Implementing the Provisions of the Communications Act of 1934, as Enacted by the Twenty-First Century Communications and Video Accessibility Act of 2010, 82354-82402 [2011-31162]
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Federal Register / Vol. 76, No. 251 / Friday, December 30, 2011 / Rules and Regulations
FEDERAL COMMUNICATIONS
COMMISSION
47 CFR Parts 1, 6, 7, and 14
[CG Docket No. 10–213; WT Docket No. 96–
198; CG Docket No. 10–145; FCC 11–151]
Implementing the Provisions of the
Communications Act of 1934, as
Enacted by the Twenty-First Century
Communications and Video
Accessibility Act of 2010
Federal Communications
Commission.
ACTION: Final rule.
AGENCY:
In this document, the
Commission adopts rules that
implement provisions of section 104 of
the Twenty-First Century
Communications and Video
Accessibility Act of 2010 (CVAA),
Public Law 111–260, the most
significant accessibility legislation since
the passage of the Americans with
Disabilities Act (ADA) in 1990. A
Proposed Rule relating to
implementation of section 718 of the
Communications Act of 1934, as
enacted by the CVAA, is published
elsewhere in this issue of the Federal
Register. This proceeding amends the
Commission’s rules to ensure that
people with disabilities have access to
the incredible and innovative
communications technologies of the
21st-century. These rules are significant
and necessary steps towards ensuring
that the 54 million Americans with
disabilities are able to fully utilize and
benefit from advanced communications
services (ACS). People with disabilities
often have not shared in the benefits of
this rapid technological advancement.
The CVAA implements steps in
addressing this inequity by advancing
the accessibility of ACS in a manner
that is consistent with our objectives of
promoting investment and innovation.
This is consistent with the
Commission’s commitment to promote
rapid deployment of and universal
access to broadband services for all
Americans.
SUMMARY:
Effective January 30, 2012,
except 47 CFR 14.5, 14.20(d), 14.31,
14.32, and 14.34 through 14.52, which
contain information collection
requirements that have not been
approved by the Office of Management
and Budget (OMB). The Commission
will publish a document in the Federal
Register announcing the effective date
of those sections.
FOR FURTHER INFORMATION CONTACT:
Rosaline Crawford, Consumer and
Governmental Affairs Bureau, at (202)
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DATES:
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418–2075 or rosaline.crawford@fcc.gov;
Brian Regan, Wireless
Telecommunications Bureau, at (202)
418–2849 or brian.regan@fcc.gov; or
Janet Sievert, Enforcement Bureau, at
(202) 418–1362 or janet.sievert@fcc.gov.
For additional information concerning
the Paperwork Reduction Act
information collection requirements
contained in this document, contact
Cathy Williams, Federal
Communications Commission, at (202)
418–2918, or via email Cathy.Williams@
fcc.gov.
SUPPLEMENTARY INFORMATION: This is a
summary of the Commission’s Report
and Order, FCC 11–151, adopted and
released on October 7, 2011. The full
text of this document is available for
inspection and copying during normal
business hours in the FCC Reference
Information Center, Room CY–A257,
445 12th Street SW., Washington, DC
20554. The complete text may be
purchased from the Commission’s
duplicating contractor, Best Copy and
Printing, Inc. (BCPI), Portals II, 445 12th
Street SW., Room CY–B402,
Washington, DC 20554, (202) 488–5300,
facsimile (202) 488–5563, or via email at
fcc@bcpiweb.com. The complete text is
also available on the Commission’s Web
site at https://hraunfoss.fcc.gov/edocs_
public/attachment/FCC-11-151A1doc.
To request materials in accessible
formats for people with disabilities
(Braille, large print, electronic files,
audio format), send an email to fcc504@
fcc.gov or call the Consumer and
Governmental Affairs Bureau (202) 418–
0530 (voice), (202) 418–0432 (TTY).
Final Paperwork Reduction of 1995
Analysis
This document contains new and
modified information collection
requirements. The Commission, as part
of its continuing effort to reduce
paperwork burdens, invites the general
public to comment on the information
collection requirements contained in
document FCC 11–151 as required by
the PRA of 1995, Public Law 104–13. In
addition, we note that pursuant to the
Small Business Paperwork Relief Act of
2002, Public Law 107–198, see 44 U.S.C.
3506(c)(4), we previously sought
specific comment on how the
Commission might further reduce the
information collection burden for small
business concerns with fewer than 25
employees.
In this proceeding, we adopt new
recordkeeping rules that provide clear
guidance to covered entities on the
records they must keep to demonstrate
compliance with our new rules. We
require covered entities to keep the
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three categories of records set forth in
section 717(a)(5)(A) of the CVAA. We
also require annual certification by a
corporate officer that the company is
keeping the required records. We have
assessed the effects of these rules and
find that any burden on small
businesses will be minimal because we
have adopted the minimum
recordkeeping requirements that allow
covered entities to keep records in any
format they wish. This approach takes
into account the variances in covered
entities (e.g., size, experience with the
Commission), recordkeeping methods,
and products and services covered by
the CVAA. Furthermore, this approach
provides the greatest flexibility to small
businesses and minimizes the impact
that the statutorily mandated
requirements impose on small
businesses. Correspondingly, we
considered and rejected the alternative
of imposing a specific format or onesize-fits-all system for recordkeeping
that could potentially impose greater
burdens on small businesses. Moreover,
the certification requirement is possibly
less burdensome on small businesses
than large, as it merely requires
certification from an officer that the
necessary records were kept over the
previous year; this is presumably a less
resource intensive certification for
smaller entities. Finally, we adopt a
requirement that consumers must file a
‘‘Request for Dispute Assistance’’ with
the Consumer and Governmental
Affairs’ Disability Rights Office as a
prerequisite to filing an informal
complaint with the Enforcement
Bureau. This information request is
beneficial because it will trigger
Commission involvement before a
complaint is filed and will benefit both
consumers and industry by helping to
clarify the accessibility needs of
consumers. It will also encourage
settlement discussions between the
parties in an effort to resolve
accessibility issues without the
expenditure of time and resources in the
informal complaint process. We also
note that we have temporarily exempted
small entities from the rules we have
adopted herein while we consider, in
the Accessibility FNPRM, whether we
should grant a permanent exemption,
and what criteria should be associated
with such an exemption.
Synopsis
I. Executive Summary
1. In this Report and Order, we
conclude that the accessibility
requirements of section 716 of the Act
apply to non-interconnected VoIP
services, electronic messaging services,
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and interoperable video conferencing
services. We implement rules that hold
entities that make or produce end user
equipment, including tablets, laptops,
and smartphones, responsible for the
accessibility of the hardware and
manufacturer-provided software used
for email, SMS text messaging, and
other ACS. We also hold these entities
responsible for software upgrades made
available by such manufacturers for
download by users. Additionally, we
conclude that, except for third-party
accessibility solutions, there is no
liability for a manufacturer of end user
equipment for the accessibility of
software that is independently selected
and installed by the user, or that the
user chooses to use in the cloud. We
provide the flexibility to build-in
accessibility or to use third-party
solutions, if solutions are available at
nominal cost (including set up and
maintenance) to the consumer. We
require covered entities choosing to use
third-party accessibility solutions to
support those solutions for the life of
the ACS product or service or for a
period of up to two years after the thirdparty solution is discontinued,
whichever comes first. If the third-party
solution is discontinued, however,
another third-party accessibility
solution must be made available by the
covered entity at nominal cost to the
consumer. If accessibility is not
achievable either by building it in or by
using third-party accessibility solutions,
equipment or services must be
compatible with existing peripheral
devices or specialized customer
premises equipment commonly used by
individuals with disabilities to achieve
access, unless such compatibility is not
achievable.
2. We also conclude that providers of
advanced communications services
include all entities that offer advanced
communications services in or affecting
interstate commerce, including resellers
and aggregators. Such providers include
entities that provide advanced
communications services over their own
networks, as well as providers of
applications or services accessed (i.e.,
downloaded and run) by users over
other service providers’ networks.
Consistent with our approach for
manufacturers of equipment, we find
that a provider of advanced
communications services is responsible
for the accessibility of the underlying
components of its service, including
software applications, to the extent that
doing so is achievable. A provider will
not be responsible for the accessibility
of components that it does not provide,
except when the provider relies on a
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third-party solution to comply with its
accessibility obligations.
3. We adopt rules identifying the four
statutory factors that will be used to
conduct an achievability analysis
pursuant to section 716: (i) The nature
and cost of the steps needed to meet the
requirements of section 716 of the Act
and this part with respect to the specific
equipment or service in question; (ii)
the technical and economic impact on
the operation of the manufacturer or
provider and on the operation of the
specific equipment or service in
question, including on the development
and deployment of new
communications technologies; (iii) the
type of operations of the manufacturer
or provider; and (iv) the extent to which
the service provider or manufacturer in
question offers accessible services or
equipment containing varying degrees
of functionality and features, and
offered at differing price points.
Pursuant to the fourth achievability
factor, we conclude that covered entities
do not have to consider what is
achievable with respect to every
product, if such entity offers consumers
with the full range of disabilities
products with varied functions, features,
and prices. We also conclude that ACS
providers have a duty not to install
network features, functions, or
capabilities that impede accessibility or
usability.
4. We adopt rules pursuant to section
716(h)(1) to accommodate requests to
waive the requirements of section 716
for ACS and ACS equipment. We
conclude that we will grant waivers on
a case-by-case basis and adopt two
factors for determining the primary
purpose for which equipment or a
service is designed. We will consider
whether the equipment or service is
capable of accessing ACS and whether
it was designed for multiple purposes
but primarily for purposes other than
using ACS. In determining whether the
equipment or service is designed
primarily for purposes other than using
ACS, the Commission shall consider the
following factors: (i) whether the
product was designed to be used for
ACS purposes by the general public;
and (ii) whether the equipment or
services are marketed for the ACS
features and functions.
5. Our new accessibility rules further
provide that we may also waive, on our
own motion or in response to a petition,
the requirements of section 716 for
classes of services and equipment that
meet the above statutory requirements
and waiver criteria. To be deemed a
class, members of a class must have the
same kind of equipment or service and
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same kind of ACS features and
functions.
6. We further conclude that the
Commission has the discretion to place
time limits on waivers. The waiver will
generally be good for the life of the
product or service model or version.
However, if substantial upgrades are
made to the product that may change
the nature of the product or service, a
new waiver request must be filed.
Parties filing class waiver requests must
explain in detail the expected lifecycle
for the equipment or services that are
part of the class. All products and
services covered by a class waiver that
are introduced into the market while the
waiver is in effect will ordinarily be
subject to the waiver for the duration of
the life of those particular products and
services. For products and services
already under development at the time
when a class waiver expires, the
achievability analysis conducted may
take into consideration the
developmental stage of the product and
the effort and expense needed to
achieve accessibility at that point in the
developmental stage. To the extent a
class waiver petitioner seeks a waiver
for multiple generations of similar
equipment and services, we will
examine the justification for the waiver
extending through the lifecycle of each
discrete generation.
7. We adopt a timeline for
consideration of waiver requests similar
to the Commission’s timeline for
consideration of applications for
transfers or assignments of licenses or
authorizations relating to complex
mergers. We delegate to the Consumer
and Governmental Affairs Bureau the
authority to act upon all waiver
requests, and urge the Bureau to act
promptly with the goal of completing
action on each waiver request within
180 days of public notice. In addition,
we require that all public notices of
waiver requests provide a minimum 30day comment period. Finally, we note
that these public notices will be posted
and highlighted on a Web page
designated for disability-related
information in the Disability Rights
Office section of the Commission’s Web
site.
8. The Commission has already
received requests for class waivers for
gaming equipment, services, and
software, and TVs and Digital Video
Players (‘‘DVPs’’) enabled for use with
the Internet. While we conclude that the
record is insufficient to grant waivers
for gaming and IP-enabled TVs and
DVPs, parties may re-file requests
consistent with the new waiver rules.
9. We construe section 716(i) of the
Act to provide a narrow exemption from
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the accessibility requirements of section
716. Specifically, we conclude that
equipment that is customized for the
unique needs of a particular entity, and
that is not offered directly to the public,
is exempt from section 716. We
conclude that this narrow exemption
should be limited in scope to
customized equipment and services
offered to business and other enterprise
customers only. We also conclude that
equipment manufactured for the unique
needs of public safety entities falls
within this narrow exemption.
10. We find that the record does not
contain sufficient support to adopt a
permanent exemption for small entities.
Nonetheless, we believe that relief is
necessary for small entities that may
lack the legal, technical, or financial
ability to conduct an achievability
analysis or comply with the
recordkeeping and certification
requirements under these rules.
Therefore, we adopt a temporary
exemption for ACS providers and ACS
equipment manufacturers that qualify as
small business concerns under the
Small Business Administration’s rules
and small business size standards. The
temporary exemption will expire on the
earlier of (1) the effective date of small
entity exemption rules adopted
pursuant to the Further Notice of
Proposed Rulemaking released
simultaneously with this order
(‘‘Accessibility FNPRM’’), or (2) October
8, 2013.
11. We adopt as general performance
objectives the requirements that covered
equipment and services be accessible,
compatible, and usable. We defer
consideration of more specific
performance objectives to ensure the
accessibility, usability, and
compatibility of ACS and ACS
equipment until the Access Board
adopts Final Guidelines and the
Emergency Access Advisory Committee
(EAAC) provides recommendations to
the Commission relating to the
migration to IP-enabled networks.
Additionally, consistent with the views
of the majority of the commenters, we
refrain from adopting any technical
standards as safe harbors for covered
entities. To facilitate the ability of
covered entities to implement
accessibility features early in product
development cycles, we gradually phase
in compliance requirements for
accessibility, with full compliance
required by October 8, 2013.
12. We also adopt new recordkeeping
rules that provide clear guidance to
covered entities on the records they
must keep to demonstrate compliance
with our new rules. We require covered
entities to keep the three categories of
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records set forth in section 717(a)(5)(A).
We remind covered entities that do not
make their products or services
accessible and claim as a defense that it
is not achievable for them to do so, that
they bear the burden of proof on this
defense.
13. In an effort to encourage
settlements, we adopt a requirement
that consumers must file a ‘‘Request for
Dispute Assistance’’ with the Consumer
and Governmental Affairs’ Disability
Rights Office as a prerequisite to filing
an informal complaint with the
Enforcement Bureau. We also establish
minimum requirements for information
that must be contained in an informal
complaint. While we also adopt formal
complaint procedures, we decline to
require complainants to file informal
complaints prior to filing formal
complaints.
II. Report and Order
1. Advanced Communications Services
a. General
14. Section 3(1) of the Act defines
‘‘advanced communications services’’ to
mean (A) interconnected VoIP service;
(B) non-interconnected VoIP service; (C)
electronic messaging service; and (D)
interoperable video conferencing
service. We will adopt into our rules the
statutory definition of ‘‘advanced
communications services.’’ We thus
agree with commenters that urge us to
include all offerings of services that
meet the statutory definitions as being
within the scope of our rules. In doing
so, we maintain the balance that
Congress achieved in the CVAA
between promoting accessibility
through a broadly defined scope of
covered services and equipment and
ensuring industry flexibility and
innovation through other provisions of
the Act, including limitations on
liability, waivers, and exemptions.
15. Some commenters asserted that
the Commission should exclude from
the definition of advanced
communications services such services
that are ‘‘incidental’’ components of a
product. We reject this view. Were the
Commission to adopt that approach, it
would be rendering superfluous section
716’s waiver provision, which allows
the Commission to waive its
requirements for services or equipment
‘‘designed primarily for purposes other
than using advanced communications
service.’’ Several parties also ask the
Commission to read into the statutory
definition of advanced communications
services the phrase ‘‘offered to the
public.’’ They argue that we should
exclude from our definition advanced
communications services those services
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that are provided on an ‘‘incidental’’
basis because such services are not
affirmatively ‘‘offered’’ by the provider
or equipment. There is nothing in the
statute or the legislative history that
supports this narrow reading. Section
3(1) of the Act clearly states that the
enumerated services are themselves
‘‘advanced communications services’’
when provided, and does not limit the
definition to the particular marketing
focus of the manufacturers or service
providers.
b. Interconnected VoIP Service
16. Section 3(25) of the Act, as added
by the CVAA, provides that the term
‘‘interconnected VoIP service’’ has the
meaning given in § 9.3 of the
Commission’s rules, as such section
may be amended from time to time.
Section 9.3, in turn, defines
interconnected VoIP as a service that (1)
enables real-time, two-way voice
communications; (2) requires a
broadband connection from the user’s
location; (3) requires Internet protocolcompatible CPE; and (4) permits users
generally to receive calls that originate
on the public switched telephone
network (‘‘PSTN’’) and to terminate
calls to the PSTN. As urged by
commenters, we adopt the definition of
‘‘interconnected VoIP service’’ as having
the same meaning as in § 9.3 of the
Commission’s rules, as such section
may be amended from time to time.
Given that this definition has broad
reaching applicability beyond this
proceeding, we find that any changes to
this definition should be undertaken in
a proceeding that considers the broader
context and effects of any such change.
17. We confirm that section 716(f)
means that section 255, and not section
716, applies to telecommunications and
interconnected VoIP services and
equipment offered as of October 7, 2010.
Our proposed rule read, in part, that
‘‘the requirements of this part shall not
apply to any equipment or services
* * * that were subject to the
requirements of section 255 of the Act
on October 7, 2010.’’ We decline to
amend our proposed rule by
substituting the word ‘‘were’’ with the
word ‘‘are,’’ as urged by NCTA. The
statute makes clear that any equipment
or service that was subject to section
255 on October 7, 2010, should continue
to be subject to section 255, regardless
of whether that equipment or service
was offered before or after October 7,
2010. With respect to a new service (and
equipment used for that service) that
was not in existence on October 7, 2010,
we believe we have the authority to
classify the service as a service subject
to either section 255 or section 716 (or
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neither). In addition, Congress
anticipated that the definition of
interconnected VoIP service may change
over time. In that event, it is possible,
for example, that certain noninterconnected VoIP services that are
currently subject to section 716 may
meet a future definition of
interconnected VoIP services and yet
remain subject to section 716.
18. With respect to multipurpose
devices, including devices used for both
telecommunications and advanced
communications services, we agree with
the vast majority of commenters that
argued that section 255 applies to
telecommunications services and to
services classified as interconnected
VoIP as of October 7, 2010, as well as
to equipment components used for
those services, and section 716 applies
to non-interconnected VoIP, electronic
messaging, and interoperable video
conferencing services, as well as
equipment components used for those
services. We reject the suggestion of
some commenters that such
multipurpose devices should be
governed exclusively by section 255.
Nothing in the statute or legislative
history indicates that Congress sought to
exclude from the requirements of
section 716 a device used for advanced
communications merely because it also
has telecommunications or
interconnected VoIP capability. Rather,
both the House Report and the Senate
Report state that smartphones represent
a technology that Americans rely on
daily and, at the same time, a
technological advance that is often still
not accessible to individuals with
disabilities. If multipurpose devices
such as smartphones were subject
exclusively to section 255, then the
advanced communications services
components of smartphones, which are
not subject to section 255, would not be
covered by section 716. That is, there
would be no requirement to make the
advanced communications services
components of multipurpose devices
such as smartphones accessible to
people with disabilities. Such an
approach would, therefore, undermine
the very purpose of the CVAA.
19. Due to the large number of
multipurpose devices, including
smartphones, tablets, laptops and
desktops, that are on the market, if
section 716(f) were interpreted to mean
that section 716 applies only to
equipment that is used exclusively for
advanced communications services, and
that section 255 applies only to
equipment that is used exclusively for
telecommunications and interconnected
VoIP services, almost no devices would
be covered by section 716 and only
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stand-alone telephones and VoIP
phones would be covered by section
255. That reading would undercut
Congress’s clear aim in enacting the
CVAA. Such a result is also contrary to
how section 255 is currently applied to
multipurpose equipment and services.
Under Commission rules implementing
section 255, ‘‘multipurpose equipment
* * * is covered by section 255 only to
the extent that it provides a
telecommunications function’’ and not
‘‘to all functions * * * whenever the
equipment is capable of any
telecommunications function.’’
Similarly, ‘‘[a]n entity that provides
both telecommunications and nontelecommunications services * * * is
subject to section 255 only to the extent
that it provides a telecommunications
service.’’ We also disagree with
commenters that suggest that such
multipurpose devices should be
governed exclusively by section 716.
Such an interpretation would render
section 716(f) meaningless.
20. We recognize that the application
of section 255 and section 716 to such
multipurpose devices means that
manufacturers and service providers
may be subject to two distinct
requirements, but as discussed above,
we believe any other interpretation
would be inconsistent with
Congressional intent. As a practical
matter, we note that the nature of the
service or equipment that is the subject
of a complaint—depending on the type
of communications involved—will
determine whether section 255 or
section 716, or both, apply in a given
context.
c. Non-interconnected VoIP Service
21. Section 3(36) of the Act, as added
by the CVAA, states that the term ‘‘noninterconnected VoIP service’’ means a
service that ‘‘(i) enables real-time voice
communications that originate from or
terminate to the user’s location using
Internet protocol or any successor
protocol; and (ii) requires Internet
protocol compatible customer premises
equipment’’ and ‘‘does not include any
service that is an interconnected VoIP
service.’’ The IT and Telecom RERCs
urge us to modify the statutory
definition of non-interconnected VoIP to
read ‘‘any VoIP that is not
interconnected VoIP.’’ They are
concerned that the language in section
3(36) which reads ‘‘does not include any
service that is an interconnected VoIP
service’’ could be interpreted to mean
that if a service ‘‘includes both
interconnected and non-interconnected
VoIP, then all the non-interconnected
[VoIP] is exempt because it is bundled
with an interconnected VoIP service.’’
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In response to these concerns, we clarify
that a non-interconnected VoIP service
is not exempt simply because it is
bundled or provided along with an
interconnected VoIP service.
Accordingly, we agree with other
commenters that it is unnecessary and
not appropriate to change the statutory
definition and hereby adopt the
definition of ‘‘non-interconnected VoIP
service’’ set forth in the Act.
d. Electronic Messaging Service
22. Section 3(19) of the Act, as added
by the CVAA, states that the term
‘‘electronic messaging service’’ ‘‘means
a service that provides real-time or near
real-time non-voice messages in text
form between individuals over
communications networks.’’ We adopt,
as proposed, the definition of
‘‘electronic messaging service’’
contained in the Act. We agree with
most commenters and find it consistent
with the Senate and House Reports that
electronic messaging service includes
‘‘more traditional, two-way interactive
services such as text messaging, instant
messaging, and electronic mail, rather
than * * * blog posts, online
publishing, or messages posted on social
networking Web sites.’’ While some
common features of social networking
sites thus fall outside the definition of
‘‘electronic messaging service,’’ other
features of these sites are covered by
sections 716 and 717. The Wireless
RERC asserts that, to the extent a social
networking system provides electronic
messaging services as defined in the
Act, those services should be subject to
sections 716 and 717. While the statute
does not specifically reference the use of
electronic messaging services as part of
a social networking site, the comments
referenced above in the Senate and
House Reports suggest it was well aware
that such aspects of social networking
sites would fall under the Act. The
reports specifically exclude ‘‘messages
posted on social networking Web sites,’’
but do not exclude the two-way
interactive services offered through such
Web sites. We therefore conclude that to
the extent such services are provided
through a social networking or related
site, they are subject to sections 716 and
717 of the Act.
23. We also find, as proposed in the
Accessibility NPRM, that the phrase
‘‘between individuals’’ precludes the
application of the accessibility
requirements to communications in
which no human is involved, such as
automatic software updates or other
device-to-device or machine-to-machine
communications. Such exchanges
between devices are also excluded from
the definition of electronic messaging
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service when they are not ‘‘messages in
text form.’’ The definitional requirement
that electronic messaging service be
‘‘between individuals’’ also excludes
human-to-machine or machine-tohuman communications.
24. We conclude that section 2(a) of
the CVAA exempts entities, such as
Internet service providers, from liability
for violations of section 716 when they
are acting only to transmit covered
services or to provide an information
location tool. Thus, service providers
that merely provide access to an
electronic messaging service, such as a
broadband platform that provides an
end user with access to a web-based
email service, are excluded from the
accessibility requirements of section
716.
e. Interoperable Video Conferencing
Service
25. An ‘‘interoperable video
conferencing service’’ is one of the
enumerated ‘‘advanced communications
services’’ in the CVAA. Such a service
is defined by the CVAA as one ‘‘that
provides real-time video
communications, including audio, to
enable users to share information of the
user’s choosing.’’ Many commenters
argue that that the word ‘‘interoperable’’
cannot be read out of the statute, and we
agree. Congress expressly included the
term ‘‘interoperable,’’ and therefore the
Commission must determine its
meaning in the context of the statute.
We find, however, that the record is
insufficient to determine how exactly to
define ‘‘interoperable,’’ and thus we
seek further comment on this issue in
the Accessibility FNPRM.
26. We also find that the inclusion of
the word ‘‘interoperable’’ does not
suggest that Congress sought to require
interoperability, as some commenters
have suggested. There simply is no
language in the CVAA to support
commenters’ views that interoperability
is required or should be required, or that
that we may require video conferencing
services to be interoperable because
‘‘interoperability’’ is a subset of
‘‘accessibility,’’ ‘‘usability,’’ and
‘‘compatibility’’ as required by section
716.
27. We reject CTIA’s argument that
personal computers, tablets, and
smartphones should not be considered
equipment used for interoperable video
conferencing service, because these
devices are not primarily designed for
two-way video conferencing, and
accessibility should be required only for
equipment designed primarily or
specifically for interoperable video
conferencing service. Consumers get
their advanced communications
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services primarily through multipurpose
devices, including smartphones, tablets,
laptops and desktops. If section 716
applies only to equipment that is used
exclusively for advanced
communications services, almost no
devices would be covered by section
716, and therefore Congress’s aims in
enacting the statute would be
undermined.
28. With respect to webinars and
webcasts, we find that services and
equipment that provide real-time video
communications, including audio,
between two or more users, are ‘‘video
conferencing services’’ and equipment,
even if they can also be used for video
broadcasting purposes (only from one
user). We disagree, however, with the IT
and Telecom RERCs that providing
interactive text messaging, chatting,
voting, or hand-raising by or between
two or more users, along with real-time
video communications, including audio,
only from one user, constitutes a ‘‘video
conferencing service.’’ In this example
of a system that provides multiple
modes of communication
simultaneously, providing text
messaging between two or more users is
an electronic messaging service.
Similarly, telecommunications or VoIP
services may be provided as part of a
webinar or webcast. The provision of
electronic messaging, VoIP, or other
services, alongside real-time video
communications, including audio, only
from one user, does not convert the
latter into a ‘‘video conferencing
service.’’
29. Finally, we agree with
commenters that non-real-time or nearreal-time features or functions of a video
conferencing service, such as video
mail, do not meet the definition of ‘‘realtime video communications.’’ We defer
consideration to the Accessibility
FNPRM as to whether we should
exercise our ancillary jurisdiction to
require that a video mail service be
accessible to individuals with
disabilities when provided along with a
video conferencing service. We also do
not decide at this time whether our
ancillary jurisdiction extends to require
other features or functions provided
along with a video conferencing service,
such as recording and playing back
video communications on demand, to
be accessible.
2. Manufacturers of Equipment Used for
Advanced Communications Services
30. Section 716(a)(1) states the
following:
A manufacturer of equipment used for
advanced communications services,
including end user equipment, network
equipment, and software, shall ensure that
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the equipment and software that such
manufacturer offers for sale or otherwise
distributes in interstate commerce shall be
accessible to and usable by individuals with
disabilities, unless the requirements of this
subsection are not achievable.
31. In the Accessibility NPRM the
Commission proposed to find that
developers of software that is used for
advanced communications services and
that is downloaded or installed by the
user rather than by a manufacturer are
covered by section 716(a). The IT and
Telecom RERCs support that proposal
on the grounds that coverage should not
turn on how a manufacturer distributes
ACS software (pre-installed on a device
or installed by the user). Microsoft and
the VON Coalition, on the other hand,
argue that section 716(a) must be read
as applying only to manufacturers of
equipment, that ‘‘software’’ is not
‘‘equipment,’’ and that our proposal
would impermissibly extend the
Commission’s authority beyond the
limits set by Congress in the CVAA.
32. We find that, while the language
of section 716(a)(1) is ambiguous, the
better interpretation of section 716(a)(1)
is that it does not impose independent
regulatory obligations on providers of
software that the end user acquires
separately from equipment used for
advanced communications services.
