber line charges shall be based on cost and demand data
for the same period. Carrier common line rates shall be determined by
the following formula:
[GRAPHIC] [TIFF OMITTED] TP11AU10.034
Where:
[GRAPHIC] [TIFF OMITTED] TP11AU10.035
And where:
CCL Rev Req = carrier common line settlement for the most recent 24-
month period;
CCL MOUb = carrier common line minutes of use for the
most recent 24-month period;
CCL MOU1 = carrier common line minutes of use for the
most recent 12-month period; and
CCL MOU0 = carrier common line minutes of use for the 12-
month period preceding the most recent 12-month period.
(5) For End User Common Line charges included in a tariff pursuant
to this Section, the incumbent local
[[Page 48638]]
exchange carrier must provide supporting information for the two-year
historical period with its letter of transmittal in accordance with
Sec. 61.38.
(c) Maximum allowable rate of return. Incumbent Local exchange
carriers filing tariffs under this section are not required to comply
with Sec. Sec. 65.700 through 65.701 of this chapter, except with
respect to periods during which tariffs were not subject to this
section. The Commission may require any carrier to submit suc