33. Section 716(a)(1) can be read in at
least two ways. Under one reading, the
italicized phrase ‘‘including end user
equipment, network equipment, and
software’’ defines the full range of
equipment manufacturers covered by
the Act. Under this construction,
manufacturers of end user equipment
used for ACS, manufacturers of network
equipment used for ACS, and
manufacturers of software used for ACS,
would all independently be subject to
the accessibility obligations of section
716(a)(1), and to the enforcement regime
of section 717. ‘‘Equipment,’’ as used in
the phrase ‘‘a manufacturer of
equipment used for advanced
communications services’’ would thus
refer both to physical machines or
devices and to software that is acquired
by the user separately from any machine
or device, and software would be
understood to be a type of equipment.
This first reading is the interpretation
on which we sought comment in the
Accessibility NPRM.
34. Under a second possible reading,
the phrase ‘‘manufacturer of
equipment’’ would be given its common
meaning as referring to makers of
physical machines or devices. If such
equipment is used for advanced
communications services, then the
equipment manufacturer is responsible
for making it accessible. Under this
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reading, the phrase ‘‘including end user
equipment, network equipment, and
software’’ makes clear that both end
user equipment and network
equipment, as well as the software
included by the manufacturer in such
equipment, must be consistent with the
CVAA’s accessibility mandate. We have
modified the definitions of ‘‘end user
equipment’’ and ‘‘network equipment’’
that are proposed in the Accessibility
NPRM to make clear that such
equipment may include both hardware
and software components. Thus, to the
extent that equipment used for
advanced communications services
include software components—for
example, operating systems or email
clients—the manufacturer of the
equipment is responsible for making
sure that both ‘‘the equipment and
software that such manufacturer offers
for sale or otherwise distributes in
interstate commerce’’ is accessible.
35. The text of the CVAA does not
compel either of these inconsistent
readings. The first, more expansive,
reading accords more easily with the
use of commas surrounding and within
the phrase ‘‘, including end user
equipment, network equipment, and
software,’’ but it requires giving the term
‘‘equipment’’ a meaning that is far
broader than its ordinary usage. In
addition, if ‘‘equipment’’ means
‘‘software’’ as well as hardware, then
there was no need for Congress to say
in the same sentence that ‘‘the
equipment and software’’ that a
manufacturer offers must be made
accessible. The second, narrower,
reading gives a more natural meaning to
the word ‘‘equipment’’ and explains
why it was necessary for Congress to say
that the manufacturer of equipment
used for ACS must make both
‘‘equipment and software’’ accessible.
The second reading is thus more
consistent with the interpretive canon
that all words in a statute should if
possible be given meaning and not
deemed to be surplusage (as ‘‘software’’
would be in this phrase under the first
reading).
36. Looking to other provisions of the
CVAA, the language of section 716(j) is
more consistent with the second,
narrower understanding of section
716(a)(1). Section 716(j) establishes a
rule of construction to govern our
implementation of the Act, stating that
section 716 shall not be construed to
require a manufacturer of equipment
used for ACS or a provider of ACS ‘‘to
make every feature and function of
every device or service accessible for
every disability.’’ The word ‘‘device’’
refers to a physical object and cannot
reasonably be construed to also refer to
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separately-acquired software. If, as in
the broader interpretation of section
716(a)(1), ‘‘manufacturer of equipment’’
includes manufacturers of separately
acquired software, then Congress
created a rule of construction for section
716 as a whole that applies to only some
of the equipment that is subject to
section 716(a). The narrower
interpretation of section 716(a)(1)
produces a more logical result, in that
section 716(j), as it applies to
manufacturers of equipment, has the
same scope as section 716(a).
37. Examining the legislative history
of the CVAA, we find no indication in
either the Senate Report or the House
Report that Congress intended to
instruct the Commission to regulate
directly software developers that are
neither manufacturers of equipment nor
providers of advanced communications
services—a class of businesses that the
Commission historically has not
regulated. There is, on the other hand,
evidence that Congress had makers of
physical objects in mind when it made
‘‘manufacturers of equipment’’
responsible for accessibility. For
example, the Senate Report states that
the Act requires manufacturers of
equipment used for ACS and providers
of ACS to ‘‘make any such equipment,
which they design, develop, and
fabricate, accessible to individuals with
disabilities, if doing so is achievable.’’
The Senate Report further says that
sections 716(a) and 716(b) ‘‘require that
manufacturers and service providers,
respectively, make their devices and
services accessible to people with
disabilities.’’ Likewise, the House
Report states that sections 716(a) and
716(b) ‘‘give manufacturers and service
providers a choice regarding how
accessibility will be incorporated into a
device or service.’’ Software is not
fabricated, nor are software programs or
applications referred to as devices.
Particularly in light of this legislative
history, we are doubtful that Congress
would have significantly expanded the
Commission’s traditional jurisdiction to
reach software developers, without any
clear statement of such intent.
38. We disagree with commenters that
suggest that the Commission’s
interpretation of CPE in the Section 255
Report and Order compels us to find
that software developers that are neither
manufacturers of ACS equipment nor
providers of ACS are covered under
section 716(a). First, in the Section 255
Report and Order, the Commission
found that CPE ‘‘includes software
integral to the operation of the
telecommunications function of the
equipment, whether sold separately or
not.’’ Although the statutory definition
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of CPE did not reference software, the
Commission found that it should
construe CPE similarly to how it
construed ‘‘telecommunications
equipment’’ in the Act, which Congress
explicitly defined to include ‘‘software
integral to such equipment (including
upgrades).’’ The Commission did not in
the Section 255 Report and Order reach
the issue of whether any entity that was
not a manufacturer of the end user
equipment or provider of
telecommunications services had
separate responsibilities under the Act.
39. Second, in the CVAA, Congress
gave no indication that it intended the
Commission to incorporate, when
defining the scope of ‘‘equipment and
software’’ for purposes of section
716(a)(1), the definitions we have
established for the different, but
analogous, terms (‘‘telecommunications
equipment’’ and ‘‘customer premises
equipment’’) used in section 255. Here,
we interpret the statutory language to
include all software, including
upgrades, that is used for ACS and that
is a component of the end user
equipment, network equipment, or of
the ACS service—and do not limit
software to meaning only software that
is integral to the network equipment or
end user equipment. As we discuss
further in paragraph 58, infra, if
software gives the consumer the ability
to engage in advanced communications,
the provider of that software is a
covered entity, regardless of whether the
software is downloaded to the
consumer’s equipment or accessed in
the cloud.
40. The purpose of sections 716
through 718 of the CVAA—to ensure
access to advanced communications
services for people with disabilities—is
fully served by the narrower
interpretation of section 716(a) that we
describe above because that
interpretation focuses our regulatory
efforts where they will be the most
productive.
41. Advanced communications
services are delivered within a complex
and evolving ecosystem.
Communications devices are often
general-purpose computers or devices
incorporating aspects of general-purpose
computers, such as smartphones,
tablets, and entertainment devices. In
the Accessibility NPRM the Commission
observed that such systems are
commonly described as having five
components or layers: (1) Hardware
(commonly referred to as the ‘‘device’’);
(2) operating system; (3) user interface
layer; (4) application; and (5) network
services. We agree with ITI that three
additional components in the
architecture play a role in ensuring the
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accessibility of ACS: (1) Assistive
technology (‘‘AT’’) utilized by the end
user; (2) the accessibility application
programming interface (‘‘API’’); and (3)
the web browser.
42. For individuals with disabilities to
use an advanced communications
service, all of these components may
have to support accessibility features
and capabilities. It is clear, however,
that Congress did not give us the task of
directly regulating the manufacturers,
developers, and providers all of these
components. Rather, Congress chose to
focus our regulatory and enforcement
efforts on the equipment manufacturers
and the ACS providers.
43. We believe that end user
equipment manufacturers, in
collaboration with the developers of the
software components of the equipment
and related service providers, are best
equipped to be ultimately responsible
for ensuring that all of the components
that the end user equipment
manufacturer provides are accessible to
and usable by individuals with
disabilities. Manufacturers are
responsible for the software components
of their equipment whether they preinstall the software, provide the
software to the consumer on a physical
medium such as a CD, or require the
consumer to download the software.
The manufacturer is the one that
purchases those components and is
therefore in a position to require that
each of those components supports
accessibility. Similarly, as we discuss
further below, the provider of an
advanced communications service is the
entity in the best position to make sure
that the components (hardware,
software on end user devices,
components that reside on the web) it
provides and that make up its service all
support accessibility.
44. We believe these conclusions will
foster industry collaboration between
manufacturers of end user equipment,
software manufacturers, and service
providers and agree with TWC that this
collaboration must be a central tenet in
the efforts to implement the CVAA. For
example, as Microsoft states, ‘‘a laptop
manufacturer that builds ACS into its
device will need to consult with the
developer of the operating system to
develop this functionality, and in that
way the operating system provider will
be deeply involved in solving these
problems and promoting innovations in
accessibility, such as making an
accessibility API available to the
manufacturer.’’ The consumer, who is
not a party to any arrangements or
agreements, contractual or otherwise,
between an end user equipment
manufacturer and a software developer,
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will not be put in the position of having
to divine which entity is ultimately
responsible for the accessibility of end
user equipment used for advanced
communications services.
45. We recognize that consumers are
able to change many of the software
components of the equipment they use
for advanced communications services,
including, for some kinds of equipment,
the operating systems, email clients, and
other installed software used for ACS.
We believe that, as a practical matter,
operating systems and other software
that are incorporated by manufacturers
into their equipment will also be
accessible when made separately
available because it will not be efficient
or economical for developers of software
used to provide ACS to make accessible
versions of their products for equipment
manufacturers that pre-install the
software and non-accessible
freestanding versions of the same
products. Therefore, we believe that we
do not need to adopt an expansive
interpretation of the scope of section
716(a) to ensure that consumers receive
the benefits intended by Congress.
46. Section 717(b)(1) of the Act
requires us to report to Congress every
two years, beginning in 2012. We are
required, among other things, to report
on the extent to which accessibility
barriers still exist with respect to new
communications technologies. We
intend to pay particular attention in
these reports to the question of whether
entities that are not directly subject to
our regulations, including software
developers, are causing such barriers to
persist.
47. Finally, the narrower
interpretation of the scope of section
716(a) that we adopt herein makes this
statutory program more cost-effective
than would the more expansive
interpretation. Covered entities are
subject not only to the substantive
requirement that they make their
products accessible, if achievable, but
also to an enforcement mechanism that
includes recordkeeping and certification
requirements. This type of enforcement
program imposes costs on both industry
and the government. Congress made a
determination, which we endorse and
enforce, that these costs are well
justified to realize the accessibility
benefits that the CVAA will bring about.
But the costs of extending design,
recordkeeping, and certification
requirements to software developers
would be justified only if they were
outweighed by substantial additional
accessibility benefits.
48. As explained above, it appears
that the benefits of accessibility, as
envisioned by Congress and supporters
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of the CVAA, can be largely (and
perhaps entirely) realized under the
narrower, less costly interpretation of
section 716(a)(1). Furthermore, the
biennial review requirement of section
717(b)(1) ensures that, if our prediction
proves incorrect, the Commission will
have an occasion to examine whether
application of the CVAA’s requirements
directly to developers of consumerinstalled software is warranted, and
make any necessary adjustments to our
rules to achieve accessibility in
accordance with the intent of the CVAA.
This biennial review process gives us
additional confidence that applying the
statute more narrowly and cautiously in
our initial rules is the most appropriate
policy at this time.
49. With respect to the definition of
‘‘manufacturer,’’ consistent with the
Commission’s approach in the Section
255 Report and Order and in the
Accessibility NPRM, we define
‘‘manufacturer’’ as ‘‘an entity that makes
or produces a product.’’ As the
Commission noted in the Section 255
Report and Order, ‘‘[t]his definition puts
responsibility on those who have direct
control over the products produced, and
provides a ready point of contact for
consumers and the Commission in
getting answers to accessibility
questions and resolving complaints.’’
We believe this definition encompasses
entities that are ‘‘extensively involved
in the manufacturing process—for
example, by providing product
specifications.’’ We also believe this
definition includes entities that contract
with other entities to make or produce
a product; a manufacturer need not own
a production facility or handle raw
materials to be a manufacturer.
50. TechAmerica argues that section
716(a) should apply only to equipment
with a ‘‘primary purpose’’ of offering
ACS. We reject this interpretation. As
discussed above, consumers commonly
access advanced communications
services through general purpose
devices. The CVAA covers equipment
‘‘used for ACS,’’ and we interpret this to
include general purpose hardware with
included software that provides users
with access to advanced
communications services.
51. Commenters also expressed
concerns about the impact of software
upgrades on accessibility. The IT and
Telecom RERCs state that ‘‘[u]pgrades
can be used to increase accessibility
* * * or they can take accessibility
away, as has, unfortunately occurred on
numerous occasions.’’ Wireless RERC
urges that ‘‘[e]nd-users who buy an
accessible device expect manufacturerprovided updates and upgrades to
continue to be accessible.’’ We agree
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that the purposes of the CVAA would be
undermined if it permitted equipment
or services that are originally required to
be accessible to become inaccessible
due to software upgrades. In accordance
with our interpretation of section
716(a)(1) above, just as a manufacturer
of a device is responsible for the
accessibility of included software, that
manufacturer is also responsible for
ensuring that the software developer
maintains accessibility if and when it
provides upgrades. However, we agree
with CTIA that a manufacturer cannot
be responsible for software upgrades
‘‘that it does not control and that it has
no knowledge the user may select and
download.’’
52. Indeed, we recognize more
generally, as ITI urges, that
manufacturers of equipment are not
responsible for the components over
which they have no control. Thus,
manufacturers are not responsible for
software that is independently selected
and installed by users, or for software
that users choose to access in the cloud.
Furthermore, we generally agree with
commenters that a manufacturer is not
responsible for optional software offered
as a convenience to subscribers at the
time of purchase and that carriers are
not liable for third-party applications
that customers download onto mobile
devices—even if software is available on
a carrier’s Web site or application store.
53. A manufacturer, however, has a
responsibility to consider how the
components in the architecture work
together when it is making a
determination about what accessibility
is achievable for its product. If, for
example, a manufacturer decides to rely
on a third-party software accessibility
solution, even though a built-in solution
is achievable, it cannot later claim that
it is not responsible for the accessibility
of the third-party solution. A
manufacturer of end-user equipment is
also responsible for the accessibility of
software offered to subscribers if the
manufacturer requires or incentivizes a
purchaser to use a particular third-party
application to access all the features of
or obtain all the benefits of a device or
service, or markets its device in
conjunction with a third-party add-on.
54. Because we did not receive a full
record on the unique challenges
associated with implementing section
718, we will solicit further input in the
Accessibility FNPRM on how we should
proceed. In particular, we seek comment
on the unique technical challenges
associated with developing non-visual
accessibility solutions for web browsers
in a mobile phone and the steps that we
can take to ensure that covered entities
will be able to comply with these
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requirements on October 8, 2013, the
date on which section 718 becomes
effective. Section 718 requires a mobile
phone manufacturer that includes a
browser, or a mobile phone service
provider that arranges for a browser to
be included on a mobile phone, to
ensure that the browser functions are
accessible to and usable by individuals
who are blind or have a visual
impairment, unless doing so is not
achievable. In the Accessibility FNPRM,
we also seek to develop a record on
whether Internet browsers should be
considered software generally subject to
the requirements of section 716.
Specifically, we seek to clarify the
relationship between sections 716 and
718 and solicit comment on the
appropriate regulatory approach for
Internet browsers that are not built into
mobile phones.
3. Providers of Advanced
Communications Services
55. Section 716(b)(1) of the Act
provides that, with respect to service
providers, after the effective date of
applicable regulations established by
the Commission and subject to those
regulations, a ‘‘provider of advanced
communications services shall ensure
that such services offered by such
provider in or affecting interstate
commerce are accessible to and usable
by individuals with disabilities,’’ unless
these requirements are ‘‘not
achievable.’’
56. Consistent with the proposal in
the Accessibility NPRM, we agree with
commenters that state that we should
interpret the term ‘‘providers’’ broadly
and include all entities that make
available advanced communications in
whatever manner. Such providers
include, for example, those that make
web-based email services available to
consumers; those that provide noninterconnected VoIP services through
applications that consumers download
to their devices; and those that provide
texting services over a cellular network.
57. As is the case with manufacturers,
providers of ACS are responsible for
ensuring the accessibility of the
underlying components of the service,
to the extent that doing so is achievable.
For example, a provider of a web-based
email service could meet its obligations
by ensuring its services are coded to
web accessibility standards (such as the
Web Content Accessibility Guidelines
(WCAG)), if achievable. For services
downloaded onto the OS of a desktop or
mobile device, service providers could
meet their obligations by ensuring, if
achievable, that their services are coded
so they can work with the Accessibility
API for the OS of the device.
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Accessibility APIs are specialized
interfaces developed by platform
owners, which software applications
use to communicate accessibility
information about user interfaces to
assistive technologies. Those that
provide texting services over a cellular
network, for example, must ensure that
there is nothing in the network that
would thwart the accessibility of the
service, if achievable.
58. COAT raises the concern that
some software used for ACS may be
neither a component of the end user
equipment nor a component of a service
and thus would not be covered under
the statute. Specifically, COAT argues
that H.323 video and audio
communication is peer-to-peer and does
not require a service provider at all.
Similarly, it argues that it is possible to
have large-scale examples of peer-topeer systems without service providers
and that models used in the non-ACS
context could be expanded to be used
for ACS. We believe that COAT
construes the meaning of ‘‘provider of
advanced communications services’’ too
narrowly. If software gives the consumer
the ability to send and receive email,
send and receive text messages, make
non-interconnected VoIP calls, or
otherwise engage in advanced
communications, then provision of that
software is provision of ACS. On the
other hand, provision of client software
such as Microsoft Outlook is not
provision of ACS. While consumers use
such client software to manage their
ACS, the client software standing alone
does not provide ACS. The provider of
that software would be a covered entity,
and the service, including any provided
through a small-scale or large-scale
peer-to-peer system, would be subject to
the requirements of the statute. We also
disagree with COAT’s suggestion that
ACS used with an online directory
would not be covered. While online
directories are excluded from coverage
under the limited liability provisions in
section 2(a)(2) of the CVAA, the ACS
used with such directories are covered.
This is true regardless of whether the
software is downloaded to the
consumer’s equipment or accessed in
the cloud.
59. We disagree with Verizon’s
assertion that the requirement in section
716(e)(1)(C) that the Commission shall
‘‘determine the obligations under this
section of manufacturers, service
providers, and providers of applications
or services accessed over service
provider networks’’ compels the
conclusion that developers of
applications have their own
independent accessibility obligations.
We note that the regulations that the
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Commission must promulgate pursuant
to section 716(e) relate to the
substantive requirements of the Act
found in sections 716(a)-(d)
encompassing accessibility (sections
716(a) and 716(b)); compatibility
(section 716(c)); and network features,
functions, and capabilities (section
716(d)). Each of these obligations
applies to manufacturers of ACS
equipment and/or providers of ACS.
There are no independent substantive
requirements in these sections that
apply to ‘‘providers of applications or
services accessed over service provider
networks.’’ We believe the most logical
interpretation of this phrase is the one
proposed in the NPRM: that providers of
advanced communications services
include entities that provide advanced
communications services over their own
networks as well as providers of
applications or services accessed (i.e.,
downloaded and run) by users over
other service providers’ networks. We
adopt this interpretation, which we
believe comports with our analysis
above that providers of ACS are
responsible for ensuring the
accessibility of the underlying
components of the service, including
the software applications, to the extent
that doing so is achievable.
60. We find, however, that a provider
of advanced communications services is
not responsible for the accessibility of
third-party applications and services
that are not components of its service
and that the limitations on liability in
section 2(a) of the CVAA generally
preclude such service provider liability.
This approach is consistent with
commenters that argue that service
providers and manufacturers should be
responsible only for those services and
applications that they provide to
consumers. They explain that they have
no control over third party applications
that consumers add on their own and
that such third party applications have
the potential to significantly alter the
functionality of devices.
Notwithstanding that conclusion and
consistent with section 2(b) of the
CVAA, we also agree with commenters
that the limitation on liability under
section 2(a) does not apply in situations
where a provider of advanced
communications services relies on a
third-party application or service to
comply with the accessibility
requirements of section 716.
61. We also confirm that providers of
advanced communications services may
include resellers and aggregators, which
is consistent with the approach the
Commission adopted in the Section 255
Report and Order. Several commenters
support that conclusion. We disagree
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with Verizon’s suggestion that, to the
extent that a carrier is strictly reselling
an advanced communications service as
is (without alteration), the sole control
of the features and functions rests with
the underlying service provider, not the
reseller, and the reseller should not
have independent compliance
obligations. To the extent that the
underlying service provider makes those
services accessible to and usable by
individuals with disabilities in
accordance with the CVAA mandates,
those services should remain accessible
and usable when resold as is (without
alteration). Resellers offer services to
consumers who may or may not be
aware of the identity of the underlying
service provider. It is both logical and
in keeping with the purposes of the
CVAA for consumers to be able to
complain against the provider from
whom they obtain a service, should that
service be inaccessible. While a reseller
may not control the features of the
underlying service, it does have control
over its decision to resell that service.
Its obligation, like that of any other ACS
provider, is to ensure that the services
it provides are accessible, unless that is
not achievable.
62. Because the networks used for
advanced communications services are
interstate in nature, and the utilization
of equipment, applications and services
on those networks are also interstate in
nature, we conclude that the phrase ‘‘in
or affecting interstate commerce’’
should be interpreted broadly.
Nonetheless, the IT and Telecom RERCs
suggest that an entity that has its own
network ‘‘completely off the grid, that it
creates and maintains, and that does not
at any time connect to another grid’’
would not be covered. We agree that
advanced communication services that
are available only on a private
communications network that is not
connected to the Internet, the public
switched telephone network (‘‘PSTN’’),
or any other communications network
generally available to the public may
not be covered when such services are
not ‘‘offered in or affecting interstate
commerce.’’ An example of a private
communications network is a company
internal communications network.
Nonetheless, where such providers of
advanced communications services are
not covered by section 716, they may
have accessibility obligations under
other disability related statutes, such as
section 504 of the Rehabilitation Act of
1973 or the Americans with Disabilities
Act of 1990.
4. General Obligations
63. Section 716(e)(1)(C) of the Act
requires the Commission to ‘‘determine
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the obligations * * * of manufacturers,
service providers, and providers of
applications or services accessed over
service provider networks.’’ Below, we
discuss the obligations of manufacturers
and service providers, including the
obligations of providers of applications
or services accessed over service
provider networks.
a. Manufacturers and Service Providers
64. As set forth below, we adopt into
our rules the general obligations
contained in sections 716(a)–(e). As the
Commission did in the Section 255
Report and Order, we find that a
functional approach will provide clear
guidance to covered entities regarding
what they must do to ensure
accessibility and usability. Consistent
with AFB’s comments, we modify our
rules as proposed to make clear that any
third party accessibility solution that a
covered entity uses to meet its
accessibility obligations must be
‘‘available to the consumer at nominal
cost and that individuals with
disabilities can access.’’
• With respect to equipment
manufactured after the effective date of
the regulations, a manufacturer of
equipment used for advanced
communications services, including end
user equipment, network equipment,
and software, must ensure that the
equipment and software that such
manufacturer offers for sale or otherwise
distributes in interstate commerce shall
be accessible to and usable by
individuals with disabilities, unless
such requirements are not achievable.
• With respect to services provided
after the effective date of the
regulations, a provider of advanced
communications services must ensure
that services offered by such provider in
or affecting interstate commerce are
accessible to and usable by individuals
with disabilities, unless such
requirements are not achievable.
• If accessibility is not achievable
either by building it into a device or
service or by using third-party
accessibility solutions available to the
consumer at nominal cost and that
individuals with disabilities can access,
then a manufacturer or service provider
shall ensure that its equipment or
service is compatible with existing
peripheral devices or specialized
customer premises equipment
commonly used by individuals with
disabilities to achieve access, unless
such compatibility is not achievable.
• Providers of advanced
communications services shall not
install network features, functions, or
capabilities that impede accessibility or
usability.
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• Advanced communications services
and the equipment and networks used
to provide such services may not impair
or impede the accessibility of
information content when accessibility
has been incorporated into that content
for transmission through such services,
equipment, or networks.
65. We further adopt in our rules the
following key requirements, supported
by the IT and Telecom RERCs, with
some non-substantive modifications to
clarify the rules proposed in the
Accessibility NPRM. These requirements
are similar to §§ 6.7–6.11 of our section
255 rules but are modified to reflect the
statutory requirements of section 716:
• Manufacturers and service
providers must consider performance
objectives at the design stage as early
and as consistently as possible and must
implement such evaluation to the extent
that it is achievable.
• Manufacturers and service
providers must identify barriers to
accessibility and usability as part of
such evaluation.
• Equipment used for advanced
communications services must pass
through cross-manufacturer,
nonproprietary, industry-standard
codes, translation protocols, formats, or
other information necessary to provide
advanced communications services in
an accessible format, if achievable.
Signal compression technologies shall
not remove information needed for
access or shall restore it upon
decompression.
• Manufacturers and service
providers must ensure access by
individuals with disabilities to
information and documentation it
provides to its customers, if achievable.
Such information and documentation
includes user guides, bills, installation
guides for end user devices, and product
support communications, in alternate
formats, as needed. The requirement to
provide access to information also
includes ensuring that individuals with
disabilities can access, at no extra cost,
call centers and customer support
regarding both the product generally
and the accessibility features of the
product.
The IT and Telecom RERCs urge that
all information provided with or for a
product be available online in accessible
form. Although we will not require
manufacturers and service providers to
build Web sites, to the extent that they
provide customer support online, such
Web sites must be accessible, if
achievable.
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b. Providers of Applications or Services
Accessed Over Service Provider
Networks
66. Section 716(e)(1)(C) requires the
Commission to ‘‘determine the
obligations under * * * section [716] of
manufacturers, service providers, and
providers of applications or services
accessed over service provider
networks.’’ As noted previously, to the
extent they provide advanced
communications services, ‘‘providers of
applications or services accessed over
service provider networks’’ are
‘‘providers of advanced
communications services’’ and have the
same obligations when those services
are accessed over the service provider’s
own network or over the network of
another service provider. No party
suggested that any additional
obligations apply to this subset of
providers of ACS, and we do not adopt
any herein.
c. Network Features
67. According to section 716(d) of the
Act, ‘‘[e]ach provider of advanced
communications services has the duty
not to install network features,
functions, or capabilities that impede
accessibility or usability.’’ As proposed
in the Accessibility NPRM, we adopt
rules that include the requirements set
forth in section 716(d), just as our
section 255 rules reflect the language in
section 251(a)(2). Commenters generally
agree that the duty not to impede
accessibility is comparable to the duty
set forth in section 251(a)(2) of the Act.
68. As stated above, this obligation
applies when the accessibility or
usability of ACS is incorporated in
accordance with recognized industry
standards. We agree with industry and
consumer commenters that suggest that
stakeholder working groups should be
involved in developing new
accessibility standards. As explained in
the next section, we believe that there
are several potential mechanisms to
develop these standards. Accordingly,
we recommend that stakeholders either
use existing working groups or establish
new ones to develop standards that will
ensure accessibility as the industry
applies network management practices,
takes digital rights management
measures, and engages in other passive
or active activities that may impede
accessibility. We do not agree, however,
that we should wait to require
compliance with our rules governing
network features until an industry
working group ‘‘formulates and offers
such standards for the industry.’’ We
agree with ACB that ‘‘existing standards
and expertise will ensure that
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manufacturers have sufficient functional
approaches’’ on which to base
accessibility and that ‘‘[f]urther
experience and products will improve
this process.’’ We believe this approach
provides certainty through the use of
recognized industry standards while at
the same time recognizing the
importance of not unnecessarily
delaying the development of
accessibility solutions.
d. Accessibility of Information Content
69. As proposed in the Accessibility
NPRM, we adopt a rule providing that
‘‘advanced communications services
and the equipment and networks used
with these services may not impair or
impede the accessibility of information
content when accessibility has been
incorporated into that content for
transmission through such services,
equipment or networks.’’ This rule
incorporates the text of section
716(e)(1)(B) and is also consistent with
the Commission’s approach in the
Section 255 Report and Order. We
believe that this rule is broad enough to
disapprove of accessibility information
being ‘‘stripped off when information is
transitioned from one medium to
another’’ and thus find it unnecessary to
add this specific language in the rule
itself, as originally suggested by the IT
and Telecom RERCs.
70. The legislative history of the
CVAA makes clear that the requirement
not to impair or impede the accessibility
of information content applies ‘‘where
the accessibility of such content has
been incorporated in accordance with
recognized industry standards.’’ We
agree with the IT and Telecom RERCs
that sources of industry standards
include: (1) International standards from
an international standards body; (2)
standards created by other commonly
recognized standards groups that are
widely used by industry; (3) de-facto
standards created by one company, a
group of companies, or industry
consortia that are widely used in the
industry. We believe that these
examples illustrate the wide range of
recognized industry standards available
that can provide guidance to industry
without being overly broad or requiring
covered entities to engineer for
proprietary networks. We therefore
decline to adopt CEA’s proposal that
‘‘recognized industry standards are only
those developed in consensus-based,
industry-led, open processes that
comply with American Standards
Institute (‘‘ANSI’’) Essential
Requirements.’’
71. At this time, we are unable to
incorporate any aspects of the Access
Board criteria or the WCAG into our
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rules relating to accessibility of
information content. The WCAG are
technical specifications developed by
industry, disability, and government
stakeholders for those who develop web
content, web authoring tools, and web
accessibility evaluation tools. As such,
we believe it may be appropriate to
consider the WCAG an ‘‘industry
recognized standard’’ for purposes of
applying our rule (i.e., the requirements
of our rule would apply where the
accessibility of the content has been
incorporated consistent with WCAG
specifications), rather than
incorporating aspects of the WCAG into
our rules. Because the Access Board’s
process for developing guidelines is still
not complete, we believe that it would
be premature and inefficient to adopt
them at this juncture. We acknowledge,
however, that the IT and Telecom
RERCs support the WCAG developed by
the W3C and argue that ‘‘these web
standards in the proposed Access Board
revisions to [sections] 508 and 255
* * * should definitely be incorporated
in the rules.’’ Because technology is
changing so quickly, we encourage
stakeholders to use existing or form new
working groups to develop voluntary
industry-wide standards, including on
issues such as encryption and other
security measures. We will monitor
industry progress on these issues and
evaluate the Access Board guidelines
when they are finalized to determine
whether any amendments to our rule
might be appropriate.
72. Finally, we agree with CEA and
the IT and Telecom RERCs that,
consistent with the CVAA’s liability
limitations, manufacturers and service
providers are not liable for content or
embedded accessibility content (such as
captioning or video description) that
they do not create or control.
5. Phased in Implementation
73. The responsibilities of
manufacturers and service providers
begin on the effective date of this Report
and Order and are both prospective and
continuing. First, the regulations we set
forth herein will be effective 30 days
after publication in the Federal
Register, except for those rules related
to recordkeeping and certification. Next,
the rules governing recordkeeping and
certification will become effective after
OMB approval, but, as discussed above,
no earlier than one year after the
effective date of our regulations
implementing section 716.
74. As several commenters
recommend, we are phasing in the
requirements created by the CVAA for
covered entities. Beginning on the
effective date of these regulations, we
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expect covered entities to take
accessibility into consideration during
the design or redesign process for new
equipment and services. Covered
entities’ recordkeeping obligations
become effective one year from the
effective date of the rules adopted
herein. By October 8, 2013, covered
entities must be in compliance with all
of the rules adopted herein. We find that
phasing in these obligations is
appropriate due to the need for covered
entities to implement accessibility
features early in product development
cycles, the complexity of these
regulations, and our regulations’ effects
on previously unregulated entities. As
CEA and ITI have stated, we have
utilized phase-in periods previously in
similarly complex rulemakings. Below,
we discuss details of the phase-in
process.
75. Beginning on the effective date of
these regulations, we expect covered
entities to take accessibility into
consideration as early as possible during
the design or redesign process for new
and existing equipment and services
and to begin taking steps to ‘‘ensure that
[equipment and services] shall be
accessible to and usable by individuals
with disabilities, unless * * * not
achievable [as determined by the four
achievability factors.]’’ As part of this
evaluation, manufacturers and service
providers must identify barriers to
accessibility and usability.
76. Beginning one year after the
effective date of these regulations,
covered entities recordkeeping
obligations will become effective. We
note that certain information collection
requirements related to recordkeeping
adopted herein are subject to the
Paperwork Reduction Act and will be
submitted to the OMB for review. Those
requirements will become effective after
OMB approval but no earlier than one
year after the effective date of rules
promulgated pursuant to section 716(e).
After OMB approval is obtained, the
Consumer and Governmental Affairs
Bureau will issue a public notice
instructing covered entities when and
how to file their annual certification
that records are being maintained in
accordance with the statute and the
rules adopted herein. As we further
explain below, we require covered
entities to keep and maintain records in
the ordinary course of business that
demonstrate that the advanced
communications products and services
they sell or otherwise distribute are
accessible to and usable by individuals
with disabilities or demonstrate that it
was not achievable for them to make
their products or services accessible.
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77. Beginning on October 8, 2013,
products or services offered in interstate
commerce must be accessible, unless
not achievable, as defined by our rules.
Several commenters have called for at
least a two-year phase-in period for
these regulations. By October 8, 2013,
we expect that manufacturers and
service providers will be incorporating
accessibility features deep within many
of their most complex offerings, instead
of patching together ad-hoc solutions
shortly before enforcement begins. Some
commenters are concerned that a long
phase-in period will leave individuals
with disabilities waiting for access to
new technologies. Although AAPD is
correct that many covered entities have
been aware of the existence of this
rulemaking, the specific rules were not
in place until now. The Commission is
also cognizant of the fact that our new
implementing regulations will touch
entities not traditionally regulated by
this Commission. A phase-in date of
October 8, 2013 will give all covered
entities the time to incorporate their
new obligations into their development
processes. We believe two years to be
consistent with complex consumer
electronics development cycles. A twoyear phase-in period is also consistent
with the Commission’s approach in
other complex rulemakings.
78. Also, beginning October 8, 2013,
the requirements we discuss elsewhere
regarding peripheral device
compatibility and pass-through of
industry standard codes and protocols
come into effect. The obligation not to
impair or impede accessibility or the
transmission of accessibility
information content through the
installation of network, features,
functions, or capabilities as clarified
above in Network Features, and
Accessibility of Information Content,
also begins October 8, 2013. We also
expect covered entities to provide
information and documentation about
their products and services in accessible
formats, as explained earlier, beginning
October 8, 2013.
79. In addition, on October 8, 2013,
consumers may begin filing complaints.
Prior to that date, the Commission will
issue a public notice describing how
consumers may file a request for dispute
assistance with the CGB Disability
Rights Office and informal complaints
with the Enforcement Bureau. Formal
complaints must be filed in accordance
with the rules adopted in this Report
and Order. While the CVAA complaint
process will not be available to
consumers until 2013, we remind
industry that it has a current obligation
to ensure that telecommunications
services and equipment are accessible to
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and usable by individuals with
disabilities. Consumers may file
complaints at any time under our
existing informal complaint procedures
alleging violations of the accessibility
requirements for telecommunications
manufacturers and service providers
under section 255 of the
Communications Act. Furthermore,
separate from the complaint process, the
Disability Rights Office in CGB will be
available to assist consumers,
manufacturers, service providers and
others in resolving concerns about the
accessibility and usability of advanced
communications services and
equipment as of the effective date of our
rules (i.e., October 8, 2013).
80. Since ACS manufacturers and
service providers must take accessibility
into account early in the ACS product
development cycle beginning on the
effective date of our rules, we anticipate
that many ACS products and services
with relatively short development
cycles will reach the market with
accessibility features well before
October 8, 2013.
B. Nature of Statutory Requirements
1. Achievable Standard
a. Definitions
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(i) Accessible to and Usable by
81. Given that commenters generally
agree that the Commission’s definitions
of ‘‘accessible’’ and ‘‘usable’’ in §§ 6.3(a)
and 6.3(l), respectively, are ‘‘well
established,’’ we will continue to define
‘‘accessible to and usable by’’ as the
Commission did with regard to
implementation of section 255. We
agree with the Wireless RERC that this
approach will ‘‘reduce both the
potential for misunderstanding as well
as the regulatory cost of compliance’’
and promote ‘‘the objective of
consistency.’’ We also plan to draw from
the Access Board’s guidelines once they
finalize them.
82. While we note that there is a great
deal of overlap between section 255’s
definition of ‘‘accessible’’ and the
criteria outlined in the Access Board
Draft Guidelines, at this time, we are
unable to incorporate the Access
Board’s draft definitions of ‘‘accessible’’
or ‘‘usable’’ into both our section 255
rules and our section 716 rules because
the Access Board’s process for
developing guidelines is not complete.
Once the Access Board Draft Guidelines
are complete, the Commission may
revisit its definitions of ‘‘accessible’’
and ‘‘usable’’ and harmonize them with
the Access Board’s final definitions, to
the extent there are differences.
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(ii) Disability
83. Section 3(18) of the Act states that
the term ‘‘disability’’ has the meaning
given such term under section 3 of the
ADA. The ADA defines ‘‘disability’’ as
with respect to an individual: ‘‘(A) a
physical or mental impairment that
substantially limits one or more major
life activities of such individual; (B) a
record of such an impairment; or (C)
being regarded as having such an
impairment * * * ’’ Having received
only one comment on this issue and
finding that our current rules
incorporate the definition of
‘‘disability’’ from section 3 of the ADA,
we adopt this definition, as proposed, in
our section 716 rules as well. To
provide additional guidance to
manufacturers and service providers, as
the Commission did in the Section 255
Report and Order, we note that the
statutory reference to ‘‘individuals with
disabilities’’ includes people with
hearing, vision, movement,
manipulative, speech, and cognitive
disabilities. The definition of
‘‘disability,’’ however, is not limited to
these specific groups. Determinations of
whether an individual has a disability
are decided on a case-by-case basis.
b. General Approach
84. As provided in the CVAA and its
legislative history, we adopt the
Commission’s proposal in the
Accessibility NPRM to limit our
consideration of achievability to the
four factors specified in section 716 and
to weigh each factor equally when
considering whether accessibility is not
achievable. We agree with AFB that the
CVAA requires covered entities to make
their products accessible unless it is
‘‘not achievable’’ to do so and that the
section 716 standard is different from
the section 255 ‘‘readily achievable’’
standard. ACB suggests adding seven
more factors to the achievability
analysis. These proposed factors, which
address the commitment of the
manufacturer or service provider to
achieving accessibility, include (1)
engagement of upper level executives;
(2) the budgeting process for
accessibility as compared to the overall
budget; (3) consideration of accessibility
early in the planning process; (4)
covered entity devotion of personnel
during planning stages to achieving
accessibility; (5) inclusion of people
with disabilities in testing; (6) devotion
of resources to the needs of people with
disabilities; and (7) record of delivering
accessible products and services. While
we do not adopt these as additional
achievability factors, we do believe they
are useful guidance that will help
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covered entities meet their obligations
under the statute.
85. We will be applying the four
achievability factors in the complaint
process in those cases in which a
covered entity asserts that it was ‘‘not
achievable’’ to make its equipment or
service accessible. Thus, as proposed by
AT&T and supported by many of the
commenters, we will be taking a
flexible, case-by-case approach to the
determination of achievability. We
reject the suggestion by Words+ and
Compusult that the Commission should
evaluate products and services on a
category-by-category basis. Words+ and
Compusult are concerned that the
Commission will not be able to evaluate
the many products that are introduced
each year. This will not be necessary,
since the Commission will be evaluating
only those products that are the subject
of a complaint. The approach suggested
by Words+ and Compusult would not be
consistent with the four factors
mandated by Congress. We also share
the concerns expressed by NFB and
supported by the Consumer Groups that
flexibility should not be so paramount
that accessibility is never achieved.
86. We note that nothing in the statute
limits the consideration of the
achievability of accessibility to the
design and development stage. While
we believe in many instances,
accessibility is more likely to be
achievable if covered entities consider
accessibility issues early in the
development cycle, there may be other
‘‘natural opportunities’’ for
consideration of accessibility. Natural
opportunities to assess or reassess the
achievability of accessibility features
may include, for example, the redesign
of a product model or service, new
versions of software, upgrades to
existing features or functionalities,
significant rebundling or unbundling of
product and service packages, or any
other significant modification that may
require redesign. If, however, a covered
entity is required by the Commission to
make the next generation of a product
or service accessible as a result of an
enforcement proceeding, an
achievability analysis may not be used
for the purpose of determining that such
accessibility is not achievable. We agree
with Consumer Groups that new
versions of software or services or new
models of equipment must be made
accessible unless not achievable and
‘‘that this burden is not discharged
merely by having shown that
accessibility is not achievable for a
previous version or model.’’
87. We expect that accessibility will
be considered throughout the design
and development process and that
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during this time ‘‘technological
advances or market changes’’ may
‘‘reduce the effort and/or expense
needed to achieve accessibility.’’ We
reject CTIA’s argument that requiring
manufacturers and service providers to
reassess the accessibility of products
and services at key development stages
would result in companies refraining
from issuing new versions of their
products. Beyond this conclusory
statement, nothing in the record
supports this contention. We note that
no party has asserted that the identical
requirement in the section 255 context
hampered innovation and competition,
and there appears to be no reason to
believe that it will have such an impact
here.
88. Consistent with both the Section
255 Report and Order and the legislative
history of the CVAA, section 716 does
not require manufacturers of equipment
to recall or retrofit equipment already in
their inventories or in the field. In
addition, consistent with our section
255 implementation, cosmetic changes
to a product or service may not trigger
a manufacturer or service providers’
reassessment.
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c. Specific Factors
(i) Nature and Cost of Steps Needed
With Respect to Specific Equipment or
Service
89. Consistent with the House Report,
we find that if the inclusion of an
accessibility feature in a product or
service results in a fundamental
alteration of that product or service,
then it is per se not achievable to
include that accessibility function. We
find that the most appropriate definition
of ‘‘fundamental alteration’’ can be
found in the Section 255 Report and
Order, where the Commission defined it
to mean ‘‘reduce substantially the
functionality of the product, to render
some features inoperable, to impede
substantially or deter use of the product
by individuals without the specific
disability the feature is designed to
address, or to alter substantially and
materially the shape, size or weight of
the product.’’ We caution, however, that
in many cases, features such as voice
output can be added in ways that do not
fundamentally alter the product, even if
earlier versions of the product did not
have that capability. Since all
accessibility enhancements in one sense
require an alteration to the design of a
product or service, not all changes to a
product or service will be considered
fundamental alterations. Rather, the
alteration to the product or service must
be fundamental for the accessibility
feature to be considered per se not
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achievable. As we explained in the
Section 255 Report and Order, ‘‘the
‘fundamental alteration’ doctrine is a
high standard and * * * the burden of
proof rests with the party claiming the
defense.’’
90. We disagree with those
commenters that argue that we should
not consider whether accessibility has
been achieved by competing products in
determining whether accessibility is
achievable under this achievability
factor. Rather, if an accessibility feature
has been implemented for competing
products or services, we find that such
implementation may serve as evidence
that implementation of the accessibility
feature is achievable. To ignore such
evidence would deprive the
Commission of a key element of
determining whether achievability is
possible. We note, however, that a
covered entity may rebut such evidence
by demonstrating that the circumstances
of the product or service offered by that
particular entity renders the feature not
achievable. We will consider all
relevant evidence when considering the
nature and cost of the steps necessary to
achieve accessibility for the particular
device or service for the particular
covered entity.
91. We also reject CEA’s assertion that
this factor requires us to consider ‘‘the
entire cost of implementing the required
accessibility functionality relative to the
production cost of the product.’’ Under
the first factor, the Commission is
required to consider the cost of the steps
needed to meet the requirements of this
section with respect to the specific
equipment or service in question. The
first factor, however, does not provide
that the costs should be compared to the
production cost of the product; indeed,
the factor does not provide for a
comparison of the costs at all. As
explained further below, this inquiry
more directly fits under the second
factor, which examines directly the
economic impact of the cost of the
accessibility features.
(ii) Technical and Economic Impact on
the Operation
92. The second factor in determining
whether compliance with section 716 is
‘‘achievable’’ requires the Commission
to consider the ‘‘technical and economic
impact on the operation of the
manufacturer or provider and on the
operation of the specific equipment or
service in question, including on the
development and deployment of new
communications technologies.’’ We find
that to determine the ‘‘economic impact
of making a product or service
accessible on the operation of the
manufacturer or provider,’’ it will be
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necessary to consider both the costs of
making a product or service accessible
and an entity’s total gross revenues.
Consistent with the Section 255
Report and Order, we will consider the
total gross revenues of the entire
enterprise and will not limit our
consideration to the gross revenues of
the particular subsidiary providing the
product or service. CEA argues that the
Commission should not be able to
consider an entity’s entire budget in
evaluating the cost of accessibility
because Congress dropped from the
final version of the statute a fifth
achievability factor which specifically
considered ‘‘the financial resources of
the manufacturer or provider.’’ We
disagree. CEA does not suggest a reason
why Congress eliminated this language
and does not address the possibility that
Congress may have found the factor to
be redundant in light of the fact that
under the second factor we consider the
‘‘economic impact on the operation of
the manufacturer or provider.’’
93. We agree with TIA that some new
entrants may not initially have the
resources to incorporate particular
accessibility features into their products
immediately. All covered entities
should examine the technical and
economic impact on their operations of
achieving accessibility, as stated in the
language of section 716(g)(2). The need
to provide an accessibility feature,
however, can have a greater impact on
a smaller entity than a larger one. In
other words, the provision of a
particular feature may have negligible
impact on a large company but may not
be achievable with reasonable effort or
expense for a small business. For
example, a small start up manufacturer
may not have the resources to evaluate
all the design considerations that must
be considered to make a potential
product accessible, even though a larger
manufacturer might have the resources
to do so as a matter of course. A smaller
service provider looking for accessible
customer premises equipment to
provide to its customers may find that
the models with accessibility features
are available only to larger service
providers, or if they are available to the
smaller provider, the acquisition price is
considerably higher than the price for a
larger carrier, thereby rendering such
devices cost prohibitive for the smaller
provider. Similarly, while a larger
service provider may perform as a
matter of course a network upgrade that
would include the addition of
accessibility features, it may not be
achievable with reasonable effort or
expense for a smaller service provider to
perform a similar network upgrade,
either because the upgrade is not yet
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available to the smaller provider or it is
cost-prohibitive to the company at that
time.
94. Some commenters argue that the
Commission should consider the cost of
implementing accessibility relative to
the production cost of the product. CEA
suggests that if the cost of accessibility
significantly raises the cost of a
particular device, it may result in
overpricing the device for consumers,
which could result in fewer devices
being purchased. Similarly,
TechAmerica argues that if the cost of
an accessibility feature exceeds the cost
of having the product in the
marketplace, then that accessibility
feature is per se not achievable. We
decline to adopt this per se approach.
The Commission does recognize,
however, that if the nature and cost of
the steps needed for accessibility would
have a substantial negative technical or
economic impact on the ability to
produce a product or service, that fact
may be taken into consideration when
conducting the overall achievability
analysis. To completely ignore this fact
altogether could discourage
manufacturers and service providers
from introducing new and innovative
products that, for some reason, would
require extremely costly accessibility
features relative to the cost of the
product. Congress’s balanced approach
in the statute, including its desire to
refrain from hampering innovation and
investment in technology, require us to
consider the cost of accessibility relative
to the cost of producing a product in
certain situations.
95. In its comments, ITI proposes that
manufacturers and service providers
should be given the flexibility to make
necessary adjustments during the testing
stage prior to fully incorporating
accessibility technology. According to
ITI, to do otherwise would result in one
set of accessibility features for the beta
version of a product, and then a second,
different set of accessibility features for
the final version. The VON Coalition
argues that manufacturers of devices
used for ACS and providers of ACS
should not be subject to the CVAA with
respect to products they are testing. We
find that, if a covered entity is testing
accessibility features along with the
other functions of the product or
service, to the extent the beta testing
reveals that the accessibility features
need modification to work properly,
then under such circumstances,
accessibility would not be fully
achievable at the beta stage but would
be considered achievable once the
modifications are implemented for the
final product design. We will not take
enforcement action against a
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manufacturer or service provider in
regard to the accessibility of products
and services that are being beta tested.
We will, however, carefully examine
any claim that a product or service is in
beta. If it appears that a covered entity
is keeping a product or service in beta
testing status and/or making it available
to the general public for extended
periods of time as a means of avoiding
accessibility obligations, we will enforce
section 716 with respect to that product
or service.
(iii) Type of Operations
96. The third factor in determining
whether compliance with section 716 is
‘‘achievable’’ requires the Commission
to consider ‘‘[t]he type of operations of
the manufacturer or provider.’’
Consistent with the legislative history,
we will take into consideration whether
a covered entity has experience in the
advanced communications services
market or related markets when
conducting an achievability analysis.
We disagree with Words+ and
Compusult’s argument that this factor
will necessarily provide a competitive
advantage to a new entrant. All
companies that do not qualify for the
small business exemption, whether new
entrants or incumbents, must engage in
an achievability analysis. All companies
are required to provide accessibility
unless it cannot be done ‘‘with
reasonable effort or expense.’’ Given the
multitude of factors that affect a
company’s prospects in the
marketplace, we do not see much of a
competitive advantage arising from the
ability of a new entrant to assert this
third factor as a defense to a complaint.
97. The degree to which this factor
affects a finding of achievability will
depend upon a number of
considerations. We agree with CEA that
the Commission should give little
weight to whether a new entrant has
experience in other unrelated markets.
In this regard, we consider the various
telecommunications and information
technology markets to be related. We
agree with T-Mobile that because each
service provider has different technical,
financial, and personnel resources, with
different business models and distinct
technology configurations and
platforms, this factor requires that we
look at each company individually
when we consider the impact on the
operation of the covered entity of
providing the accessibility feature.
98. In addition, as suggested by the IT
and Telecom RERCs and ACB, when
applying this factor, we will take into
consideration the size of the company.
We agree that a small start-up company,
which may need time to develop its
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financial resources and learn the field
and its requirements, should be treated
differently than a larger company with
the resources available to more rapidly
achieve accessibility features. While we
reject TIA’s suggestion that the size of
the company should not matter when
applying this factor, we agree with TIA
that a company’s size alone is not a
proxy for determining whether
accessibility can be achieved. Consistent
with the legislative history, we find that
the existence of substantial financial
resources does not, by itself, trigger a
finding of achievability.
(iv) Extent to Which Accessible Services
or Equipment Are Offered With Varying
Functionality, Features, and Prices
99. The fourth factor in determining
whether compliance with section 716 is
‘‘achievable’’ requires the Commission
to consider ‘‘[t]he extent to which the
service provider or manufacturer in
question offers accessible services or
equipment containing varying degrees
of functionality and features, and
offered at differing price points.’’ To
satisfy the fourth achievability standard,
a covered entity is required by the
CVAA to offer people with each type of
disability (this includes people with
multiple disabilities) accessibility
features within a line of products that
includes the full range of functionality
within the product line as well as a full
range of prices within the product line,
if achievable. We interpret the plain
language of the statute and legislative
history to mean that covered entities
generally need not consider what is
achievable with respect to every
product, if the entity offers consumers
with the full range of disabilities
meaningful choices through a range of
accessible products with varying
degrees of functionality and features, at
differing price points. Although a range
of accessible products with varying
degrees of functionality and features, at
differing price points must be offered
across a product line for people with the
full range of disabilities if achievable, in
the context of a complaint proceeding,
only the facts of the complaint will be
considered. In other words, a complaint
proceeding will not consider the
accessibility of a product for types of
disabilities that are not the subject of the
complaint.
100. Furthermore, to satisfy this
factor, offering the full range of
accessible products with varying
degrees of functionality and features at
different price points must be done
effectively. We acknowledge the
concern expressed by the IT and
Telecom RERCs in their comments that
company-chosen sets of devices to be
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made accessible may not provide good
representation of the range of products
offered by the company, and as a result,
accessible versions may not always
appear in stores, may not always be
available as part of bundles, may be
more expensive and difficult to obtain
than the comparable non-accessible
products, may not always represent the
full range of features and prices
available to everyone else, may not
always be supported by employers and
their information technology
departments, and may not always be
available in certain parts of the country.
101. Because section 716(g)(4)
specifically calls for ‘‘varying degrees of
functionality and features, and offered
at differing price points,’’ we emphasize
that accessibility features must be made
available within a line of products that
includes the full range of functionality
and prices for that line of products. In
other words, if a line of products
includes low-end products, it is just as
important that low-end products and
services be accessible as high-end
products and services if achievable.
102. We decline to mandate ACB’s
proposal that, for the purpose of making
available a range of devices that fit
various price ranges along with
corresponding accessible features, the
devices may be divided into classes,
making certain that each class has at
least one option that is fully accessible.
We agree with CEA that mandating such
a proposal would be unworkable for
some manufacturers and service
providers, given that technology and
consumer preferences are constantly
evolving.
103. We also share the concern
expressed by Words+ and Compusult
that the fourth achievability factor not
be interpreted in a way that would
result in people with disabilities
needing to purchase multiple devices to
obtain all the disability features that
they require. We find that a reasonable
interpretation of sections 716(g)(4) and
716(j) calls for the bundling of features
within a single device to serve a
particular type of disability, if
achievable. For example, if a series of
features, such as a screen reader and a
voice interactive menu, were required to
be bundled into the same device to
render the device accessible to people
who are blind, then a common sense
interpretation of the statute would
require that these features be bundled
together if achievable under the four
factors.
104. We find that ITI misunderstands
sections 716(g)(4) and 716(j) when it
asserts that covered entities are
compliant ‘‘so long as some reasonable
subset of features and services are
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accessible,’’ because such an approach
could result in lack of accessibility over
the full range of functionality and
prices. After carefully considering
section 716(j), we find a more
reasonable interpretation to be that there
may be some devices with accessibility
features for people with one type of
disability, different devices with
accessibility features for people with
other types of disabilities, and yet other
devices that are not accessible because
accessibility is not achievable for those
particular devices or because the entity
offers a full range of accessible products
with varying degrees of functionality
and features, at differing price points to
discharge its responsibility under
section 716. In other words, section
716(j) provides a rule of reason when
interpreting section 716(g).
105. We decline at this time to
designate a list of accessibility features
that are easy to achieve. Not only would
such a list become outdated very
quickly, but it is impossible to assume
that any given accessibility feature
would be easy to achieve for every
device or service. Nevertheless, we
strongly encourage, but do not require,
all covered entities to offer accessibility
features that are easy to achieve with
every product. By way of example, AFB
suggests that audible output of menu
functions and on-screen text is easy to
achieve. Although the record is
insufficient to determine whether AFB’s
assertion is accurate, if a covered entity
finds during the course of its
achievability analysis that audible
output of menu functions and on-screen
text is easy to achieve in all of its
products, we would encourage the
covered entity to install audible output
of menu functions and on-screen text in
those products. Voluntary universal
deployment of accessibility features that
are easy to achieve as products evolve
will further enable the maximum
number of people with disabilities to
enjoy access to products that people
without disabilities take for granted.
2. Industry Flexibility
106. Sections 716(a)(2) and (b)(2) of
the Act provide manufacturers and
service providers flexibility on how to
ensure compliance with the
accessibility requirements of the CVAA.
As urged by several commenters, we
confirm that section 716 allows covered
entities the flexibility to provide
accessibility through either built-in
solutions or third-party solutions, so
long as the third-party solutions are
available at nominal cost to consumers.
As suggested by TIA, we find that
manufacturers and service providers
should be able to rely on a wide range
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of third-party accessibility solutions and
whether such solutions meet the
accessibility requirements should be
decided on a case-by-case basis.
Moreover, by putting the decision in the
hands of the manufacturers and service
providers—those who are in the best
position to determine the most
economical manner of compliance—we
ensure that the aims of the statute will
be met in the most cost-effective
manner. At the same time, we encourage
such manufacturers and service
providers who wish to use third party
accessibility solutions, to consult with
people with disabilities about their
accessibility needs because these
individuals will be best equipped to
provide guidance on which third-party
accessibility solutions will be able to
meet those needs. Consultation with the
disability community will best achieve
effective and economical accessibility
solutions.
107. The Commission acknowledged
in the Accessibility NPRM that
‘‘universal design,’’ which is ‘‘a concept
or philosophy for designing and
delivering products and services that are
usable by people with the widest
possible range of functional capabilities,
which include products and services
that are directly accessible (without
requiring assistive technologies), and
products and services that are
interoperable with assistive
technologies,’’ will continue to play an
important role in providing accessibility
for people with disabilities. At the same
time, the Commission acknowledged
that, while section 255 had relied
primarily on universal design
principles, the industry flexibility
provisions of the CVAA reflect that
there are new ways to meet the needs of
people with disabilities that were not
envisioned when Congress passed
section 255. We agree with Consumer
Groups that new and innovative
technologies may now be able to more
efficiently and effectively meet
individual needs by personalizing
services and products, than services and
products built to perform in the same
way for every person. Accordingly, as
supported by several commenters, we
affirm that the Commission should
afford manufacturers and service
providers as much flexibility to achieve
compliance as possible, so long as each
does everything that is achievable in
accordance with the achievability
factors.
108. As supported by several
commenters, we adopt the
Commission’s proposal in the
Accessibility NPRM that ‘‘any fee for
third-party software or hardware
accessibility solutions be ‘small enough
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so as to generally not be a factor in the
consumer’s decision to acquire a
product or service that the consumer
otherwise desires.’ ’’ We will apply this
definition in accordance with the
proposal submitted by AFB that in
considering whether the cost to the
consumer is nominal, we must look at
the initial purchase price, including
installation, plus the ongoing costs to
the consumer to keep the third-party
solution up to date and in good working
order, and that the total cost to the
consumer must be nominal as perceived
by the consumer. We believe that this
approach, which emphasizes the
definition of nominal cost as perceived
by the consumer, addresses the IT and
Telecom RERCs’ concerns that our
proposed definition of nominal cost
provides insufficient guidance and does
not take into account that many people
with disabilities are poor and already
face greater costs for nearly every aspect
of their lives. In other words, the
definition of nominal cost as perceived
by the consumer will take into account
the financial circumstances generally
faced by people with disabilities.
109. As suggested by several
commenters, we will not adopt a fixed
percentage definition for nominal cost.
We are mindful of T-Mobile’s concern
that we should not interpret the term
nominal cost so narrowly as to negate
the opportunity for third-party
accessibility solutions. As supported by
several commenters, we will therefore
determine whether the cost of a thirdparty solution is nominal on a case-bycase basis, taking into consideration the
nature of the service or product,
including its total lifetime cost.
110. Several commenters also express
concerns about the Commission’s
proposal in the Accessibility NPRM that
a third-party solution not be more
burdensome to a consumer than a builtin solution would be, arguing that this
test would not be workable because it
would result in no third-party solutions.
In response to these concerns, we clarify
how we intend to interpret those
requirements to ensure their
workability. Because adaptive
communications solutions are often not
available with mainstream products and
finding these solutions often has been
difficult for people with disabilities in
the past, we agree with those
commenters that assert that a
manufacturer or service provider that
chooses to use a third-party accessibility
solution has the responsibility to
identify, notify consumers of, find, and
arrange to install and support the thirdparty technology along with the covered
entity’s product to facilitate consumer
access to third-party solutions.
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Although we will not adopt the testing
requirements proposed by the IT and
Telecom RERCs because we believe that
the other requirements we adopt herein
with respect to third-party solutions
will ensure accessibility of ACS
products and services to consumers
with disabilities, we nevertheless
encourage covered entities to test thirdparty accessibility solutions with people
with disabilities to ensure that such
third-party solutions work as intended.
We find that the covered entity must
support the third-party solution for the
life of the ACS product or service or for
a period of up to two years after the
third-party solution is discontinued,
whichever comes first, provided that
another third-party accessibility
solution is made available by the
covered entity at nominal cost to the
consumer. In other words, to ensure
accessibility of products and services
covered by the CVAA, if another thirdparty solution is not made available by
the covered entity at nominal cost to the
consumer, then the covered entity may
not discontinue support for the original
third-party solution. We believe that the
requirement to provide support for a
replacement third-party accessibility
solution addresses the concern
expressed by the IT and Telecom
RERCs.
111. We agree with those commenters
that suggest that we should not impose
a requirement to bundle third-party
solutions with ACS products and
services, because a bundling
requirement would provide industry
with less flexibility than Congress
intended. Therefore, third-party
solutions can be made available aftermarket, rather than at the point of
purchase, provided that such third-party
solutions are made available around the
same time as when the product or
service is purchased. This will ensure
that the consumer has access to the
product near the time of purchase, allow
for additional implementation steps that
may be needed, and promote innovation
by reducing the likelihood of being
locked into the accessibility solutions
available at the time the product was
offered for sale.
112. As explained in the preceding
paragraphs, the total cost to the
consumer of the third-party solution,
including set-up and maintenance, must
be nominal. We expect the set-up and
maintenance for a third-party
accessibility solution to be no more
difficult than the set-up and
maintenance for other applications used
by consumers. If the third-party solution
by its nature requires technical
assistance with set-up or maintenance,
we find that the covered entity must
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either provide those functions,
including personnel with specialized
skills if needed, or arrange for a third
party to provide them.
113. We reject Verizon’s argument
that manufacturers and service
providers should not be required to
provide support for the third-party
solutions, because such a requirement
would effectively require a contractual
relationship, including intricate
knowledge of the third party’s
proprietary solution, where none may
exist. Verizon’s theory would conflict
with the plain meaning of sections
716(a)(2) and (b)(2), which afford
manufacturers and service providers the
option to rely on third-party solutions to
ensure that their products and services
are accessible if achievable. If the
covered entities elect to offer third-party
solutions to achieve accessibility but do
not support such third-party solutions,
they would be undermining the
availability of such solutions.
3. Compatibility
114. We adopt the definition of
‘‘peripheral devices’’ proposed in the
Accessibility NPRM. We agree with the
vast majority of commenters that
peripheral devices can include
mainstream devices and software, as
long as they can be used to ‘‘translate,
enhance, or otherwise transform
advanced communications services into
a form accessible to individuals with
disabilities’’ and the devices and
software are ‘‘commonly used by
individuals with disabilities to achieve
access.’’ We did not receive comments
on the IT and Telecom RERCs proposal
to expand our definition of peripheral
devices and decline to adopt their
proposal at this time. However, we seek
further comment in the Accessibility
FNPRM on its proposal.
115. We also adopt the same
definition of specialized CPE as is used
in our section 255 rules and proposed
in the Accessibility NPRM. The
Commission has traditionally
interpreted CPE broadly to include
wireless devices such as cellular
telephone handsets, and we retain the
flexibility to construe the scope of
specialized CPE consistent with
Commission precedent. Therefore,
changing the regulatory definition of
CPE, as the IT and Telecom RERCs
suggest, to explicitly include mobile
devices carried by the user is
unnecessary. We also note that a mobile
device could meet the definition of a
peripheral device to the extent that it is
used to ‘‘translate, enhance, or
otherwise transform advanced
communications services into a form
accessible to people with disabilities.’’
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116. Consistent with the
Commission’s decision in the Section
255 Report and Order, we will require
manufacturers and service providers to
exercise due diligence to identify the
types of peripheral devices and
specialized CPE ‘‘commonly used’’ by
people with disabilities with which
their products and services should be
made compatible. We also find that
when determining whether a particular
device is commonly used by individuals
with disabilities, a manufacturer or
provider should look at the use of that
device among persons with a particular
disability. In addition, we agree with
AFB that for compatibility to be
achieved, a third party add-on must be
an available solution that the consumer
can access to make the underlying
product or service accessible.
Compliance is not satisfied because a
device’s software architecture might
someday allow a third party to write an
accessibility application. We agree with
ITI, however, that ‘‘a manufacturer or
service provider need not make its
equipment or service compatible with
every peripheral device or piece of
customer equipment used to achieve
access.’’ Covered entities are also not
required to test compatibility with every
assistive technology device in the
market.
117. Consistent with the Section 255
Report and Order, we decline to
maintain a list of peripheral devices and
specialized CPE commonly used by
individuals with disabilities or to define
how covered entities should test devices
which are ‘‘commonly used’’ by people
with disabilities, given how quickly
technology is evolving. For the same
reason, we agree with the IT and
Telecom RERCs that covered entities do
not have a duty to maintain a list of all
peripheral devices and specialized CPE
used by people with disabilities. At this
time, we also decline to limit the
definition of ‘‘existing’’ peripheral
devices and specialized customer
premises equipment to those that are
currently sold, as ITI proposes. As
discussed above, we believe that
‘‘existing’’ peripheral devices and
specialized customer premises
equipment include those which
continue to be ‘‘commonly used’’ by
people with disabilities. For example, a
particular screen reader may no longer
be manufactured, but could still be
‘‘commonly used.’’ We do note,
however, that peripheral devices and
specialized customer premises
equipment that are no longer sold will
eventually cease being ‘‘commonly
used.’’ We also believe that covered
entities have an ongoing duty to
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consider how to make their products
compatible with the software and
hardware components and devices that
people with disabilities use to achieve
access and to include this information
in their records required under section
717(a)(5).
118. In declining to limit the
definition of ‘‘existing’’ peripheral
devices and specialized customer
premises equipment to those that are
currently sold, we recognize that we
may be imposing an additional burden
on industry resources. We are open to
any idea that could facilitate transition
without consumers having to bear the
costs. In reaching this decision, we
acknowledge this additional burden
against the benefits of maintaining
access for consumers with disabilities to
‘‘commonly used’’ peripheral devices
and specialized customer premises
equipment. We believe that ensuring
that people with disabilities continue to
have access to ‘‘commonly used’’
technologies that facilitate their ongoing
participation in economic and civic
activities outweighs the burden on
industry and furthers the statute’s
overriding objective ‘‘[t]o increase the
access of persons with disabilities to
modern communications.’’
119. Finding that the four criteria
used in our section 255 rules for
determining compatibility remain
relevant in the context of advanced
communications services, we adopt the
following factors for determining
compatibility: (i) External access to all
information and control mechanisms;
(ii) existence of a connection point for
external audio processing devices; (iii)
TTY connectability; and (iv) TTY signal
compatibility. The Commission
declines, at this time, to eliminate or
modify (iii) and (iv) of this criteria. The
Commission agrees with Consumer
Groups that at this time, ‘‘[a] forced
phase-out of TTY would impose
considerable hardship on a large
segment of the population the CVAA is
intended to protect.’’ Therefore, we
shall maintain the existing rules for TTY
compatibility until alternative forms of
communication, such as real-time text,
are in place. Until a real time text
standard is adopted, we believe that it
would be premature to modify the third
and fourth criteria as the IT and
Telecom RERCs suggest. The provision
of real-time text as communications
technologies, including those used for
9–1–1 emergency services by people
with disabilities, transition from the
PSTN to an IP-based environment is
being examined by the EAAC.
120. At this time, the Commission
will not incorporate criteria related to
APIs or software development kits
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(SDKs) into our definition of
compatibility. We do agree with
commenters, however, that APIs ‘‘can
facilitate both accessibility (via thirdparty solutions) as well as
compatibility’’ and ‘‘reduce the work
needed by both mainstream and
assistive technology (AT) developers.’’
We encourage stakeholders to use
existing working groups—or form new
ones—to develop and distribute
voluntary industry-wide standards,
since this approach will offer the
industry flexibility in advancing the
goals of compatibility articulated in
sections 716 and 255.
121. Several commenters generally
support the Access Board’s proposed
definition of ‘‘compatibility’’ and the
VON Coalition suggests that the
Commission should defer to the Access
Board’s determination of
‘‘compatibility’’ under section 508,
thereby creating consistency between
the CVAA and section 508. Because the
Access Board has not yet completed its
guidelines process, we will not adopt
the Access Board’s proposed definition
of ‘‘compatibility’’ at this time but may
revisit this decision after the Access
Board completes its guidelines process.
C. Waivers and Exemptions
1. Customized Equipment or Services
122. Section 716(i) states that the
accessibility requirements of section 716
‘‘shall not apply to customized
equipment or services that are not
offered directly to the public, or to such
classes of users as to be effectively
available directly to the public,
regardless of the facilities used.’’ We
hereby find that section 716(i) sets forth
a narrow exemption that should be
limited in scope to customized
equipment and services offered to
business and other enterprise customers
only. Our decision is consistent with the
legislative history of the CVAA, which
demonstrates that Congress intended for
section 716(i) to be a narrow exemption
limited to specialized and innovative
equipment or services built to the
unique specifications of businesses:
The Committee recognizes that some
equipment and services are customized to the
unique specifications requested by an
enterprise customer. The Committee believes
this narrow exemption will encourage
technological innovation by permitting
manufacturers and service providers to
respond to requests from businesses that
require specialized and sometimes
innovative equipment to provide their
services efficiently. This provision is not
intended to create an exemption for
equipment and services designed for and
used by members of the general public.
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123. We also conclude that section
716’s accessibility requirements do not
extend to public safety communications
networks and devices, because such
networks and devices are ‘‘equipment
and services that are not offered directly
to the public.’’ As Motorola points out,
this conclusion is consistent with the
Commission’s recent proposal not to
apply its hearing aid compatibility
requirements to public safety
equipment. In that proceeding, the
Commission proposed to find that
insofar as public safety communications
networks have different technical,
operational, and economic demands
than consumer networks, the burdens of
compliance would outweigh the public
benefits. For the same reasons, we find
that section 716 should not be imposed
on public safety equipment.
124. We disagree with commenters
such as Consumer Groups, and Words+
and Compusult who posit that public
safety networks and devices should not
be exempt from section 716 because
their employees should be covered like
the general population. These
commenters argue that exempting
public safety networks will create
barriers to employment for people with
disabilities employed in the public
safety sector. We note, however, that
employers, including public safety
employers, are subject to accessibility
obligations imposed under the ADA.
Because employees of public safety
institutions are protected by the ADA,
and because the equipment we exempt
is customized for the unique needs of
the public safety community, we
conclude that imposing the accessibility
requirements of section 716 on such
equipment would create an unnecessary
burden on the development of public
safety equipment without any
concomitant benefit for employees with
disabilities. Nonetheless, we agree with
CSD that ‘‘to the extent possible, public
safety systems should be designed to
accommodate the needs of deaf [and]
hard-of-hearing employees and
employees with other disabilities.’’
125. We agree with CEA that products
customized by a manufacturer for an
enterprise that are not offered directly to
the general public are exempt, even if
such products are ‘‘used by members of
the general public.’’ We also agree with
the IT and Telecom RERCs that if a
customized product built to an
enterprise customer’s unique
specifications is later made directly
available to the public, it then becomes
subject to the CVAA. Although the
legislative history specifies that the
exemption set forth in section 716(i)
encompasses equipment/services
customized to the ‘‘unique
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specifications requested by an
enterprise customer,’’ we find that
where a customized product is
subsequently offered directly to the
public by the originating manufacturer
or service provider, that product is then
not serving the unique needs of an
enterprise customer and thus should not
be exempt from the accessibility
requirements of section 716.
126. We disagree with commenters
such as Consumer Groups, the IT and
Telecom RERCs, and Words+ and
Compusult who advocate that we
expand the definition of ‘‘public’’ as
used in section 716(i), to include
government agencies, educational
organizations, and public institutions.
While Congress clearly meant to draw a
distinction between equipment or a
service that has been ‘‘customized to the
unique specifications requested by an
enterprise customer’’ from ‘‘equipment
and services designed for and used by
members of the general public’’ in
enacting the exemption in section
716(i), there is no support for the
proposition that the use of the term
‘‘public’’ in the foregoing phrase was
meant to extend to public institutions.
Furthermore, there are many instances
where public institutions, acting as
enterprise customers, order customized
equipment, such as library cataloging
systems, whereby such systems would
never be designed for, sold to, and used
directly by members of the general
public. Under Consumer Groups’
approach, a public institution could
never be considered an enterprise
customer, even when procuring
specialized equipment that would not
be offered to the public or even other
enterprise customers. There is nothing
in the statute demonstrating that
Congress intended to treat public
institutions differently from other
enterprise customers who are in need of
customized or specialized equipment.
Therefore, we decline to expand the
definition of the word ‘‘public’’ as used
in section 716(i) to public institutions.
Equipment, such as general purpose
computers, that are used by libraries
and schools without customization, and
are offered to the general public—i.e.,
library visitors and students, would not
fall within the exemption and must
meet the accessibility requirements of
section 716.
127. We further conclude that
customizations to communications
devices that are merely cosmetic or do
not significantly change the
functionalities of the device or service
should not be exempt from section 716.
We agree with Words+ and Compusult
that the section 716(i) exemption should
be narrowly construed, and further
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agree with Consumer Groups that
manufacturers and service providers
should not be able to avoid the
requirements of the CVAA through
customizations that are ‘‘merely
cosmetic’’ or have ‘‘insignificant change
to functionality’’ of the product/service.
We note that the majority of
commenters support the conclusion that
this exemption should not extend to
equipment or services that have been
customized in ‘‘minor ways’’ or ‘‘that
are made available to the public.’’
128. Beyond the narrow exemption
that we carve out for public safety
communications, we refrain from
identifying any other particular class of
service or product as falling within the
section 716(i) exemption. We disagree
with NetCoalition that the exemption
should apply to ACS manufacturers or
service providers who offer their
products to a ‘‘discrete industry
segment’’ and only a ‘‘relatively small
number of individuals.’’ The exemption
is not based on the characteristics of the
manufacturer or the provider, but rather,
on whether the particular equipment or
service in question is unique and
narrowly tailored to the specific needs
of a business or enterprise.
129. The customized equipment
exemption will be self-executing. That
is, manufacturers and providers need
not formally seek an exemption from the
Commission, but will be able to raise
section 716(i) as a defense in an
enforcement proceeding.
2. Waivers for Services or Equipment
Designed Primarily for Purposes Other
Than Using ACS
130. Section 716(h)(1) of the Act
grants the Commission the authority to
waive the requirements of section 716.
We adopt the Commission’s proposal to
focus our waiver inquiry on whether a
multipurpose equipment or service has
a feature or function that is capable of
accessing ACS but is nonetheless
designed primarily for purposes other
than using ACS. This approach is
founded in the statutory language. We
disagree with the IT and Telecom
RERCs’ assertion that our waiver
analysis should focus on whether the
features or functions are designed
primarily for purposes other than using
ACS. The statute specifically anticipates
waivers for multipurpose equipment
and services or classes of such
equipment and services with ACS
features or functions. As the House and
Senate Reports explain, ‘‘a device
designed for a purpose unrelated to
accessing advanced communications
might also provide, on an incidental
basis, access to such services. In this
case, the Commission may find that to
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promote technological innovation the
accessibility requirements need not
apply.’’
131. We will exercise the authority
granted under section 716(h)(1) to waive
the requirements of section 716 (a
waiver of the obligations of section 716
also consequently relieves the waived
entity from the recordkeeping and
annual certification obligations of
section 717) through a case-by-case,
fact-based analysis on our own motion,
or upon petition of a manufacturer of
ACS equipment, a provider of ACS, or
any interested party. AT&T and CEA
generally support this approach. As we
discuss in more detail below, the rule
we adopt provides specific guidance on
the two factors that we will use to
determine whether equipment or service
is designed primarily for purposes other
than using ACS.
132. We will examine whether the
equipment or service was designed to be
used for advanced communications
service purposes by the general public.
We agree that the language of the statute
requires an examination of the purpose
or purposes for which the manufacturer
or service provider designed the product
or service and that consumer use
patterns may not always accurately
reflect design. Therefore, this is not an
examination of post-design uses that
consumers may find for a product; but
rather, an analysis of the facts available
to the manufacturer or provider and
their intent during the design phase. We
may, for example, consider the
manufacturer or provider’s market
research, the usage trends of similar
equipment or services, and other
information to determine whether a
manufacturer or provider designed the
equipment or service primarily for
purposes other than ACS.
133. We note that equipment and
services may have multiple primary, or
co-primary purposes, and in such cases
a waiver may be unwarranted.
Convergence results in multipurpose
equipment and services that may be
equally designed for multiple purposes,
none of which are the exclusive primary
use or design purpose. For instance,
many smartphones appear to be
designed for several purposes, including
voice communications, text messaging,
and email, as well as web browsing,
two-way video chat, digital
photography, digital video recording,
high-definition video output, access to
applications, and mobile hotspot
connectivity. The CVAA would have
little meaning if we were to consider
waiving section 716 with respect to the
email and text messaging features of a
smartphone on the grounds that the
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phone was designed in part for voice
communications.
134. We will also examine whether
the equipment or service is marketed for
the ACS features or functions. We agree
with many commenters who suggest
that how equipment or a service is
marketed is relevant to determining the
primary purpose for which it is
designed. We will examine how and to
what extent the ACS functionality or
feature is advertised, announced, or
marketed and whether the ACS
functionality or feature is suggested to
consumers as a reason for purchasing,
installing, downloading, or accessing
the equipment or service. We believe
the best way to address the IT and
Telecom RERCs’ concern that a covered
entity’s assessment of how a product is
marketed may be ‘‘subjective and
potentially self-serving’’ is to examine
this factor on a case-by-case basis and to
solicit public comment on waiver
requests, as discussed below.
135. Several commenters suggest
additional factors that we should
consider when examining the primary
purpose for which equipment or service
is designed. While some of these factors
may be valuable in some cases, we
decline to incorporate these factors
directly into our rules. However, these
factors may help a petitioner illustrate
the purpose for which its equipment or
service is primarily designed. For
instance ESA suggests we examine
‘‘[w]hether the ACS functionality
intends to enhance another feature or
purpose.’’ Microsoft similarly suggests
we examine ‘‘[w]hether the offering is
designed for a ‘specific class of users
who are using the ACS features in
support of another task’ or as the
primary task.’’ Whether the ACS
functionality is designed to be operable
outside of other functions, or rather
aides other functions, may support a
determination that the equipment or
service was or was not designed
primarily for purposes other than ACS.
Similarly, an examination of the impact
of the removal of the ACS feature or
function on a primary purpose for
which the equipment or service is
claimed to be designed may be relevant
to a demonstration of the primary
purpose for which the equipment or
service is designed. Further, ESA
suggests we examine ‘‘[w]hether there
are similar offerings that already have
been deemed eligible for a * * *
waiver.’’ An examination of waivers for
similar products or services, while not
dispositive for a similar product or
service, may be relevant to whether a
waiver should be granted for a
subsequent similar product or service.
These and other factors may be relevant
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for a waiver petitioner, as determined
on a case-by-case basis.
136. Conversely, we believe there is
little value in examining other suggested
factors on the record. We do not believe
that the ‘‘processing power or
`
bandwidth used to deliver ACS vis-a-vis
other features’’ is relevant. No evidence
provided supports the notion that there
is a direct relationship between the
primary purpose for which equipment
or service is designed and the
processing power or bandwidth
allocated to that purpose. For example,
text messaging on a wireless handset
likely consumes less bandwidth than
voice telephony, but both could be coprimary purposes of a wireless handset.
Further, we do not believe that an
examination of whether equipment or
service ‘‘provides a meaningful
substitute for more traditional
communications devices’’ adds
significantly to the waiver analysis. The
waiver analysis requires an examination
of whether the equipment or service is
designed primarily for purposes other
than using ACS. The inquiry therefore is
about the design of the multipurpose
service or equipment, not the nature of
the ACS component.
137. In addition to the above factors
we build into our rules and others that
petitioners may demonstrate, we intend
to utilize our general waiver standard,
which requires good cause to waive the
rules, and a showing that particular
facts make compliance inconsistent
with the public interest. CEA agrees
with this approach. The CVAA grants
the Commission authority to waive the
requirements of section 716 in its
discretion, and we intend to exercise
that discretion consistent with the
general waiver requirements under our
rules.
138. We decline to adopt the waiver
analysis proffered by AFB and
supported by ACB. AFB urges us to use
the four achievability factors to examine
waiver petitions. We find that the
achievability factors are inappropriate to
consider in the context of a waiver. A
waiver relieves an entity of the
obligations under section 716, including
the obligation to conduct an
achievability analysis. It would be
counter to the purpose of a waiver to
condition its grant on an entity’s ability
to meet the obligations for which it
seeks a waiver. As discussed above, our
waiver analysis will examine the
primary purpose or purposes for which
the equipment or service is designed,
consistent with the statutory language.
139. The factors we establish here will
promote regulatory certainty and
predictability for providers of ACS,
manufacturers of ACS equipment, and
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consumers. We intend for these factors
to provide clear and objective guidance
to those who may seek a waiver and
those potentially affected by a waiver.
Providers of ACS and ACS equipment
manufacturers have the flexibility to
seek waivers for services and equipment
they believe meet the waiver
requirements. While a provider or
manufacturer will expend some level of
resources to seek a waiver, the provider
or manufacturer subsequently will have
certainty regarding its obligations under
the Act whether or not a waiver is
granted. A manufacturer or provider
that receives a waiver will avoid the
cost of compliance. A manufacturer or
provider that is not granted a waiver can
determine its obligations under the Act
following an achievability analysis. The
opportunity cost to seek a waiver is low
since the alternative is compliance with
the Act. If a waiver is warranted, the
provider or manufacturer can then
efficiently allocate resources to other
uses.
140. We encourage equipment
manufacturers and service providers to
petition for waivers during the design
phase of the product lifecycle, but we
decline to adopt the proposal proffered
by AFB to require petitioners to seek a
waiver prior to product introduction.
The design phase is the ideal time to
seek a waiver, but we will not foreclose
the ability of a manufacturer or provider
to seek a waiver after product
introduction. AFB correctly observes:
‘‘If inaccessible equipment or services
are first deployed in the marketplace,
and the subsequently-filed waiver
petition is not granted, the company
would remain at tremendous risk of
being found in violation of the CVAA’s
access requirements and exposed to
potential penalties.’’ This reality should
encourage equipment and service
providers to seek waivers during the
design phase without necessitating a
mandate.
141. The Commission will entertain
waivers for equipment and services
individually or as a class. With respect
to any waiver, the Commission may
decide to limit the time of its coverage,
with or without a provision for renewal.
Individual waiver requests must be
specific to an individual product or
service offering. This does not preclude
combining multiple specific products
with common attributes in the same
waiver request. New or different
products, including substantial
upgrades that change the nature of the
product or service, require new waivers.
For example, a petitioner that
manufactures many similar types of
products—similar products of varying
design, or similarly designed products
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with different product numbers—the
petitioner must seek a waiver for each
discrete product individually. This is
analogous to rules implementing section
255, which require entities to consider
‘‘whether it is readily achievable to
install any accessibility features in a
specific product whenever a natural
opportunity to review the design of a
service or product arises.’’ Individual
waiver petitioners must explain the
anticipated lifecycle for the product or
service for which the petitioner seeks a
waiver. Individual waivers will
ordinarily be granted for the life of the
product or service. However, the
Commission retains the authority to
limit the waiver for a shorter duration
if the record suggests the waiver should
be so limited.
142. We will exercise our authority to
grant class waivers in instances in
which classes are carefully defined and
when doing so would promote greater
predictability and certainty for all
stakeholders. For the purpose of these
rules, a class waiver is one that applies
to more than one piece of equipment or
more than one service where the
equipment or services share common
defining characteristics. For the
Commission to grant a class waiver, we
will examine whether petitioners have
defined with specificity the class of
common equipment or services with
common advanced communications
features and functions for which they
seek a waiver, including whether
petitioners have demonstrated the
similarity of the equipment or service in
the class and the similarity of the ACS
features or functions. We distinguish
class waivers from categorical waivers.
Several commenters urge us to adopt
rules that waive the requirements of
section 716 for whole categories of
equipment or services. We decline to
adopt waivers for broad categories of
equipment or services because we
believe that the facts specific to each
product or product type within a
category may differ such that the ACS
feature or function may be a primary
purpose for which equipment or service
within the category is primarily
designed. We will utilize a fact-specific,
case-by-case determination of all waiver
requests.
143. In addition, we will examine
whether petitioners have explained in
detail the expected lifecycle for the
equipment or services that are part of
the class. Thus, the definition of the
class should include the product
lifecycle. All products and services
covered by a class waiver that are
introduced into the market while the
waiver is in effect will ordinarily be
subject to the waiver for the duration of
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the life of those particular products and
services. As with ordinarily granting
individual waiver requests for the life of
the product or service, the Commission
retains the authority to limit a class
waiver for a shorter duration if the
record suggests the waiver should be so
limited. For products and services
already under development at the time
when a class waiver expires, the
achievability analysis conducted at that
time may take into consideration the
developmental stage of the product and
the effort and expense needed to
achieve accessibility at that point in the
developmental stage.
144. To the extent a class waiver
petitioner seeks a waiver for multiple
generations of similar equipment and
services, we will examine the
justification for the waiver extending
through the lifecycle of each discrete
generation. For example, if a petitioner
seeks a waiver for a class of devices
with an ACS feature and a two-year
product lifecycle, and the petitioner
wishes to cover multiple generations of
the product, we will examine the
explanation for why each generation
should be included in the class. If
granted, the definition of the class will
then include the multiple generations of
the covered products or services in the
class.
145. While many commenters agree
that we should consider class waivers,
we note that others are concerned that
class waivers might lead to a ‘‘class of
inaccessible products and services’’ well
beyond the time that a waiver should be
applicable. We believe this concern is
addressed through our fact-specific,
case-by-case analysis of waiver petitions
and the specific duration for which we
will grant each class waiver.
146. Several commenters urge us to
adopt a time period within which the
Commission must automatically grant
waiver petitions if it has not taken
action on them. We decline to do so. As
the Commission noted in the
Accessibility NPRM, in contrast to other
statutory schemes, the CVAA does not
specifically contemplate a ‘‘deemed
granted’’ process. Nonetheless, we
recognize the importance of expeditious
consideration of waiver petitions to
avoid delaying the development and
release of products and services. We
hereby delegate to the Consumer and
Governmental Affairs Bureau
(‘‘Bureau’’) the authority to decide all
waiver requests filed pursuant to section
716(h)(1) and direct the Bureau to take
all steps necessary to do so efficiently
and effectively. Recognizing the need to
provide certainty to all stakeholders
with respect to waivers, we urge the
Bureau to act promptly to place waiver
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requests on public notice and to give
waiver requests full consideration and
resolve them without delay. The
Commission also hereby adopts, similar
to its timeline for consideration of
applications for transfers or assignments
of licenses or authorizations relating to
complex mergers, a timeline for
consideration of applications for waiver
of the rules we adopt herein. This
timeline represents the Commission’s
goal to complete action on such waiver
applications within 180 days of public
notice. This 180-day timeline for action
is especially important in this context,
given the need to provide certainty to
both the innovators investing risk
capital to develop new products and
services, as well as to the stakeholders
with an interest in this area. Therefore,
it is the Commission’s policy to decide
all such waiver applications as
expeditiously as possible, and the
Commission will endeavor to meet its
180-day goal in all cases. Finally,
although delay is unlikely, we note that
delay beyond the 180-day period in a
particular case would not be indicative
of how the Commission would resolve
an application for waiver.
147. We emphasize that a critical part
of this process is to ensure a sufficient
opportunity for public input on all
waiver requests. Accordingly, our rules
provide that all waiver requests must be
put on public notice, with a minimum
of a 30-day period for comments and
oppositions. In addition, public notices
seeking comment on waiver requests
will be posted on a Web page designated
for disability-related waivers and
exemptions in the Disability Rights
Office section of the Commission’s Web
site, where the public can also access
the accessibility clearinghouse and
other accessibility-related information.
We will also include in our biennial
report to Congress that is required under
section 717(b)(1) a discussion of the
status and disposition of all waiver
requests.
148. We recognize that confidentiality
may be important for waiver petitioners.
Petitioners may seek confidential
treatment of information pursuant to
§ 0.459 of the Commission’s rules.
Several commenters agree with this
approach. Third parties may request
inspection of confidential information
under § 0.461 of the Commission’s rules.
We anticipate that confidentiality may
be less important for class waiver
petitions due to the generic nature of the
request; a class waiver petition can
cover many devices, applications, or
services across many covered entities
and will therefore not likely include
specific confidential design or strategic
information of any covered entity.
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149. ESA urges the Commission to
exclude from final rules the class ‘‘video
game offerings,’’ which it defines to
include video game consoles, operating
systems, and games. CEA seeks a waiver
for ‘‘[t]elevision sets that are enabled for
use with the Internet,’’ and ‘‘[d]igital
video players that are enabled for use
with the Internet.’’ We decline to adopt
or grant these requests at this time.
Instead, we believe that petitioners will
benefit from the opportunity to re-file
these waiver requests consistent with
the requirements of this Report and
Order. Because of the phase-in period
for implementation of these rules,
petitioners will have flexibility to seek
a waiver subsequent to this Report and
Order without incurring unreasonable
compliance expense. We encourage
petitioners to seek a waiver for their
respective classes of equipment and
services consistent with the rules we
adopt herein. For example, a petition for
a waiver of equipment and services may
need to seek a waiver for each as
individual classes, although they may
file for them in the same petition. We
will specify in our biennial Report to
Congress any waiver requests granted
during the previous two years.
3. Exemptions for Small Entities—
Temporary Exemption of Section 716
Requirements
150. Section 716(h)(2) states that
‘‘[t]he Commission may exempt small
entities from the requirements of this
section.’’ We do not have before us a
sufficient record upon which to grant a
permanent exemption for small entities.
The record also lacks sufficient
information on the criteria to be used to
determine which small entities to
exempt. We therefore seek comment on
such an exemption in the Accessibility
FNPRM. To avoid the possibility of
unreasonably burdening ‘‘small and
entrepreneurial innovators and the
significant value that they add to the
economy,’’ we exercise our authority
under the Act to temporarily exempt
from the obligations of section 716, and
by effect section 717, all manufacturers
of ACS equipment and all providers of
ACS that qualify as small business
concerns under the SBA’s rules and size
standards, pending development of a
record to determine whether small
entities should be permanently
exempted and, if so, what criteria
should be used to define small entities.
We find that good cause exists for this
temporary exemption.
151. Despite the lack of a meaningful
substantive record on which to adopt a
permanent exemption, without a
temporary exemption we run the risk of
imposing an unreasonable burden upon
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small entities and negatively impacting
the value they add to the economy. At
the same time, the absence of
meaningful comments on any
exemption criteria prohibits us from
conclusively determining their impact
on consumers and businesses. This
temporary exemption will enable us to
provide relief to those entities that may
possibly lack legal, financial, or
technical capability to comply with the
Act until we further develop the record
to determine whether small entities
should be subject to a permanent
exemption and, if so, the criteria to be
used for defining which small entities
should be subject to such permanent
exemption.
152. We temporarily exempt entities
that manufacture ACS equipment or
provide ACS that, along with any
affiliates, meet the criteria for a small
business concern for their primary
industry under SBA’s rules and size
standards. A small business concern, as
defined by the SBA, is an ‘‘entity
organized for profit, with a place of
business located in the United States,
and which operates primarily within the
United States or which makes a
significant contribution to the U.S.
economy through payment of taxes or
use of American products, materials or
labor.’’ Entities are affiliated under the
SBA’s rules when an entity has the
power to control another entity, or a
third party has the power to control
both entities, as determined by factors
including ‘‘ownership, management,
previous relationships with or ties to
another concern, and contractual
relationships.’’ A concern’s primary
industry is determined by the
‘‘distribution of receipts, employees and
costs of doing business among the
different industries in which business
operations occurred for the most
recently completed fiscal year,’’ and
other factors including ‘‘distribution of
patents, contract awards, and assets.’’
153. The SBA has established
maximum size standards used to
determine whether a business concern
qualifies as a small business concern in
its primary industry. The SBA has
generally adopted size standards based
on the maximum number of employees
or maximum annual receipts of a
business concern. The SBA categorizes
industries for its size standards using
the North American Industry
Classification System (‘‘NAICS’’), a
‘‘system for classifying establishments
by type of economic activity.’’
154. This temporary exemption is
self-executing. Entities must determine
whether they qualify for the exemption
based upon their ability to meet the
SBA’s rules and the size standard for the
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relevant NAICS industry category for
the industry in which they are primarily
engaged. Entities that manufacture ACS
equipment or provide ACS may raise
this temporary exemption as a defense
in an enforcement proceeding. Entities
claiming the exemption must be able to
demonstrate that they met the
exemption criteria during the estimated
start of the design phase of the lifecycle
of the product or service that is the
subject of the complaint. If an entity no
longer meets the exemption criteria, it
must comply with section 716 and
section 717 for all subsequent products
or services or substantial upgrades of
products or services that are in the
development phase of the product or
service lifecycle, or any earlier stages of
development, at the time they no longer
meet the criteria.
155. The temporary exemption will
begin on the effective date of the rules
adopted in this Report and Order. The
temporary exemption will expire on the
earlier of (1) the effective date of small
entity exemption rules adopted
pursuant to the Accessibility FNPRM; or
(2) October 8, 2013.
D. Additional Industry Requirements
and Guidance
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1. Performance Objectives
156. As proposed in the Accessibility
NPRM, we adopt as general performance
objectives the requirements that covered
equipment and services be accessible,
compatible and usable. We incorporate
into these general performance
objectives the outcome-oriented
definitions of accessible, compatibility
and usable, contained in §§ 6.3 and 7.3
of the Commission’s rules. Most
commenters in the record support this
approach. The IT and Telecom RERCs,
however, disagree and propose that we
reframe our Part 6 requirements as goals
and testable performance criteria.
Because the IT and Telecom RERCs filed
their proposal in their Reply Comments,
we seek comment in the accompanying
Accessibility FNPRM on the IT and
Telecom RERCs’ general approach and
on specific testable performance criteria.
157. We do not adopt specific
performance objectives at this time. As
we discuss in greater detail in the
Accessibility FNPRM, we will defer
consideration of specific performance
criteria until the Access Board adopts
Final Guidelines. As proposed in the
Accessibility NPRM, we will wait until
after the EAAC provides its
recommendations on issues relating to
the migration to IP-enabled networks,
including the adoption of a real-time
text standard, to the Commission in
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December 2011 to update our
performance objectives, as appropriate.
2. Safe Harbors
158. We decline, at this time, to adopt
any technical standards as safe harbors.
The majority of commenters either
oppose the Commission adopting
technical standards as safe harbors or
only support the adoption of safe
harbors subject to important limitations
and qualifications. CEA, for example,
argues that safe harbors should only be
used in limited circumstances and
warns that the Commission should not
lock in outdated technologies or impose
implicit mandates. The IT and Telecom
RERCs assert that APIs should be
encouraged, but should not be a safe
harbor. ITI, however, argues that we
should adopt safe harbors as a ‘‘reliable
and sustainable method to achieve
interoperability between’’ all of the
components necessary to make ACS
accessible. AFB and Words+ and
Compusult argue that it is still too early
in the implementation of the CVAA to
make informed judgments about
whether safe harbor technical standards
should be established. We do not have
enough of a record at this time to
evaluate ITI’s proposal or to decline to
adopt a safe harbor, and seek further
comment on this issue in the
Accessibility FNPRM.
3. Prospective Guidelines
159. Section 716(e)(2) of the Act
requires the Commission to issue
prospective guidelines concerning the
new accessibility requirements. We
generally agree with CEA that because
the Access Board’s draft guidelines
‘‘may still change significantly,’’ we
should allow the Access Board to
complete its review and issue Final
Guidelines before we adopt prospective
guidelines in accordance with section
716(e)(2) of the Act. We agree with the
IT and Telecom RERCs that the
Commission does not need to create a
separate advisory group to generate
prospective guidelines. We believe that
the Access Board will take into account
the ‘‘needs of specific disability groups,
such as those with moderate to severe
mobility and speech disorders.’’
Accordingly, we will conduct further
rulemaking to develop the required
prospective guidelines after the Access
Board issues its Final Guidelines.
E. Section 717 Recordkeeping and
Enforcement
1. Recordkeeping
160. In this Report and Order, we
adopt rules to implement Congress’s
directive that manufacturers and service
providers maintain ‘‘records of the
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efforts taken by such manufacturer or
provider to implement sections 255,
716, and 718.’’ Specifically, we require
covered entities to keep the three sets of
records specified in the statute.
However, we remind covered entities
that do not make their products or
services accessible and claim as a
defense that it is not achievable for them
to do so, that they bear the burden of
proof on this defense. As a result, while
we do not require manufacturers and
service providers that intend to make
such a claim to create and maintain any
particular records relating to that claim,
they must be prepared to carry their
burden of proof. Conclusory and
unsupported claims are insufficient and
will cause the Commission to rule in
favor of complainants that establish a
prima facie case that a product or
service is inaccessible and against
manufacturers or service providers that
assert, without proper support, that it
was not achievable for them to make
their product or service accessible.
161. In this regard, manufacturers and
service providers claiming as a defense
that it is not achievable must be
prepared to produce sufficient records
demonstrating:
• The nature and cost of the steps
needed to make equipment and services
accessible in the design, development,
testing, and deployment process to
make a piece of equipment or software
in the case of a manufacturer, or service
in the case of a service provider, usable
by individuals with disabilities. Expert
affidavits, attesting that accessibility for
a product or service was not achievable,
created after a complaint is filed or the
Commission launches its own
investigation would not satisfy this
burden. Samuelson-Glushko TLPC
argues that ‘‘[u]ser testing requirements
are vital to ensure usable and viable
technology access to citizens with
disabilities.’’ While we will not impose
specific user testing requirements, we
support the practice of user testing and
agree with Samuelson-Glushko that user
testing benefits individuals with a wide
range of disabilities. While we do not
define here what cost records a covered
entity should keep, in reviewing a
defense of not achievable, we will
expect such entities to produce records
that will assist the Commission in
identifying the incremental costs
associated with designing, developing,
testing, and deploying a particular piece
of equipment or service with
accessibility functionality versus the
same equipment or service without
accessibility functionality. Additionally,
with respect to services, covered entities
should be prepared to produce records
that identify the average and marginal
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costs over the expected life of such
service. Records that front load costs to
demonstrate that accessibility was not
achievable will be given little weight.
• The technical and economic impact
on the operation of the manufacturer or
provider and on the operation of the
specific equipment or service in
question, including on the development
and deployment of new
communications technologies;
• The type of operations of the
manufacturer or service provider; and,
• The extent to which the service
provider or manufacturer in question
offers accessible services or equipment
containing varying degrees of
functionality and features, and offered
at differing price points.
162. Likewise, equipment
manufacturers and service providers
that elect to satisfy the accessibility
requirements using third-party
applications, peripheral devices,
software, hardware, or customer
premises equipment must be prepared
to produce relevant documentation.
163. We will not mandate any one
form for keeping records (i.e., we adopt
a flexible approach to recordkeeping).
While we establish uniform
recordkeeping and enforcement
procedures for entities subject to
sections 255, 716, and 718, we believe
that covered entities should not be
required to maintain records in a
specific format. Allowing covered
entities the flexibility to implement
individual recordkeeping procedures
takes into account the variances in
covered entities (e.g., size, experience
with the Commission), recordkeeping
methods, and products and services
covered by the provisions. While we are
not requiring that records and
documents be kept in any specific
format, we exercise our authority and
discretion under sections 403, 4(i), 4(j),
208 and other provisions of the Act and
Commission and court precedent to
require production of records and
documents in an informal and formal
complaint process or in connection with
investigations we initiate on our own
motion in any form that is conducive to
the dispatch of our obligation under the
Act, including electronic form and
formatted for specific documents review
software products such as Summation,
as well as paper copies. In addition, we
require that all records filed with the
Commission be in the English language.
Where records are in a language other
than English, we require the records to
be filed in the native language format
accompanied by a certified English
translation. We adopt our proposal in
the Accessibility NPRM that if a record
that a covered entity must produce ‘‘is
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not readily available, the covered entity
must provide it no later than the date of
its response to the complaint.’’
164. While we are not requiring
entities to adopt a standard approach to
recordkeeping, we fully expect that
entities will establish and sustain
effective internal procedures for creating
and maintaining records that
demonstrate compliance efforts and
allow for prompt response to complaints
and inquiries. As noted in the Section
255 Report and Order, if we determine
that covered entities are not maintaining
sufficient records to respond to
Commission or consumer inquiries, we
will revisit this decision.
165. The statute requires
manufacturers and service providers to
preserve records for a ‘‘reasonable time
period.’’ Pursuant to this requirement,
we adopt a rule that requires a covered
entity to retain records for a period of
two years from the date the covered
entity ceases to offer or in anyway
distribute (through a third party or
reseller) the product or service to the
public. In determining what constitutes
a reasonable time period, we believe
that records should at a minimum be
retained during the time period that
manufacturers and providers are
offering the applicable products and
services to the public. We also believe
that a reasonable time period should be
linked to the life cycle of the product or
service and that covered entities should
retain records for a reasonable period
after they cease to offer a product or
service (or otherwise distribute a
product or service through a reseller or
other third party). In this regard, based
on our experience with other
enforcement issues, we note that
purchasers of products or services might
not file a complaint for up to a year after
they have purchased such products or
services and that the statute places no
limitation preventing consumers from
doing this. In addition, some consumers
might purchase a product or service
from another party one year after the
covered entity has ceased making and
offering the covered product or service.
These ‘‘resale’’ consumers in turn might
take up to an additional year to file an
accessibility complaint. At the same
time, as discussed further in our
Enforcement section below, the
Commission may initiate an
enforcement investigation into an
alleged violation of section 255, 716, or
718 based on information that a
consumer, at any time, brings to the
Commission’s attention. These
documents would thus be relevant to a
Commission-initiated investigation. For
these reasons, we find that covered
entities must retain records for two
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years after they cease offering (or in any
way distributing) a covered product or
service to the public.
166. This will enable consumers to
file complaints and the Commission to
initiate its own investigations to ensure
that, even if the product or service at
issue in the complaint is not compliant,
the next generation or iteration of the
product or service is compliant. Because
covered entities must comply with
sections 255, 716, and 718, we find that
this two-year document retention rule
imposes a minimal burden on covered
entities because it ensures that they
have the necessary documentation to
prove that they have satisfied their legal
obligations in response to any complaint
filed. Covered entities are reminded,
however, that, even upon the expiration
of the mandatory two-year document
retention rule, it is incumbent on them
to prove accessibility or that
accessibility was not achievable in the
event that a complaint is received. Thus,
covered entities should use discretion in
setting their record retention policies
applicable to the post-two-year
mandatory record retention period.
167. The statute requires that an
officer of a manufacturer or service
provider annually submit to the
Commission a certification that records
required to be maintained are being kept
in accordance with the statute. We
adopt a rule requiring manufacturers
and service providers to have an
authorized officer sign and file with the
Commission the annual certification
required pursuant to section 717(a)(5)(B)
and our rules. If the manufacturer or
service provider is an individual, the
individual must sign. In the case of a
partnership, one of the partners must
sign on behalf of the partnership and by
a member with authority to sign in cases
where the manufacturer or service
provider is, for example, an
unincorporated association or other
legal entity that does not have an officer
or partner, or its equivalent. The
certification must state that the
manufacturer or service provider, as
applicable, is keeping the records
required in compliance with section
717(a)(5)(A) and § 14.31 of our new
rules and be supported with an affidavit
or declaration under penalty of perjury,
signed and dated by the authorized
officer of the company with personal
knowledge of the representations
provided in the company’s certification,
verifying the truth and accuracy of the
information therein. All such
declarations must comply with § 1.16 of
our rules and be substantially in the
form set forth therein. We also require
the certification to identify the name
and contact details of the person or
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persons within the company that are
authorized to resolve complaints
alleging violations of our accessibility
rules and sections 255, 716, and 718 of
the Act, and the name and contact
details of the person in the company for
purposes of serving complaints under
part 14, subpart D of our new rules. The
contact details required for purposes of
complaints and service must be the U.S.
agent for service for the covered entity.
This information will be posted on the
FCC’s Web site. Finally, the annual
certification must be filed with the
Commission on or before April 1st each
year for records pertaining to the
previous calendar year. CGB will issue
a public notice to provide filing
instructions prior to the first annual
certification, which may be required on
or before April 1, 2013. For the first
certification filing, manufacturers and
service providers must certify that, since
the effective date of the rules, records
have been kept in accordance with the
Commission’s rules. CGB will establish
a system for online filing of annual
certifications. When this system is
available, CGB will release a public
notice announcing this fact and
providing instructions on its use. CGB
will also update the Disability Rights
Office section of the Commission’s Web
site to describe how annual
certifications may be filed.
168. Section 717(a)(5)(C) requires the
Commission to keep confidential only
those records that are: (1) Filed by a
covered entity at the request of the
Commission in response to a complaint;
(2) created or maintained by the covered
entity pursuant to the rules we adopt
herein; and (3) directly relevant to the
equipment or service that is the subject
of the complaint. Section 717(a)(5)(C)
does not require all records that the
Commission may request a covered
entity file in response to a complaint be
kept confidential—only those records
that the covered entity is required to
keep pursuant to our rules adopted
herein and are directly relevant to the
equipment or service at issue. Section
717(a)(5)(C) also does not protect any
additional materials such as supporting
data or other information that proves the
covered entity’s case, nor does it protect
records that covered entities are
required to keep when responding to a
Commission investigation initiated on
our own motion.
169. While we recognize the limited
scope of the confidentiality protection
of section 717(a)(5)(C), we also
recognize that some of the documents
falling outside that protection may also
qualify for confidentiality under our
rules. For those documents submitted in
response to a complaint or an
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investigation, covered entities should
follow our existing rules and procedures
for protecting confidentiality of records.
Accordingly, when a covered entity
responds to a complaint alleging a
violation of section 255, 716, or 718 or
responds to a Commission inquiry, the
covered entity may request confidential
treatment of the documentation,
information, and records that it files
with the Commission under § 0.459 of
our rules. When covered entities file
records that fall within the limited
scope of section 717(a)(5)(C), they may
assert the statutory exemption from
disclosure under § 0.457(c) of the
Commission’s rules. In all other cases,
covered entities must comply with
§ 0.459 when seeking protection of their
records. We remind covered entities that
our rules require such entities to file a
redacted copy of their response to a
complaint or investigation. We do not
believe it serves the public interest of
the parties in a complaint process for
the Commission to try to determine in
the first instance what documents and
records the filing party wishes be kept
confidential. The party filing documents
with the Commission is best suited to
make that initial determination. We note
that our informal complaint rules
require the responding covered entity to
serve a non-confidential summary of its
complaint answer to the complainant.
170. Finally, as discussed earlier in
this Report and Order, products or
services offered in interstate commerce
shall be accessible, unless not
achievable, beginning on October 8,
2013. Pursuant to the statute, one year
after the effective date of these
regulations, covered entities’
recordkeeping obligations become
effective.
2. Enforcement
a. Overview
171. Section 717 of the Act requires
the Commission to adopt rules that
facilitate the filing of formal and
informal complaints alleging noncompliance with section 255, 716, or
718 and to establish procedures for
enforcement actions by the Commission
with respect to such violations, within
one year of enactment of the law. In
crafting rules to implement the CVAA’s
enforcement requirements, our goal is to
create an enforcement process that is
accessible and fair and that allows for
timely determinations, while allowing
and encouraging parties to resolve
matters informally to the extent
possible.
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b. General Requirements
172. Several commenters suggest that
a type of pre-filing notice to potential
defendants may facilitate the speedy
settlement of consumer disputes, which,
they say, would save consumers and
industry time and money and preserve
Commission resources that would
otherwise be expended in the informal
complaint process. These commenters
urge the Commission to require
potential complainants to notify covered
entities of their intent to file an informal
complaint generally 30 days before they
intend to file such a complaint. Others,
however, have reported that consumers
would experience frustration if required
to pre-notify a covered entity directly.
We recognize the potential benefits of
allowing companies an opportunity to
respond directly to the concerns of
consumers before a complaint is filed.
At the same time, we are cognizant of
the difficulties that consumers may have
in achieving resolution of their issues
on their own. For example, consumers
may not always be able to figure out, in
multi-component products that use
communications services, which entity
is responsible for failing to provide
access. Therefore, to facilitate
settlements, as well as to assist
consumers with bringing their concerns
to the companies against which they
might have a complaint, we adopt a
compromise pre-filing requirement that
is designed to reap the benefits of
informal dispute resolution efforts, but
that does not impose an unreasonable
burden on consumers by requiring them
to approach companies on their own.
173. We will require consumers to file
a ‘‘Request for Dispute Assistance’’
(‘‘Request’’) with CGB, rather than with
a covered entity, prior to filing an
informal complaint with the
Commission. A Request for Dispute
Assistance may be sent to CGB in the
same manner as an informal complaint,
as discussed below, but filers should
use the email address dro@fcc.gov if
sending their complaint by email.
Parties with questions regarding these
requests should call CGB at (202) 418–
2517 (voice), (202) 418–2922 (TTY), or
visit the Commission’s Disability Rights
Office web site at https://
transition.fcc.gov/cgb/dro. CGB will
establish a system for online filing of
requests for dispute assistance. When
this system is available, CGB will
release a public notice announcing this
fact and providing instructions on its
use. CGB will also update the Disability
Rights Office section of the
Commission’s Web site to describe how
requests for dispute assistance may be
filed. This requirement to file a Request
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is a prerequisite to the filing of informal
complaints only. It is not a prerequisite
to the filing of a formal complaint, as
the complainant and the respondent to
a formal complaint proceeding are both
required to certify in their pleadings
that, prior to the filing of the formal
complaint, both parties, ‘‘in good faith,
discussed or attempted to discuss the
possibility of settlement.’’
174. This Request should contain: (1)
The name, address, email address, and
telephone number of the consumer and
the manufacturer or service provider
against whom the complaint will be
made; (2) an explanation of why the
consumer believes the manufacturer or
provider is in violation of section 255,
716, or 718 of the Commission’s
implementing rules, including details
regarding the service or equipment and
the relief requested and any
documentation that supports the
complainant’s contention; (3) the
approximate date or dates on which the
consumer either purchased, acquired, or
used (or attempted to purchase, acquire,
or use) the equipment or service in
question; (4) the consumer’s preferred
format or method of response to the
complaint by the Commission and
defendant (e.g., letter, facsimile
transmission, telephone (voice/TRS/
TTY), email, or some other method that
will best accommodate the consumer’s
disability); and (5) any other
information that may be helpful to CGB
and the defendant to understand the
nature of the complaint.
175. CGB will forward a copy of the
request to the named manufacturer or
service provider in a timely manner. As
discussed in the Recordkeeping section
above, we require covered entities to
include their contact information in
their annual certifications filed with the
Commission. If a covered entity has not
filed a certification that includes its
contact information (failure to file a
certification is a violation of the
Commission’s rules), CGB shall forward
the request to the covered entity based
on publicly available information, and
the covered entity may not argue that it
did not have a sufficient opportunity to
settle a potential complaint during the
dispute assistance process. If, in the
course of the CGB dispute assistance
process, CGB or the parties learn that
the Requester has identified the wrong
entity or there is more than one covered
entity that should be included in the
settlement process, then CGB will assist
the parties in ascertaining and locating
the correct covered entity or entities for
the dispute at issue. In this case, the 30day period will be extended for a
reasonable time period, so that the
correct covered entities have notice and
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an opportunity to remedy any failure to
make a product or service achievable or
to settle the dispute in another manner.
176. Once the covered entity receives
the Request, CGB will then assist the
consumer and the covered entity in
reaching a settlement of the dispute
with the covered entity. After 30 days,
if a settlement has not been reached, the
consumer may then file an informal
complaint with the Commission.
However, if the consumer wishes to
continue using CGB as a settlement
resource beyond the 30-day period, the
consumer and the covered entity may
mutually agree to extend the CGB
dispute assistance process for an
additional 30 days and in 30-day
increments thereafter. Once a consumer
files an informal complaint with the
Enforcement Bureau, as discussed
below, the Commission will deem the
CGB dispute assistance process
concluded.
177. In the course of assisting parties
to resolve a section 716 dispute, CGB
may discover that the named
manufacturer or service provider is
exempt from section 716 obligations
under a waiver or the temporary small
business exemption. In such cases, CGB
will inform the consumer why the
named covered entity has no
responsibility to make its service or
product accessible, and the dispute
assistance process will terminate.
178. We believe that this dispute
assistance process provides an
appropriate amount of time to facilitate
settlements and provide assistance to
consumers to rapidly and efficiently
resolve accessibility issues with covered
entities. We also believe that this
approach will lessen the hesitation of
some consumers to approach companies
about their concerns or complaints by
themselves. Commission involvement
before a complaint is filed will benefit
both consumers and industry by helping
to clarify the accessibility needs of
consumers for the manufacturers or
service providers against which they
may be contemplating a complaint,
encouraging settlement discussions
between the parties, and resolving
accessibility issues without the
expenditure of time and resources in the
informal complaint process.
179. No parties opposed the
Commission’s proposal not to adopt a
standing requirement or its proposal to
continue taking sua sponte enforcement
actions. The language of the statute
supports no standing requirement,
stating that ‘‘[a]ny person alleging a
violation * * * may file a formal or
informal complaint with the
Commission.’’ We believe that any
person should be able to identify
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noncompliance by covered entities and
anticipate that informal or formal
complaints will be filed by a wide range
of complainants, including those with
and without disabilities and by
individuals and consumer groups. As
noted in the Accessibility NPRM, there
is no standing requirement under
sections 255, 716, and 718 or under
section 208 of the Act and our existing
rules. Therefore, we find no reason to
establish a standing requirement and
adopt the Accessibility NPRM’s proposal
on standing to file. We also find no
reason to modify existing procedures for
initiating, on our own motion,
Commission and staff investigations,
inquiries, and proceedings for violations
of our rules and the Act. Irrespective of
whether a consumer has sought dispute
assistance or filed a complaint on a
particular issue, we intend to continue
using all our investigatory and
enforcement tools whenever necessary
to ensure compliance with the Act and
our rules.
c. Informal Complaints
180. In crafting rules to govern
informal accessibility complaints, we
have first examined the requirements of
the CVAA, especially our obligation to
undertake an investigation to determine
whether a manufacturer or service
provider has violated core accessibility
requirements. While the investigation is
pending, the CVAA also encourages
private settlement of informal
complaints, which may terminate the
investigation. When a complaint is not
resolved independently between the
parties, however, the Commission must
issue an order to set forth and fully
explain the determination as to whether
a violation has occurred. Further, if the
Commission finds that a violation has
occurred, a defendant manufacturer or
service provider may be directed to
institute broad remedial measures that
have implications and effects far beyond
an individual complainant’s particular
situation, as in an order by the
Commission to make accessible the
service or the next generation of
equipment. Finally, the CVAA requires
that the Commission hold as
confidential certain materials generated
by manufacturers and service providers
who may be defendants in informal
complaint cases. In addition to these
statutory imperatives, we have also
carefully considered the comments filed
in this proceeding as well as our
existing rules that apply to a variety of
informal complaints.
181. Taking these factors into account,
together with the complexity of issues
and highly technical nature of the
potential disputes that we are likely to
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encounter in resolving complaints, the
rules we adopt here attempt to balance
the interests of both industry and
consumers. In this regard, we seek, as
much as possible, to minimize the costs
and burdens imposed on these parties
while both encouraging the nonadversarial resolution of disputes and
ensuring that the Commission is able to
obtain the information necessary to
resolve a complaint in a timely fashion.
We discuss these priorities more fully
below and set forth both our pleading
requirements and the factors that we
believe are crucial to our resolution of
informal accessibility complaints.
182. We find the public interest
would be served by adopting the
minimum requirements identified by
the Commission in the Accessibility
NPRM for informal complaints.
Specifically, the rules we adopt will
require informal complaints to contain,
at a minimum: (1) The name, address,
email address, and telephone number of
the complainant, and the manufacturer
or service provider defendant against
whom the complaint is made; (2) a
complete statement of facts explaining
why the complainant contends that the
defendant manufacturer or provider is
in violation of section 255, 716, or 718,
including details regarding the service
or equipment and the relief requested
and all documentation that supports the
complainant’s contention; (3) the date or
dates on which the complainant or
person on whose behalf the complaint is
being filed either purchased, acquired,
or used (or attempted to purchase,
acquire, or use) the equipment or
service about which the complaint is
being made; (4) a certification that the
complainant submitted to the
Commission a Request for Dispute
Assistance no less than 30 days before
the complaint is filed and the date that
the Request was filed; (5) the
complainant’s preferred format or
method of response to the complaint by
the Commission and defendant (e.g.,
letter, facsimile transmission, telephone
(voice/TRS/TTY), email, audio-cassette
recording, Braille, or some other method
that will best accommodate the
complainant’s disability, if any); and (6)
any other information that is required
by the Commission’s accessibility
complaint form.
183. The minimum requirements we
adopt for informal complaints are
aligned with our existing informal
complaint rules and the existing rules
governing section 255 complaints and
take into account our statutory
obligations under the CVAA. They will
allow us to identify the parties to be
served, the specific issues forming the
subject matter of the complaint, and the
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statutory provisions of the alleged
violation, as well as to collect
information to investigate the
allegations and make a timely
accessibility achievability
determination. Further, we believe that
these requirements create a simple
mechanism for parties to bring
legitimate accessibility complaints
before the Commission while deterring
potential complainants from filing
frivolous, incomplete, or inaccurate
complaints. Accordingly, we decline to
relax or expand the threshold
requirements for informal accessibility
complaints as advocated by some
commenters.
184. As the Commission noted in the
Accessibility NPRM, complaints that do
not satisfy the pleading requirements
will be dismissed without prejudice to
re-file. We disagree with AFB that the
Commission should work with a
complainant to correct any errors before
dismissing a defective complaint. Under
the statute and the rules we adopt
herein, the complainant in an informal
complaint process is a party to the
proceeding. The informal complaint
proceeding is triggered by the filing of
the informal complaint. Once the
proceeding is initiated, the
Commission’s role is one of impartial
adjudicator—not of an advocate for
either the complainant or the
manufacturer or service provider that is
the subject of the complaint. While we
will dismiss defective complaints once
filed, we agree with commenters that
consumers may need some assistance
before filing their complaints. One
commenter suggests that it may be
difficult for consumers to obtain
addresses for potential defendants as
required by our rules. All manufacturers
and service providers subject to sections
255, 716, and 718 are required to file
with the Commission, and regularly
update their business address and other
contact information. Consumers,
therefore, should have a simple means
of obtaining this required information.
Finally, the Commission may modify
content requirements when necessary to
accommodate a complainant whose
disability may prevent him from
providing information required under
our rules. Toward that end, consumers
may contact the Commission’s
Disability Rights Office by sending an
email to dro@fcc.gov; calling (202) 418–
2517 (voice) or (202) 418–2922 (TTY), or
visiting its Web site at https://
transition.fcc.gov/cgb/dro with any
questions regarding where to find
contact information for manufacturers
and service providers, how to file an
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informal complaint, and what the
complaint should contain.
185. By making the Commission’s
Disability Rights Office available to
consumers with questions, and by
carefully crafting the dispute assistance
process, we believe that we have
minimized any potential minimal
burdens that an informal complaint’s
content requirements may impose on
consumers. After a consumer has
undertaken the dispute assistance
process, CGB and the parties should
have identified the correct manufacturer
or service provider that the consumer
will name in the informal complaint.
Indeed, by the conclusion of the dispute
assistance process, a consumer should
have obtained all the information
necessary to satisfy the minimal
requirements of an informal complaint.
186. We decline to adopt a
requirement suggested by some
commenters that consumers be either
encouraged or compelled to disclose the
nature of their disability in an informal
complaint. Nothing in the statute or the
rules we adopt herein limits the filing
of informal complaints to persons with
disabilities or would prevent an
advocacy organization, a person without
disabilities, or other legal entity from
filing a complaint. Thus, not every
informal accessibility complaint will
necessarily be filed by an individual
with a disability. Further, imposing or
even suggesting such a disclosure could
have privacy implications and
discourage some persons from filing
otherwise legitimate complaints. To the
extent that a particular disability is
relevant to the alleged inaccessibility of
a product or service, the complainant is
free to choose whether to disclose his or
her disability in the statement of facts
explaining why the complainant
believes the manufacturer or service
provider is in violation of section 255,
716, or 718.
187. We also decline to permit
consumers to assert anonymity when
filing informal accessibility complaints.
One commenter suggests that such a
procedure should be made available to
complainants who may be concerned
about retaliation. Anonymity would
preclude the complainant from playing
an active role in the adjudicatory
process and prevent informal contacts
and negotiated settlement between
parties to resolve an informal complaint
filed with the Commission—a
possibility clearly favored by the CVAA.
We recognize, however, that some
consumers who wish to remain
anonymous may have valuable
information that could prompt the
Commission to investigate, on its own
motion, a particular entity’s compliance
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with section 255, 716, or 718. We wish
to encourage those consumers who do
not want to file a complaint with the
Commission, for fear of retaliation or
other reasons, to provide the
Commission with information about
non-compliance with section 255, 716,
or 718. To do so, consumers may
anonymously apprise the Commission
of possible unlawful conduct by
manufacturers or service providers with
respect to accessibility and compliance
with section 255, 716, or 718. The
Commission will issue a public notice
that will provide a Commission email
address and voice and TTY number for
the receipt of information from members
of the public relating to possible section
255, 716, and 718 statutory and rule
violations. Consumers may provide
such information anonymously. The
Commission may use this information to
launch its own investigation on its own
motion. This process should satisfy the
IT and Telecom RERCs’ concern that
some consumer may wish to provide
information but remain anonymous.
This may trigger an investigation by the
Commission on its own initiative, but
supplying such information is not
tantamount to filing an informal
complaint subject to the procedures we
adopt herein.
188. We also decline to establish
deadlines for filing an informal
accessibility complaint as requested by
one party. Specifically, CTIA contends
that complaints should be limited to a
specified filing window that is tied to
either the initial purchase of the
equipment or service or the first
instance of perceived inaccessibility. As
a preliminary matter, the statute does
not impose a ‘‘filing window’’ or
‘‘statute of limitations’’ on the filing of
complaints, and we see no reason to
adopt such a limit at this time. Further,
we have no information beyond
conjecture to suggest that consumers
would be likely to use the informal
complaint process to bring stale
accessibility issues before the
Commission. The timeliness with which
a complaint is brought may, however,
have a bearing on its outcome.
Complaints that are brought against
products or services that are no longer
being offered to the public, for example,
may be less likely to bring about results
that would be beneficial to
complainants.
189. Finally, we do not believe that it
is necessary to apply more stringent
content requirements to informal
complaints. We find unpersuasive the
contention that complainants should be
required to provide some evidentiary
showing of a violation beyond the
narrative required by new § 14.34(b) of
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our new rules. In fact, the primary
evidence necessary to assess whether a
violation has occurred resides with
manufacturers and service providers,
not with consumers who use their
products and services. While a
consumer should be prepared to fully
explain the manner in which a product
or service is inaccessible, inaccessibility
alone does not establish a violation.
Specifically, a violation exists only if
the covered product or service is
inaccessible and accessibility was, in
fact, achievable. To require that a
complaint include evidentiary
documentation or analysis
demonstrating a violation has occurred
would place the complainant in the
untenable position of being expected to
conduct a complex achievability
analysis without the benefit of the data
necessary for such an analysis simply in
order to initiate the informal complaint
process. It is the covered entity that will
have the information necessary to
conduct such an analysis, not the
complainant.
190. While no parties specifically
commented on how the Commission
should establish separate and
identifiable electronic, telephonic, and
physical receptacles for the receipt of
informal complaints, the Commission
has established a process that allows
consumers flexibility in the manner in
which they choose to file an informal
complaint. CGB will establish a system
for online filing of informal complaints.
When this system is available, CGB will
release a public notice announcing this
fact and providing instructions on its
use. CGB will also update the Disability
Rights Office section of the
Commission’s Web site to describe how
requests for dispute assistance may be
filed. Formal complaints must be filed
in accordance with §§ 14.38–14.52 of
our new rules. Informal complaints
alleging a violation of section 255, 716,
or 718 may be transmitted to the
Commission via any reasonable means,
including by the Commission’s online
informal complaint filing system, U.S.
Mail, overnight delivery, or email. The
Commission will issue a public notice
announcing the establishment of an
Enforcement Bureau email address that
will accept informal complaints alleging
violations of section 255, 716 or 718 or
the Commission’s rules. We encourage
parties to use the Commission’s online
filing system, because of its ease of use.
Informal complaints filed using a
method other than the Commission’s
online system (the Commission will
issue a public notice as soon as its
online system is established for filing
informal complaints alleging violations
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of the rules adopted in this Report and
Order) should include a cover letter that
references section 255, 716, or 718 and
should be addressed to the Enforcement
Bureau. Any party with a question about
information that should be included in
a complaint alleging a violation of
section 255, 716, or 718 should contact
the Commission’s Disability Rights
Office via email at dro@fcc.gov or by
calling (202) 418–2517 (voice), (202)
418–2922 (TTY).
191. Once we receive a complaint, we
will forward those complaints meeting
the filing requirements, discussed
above, to the manufacturer or service
provider named in the complaint. To
facilitate service of the complaints on
the manufacturer or service provider
named in the complaint, we adopt the
Commission’s proposal to require such
entities to disclose points of contact for
complaints and inquiries under section
255, 716, or 718 in annual certifications.
As discussed in greater detail in General
Requirements, supra, failure to file a
certification is a violation of our rules.
We expect that the parties or the
Commission will discover that a
covered entity has not filed contact
information during the dispute
assistance process, that the violation
will be remedied during that process,
and that the complainant will have the
contact information prior to filing a
complaint.
192. We believe that requiring such
points of contact will facilitate
consumers’ ability to communicate
directly with manufacturers and service
providers about accessibility issues or
concerns and ensure prompt and
effective service of complaints on
defendant manufacturers and service
providers by the Commission. The
contact information must, at a
minimum, include the name of the
person or office whose principal
function will be to ensure the
manufacturer or service provider’s
prompt receipt and handling of
accessibility concerns, telephone
number (voice and TTY), fax number,
and both mailing and email addresses.
Covered entities must file their contact
information with the Commission in
accordance with our rules governing the
filing of annual certifications. CGB will
establish a system for online filing of
contact information. When this system
is available, CGB will release a public
notice announcing this fact and
providing instructions on its use. CGB
will also update the Disability Rights
Office section of the Commission’s Web
site to describe how contact information
may be filed. We intend to make this
information available on the
Commission’s Web site and also
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encourage, but do not require, covered
entities to clearly and prominently
identify the designated points of contact
for accessibility matters in, among other
places, their company Web sites,
directories, manuals, brochures, and
other promotional materials. Providing
such information on a company’s Web
site may assist consumers in contacting
the companies directly and allow them
to resolve their accessibility issues,
eliminating any need to seek
Commission assistance or file a
complaint. Because the contact
information is a crucial component of
the informal complaint process (i.e.,
service of the complaint on defendants
which, in turn, provides defendants
with notice and opportunity to
respond), we require that the contact
information be kept current. It is critical
that the Commission have correct
information for service. If the complaint
is not served to the correct address, it
could delay or prevent the applicable
manufacturer or service provider from
timely responding. Failure to timely
respond to a complaint or order of the
Commission could subject a party to
sanction or other penalties. In this
regard, whenever the information is no
longer correct in any material respect,
manufacturers and service providers
shall file and update the information
within 30 days of any change to the
information on file with the
Commission. Further, failure to file
contact information or to keep such
information current will be a violation
of our rules warranting an upward
adjustment of the applicable base
forfeiture under section 1.80 of our rules
for ‘‘[e]gregious misconduct’’ and
‘‘[s]ubstantial harm.’’ Likewise, the
violation will be a ‘‘continuous
violation’’ until cured.
193. The CVAA provides that the
party that is the subject of the complaint
be given a reasonable opportunity to
respond to the allegations in the
complaint before the Commission makes
its determination regarding whether a
violation occurred. It also allows the
party to include in its answer any
relevant information (e.g., factors
demonstrating that the equipment or
advanced communications services, as
applicable, are accessible to and usable
by individuals with disabilities or that
accessibility is not achievable under the
standards set out in the CVAA and rules
adopted herein). These provisions not
only protect the due process rights of
defendant manufacturers and service
providers in informal complaint cases
but also enable the Commission to
compile a complete record to resolve a
complaint and conduct the required
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investigation as to whether a violation
of section 255, 716, or 718 has occurred.
194. To implement these provisions of
the CVAA, we adopt the Commission’s
proposal in the Accessibility NPRM with
one modification and require answers to
informal complaints to: (1) Be filed with
the Commission and served on the
complainant within twenty days of
service of the complaint, unless the
Commission or its staff specifies another
time period; (2) respond specifically to
each material allegation in the
complaint; (3) set forth the steps taken
by the manufacturer or service provider
to make the product or service
accessible and usable; (4) set forth the
procedures and processes used by the
manufacturer or service provider to
evaluate whether it was achievable to
make the product or service accessible
and usable; (5) set forth the
manufacturer’s or service provider’s
basis for determining that it was not
achievable to make the product or
service accessible and usable; (6)
provide all documents supporting the
manufacturer’s or service provider’s
conclusion that it was not achievable to
make the product or service accessible
and usable; (7) include a declaration by
an officer of the manufacturer or service
provider attesting to the truth of the
facts asserted in the answer; (8) set forth
any claimed defenses; (9) set forth any
remedial actions already taken or
proposed alternative relief without any
prejudice to any denials or defenses
raised; (10) provide any other
information or materials specified by
the Commission as relevant to its
consideration of the complaint; and (11)
be prepared or formatted in the manner
requested by the Commission and the
complainant, unless otherwise
permitted by the Commission for good
cause shown. We also adopt the
Commission’s proposal to allow the
complainant ten days, unless otherwise
directed by the Commission, to file and
serve a reply that is responsive to the
matters contained in the answer without
the addition of new matters. We do not
anticipate accepting additional filings.
195. Defendants must file complete
answers, including supporting records
and documentation, with the
Commission within the 20-day time
period specified by the Commission.
While we agree with those commenters
that argue that a narrative answer or
product design summary would be
useful, we disagree that such a response,
by itself, is sufficient to allow the
Commission to fully investigate and
make an accessibility or achievability
determination as required by the Act.
An answer must comply with all of the
requirements listed in the paragraph
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82381
above and include, where necessary, a
discussion of how supporting
documents, including confidential
documents, support defenses asserted in
the answer. We note that, because the
CVAA requires that we keep certain of
a defendant’s documents confidential,
we will not require a defendant to serve
the complainant a confidential answer
that incorporates, and argues the
relevance of, confidential documents.
Instead, we will require a defendant to
file a non-confidential summary of its
answer with the Commission and serve
a copy on the complainant. The nonconfidential summary must contain the
essential elements of the answer,
including any asserted defenses to the
complaint, whether the defendant
concedes that the product or service at
issue was not accessible, and if so, the
basis for its determination that
accessibility was not achievable, and
other material elements of its answer.
The non-confidential summary should
provide sufficient information to allow
the complainant to file a reply, if he or
she so chooses. Complainants may also
request a copy of the public redacted
version of a defendant’s answer, as well
as seek to obtain records filed by the
defendant through a Freedom of
Information Act (‘‘FOIA’’) filing. The
Commission may also use the summary
to give context to help guide its review
of the detailed records filed by the
defendant in its answer.
196. We are also adopting the
Commission’s proposal in the
Accessibility NPRM to require that
defendants include in their answers a
declaration by an authorized officer of
the manufacturer or service provider of
the truth and accuracy of the defense.
Such a declaration is not ‘‘irrelevant’’ to
whether a manufacturer or service
provider has properly concluded that
accessibility was not achievable, as it
establishes the good faith of the analysis
and holds the company accountable for
a conclusion that ultimately resulted in
an inaccessible product or service.
Consistent with requirements for
declarations in other contexts, we
specify that a declaration here must be
made under penalty of perjury, signed
and dated by the certifying officer.
197. We are not requiring answers to
include the names, titles, and
responsibilities of each decisionmaker
involved in the process by which a
manufacturer or service provider
determined that accessibility of a
particular offering was not achievable.
We agree that such a requirement may
be unduly burdensome, given the
complexity of the product and service
development process. We will, however,
reserve our right under the Act to
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request such information on a case-bycase basis if we determine during the
course of an investigation initiated in
response to a complaint or our own
motion that such information may help
uncover facts to support our
determination and finding of
compliance or non-compliance with the
Act.
198. We decline to adopt CTIA’s
proposal to incorporate the CVAA’s
limitation on liability, safe harbor,
prospective guidelines, and rule of
construction provisions into our rules as
affirmative defenses. CTIA proposes that
we adopt a bifurcated approach to our
informal complaint process in which
the Commission would determine
whether certain affirmative defenses
were applicable before requiring the
defendant to respond to the complaint
in full. We believe that the approach we
adopt here is more likely to maximize
the efficient resolution of informal
complaints than the approach that CTIA
recommends. Our rules will afford a
defendant ample opportunity to assert
all defenses that the defendant deems
germane to its case and assures that the
Commission has a complete record to
render its decision based on that record
within the statutory 180-day timeframe.
Because the Commission will be
considering all applicable defenses as
part of this process, we believe that
singling out certain defenses to
incorporate into our rules is
unwarranted.
199. We also disagree with those
commenters that express concern that
the Accessibility NPRM did not appear
to contemplate that some defendants
may claim that their products or
services are, in fact, accessible under
section 255, 716, or 718. As noted
above, the rules we adopt afford
defendants ample opportunity to assert
such a claim as an affirmative defense
to a charge of non-compliance with our
rules and to provide supporting
documentation and evidence
demonstrating that a particular product
or service is accessible and usable either
with or without third party applications,
peripheral devices, software, hardware,
or customer premises equipment. We
recognize that different information and
documentation will be required in an
answer depending on the defense or
defenses that are asserted. We expect
defendants will file all necessary
documents and information called for to
respond to the complaint and any
questions asked by the Commission
when serving the complaint or in a
letter of inquiry during the course of the
investigation. Again, covered entities
have the burden of proving that they
have satisfied their legal obligations that
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a product or service is accessible and
usable, or if it is not, that it was not
achievable.
200. We also disagree with those
commenters that contend that the
answer requirements, particularly those
related to achievability, are ‘‘broad and
onerous and may subject covered
entities to undue burdens.’’
201. According to these parties,
defendants will be compelled to
produce, within an unreasonably short
timeframe, voluminous documents that
may be of marginal value to
complainants or the Commission in
making determinations regarding
accessibility and achievability of a
particular product or service or in
ensuring that an individual complainant
obtains an accessible service or device
as promptly as possible. We address
these concerns below.
202. We disagree with commenters
that the 20-day filing deadline for
answers is too short and that we should
liberally grant extensions of time within
which to file. We believe that the 20-day
filing window is reasonable given the
180-day mandatory schedule for
resolving informal complaints.
Furthermore, the dispute assistance
process, described in General
Requirements, supra, requires that
consumers and manufacturers or service
providers explore the possibilities for
non-adversarial resolution of
accessibility disputes before a consumer
may file a complaint. Defendants will,
therefore, have ample notice as to the
issues in dispute even before an
informal complaint is filed. In addition,
all parties subject to sections 255, 716,
and 718 should already have created
documents for their defense due to our
recordkeeping rules. As discussed
above, this Report and Order places
manufacturers and service providers on
notice that they bear the burden of
showing that they are in compliance
with sections 255, 716, and 718 and our
implementing rules by demonstrating
that their products and services are
accessible as required by the statutes
and our rules or that they satisfy the
defense that accessibility was not
readily achievable under section 255 or
achievable under the four factors
specified in section 716. They should,
therefore, routinely maintain any
materials that they deem necessary to
support their accessibility achievability
conclusions and have them available to
rebut a claim of non-compliance in an
informal complaint or pursuant to an
inquiry initiated by the Commission on
its own motion.
203. Further, we do not believe
additional time to file an answer or
provide responsive material is
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warranted for all complaints based on
the possibility that the documentation
supporting a covered entity’s claim may
have been created in a language other
than English. Our recordkeeping rules
will require English translations of any
records that are subject to our
recordkeeping requirements to be
produced in response to an informal
complaint or a Commission inquiry.
Parties may seek extensions of time to
supplement their answers with
translations of documents not subject to
the mandatory recordkeeping
requirements. We caution, however, that
such requests will not be automatically
granted, but will require a showing of
good cause.
204. Only a covered entity will have
control over documents that are
necessary for us to comply with the
Act’s directive that we (1) ‘‘investigate
the allegations in an informal
complaint’’ and (2) ‘‘issue an order
concluding the investigation’’ that
‘‘shall include a determination whether
any violation [of section 255, 716, or
718 has] occurred.’’ We disagree with
CEA that this statute grants us authority
to sua sponte close a complaint
proceeding without issuing a final
determination whether a violation
occurs. However, where the complaint
on its face shows that the subject matter
of the complaint has been resolved, we
may dismiss the complaint as defective
for failure to satisfy the pleading
requirements as discussed above. In
addition, where the allegations in an
informal complaint allege a violation
related to a particular piece of
equipment or service that was the
subject of a prior order in an informal
or formal complaint proceeding, then
the Commission may issue an order
determining that the allegations of the
instant complaint have already been
resolved based on the findings and
conclusions of the prior order and such
other documents and information that
bear on the issues presented in the
complaint. We reject commenters’
concerns that the documentation
requirements focus too strongly on
broad compliance investigations rather
than on ensuring that an individual
complainant is simply able to obtain an
accessible product or service. Section
717(a)(1)(B)(i) specifically empowers us
to go beyond the situation of the
individual complainant and order that a
service, or the next generation of
equipment, be made accessible. Thus,
our investigations with respect to
informal complaints are directed to
violations of the Act and our rules—not
narrowly constrained to an individual
complainant obtaining an accessible
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product or service, as commenters
suggest. The dispute assistance process,
on the other hand, is designed to assist
consumers, manufacturers, or service
providers in solving individual issues
before a complaint is filed. Covered
entities will have ample opportunity,
therefore, to address the accessibility
needs of potential complainants.
205. Finally, we reject the suggestion
that if a defendant chooses to provide a
possible replacement product to the
complainant, the Commission should
automatically stay the answer period
while the complainant evaluates the
new product. First, we expect that in
virtually all cases, any replacement
products will have been provided and
evaluated during the pre-complaint
dispute assistance process. Moreover,
while suspending pleading deadlines
may relieve the parties from preparing
answers or replies that would be
unnecessary if the manufacturer or
service provider is able to satisfy the
complainant’s accessibility concerns, it
would also substantially delay
compilation of a complete record and
thereby impede our ability to resolve the
complaint within the mandatory 180day timeframe, should private
settlement efforts fail. Accordingly, we
decline to adopt any procedure by
which pleading deadlines would be
automatically or otherwise stayed. We
emphasize, nonetheless, that the parties
are free to jointly request dismissal of a
complaint without prejudice for the
purpose of pursuing an informal
resolution of an accessibility complaint.
In such cases, if informal efforts were
unsuccessful in providing the
complainant with an accessible product
or service, the complainant could refile
the informal complaint at any time and
would not be required to use the dispute
assistance process again for that
particular complaint.
d. Formal Complaints
206. We require both complainants
and defendants to: (1) Certify in their
respective complaints and answers that
they attempted in good faith to settle the
dispute before the complaint was filed
with the Commission; and (2) submit
detailed factual and legal support,
accompanied by affidavits and
documentation, for their respective
positions in the initial complaint and
answer. The rules also place strict limits
on the availability of discovery and
subsequent pleading opportunities to
present and defend against claims of
misconduct.
207. We decline to adopt a rule
requiring an informal complaint to be
filed prior to the filing of a formal
complaint. As with the informal
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complaint process, we do not want to
place any unnecessary barriers in the
way of those who choose to use the
formal complaint process. In this regard,
we agree with commenters that to
require a party to file an informal
complaint as a prerequisite for filing a
formal complaint would create an
unnecessary obstacle to complainants.
Such a prerequisite is not required in
any other Commission complaint
process and is inconsistent with the
CVAA. For these reasons, we decline to
require that an informal complaint be
filed prior to the filing of a formal
complaint.
208. We disagree with commenters
that argue that the formal complaint
rules will impose a burden on
consumers. Our rules follow the CVAA
in providing complainants with two
options for filing complaints alleging
accessibility violations. We believe the
formal complaint process we adopt
herein is no more burdensome than
necessary given the complexities
inherent in litigation generally and is in
line with our other formal complaint
processes. Like the Commission’s other
formal complaint processes, the
accessibility formal complaint rules
allow parties an opportunity to establish
their case through the filing of briefs,
answers, replies, and supporting
documentation; and allow access to
useful information through discovery.
209. If a complainant feels that the
formal complaint process is too
burdensome or complex, the rules we
adopt provide the option to file an
informal complaint that is less complex,
less costly, and is intended to be
pursued without representation by
counsel. For example, there is no filing
fee associated with filing an informal
complaint and the filing can be done by
the average consumer. In contrast, there
is a filing fee associated with the formal
complaint process and, in general,
parties are represented by counsel.
While complainants may see advantages
and disadvantages with either of the
processes depending on the specifics of
their circumstances, both options
provide viable means for seeking redress
for what a complainant believes is a
violation of our rules. Moreover, we
believe that potential complainants are
in the best position to determine which
complaint process and associated
remedies (formal or informal) serve their
particular needs.
210. We adopt the Commission’s
proposal in the Accessibility NPRM to
no longer place formal accessibility
complaints on the Accelerated Docket.
Twelve years before the CVAA was
enacted, in the Section 255 Report and
Order, the Commission found that the
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82383
Accelerated Docket rules were
appropriate for handling expedited
consideration of consumer section 255
formal complaints. In the CVAA,
Congress mandated expedited
consideration of informal complaints by
requiring a Commission Order within
180 days after the date on which a
complaint is filed. As discussed in
Informal Complaints, supra, we have
carefully designed an informal
complaint process that will place a
minimal burden on complainants,
enable both parties to present their cases
fully, and require a Commission order
within 180 days. We believe that this
consumer-friendly, informal complaint
process addresses our concerns that
consumer complaints be resolved in a
timely manner and provides an
adequate substitute for formal
Accelerated Docket complaints. In
addition, given the ‘‘accelerated’’ or
180-day resolution timeframe for
informal complaints, we believe that
retaining an ‘‘Accelerated Docket’’ for
formal complaints is no longer
necessary and, in fact, may impose an
unnecessary restriction on the formal
complaint process where, as discussed
above, the process involves, among
other things, filing of briefs, responses,
replies, and discovery. Therefore we
decline to adopt the Accelerated Docket
rules for section 255, 716, and 718
formal complaints.
e. Remedies and Sanctions
211. We intend to adjudicate each
informal and formal complaint on its
merits and will employ the full range of
sanctions and remedies available to us
under the Act in enforcing section 255,
716, or 718. Thus, we agree with
commenters that the Commission
should craft targeted remedies on a caseby-case basis, depending on the record
of the Commission’s own investigation
or a complaint proceeding. For this
same reason, while we agree with
consumer groups that the Commission
should act quickly and that time periods
should be as short as practicable to
ensure that consumers obtain accessible
equipment or services in a timely
manner, without the particular facts of
a product or service in front of us, we
cannot at this time decide what a
‘‘reasonable time’’ for compliance
should be. Nevertheless, as the
Commission gains more familiarity with
services, equipment, and devices
through its own investigations and
resolution of complaints, our
enforcement orders will begin to
establish precedent of consistent
injunctive relief, periods of compliance,
and other sanctions authorized by the
Act.
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212. We disagree with AT&T’s
contention that the Accessibility
NPRM’s proposed formal complaint
rules exceed the authority granted the
Commission under the CVAA. We
further disagree with AT&T’s specific
argument that the Commission does not
have authority to adopt proposed rule
§ 8.25, which provides that ‘‘a
complaint against a common carrier
may seek damages.’’ As discussed
above, we designed the formal
complaint rules to address potential
violations of section 255, 716, or 718. In
the Section 255 Report and Order, the
Commission decided that a complainant
could obtain damages for a section 255
violation from a common carrier under
section 207. We agree, however, with
AT&T that CVAA services that
constitute information services and are
not offered on a common carrier basis
would not be subject to the damages
provision of section 207.
213. Neither the CVAA nor the Act
addresses permitting prevailing parties
to recover attorney’s fees and costs in
formal or informal complaint
proceedings. The Commission cannot
award attorney’s fees or costs in a
section 208 formal complaint
proceeding or in any other proceeding
absent express statutory authority. We
hope that a majority of consumer issues
can be resolved through the dispute
assistance process and thereby alleviate
the need for consumers to file a
complaint at all. We also note that
consumers need not incur any attorney’s
fees by providing the Commission with
information that allows the Commission
to, on its own motion, launch its own
independent investigation, including
but not limited to a Letter of Inquiry,
into potential violations by a covered
entity. Any party that would like to
provide the Commission with
information indicating that a covered
entity’s product or service is not in
compliance with the Commission’s
rules may do so, without filing a
complaint, by emailing or telephoning
the Enforcement Bureau.
III. Procedural Matters
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Final Regulatory Flexibility Analysis
214. As required by the Regulatory
Flexibility Act of 1980, as amended
(‘‘RFA’’), an Initial Regulatory
Flexibility Analysis (‘‘IRFA’’) was
included in the Accessibility NPRM in
CG Docket No. 10–213, WT Docket No.
96–198, and CG Docket No. 10–145. The
Commission sought written public
comment on the proposals in these
dockets, including comment on the
IRFA. This Final Regulatory Flexibility
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Analysis (‘‘FRFA’’) conforms to the
RFA.
A. Need for, and Objectives of, the
Report and Order
215. The Report and Order
implements Congress’ mandate that
people with disabilities have access to
advanced communications services
(‘‘ACS’’) and ACS equipment.
Specifically, these rules implement
sections 716 and 717 of the
Communications Act of 1934, as
amended, which were added by the
‘‘Twenty-First Century Communications
and Video Accessibility Act of 2010’’
(‘‘CVAA’’).
216. The Report and Order
implements the requirements of section
716 of the Act, which requires providers
of ACS and manufacturers of equipment
used for ACS to make their products
accessible to people with disabilities,
unless accessibility is not achievable.
The Commission also adopts rules to
implement section 717 of the Act,
which requires the Commission to
establish new recordkeeping and
enforcement procedures for
manufacturers and providers subject to
sections 255, 716 and 718.
217. The Report and Order applies to
ACS, which includes interconnected
VoIP, non-interconnected VoIP,
electronic messaging service, and
interoperable video conferencing
service. The Report and Orders requires
manufacturers and service providers
subject to section 716 to comply with
the requirements of section 716 either
by building accessibility features into
their equipment or service or by relying
on third party applications or other
accessibility solutions. If accessibility is
not achievable by building in
accessibility or relying on third party
applications or other accessibility
solutions, manufacturers and service
providers must make their products
compatible with existing peripheral
devices or specialized customer
premises equipment commonly used by
individuals with disabilities to achieve
access, unless that is not achievable.
218. The Report and Order holds
entities that make or produce end user
equipment, including tablets, laptops,
and smartphones, responsible for the
accessibility of the hardware and
manufacturer-installed software used for
email, SMS text messaging, and other
ACS. The Report and Order also holds
these entities responsible for software
upgrades made available by such
manufacturers for download by users.
Additionally, the Report and Order
concludes that, except for third party
accessibility solutions, there is no
liability for a manufacturer of end user
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equipment for the accessibility of
software that is installed or downloaded
by a user or made available for use in
the cloud.
219. The Report and Order requires
manufacturers and service providers to
consider performance objectives at the
design stage as early and consistently as
possible and implement such evaluation
to the extent that it is achievable. The
Report and Order incorporates into the
performance objectives the outcomeoriented definitions of ‘‘accessible,’’
‘‘compatibility,’’ and ‘‘usable’’
contained in the rules regarding the
accessibility of telecommunications
services and equipment. The Report and
Order adopts the four statutory factors
to determine achievability. The Report
and Order further expands on the fourth
achievability factor—the extent to
which an offering has varied functions,
features, and prices—by allowing
entities to not consider what is
achievable with respect to every
product, if such entity offers consumers
with the full range of disabilities varied
functions, features, and prices.
220. The Report and Order also
establishes processes for providers of
ACS and ACS equipment manufacturers
to seek waivers of the section 716
obligations, both individual and class,
for offerings which are designed for
multiple purposes but are designed
primarily for purposes other than using
ACS. The Report and Order clarifies
what constitutes ‘‘customized
equipment or services’’ for purposes of
an exclusion of the section 716
requirements. Pointing to an insufficient
record upon which to grant a permanent
exemption for small entities, the Report
and Order also temporarily exempts all
manufacturers of ACS equipment and
all providers of ACS from the
obligations of section 716 if they qualify
as small business concerns under the
Small Business Administration’s
(‘‘SBA’’) rules and size standards for the
industry in which they are primarily
engaged.
221. Specifically, the Report and
Order adopted for this temporary
exemption the SBA’s maximum size
standards that are used to determine
whether a business concern qualifies as
a small business concern in its primary
industry. These size standards are based
on the maximum number of employees
or maximum annual receipts of a
business concern. The SBA categorizes
industries for its size standards using
the North American Industry
Classification System (‘‘NAICS’’), a
‘‘system for classifying establishments
by type of economic activity.’’ The
Report and Order identified some
NAICS codes for possible primary
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industry classifications of ACS
equipment manufacturers and ACS
providers and the relevant SBA size
standards associated with the codes.
This is not a comprehensive list of the
primary industries and associated SBA
size standards of every possible
manufacturer of ACS equipment or
provider of ACS. This list is merely
representative of some primary
industries in which entities that
manufacture ACS equipment or provide
ACS may be primarily engaged. It is
ultimately up to an entity seeking the
temporary exemption to make a
determination regarding their primary
industry, and justify such determination
in any enforcement proceeding.
NAICS
code
NAICS classification
82385
SBA size standard
Services
Wired Telecommunications Carriers ..............................................................
Wireless Telecommunications Carriers (except satellites) ............................
Telecommunications Resellers ......................................................................
All Other Telecommunications .......................................................................
Software Publishers .......................................................................................
Internet Publishing and Broadcasting and Web Search Portals ...................
Data Processing, Hosting, and Related Services .........................................
517110
517210
517911
517919
511210
519130
518210
1,500 or fewer employees.
1,500 or fewer employees.
1,500 or fewer employees.
$25 million or less in annual receipts.
$25 million or less in annual receipts.
500 or fewer employees.
$25 million or less in annual receipts.
334220
750 or fewer employees.
334111
334210
334290
511210
519130
1,000 or fewer employees.
1,000 or fewer employees.
750 or fewer employees.
$25 million or less in annual receipts.
500 or fewer employees.
Equipment
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Radio and Television Broadcasting and Wireless Communications Equipment Manufacturing.
Electronic Computer Manufacturing ..............................................................
Telephone Apparatus Manufacturing .............................................................
Other Communications Equipment Manufacturing ........................................
Software Publishers .......................................................................................
Internet Publishing and Broadcasting and Web Search Portals ...................
222. As stated above, the Report and
Order indicated that this temporary
exemption is self-executing. Under this
approach, covered entities must
determine whether they qualify for the
exemption based upon their ability to
meet the SBA’s rules and the size
standard for the relevant NAICS
industry category for the industry in
which they are primarily engaged.
Entities that manufacture ACS
equipment or provide ACS may raise
this temporary exemption as a defense
in an enforcement proceeding. Entities
claiming the exemption must be able to
demonstrate that they met the
exemption criteria during the estimated
start of the design phase of the lifecycle
of the product or service that is the
subject of the complaint.
223. The Report and Order indicated
that such an exemption was necessary
to avoid the possibility of unreasonably
burdening ‘‘small and entrepreneurial
innovators and the significant value that
they add to the economy. The Report
and Order states that the temporary
exemption enables us to provide relief
to those entities that may possibly lack
legal, financial, or technical capability
to comply with the Act until we further
develop the record to determine
whether small entities should be subject
to a permanent exemption and, if so, the
criteria to be used for defining which
small entities should be subject to such
permanent exemption. The temporary
exemption will begin on the effective
date of the rules adopted in the Report
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and Order and will expire the earlier of
the effective date of small entity
exemption rules adopted pursuant to
the Further Notice of Proposed
Rulemaking (‘‘Accessibility FNPRM’’) or
October 8, 2013.
224. The Report and Order reminds
covered entities that, while the
Commission does not require them to
create and maintain any particular
records to claim a defense that it is not
achievable for them to make their
products or services accessible, they
bear the burden of proof on this defense.
B. Summary of the Significant Issues
Raised by the Public Comments in
Response to the IRFA and Summary of
the Assessment of the Agency of Such
Issues
225. In response to the Accessibility
NPRM, one commenter addressed the
proposed rules and policies implicated
in the IRFA. NTCA requests that the
Commission adopt an exemption for
small entities from the obligations of
section 716 and the Commission’s rules
implementing section 716 for small
telecommunications carriers as defined
by the SBA. Alternatively, NTCA
requests a waiver process for small
entities to seek and qualify for a waiver.
NTCA argues that small
telecommunications companies ‘‘lack
the size and resources to influence the
design or features of equipment . * * *
[and] the purchasing power to enable
them to buy equipment in bulk for a
reduced price, or to compel sufficient
production to ensure that compliant
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equipment ‘trickles down’ to smaller
purchasers within a specific
timeframe.’’
226. As explained in the Report and
Order, we lack a sufficient record upon
which to base a permanent exemption
for small entities. However, we believe
that some relief is necessary for entities
that may be unreasonably burdened by
conducting an achievability analysis
and complying with the recordkeeping
and certification requirements as
necessary under the Act and in
accordance with the Report and Order.
Therefore, we exercise our discretion
under the Act to temporarily exempt
from the obligations of section 716
providers of ACS and manufacturers of
ACS equipment that qualify as small
business concerns under the applicable
SBA rules and size standards, and seek
further comment on whether to exercise
our authority to grant a permanent small
entity exemption in the Accessibility
FNPRM, and if so, what criteria we
should apply for defining which small
entities should be subject to such
permanent exemption. As such, the
Report and Order extends temporary
relief to all small business concerns that
would otherwise have to comply with
the Act.
C. Description and Estimate of the
Number of Small Entities to Which the
Rules Will Apply
227. The RFA directs agencies to
provide a description of, and where
feasible, an estimate of the number of
small entities that face possible
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significant economic impact by the
adoption of proposed rules. The RFA
generally defines the term ‘‘small
entity’’ as having the same meaning as
the terms ‘‘small business,’’ ‘‘small
organization,’’ and ‘‘small governmental
jurisdiction.’’ 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 that (1) Is
independently owned and operated; (2)
is not dominant in its field of operation;
and (3) satisfies any additional criteria
established by the SBA.
228. The following entities have been
identified as entities in which a majority
of businesses in each category are
estimated to be small. NAICS codes are
provided where applicable.
• 24 GHz—Incumbent Licensees
(517210)
• 24 GHz—Future Licensees (517210)
• 39 GHz Service (517210)
• 218–219 MHz Service (517210)
• 220 MHz Radio Service—Phase I
Licensees (517210)
• 220 MHz Radio Service—Phase II
Licensees (517210)
• 700 MHz Band Licenses (Upper)
(517210)
• 700 MHz Band Licenses (Lower)
(517210)
• 700 MHz Guard Band Licenses
(517210)
• 800 and 800–Like Service
Subscribers (517911)
• 800 MHz and 900 MHz Specialized
Mobile Radio Licenses (517210)
• Air-Ground Radiotelephone Service
(517210)
• All Other Information Services
(519190)
• All Other Telecommunications
(including provide interoperable video
conferencing services) (517919)
• Aviation and Marine Radio Services
(517210)
• AWS Services (1710–1755 MHz and
2110–2155 MHz bands (AWS–1); 1915–
1920 MHz, 1995–2000 MHz, 2020–2025
MHz and 2175–2180 MHz bands (AWS–
2); 2155–2175 MHz band (AWS–3))
(517210)
• Broadband Personal
Communications Service (517210)
• Cable and Other Program
Distributors (517110)
• Cable Companies and Systems
• Cable System Operators
• Cellular Licensees (517210)
• Certain Equipment Manufacturers
and Stores
• Common Carrier Paging (517210)
• Competitive Local Exchange
Carriers (Competitive LECs),
Competitive Access Providers (CAPs),
Shared-Tenant Service Providers, and
Other Local Service Providers (517110)
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• Data Processing, Hosting, and
Related Services (518210)
• Electronic Computer Manufacturing
(334111)
• Fixed Microwave Services (517210)
• Government Transfer Bands
(517210)
• Incumbent Local Exchange Carriers
(Incumbent LECs) (517110)
• Interexchange Carriers (517110)
• Internet Publishing and
Broadcasting and Web Search Portals
(519130)
• Internet Service Providers, Web
Portals and Other Information Services
(519130)
• Local Resellers (517911)
• Narrowband Personal
Communications Services (517210)
• Offshore Radiotelephone Service
(517210)
• Open Video Services (517110)
• Operator Service Providers (OSPs)
(517110)
• Other Communications Equipment
Manufacturing (Manufacturers of
Equipment Used to Provide
Interoperable Video Conferencing
Services) (334290)
• Part 15 Handset Manufacturers
(334220)
• Payphone Service Providers (PSPs)
(517110)
• Prepaid Calling Card Providers
(517110)
• Radio and Television Broadcasting
and Wireless Communications
Equipment Manufacturing (334220)
• Radio, Television, and Other
Electronics Stores (443112)
• Rural Radiotelephone Service
(517210)
• Satellite Telecommunications
Providers (517410)
• Specialized Mobile Radio (517210)
• Telephone Apparatus
Manufacturing (334210)
• Toll Resellers (517911)
• Wired Telecommunications Carriers
(including providers of interconnected
or non-interconnected VoIP) (517110)
• Wireless Cable Systems (Broadband
Radio Service and Educational
Broadband Service) (517210)
• Wireless Communications Services
(517210)
• Wireless Telecommunications
Carriers (except Satellite) (517210)
• Wireless Telephony (517210)
D. Description of Projected Reporting,
Recordkeeping, and Other Compliance
Requirements
229. We summarize below the
recordkeeping and certification
obligations of the Report and Order.
Additional information on each of these
requirements can be found in the Report
and Order. Again, the Report and Order
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temporarily exempts all providers of
ACS and manufacturers of ACS
equipment that qualify as small
business concerns under the SBA’s rules
and size standards for the industry in
which they are primarily engaged.
230. Recordkeeping. The Report and
Order requires, beginning one year after
the effective date of the Report and
Order, that each manufacturer of
equipment used to provide ACS and
each provider of such services subject to
sections 255, 716, and 718 not otherwise
exempt under the Report and Order,
maintain certain records. These records
document the efforts taken by a
manufacturer or service provider to
implement sections 255, 716, and 718.
The Report and Order adopts the
recordkeeping requirements of the
CVAA, which specifically include: (1)
Information about the manufacturer’s or
provider’s efforts to consult with
individuals with disabilities; (2)
descriptions of the accessibility features
of its products and services; and (3)
information about the compatibility of
such products and services with
peripheral devices or specialized
customer premise equipment commonly
used by individuals with disabilities to
achieve access. Additionally, while
manufacturers and providers are not
required to keep records of their
consideration of the four achievability
factors, they must be prepared to carry
their burden of proof, which requires
greater than conclusory or unsupported
claims. Similarly, entities that rely on
third party solutions to achieve
accessibility must be prepared to
produce relevant documentation.
231. These recordkeeping
requirements are necessary to facilitate
enforcement of the rules adopted in the
Report and Order. The Report and
Order builds flexibility into the
recordkeeping obligations by allowing
covered entities to keep records in any
format, recognizing the unique
recordkeeping methods of individual
entities. Because complaints regarding
accessibility of a product or service may
not occur for years after the release of
the product or service, the Report and
Order requires covered entities to keep
records for two years from the date the
product ceases to be manufactured or a
service is offered to the public.
232. Annual Certification Obligations.
The CVAA and the Report and Order
require an officer of providers of ACS
and ACS equipment to submit to the
Commission an annual certificate that
records are kept in accordance with the
above recordkeeping requirements,
unless such manufacturer or provider is
exempt from compliance with section
716 under applicable rules. The
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certification must be supported with an
affidavit or declaration under penalty of
perjury, signed and dated by an
authorized officer of the entity with
personal knowledge of the
representations provided in the
company’s certification, verifying the
truth and accuracy of the information.
The certification must be filed with the
Consumer and Governmental Affairs
Bureau on or before April 1 each year
for records pertaining to the previous
calendar year.
233. Costs of Compliance. There is an
upward limit on the cost of compliance
for covered entities. Under the CVAA
and Report and Order accessibility is
required unless it is not achievable.
Under two of the four achievability
factors from the Act and adopted in the
Report and Order, covered entities may
demonstrate that accessibility is not
achievable based on the nature and cost
of steps needed or the technical and
economic impact on the entity’s
operation. Entities that are not
otherwise exempt or excluded under the
Report and Order must nonetheless be
able to demonstrate that they conducted
an achievability analysis, which
necessarily requires the retention of
some records.
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E. Steps Taken To Minimize Significant
Economic Impact on Small Entities and
Significant Alternatives Considered
234. The RFA requires an agency to
describe any significant alternatives it
considered in developing its approach,
which may include the following four
alternatives, among others: ‘‘(1) the
establishment of differing compliance or
certification requirements or timetables
that take into account the resources
available to small entities; (2) the
clarification, consolidation, or
simplification of compliance and
certification requirements under the
rule 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.’’
235. For rules adopted that impose
some burden on small entities, the
Commission considered alternatives
where possible, as directed by the RFA.
Most significantly, the Commission
considered and adopted a temporary
exemption for all small entities that
qualify as small business concerns
under the SBA’s rules and size
standards. All entities may avoid
compliance if accessibility is not
achievable, may seek a waiver for
products or services that are not
designed primarily for ACS, and may
keep records in any format.
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236. The rules require covered entities
to ensure that products and services are
accessible, unless not achievable. This
is a statutory requirement, therefore no
alternatives were considered. However,
this requirement has built-in flexibility.
All entities may demonstrate that
accessibility is unachievable either
through building accessibility features
into the product or service or by
utilizing third party solutions.
Achievability is determined through a
four factor analysis that examines: The
nature and cost of the steps needed to
meet the requirements of section 716(g)
with respect to the specific equipment
or service in question; the technical and
economic impact on the operation of the
manufacturer or provider and on the
operation of the specific equipment or
service in question, including on the
development and deployment of new
communications technologies; the type
of operations of the manufacturer or
provider; the extent to which the service
provider or manufacturer in question
offers accessible services or equipment
containing varying degrees of
functionality and features, and offered
at differing price points.
237. We note that two of the four
factors look at factors that are
particularly relevant to small entities:
the nature and cost of the steps needed
to meet the section 716 requirements
and the technical and economic impact
on the entity’s operations. Therefore, as
explained further below, this
achievability analysis provides a
statutorily based means of minimizing
the economic impact of the CVAA’s
requirements on small entities. Further,
when accessibility is not achievable,
covered entities must ensure that their
products and services are compatible,
unless not achievable. This again is a
statutory requirement with built-in
flexibility through the achievability
analysis.
238. The rules require covered entities
to consider performance objectives at
the design stage as early and
consistently as possible. This
requirement is necessary to ensure that
accessibility is considered at the point
where it is logically best to incorporate
accessibility. The CVAA and the Report
and Order are naturally performancedriven. The CVAA and Report and
Order avoid mandating particular
designs and instead focus on an entity’s
compliance with the accessibility
requirements through whatever means
the entity finds necessary to make its
product or service accessible, unless not
achievable. This provides flexibility by
allowing all entities, including small
entities, to meet their obligations
through the best means for a given
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82387
entity instead of the Commission
explicitly mandating a rigid
requirement.
239. With respect to recordkeeping
and certification requirements, these
requirements are necessary in order to
demonstrate compliance with the
requirements of the Report and Order
and CVAA and to facilitate an effective
and efficient complaint process. As
described above, we adopt flexible
requirements that allow covered entities
to keep records in any format they wish.
In the Report and Order, we found that
this approach took into account the
variances in covered entities (e.g., size,
experience with the Commission),
recordkeeping methods, and products
and services covered by the CVAA.
Moreover, we found that it also
provided the greatest flexibility to small
businesses and minimized the impact
that the statutorily mandated
requirements impose on small
businesses. Correspondingly, we
considered and rejected the alternative
of imposing a specific format or onesize-fits-all system for recordkeeping
that could potentially impose greater
burdens on small businesses.
Furthermore, the certification
requirement is possibly less
burdensome on small businesses than
large, as it merely requires certification
from an officer that the necessary
records were kept over the previous
year; this is presumably a less resource
intensive certification for smaller
entities.
240. While ensuring accessibility and
keeping records may impose some
burdens, as discussed, the Report and
Order includes significant flexibility for
small entities. First, the achievability
factors in the CVAA may mitigate
adverse impacts and reduce burdens on
small entities. Under the achievability
factors as discussed above, an otherwise
covered entity can demonstrate that
accessibility is unachievable and
therefore avoid compliance. The first
and second factors are particularly
relevant to small entities and the special
circumstances they face. The first factor
considers the nature and cost of the
steps needed to meet the requirements
with respect to the specific equipment
or service in question, and the second
considers the technical and economic
impact on the operation of the
manufacturer or provider and on the
operation of the specific equipment or
service in question. If achievability is
overly expensive or has some significant
negative technical or economic impact
on a covered entity, the entity can show
that accessibility was not achievable as
a defense to a complaint.
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241. The Report and Order also
includes significant relief for small and
other entities including a temporary
exemption from the obligations of
section 716 and section 717 for
qualifying small entities, waiver criteria
under which all covered entities may
seek a waiver of the obligations of
section 716, and an exemption for
customized equipment. Under the
Report and Order, customized
equipment offered to businesses and
other enterprise customers is expressly
exempt. Additionally, all providers and
manufacturers, or classes of providers
and manufacturers, are able to seek a
waiver for equipment or services that
are capable of accessing ACS. These two
provisions allow any entity, including
small entities, to avoid the burden of
compliance with the accessibility and
recordkeeping requirements if they meet
the requirements for either provision.
242. Further, while we could have
opted to not exercise our discretionary
authority to exempt small entities, we
found that even in the absence of
meaningful comments regarding
whether to grant a permanent small
entity exemption, there was good cause
to provide temporary relief and avoid
imposing an unreasonable burden upon
small entities and negatively impacting
the value they add to the economy. In
the Report and Order, we therefore
decided some exemption is necessary to
provide relief to those entities for which
even conducting an achievability
analysis would consume an
unreasonable amount of resources.
Finding good cause for granting such
relief, the Report and Order temporarily
exempts ACS providers and ACS
equipment manufacturers that qualify as
small business concerns under the
SBA’s rules and size standards.
243. Specifically, the Report and
Order temporarily exempts entities that
manufacture ACS equipment or provide
ACS that, along with any affiliates, meet
the criteria for a small business concern
for their primary industry under SBA’s
rules and size standards. A small
business concern, as defined by the
SBA, is an ‘‘entity organized for profit,
with a place of business located in the
United States, and which operates
primarily within the United States or
which makes a significant contribution
to the U.S. economy through payment of
taxes or use of American products,
materials or labor.’’ The Report and
Order stated that if an entity no longer
meets the exemption criteria, it must
comply with section 716 and section
717 for all subsequent products or
services or substantial upgrades of
products or services that are in the
development phase of the product or
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service lifecycle, or any earlier stages of
development, at the time they no longer
meet the criteria. The temporary
exemption will begin on the effective
date of the rules adopted in the Report
and Order and will expire the earlier of
the effective date of small entity
exemption rules adopted pursuant to
the Accessibility FNPRM or October 8,
2013.
List of Subjects
F. Federal Rules That May Duplicate,
Overlap, or Conflict With Proposed
Rules
Section 255(e) of the Act, as amended,
directs the United States Access Board
(‘‘Access Board’’) to develop equipment
accessibility guidelines ‘‘in conjunction
with’’ the Commission, and periodically
to review and update those guidelines.
We view the Access Board’s current
guidelines as well as its draft guidelines
as starting points for our interpretation
and implementation of sections 716 and
717 of the Act, as well as section 255,
but because they do not currently cover
ACS or equipment used to provide or
access ACS, we must necessarily adapt
these guidelines in our comprehensive
implementation scheme. As such, our
rules do not overlap, duplicate, or
conflict with either Access Board Final
Rules, or (if later adopted) the Access
Board Draft Guidelines. Where
obligations under section 255 and
section 716 overlap, for instance for
accessibility requirements for
interconnected VoIP, we clarify in the
Report and Order which rules govern
the entities’ obligations.
Communications equipment,
Individuals with disabilities,
Telecommunications.
Ordering Clauses
244. Accordingly, it is ordered that
pursuant to sections 1–4, 255, 303(r),
403, 503, 716, 717, and 718 of the
Communications Act of 1934, as
amended, 47 U.S.C. 151–154, 255,
303(r), 403, 503, 617, 618, and 619, this
Report and Order is hereby adopted.
245. It is further ordered that parts 1,
6 and 7 of the Commission’s rules, 47
CFR parts 1, 6, and 7, are amended, and
new part 14 of the Commission’s rules,
47 CFR part 14 is added effective
January 30, 2012.
246. It is further ordered that the
Commission’s Consumer Information
Bureau, Reference Information Center,
shall send a copy of the Report and
Order, including the Final Regulatory
Flexibility Analysis, to the Chief
Counsel for Advocacy of the Small
Business Administration.
247. It is further ordered that the
Commission shall send a copy of this
Report and Order to Congress and the
Government Accountability Office
pursuant to the Congressional Review
Act.
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47 CFR Part 1
Administrative practice and
procedure, Communications common
carriers, Individuals with disabilities,
Radio, Reporting and recordkeeping
requirements, Satellites,
Telecommunications.
47 CFR Parts 6 and 7
47 CFR Part 14
Advanced communications services
equipment, Manufacturers of equipment
used for advanced communications
services, Providers of advanced
communications services, Individuals
with disabilities, Recordkeeping and
enforcement requirements.
Federal Communications Commission.
Marlene H. Dortch,
Secretary.
For the reasons discussed in the
preamble, the Federal Communications
Commission amends 47 CFR parts 1, 6
and 7 and adds new part 14 as follows:
PART 1—PRACTICE AND
PROCEDURE
1. The authority citation for part 1
continues to read as follows:
■
Authority: 15 U.S.C. 79 et seq.; 47 U.S.C.
151, 154, 160, 201, 225, 303, 617 and 618.
2. Amend § 1.80 by redesignating
paragraphs (b)(3), (b)(4), (b)(5), and
(b)(6) as paragraphs (b)(4), (b)(5), (b)(6),
and (b)(7) and by adding new paragraph
(b)(3) and revising newly redesignated
paragraph (b)(5) to read as follows:
■
§ 1.80
Forfeiture Proceedings.
*
*
*
*
*
(b) * * *
(3) If the violator is a manufacturer or
service provider subject to the
requirements of section 255, 716 or 718
of the Communications Act, and is
determined by the Commission to have
violated any such requirement, the
manufacturer or service provider shall
be liable to the United States for a
forfeiture penalty of not more than
$100,000 for each violation or each day
of a continuing violation, except that the
amount assessed for any continuing
violation shall not exceed a total of
$1,000,000 for any single act or failure
to act.
*
*
*
*
*
(5) In any case not covered in
paragraphs (b)(1) through (b)(4) of this
section, the amount of any forfeiture
penalty determined under this section
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shall not exceed $16,000 for each
violation or each day of a continuing
violation, except that the amount
assessed for any continuing violation
shall not exceed a total of $112,500 for
any single act or failure to act described
in paragraph (a) of this section.
*
*
*
*
*
PART 6—ACCESS TO
TELECOMMUNICATIONS SERVICE,
TELECOMMUNICATIONS EQUIPMENT
AND CUSTOMER PREMISES
EQUIPMENT BY PERSONS WITH
DISABILITIES
3. The authority citation for part 6
continues to read as follows:
■
Authority: 47 U.S.C. 151–154, 251, 255,
303(r), 617, 618.
■
Generally.
(a) All manufacturers of
telecommunications equipment or
customer premises equipment and all
providers of telecommunications
services, as defined under this subpart
are subject to the enforcement
provisions specified in the Act and the
Commission’s rules.
(b) For purposes of §§ 6.15 through
6.23, the term ‘‘manufacturers’’ shall
denote manufacturers of
telecommunications equipment or
customer premises equipment and the
term ‘‘providers’’ shall denote providers
of telecommunications services.
■ 5. Revise § 6.16 to read as follows:
§ 6.16
Informal or formal complaints.
Sections 6.17 through 6.23 of this
subpart shall sunset on October 8, 2013.
On October 8, 2013, any person may file
either a formal or informal complaint
against a manufacturer or provider
alleging violations of section 255 or this
part subject to the enforcement
requirements set forth in §§ 14.30
through 14.52 of this chapter.
PART 7—ACCESS TO VOICEMAIL AND
INTERACTIVE MENU SERVICES AND
EQUIPMENT BY PEOPLE WITH
DISABILITIES
6. The authority citation for part 7
continues to read as follows:
■
Authority: 47 U.S.C. 151, 154(i), 154(j),
208, 255, 617, 618.
7. Section 7.15 is amended by revising
paragraph (b) to read as follows:
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■
§ 7.15
Generally.
*
*
*
*
*
(b) All manufacturers of
telecommunications equipment or
customer premises equipment and all
providers of voicemail and interactive
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§ 7.16
Informal or formal complaints.
Sections 7.17 through 7.23 of this
subpart shall sunset on October 8, 2013.
On October 8, 2013, any person may file
either a formal or informal complaint
against a manufacturer or provider
alleging violations of section 255 or this
part subject to the enforcement
requirements set forth in §§ 14.30
through 14.52 of this chapter.
■ 9. Add part 14 to read as follows:
PART 14—ACCESS TO ADVANCED
COMMUNICATIONS SERVICES AND
EQUIPMENT BY PEOPLE WITH
DISABILITIES
4. Revise § 6.15 to read as follows:
§ 6.15
menu services, as defined under this
subpart, are subject to the enforcement
provisions specified in the Act and the
Commission’s rules.
*
*
*
*
*
■ 8. Revise § 7.16 to read as follows:
Subpart A—Scope
Sec.
14.1 Applicability.
14.2 Limitations.
14.3 Exemption for Customized Equipment
or Services.
14.4 Exemption for Small Entities.
14.5 Waivers—Multi-purpose Services and
Equipment.
Subpart B—Definitions
14.10 Definitions.
Subpart C—Implementation
Requirements—What Must Covered Entities
Do?
14.20 Obligations.
14.21 Performance Objectives.
Subpart D—Recordkeeping, Consumer
Dispute Assistance, and Enforcement
14.30 Generally.
14.31 Recordkeeping.
14.32 Consumer Dispute Assistance.
14.33 Informal or formal complaints.
14.34 Informal complaints; form, filing,
content, and consumer assistance.
14.35 Procedure; designation of agents for
service.
14.36 Answers and Replies to informal
complaints.
14.37 Review and disposition of informal
complaints.
14.38 Formal Complaints; General pleading
requirements.
14.39 Format and content of formal
complaints.
14.40 Damages.
14.41 Joinder of complainants and causes of
action.
14.42 Answers.
14.43 Cross-complaints and counterclaims.
14.44 Replies.
14.45 Motions.
14.46 Formal complaints not stating a cause
of action; defective pleadings.
14.47 Discovery.
14.48 Confidentiality of information
produced or exchanged by the parties.
14.49 Other required written submissions.
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14.50 Status conference.
14.51 Specifications as to pleadings, briefs,
and other documents; subscription.
14.52 Copies; service; separate filings
against multiple defendants.
Authority: 47 U.S.C. 151–154, 255, 303,
403, 503, 617, 618 unless otherwise noted.
Subpart A—Scope
§ 14.1
Applicability.
Except as provided in §§ 14.2, 14.3,
14.4 and 14.5 of this chapter, the rules
in this part apply to:
(a) Any manufacturer of equipment
used for advanced communications
services, including end user equipment,
network equipment, and software, that
such manufacturer offers for sale or
otherwise distributes in interstate
commerce;
(b) Any provider of advanced
communications services that such
provider offers in or affecting interstate
commerce.
§ 14.2
Limitations.
(a) Except as provided in paragraph
(b) of this section no person shall be
liable for a violation of the requirements
of the rules in this part with respect to
advanced communications services or
equipment used to provide or access
advanced communications services to
the extent such person—
(1) Transmits, routes, or stores in
intermediate or transient storage the
communications made available
through the provision of advanced
communications services by a third
party; or
(2) Provides an information location
tool, such as a directory, index,
reference, pointer, menu, guide, user
interface, or hypertext link, through
which an end user obtains access to
such advanced communications
services or equipment used to provide
or access advanced communications
services.
(b) The limitation on liability under
paragraph (a) of this section shall not
apply to any person who relies on third
party applications, services, software,
hardware, or equipment to comply with
the requirements of the rules in this part
with respect to advanced
communications services or equipment
used to provide or access advanced
communications services.
(c) The requirements of this part shall
not apply to any equipment or services,
including interconnected VoIP service,
that were subject to the requirements of
Section 255 of the Act on October 7,
2010, which remain subject to Section
255 of the Act, as amended, and subject
to the rules in parts 6 and 7 of this
chapter, as amended.
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§ 14.3 Exemption for Customized
Equipment or Services.
(a) The rules in this part shall not
apply to customized equipment or
services that are not offered directly to
the public, or to such classes of users as
to be effectively available directly to the
public, regardless of the facilities used.
(b) A provider of advanced
communications services or
manufacturer of equipment used for
advanced communications services may
claim the exemption in paragraph (a) of
this section as a defense in an
enforcement proceeding pursuant to
subpart D of this part, but is not
otherwise required to seek such an
affirmative determination from the
Commission.
§ 14.4
Exemption for Small Entities.
(a) A provider of advanced
communications services or a
manufacturer of equipment used for
advanced communications services to
which this part applies is exempt from
the obligations of this part if such
provider or manufacturer, at the start of
the design of a product or service:
(1) Qualifies as a business concern
under 13 CFR 121.105; and
(2) Together with its affiliates, as
determined by 13 CFR 121.103, meets
the relevant small business size
standard established in 13 CFR 121.201
for the primary industry in which it is
engaged as determined by 13 CFR
121.107.
(b) A provider or manufacturer may
claim this exemption as a defense in an
enforcement proceeding pursuant to
subpart D of this part, but is not
otherwise required to seek such an
affirmative determination from the
Commission.
(c) This exemption will expire no
later than October 8, 2013.
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§ 14.5 Waivers—Multipurpose Services
and Equipment.
(a) Waiver. (1) On its own motion or
in response to a petition by a provider
of advanced communications services, a
manufacturer of equipment used for
advanced communications services, or
by any interested party, the Commission
may waive the requirements of this part
for any feature or function of equipment
used to provide or access advanced
communications services, or for any
class of such equipment, for any
provider of advanced communications
services, or for any class of such
services, that—
(i) Is capable of accessing an advanced
communications service; and
(ii) Is designed for multiple purposes,
but is designed primarily for purposes
other than using advanced
communications services.
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(2) For any waiver petition under this
section, the Commission will examine
on a case-by-case basis—
(i) Whether the equipment or service
is designed to be used for advanced
communications purposes by the
general public; and
(ii) Whether and how the advanced
communications functions or features
are advertised, announced, or marketed.
(b) Class Waiver. For any petition for
a waiver of more than one advanced
communications service or one piece of
equipment used for advanced
communications services where the
service or equipment share common
defining characteristics, in addition to
the requirements of §§ 14.5(a)(1) and (2),
the Commission will examine the
similarity of the service or equipment
subject to the petition and the similarity
of the advanced communications
features or functions of such services or
equipment.
(c) Duration. (1) A petition for a
waiver of an individual advanced
communications service or equipment
used for advanced communications
services may be granted for the life of
the service or equipment as supported
by evidence on the record, or for such
time as the Commission determines
based on evidence on the record.
(2) A petition for a class waiver may
be granted for a time to be determined
by the Commission based on evidence
on the record, including the lifecycle of
the equipment or service in the class.
Any class waiver granted under this
section will waive the obligations of this
part for all advanced communications
services and equipment used for
advanced communications services
subject to a class waiver and made
available to the public prior to the
expiration of such waiver.
(d) Public notice. All petitions for
waiver filed pursuant to this section
shall be put on public notice, with a
minimum of a 30-day period for
comments and oppositions.
Subpart B—Definitions
§ 14.10
Definitions.
(a) The term accessible shall have the
meaning provided in § 14.21(b).
(b) The term achievable shall mean
with reasonable effort or expense, as
determined by the Commission. In
making such a determination, the
Commission shall consider:
(1) The nature and cost of the steps
needed to meet the requirements of
section 716 of the Act and this part with
respect to the specific equipment or
service in question;
(2) The technical and economic
impact on the operation of the
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manufacturer or provider and on the
operation of the specific equipment or
service in question, including on the
development and deployment of new
communications technologies;
(3) The type of operations of the
manufacturer or provider; and
(4) The extent to which the service
provider or manufacturer in question
offers accessible services or equipment
containing varying degrees of
functionality and features, and offered
at differing price points.
(c) The term advanced
communications services shall mean:
(1) Interconnected VoIP service, as
that term is defined in this section;
(2) Non-interconnected VoIP service,
as that term is defined in this section;
(3) Electronic messaging service, as
that term is defined in this section; and
(4) Interoperable video conferencing
service, as that term is defined in this
section.
(d) The term application shall mean
software designed to perform or to help
the user perform a specific task or
specific tasks, such as communicating
by voice, electronic text messaging, or
video conferencing.
(e) The term compatible shall have the
meaning provided in § 14.21(d).
(f) The term customer premises
equipment shall mean equipment
employed on the premises of a person
(other than a carrier) to originate, route,
or terminate telecommunications.
(g) The term customized equipment or
services shall mean equipment and
services that are produced or provided
to meet unique specifications requested
by a business or enterprise customer
and not otherwise available to the
general public, including public safety
networks and devices.
(h) The term disability shall mean a
physical or mental impairment that
substantially limits one or more of the
major life activities of an individual; a
record of such an impairment; or being
regarded as having such an impairment.
(i) The term electronic messaging
service means a service that provides
real-time or near real-time non-voice
messages in text form between
individuals over communications
networks.
(j) The term end user equipment shall
mean equipment designed for consumer
use. Such equipment may include both
hardware and software components.
(k) The term hardware shall mean a
tangible communications device,
equipment, or physical component of
communications technology, including
peripheral devices, such as a smart
phone, a laptop computer, a desktop
computer, a screen, a keyboard, a
speaker, or an amplifier.
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(l) The term interconnected VoIP
service shall have the same meaning as
in § 9.3 of this chapter, as such section
may be amended from time to time.
(m) An interoperable video
conferencing service means a service
that provides real-time video
communications, including audio, to
enable users to share information of the
user’s choosing.
(n) The term manufacturer shall mean
an entity that makes or produces a
product, including equipment used for
advanced communications services,
including end user equipment, network
equipment, and software.
(o) The term network equipment shall
mean equipment facilitating the use of
a network, including, routers, network
interface cards, networking cables,
modems, and other related hardware.
Such equipment may include both
hardware and software components.
(p) The term nominal cost in regard to
accessibility and usability solutions
shall mean small enough so as to
generally not be a factor in the
consumer’s decision to acquire a
product or service that the consumer
otherwise desires.
(q) A non-interconnected VoIP service
is a service that:
(1) Enables real-time voice
communications that originate from or
terminate to the user’s location using
Internet protocol or any successor
protocol; and
(2) Requires Internet protocol
compatible customer premises
equipment; and
(3) Does not include any service that
is an interconnected VoIP service.
(r) The term peripheral devices shall
mean devices employed in connection
with equipment, including software,
covered by this part to translate,
enhance, or otherwise transform
advanced communications services into
a form accessible to individuals with
disabilities.
(s) The term service provider shall
mean a provider of advanced
communications services that are
offered in or affecting interstate
commerce, including a provider of
applications and services that can be
used for advanced communications
services and that can be accessed (i.e.,
downloaded or run) by users over any
service provider network.
(t) The term software shall mean
programs, procedures, rules, and related
data and documentation that direct the
use and operation of a computer or
related device and instruct it to perform
a given task or function.
(u) The term specialized customer
premises equipment shall mean
customer premise equipment which is
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commonly used by individuals with
disabilities to achieve access.
(v) The term usable shall have the
meaning provided in § 14.21(c).
Subpart C—Implementation
Requirements—What Must Covered
Entities Do?
§ 14.20
Obligations.
(a) General Obligations. (1) With
respect to equipment manufactured after
the effective date of this part, a
manufacturer of equipment used for
advanced communications services,
including end user equipment, network
equipment, and software, must ensure
that the equipment and software that
such manufacturer offers for sale or
otherwise distributes in interstate
commerce shall be accessible to and
usable by individuals with disabilities,
unless the requirements of this
subsection are not achievable.
(2) With respect to services provided
after the effective date of this part, a
provider of advanced communications
services must ensure that services
offered by such provider in or affecting
interstate commerce are accessible to
and usable by individuals with
disabilities, unless the requirements of
this paragraph are not achievable.
(3) If accessibility is not achievable
either by building it in or by using third
party accessibility solutions available to
the consumer at nominal cost and that
individuals with disabilities can access,
then a manufacturer or service provider
shall ensure that its equipment or
service is compatible with existing
peripheral devices or specialized
customer premises equipment, unless
the requirements of this subsection are
not achievable.
(4) Providers of advanced
communications services shall not
install network features, functions, or
capabilities that impede accessibility or
usability.
(5) Providers of advanced
communications services,
manufacturers of equipment used with
these services, and providers of
networks used with these services may
not impair or impede the accessibility of
information content when accessibility
has been incorporated into that content
for transmission through such services,
equipment or networks.
(b) Product design, development, and
evaluation. (1) Manufacturers and
service providers must consider
performance objectives set forth in
§ 14.21 at the design stage as early as
possible and must implement such
performance objectives, to the extent
that they are achievable.
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82391
(2) Manufacturers and service
providers must identify barriers to
accessibility and usability as part of
such evaluation.
(c) Information Pass Through.
Equipment used for advanced
communications services, including end
user equipment, network equipment,
and software must pass through crossmanufacturer, nonproprietary, industrystandard codes, translation protocols,
formats or other information necessary
to provide advanced communications
services in an accessible format, if
achievable. Signal compression
technologies shall not remove
information needed for access or shall
restore it upon decompression.
(d) Information, documentation, and
training. Manufacturers and service
providers must ensure that the
information and documentation that
they provide to customers is accessible,
if achievable. Such information and
documentation includes, but is not
limited to, user guides, bills, installation
guides for end user devices, and product
support communications. The
requirement to ensure the information is
accessible also includes ensuring that
individuals with disabilities can access,
at no extra cost, call centers and
customer support regarding both the
product generally and the accessibility
features of the product.
§ 14.21
Performance Objectives.
(a) Generally. Manufacturers and
service providers shall ensure that
equipment and services covered by this
part are accessible, usable, and
compatible as those terms are defined in
paragraphs (b) through (d) of this
section.
(b) Accessible. The term accessible
shall mean that:
(1) Input, control, and mechanical
functions shall be locatable, identifiable,
and operable in accordance with each of
the following, assessed independently:
(i) Operable without vision. Provide at
least one mode that does not require
user vision.
(ii) Operable with low vision and
limited or no hearing. Provide at least
one mode that permits operation by
users with visual acuity between 20/70
and 20/200, without relying on audio
output.
(iii) Operable with little or no color
perception. Provide at least one mode
that does not require user color
perception.
(iv) Operable without hearing.
Provide at least one mode that does not
require user auditory perception.
(v) Operable with limited manual
dexterity. Provide at least one mode that
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does not require user fine motor control
or simultaneous actions.
(vi) Operable with limited reach and
strength. Provide at least one mode that
is operable with user limited reach and
strength.
(vii) Operable with a Prosthetic
Device. Controls shall be operable
without requiring body contact or close
body proximity.
(viii) Operable without timedependent controls. Provide at least one
mode that does not require a response
time or allows response time to be bypassed or adjusted by the user over a
wide range.
(ix) Operable without speech. Provide
at least one mode that does not require
user speech.
(x) Operable with limited cognitive
skills. Provide at least one mode that
minimizes the cognitive, memory,
language, and learning skills required of
the user.
(2) All information necessary to
operate and use the product, including
but not limited to, text, static or
dynamic images, icons, labels, sounds,
or incidental operating cues, [shall]
comply with each of the following,
assessed independently:
(i) Availability of visual information.
Provide visual information through at
least one mode in auditory form.
(ii) Availability of visual information
for low vision users. Provide visual
information through at least one mode
to users with visual acuity between 20/
70 and 20/200 without relying on audio.
(iii) Access to moving text. Provide
moving text in at least one static
presentation mode at the option of the
user.
(iv) Availability of auditory
information. Provide auditory
information through at least one mode
in visual form and, where appropriate,
in tactile form.
(v) Availability of auditory
information for people who are hard of
hearing. Provide audio or acoustic
information, including any auditory
feedback tones that are important for the
use of the product, through at least one
mode in enhanced auditory fashion (i.e.,
increased amplification, increased
signal-to-noise ratio, or combination).
(vi) Prevention of visually-induced
seizures. Visual displays and indicators
shall minimize visual flicker that might
induce seizures in people with
photosensitive epilepsy.
(vii) Availability of audio cutoff.
Where a product delivers audio output
through an external speaker, provide an
industry standard connector for
headphones or personal listening
devices (e.g., phone-like handset or
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earcup) which cuts off the speaker(s)
when used.
(viii) Non-interference with hearing
technologies. Reduce interference to
hearing technologies (including hearing
aids, cochlear implants, and assistive
listening devices) to the lowest possible
level that allows a user to utilize the
product.
(ix) Hearing aid coupling. Where a
product delivers output by an audio
transducer which is normally held up to
the ear, provide a means for effective
wireless coupling to hearing aids.
(c) Usable. The term usable shall
mean that individuals with disabilities
have access to the full functionality and
documentation for the product,
including instructions, product
information (including accessible
feature information), documentation
and technical support functionally
equivalent to that provided to
individuals without disabilities.
(d) Compatible. The term compatible
shall mean compatible with peripheral
devices and specialized customer
premises equipment, and in compliance
with the following provisions, as
applicable:
(1) External electronic access to all
information and control mechanisms.
Information needed for the operation of
products (including output, alerts,
icons, on-line help, and documentation)
shall be available in a standard
electronic text format on a crossindustry standard port and all input to
and control of a product shall allow for
real time operation by electronic text
input into a cross-industry standard
external port and in cross-industry
standard format. The cross-industry
standard port shall not require
manipulation of a connector by the user.
(2) Connection point for external
audio processing devices. Products
providing auditory output shall provide
the auditory signal at a standard signal
level through an industry standard
connector.
(3) TTY connectability. Products that
provide a function allowing voice
communication and which do not
themselves provide a TTY functionality
shall provide a standard non-acoustic
connection point for TTYs. It shall also
be possible for the user to easily turn
any microphone on and off to allow the
user to intermix speech with TTY use.
(4) TTY signal compatibility.
Products, including those providing
voice communication functionality,
shall support use of all crossmanufacturer non-proprietary standard
signals used by TTYs.
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Subpart D—Recordkeeping, Consumer
Dispute Assistance, and Enforcement
§ 14.30
Generally.
(a) The rules in this subpart regarding
recordkeeping and enforcement are
applicable to all manufacturers and
service providers that are subject to the
requirements of sections 255, 716, and
718 of the Act and parts 6, 7 and 14 of
this chapter.
(b) The requirements set forth in
§ 14.31 of this subpart shall be effective
January 30, 2013.
(c) The requirements set forth in
§§ 14.32 through 14.37 of this subpart
shall be effective on October 8, 2013.
§ 14.31
Recordkeeping.
(a) Each manufacturer and service
provider subject to section 255, 716, or
718 of the Act, must create and
maintain, in the ordinary course of
business and for a two year period from
the date a product ceases to be
manufactured or a service ceases to be
offered, records of the efforts taken by
such manufacturer or provider to
implement sections 255, 716, and 718
with regard to this product or service, as
applicable, including:
(1) Information about the
manufacturer’s or service provider’s
efforts to consult with individuals with
disabilities;
(2) Descriptions of the accessibility
features of its products and services;
and
(3) Information about the
compatibility of its products and
services with peripheral devices or
specialized customer premise
equipment commonly used by
individuals with disabilities to achieve
access.
(b) An officer of each manufacturer
and service provider subject to section
255, 716, or 718 of the Act, must sign
and file an annual compliance
certificate with the Commission.
(1) The certificate must state that the
manufacturer or service provider, as
applicable, has established operating
procedures that are adequate to ensure
compliance with the recordkeeping
rules in this subpart and that records are
being kept in accordance with this
section and be supported with an
affidavit or declaration under penalty of
perjury, signed and dated by the
authorized officer of the company with
personal knowledge of the
representations provided in the
company’s certification, verifying the
truth and accuracy of the information
therein.
(2) The certificate shall identify the
name and contact details of the person
or persons within the company that are
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authorized to resolve complaints
alleging violations of our accessibility
rules and sections 255, 716, and 718 of
the Act, and the agent designated for
service pursuant to § 14.35(b) of this
subpart and provide contact information
for this agent. Contact information shall
include, for the manufacturer or the
service provider, a name or department
designation, business address,
telephone number, and, if available TTY
number, facsimile number, and email
address.
(3) The annual certification must be
filed with the Commission on April 1,
2013 and annually thereafter for records
pertaining to the previous calendar year.
The certificate must be updated when
necessary to keep the contact
information current.
(c) Upon the service of a complaint,
formal or informal, on a manufacturer or
service provider under this subpart, a
manufacturer or service provider must
produce to the Commission, upon
request, records covered by this section
and may assert a statutory request for
confidentiality for these records under
47 U.S.C. 618(a)(5)(C) and § 0.457(c) of
this chapter. All other information
submitted to the Commission pursuant
to this subpart or pursuant to any other
request by the Commission may be
submitted pursuant to a request for
confidentiality in accordance with
§ 0.459 of this chapter.
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§ 14.32
Consumer Dispute Assistance.
(a) A consumer or any other party
may transmit a Request for Dispute
Assistance to the Consumer and
Governmental Affairs Bureau by any
reasonable means, including by the
Commission’s online informal
complaint filing system, U.S. Mail,
overnight delivery, or email to
dro@fcc.gov. Any Requests filed using a
method other than the Commission’s
online system should include a cover
letter that references section 255, 716, or
718 or the rules of parts 6, 7, or 14 of
this chapter and should be addressed to
the Consumer and Governmental Affairs
Bureau. Any party with a question about
information that should be included in
a Request for Dispute Assistance should
email the Commission’s Disability
Rights Office at dro@fcc.gov or call (202)
418–2517 (voice), (202) 418–2922
(TTY).
(b) A Request for Dispute Assistance
shall include:
(1) The name, address, email address,
and telephone number of the party
making the Request (Requester);
(2) The name of the manufacturer or
service provider that the requester
believes is in violation of section 255,
716, or 718 or the rules in this part, and
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the name, address, and telephone
number of the manufacturer or service
provider, if known;
(3) An explanation of why the
requester believes the manufacturer or
service provider is in violation of
section 255, 716, or 718 or the rules in
this part, including details regarding the
service or equipment and the relief
requested, and all documentation that
supports the requester’s contention;
(4) The date or dates on which the
requester either purchased, acquired, or
used (or attempted to purchase, acquire,
or use) the equipment or service in
question;
(5) The Requester’s preferred format
or method of response to its Request for
Dispute Assistance by CGB or the
manufacturer or service provider (e.g.,
letter, facsimile transmission, telephone
(voice/TRS/TTY), email, audio-cassette
recording, Braille, or some other method
that will best accommodate the
Requester’s disability, if any);
(6) Any other information that may be
helpful to CGB and the manufacturer or
service provider to understand the
nature of the dispute;
(7) Description of any contacts with
the manufacturer or service provider to
resolve the dispute, including, but not
limited to, dates or approximate dates,
any offers to settle, etc.; and
(8) What the Requester is seeking to
resolve the dispute.
(c) CGB shall forward the Request for
Dispute Assistance to the manufacturer
or service provider named in the
Request. CGB shall serve the
manufacturer or service provider using
the contact details of the certification to
be filed pursuant to § 14.31(b). Service
using contact details provided pursuant
to § 14.31(b) is deemed served. Failure
by a manufacturer or service provider to
file or keep the contact information
current will not be a defense of lack of
service.
(d) CGB will assist the Requester and
the manufacturer or service provider in
reaching a settlement of the dispute.
(e) Thirty days after the Request for
Dispute Assistance was filed, if a
settlement has not been reached
between the Requester and the
manufacturer or service provider, the
Requester may file an informal
complaint with the Commission;
(f) When a Requester files an informal
complaint with the Enforcement
Bureau, as provided in § 14.34, the
Commission will deem the CGB dispute
assistance process closed and the
requester and manufacturer or service
provider shall be barred from further
use of the Commission’s dispute
assistance process so long as a
complaint is pending.
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§ 14.33
82393
Informal or formal complaints.
Complaints against manufacturers or
service providers, as defined under this
subpart, for alleged violations of this
subpart may be either informal or
formal.
§ 14.34 Informal complaints; form, filing,
content, and consumer assistance.
(a) An informal complaint alleging a
violation of section 255, 716 or 718 of
the Act or parts 6, 7, or 14 of this
chapter may be transmitted to the
Enforcement Bureau by any reasonable
means, including the Commission’s
online informal complaint filing system,
U.S. Mail, overnight delivery, or email.
Any Requests filed using a method other
than the Commission’s online system
should include a cover letter that
references section 255, 716, or 718 or
the rules of parts 6, 7, or 14 of this
chapter and should be addressed to the
Enforcement Bureau.
(b) An informal complaint shall
include:
(1) The name, address, email address,
and telephone number of the
complainant;
(2) The name, address, and telephone
number of the manufacturer or service
provider defendant against whom the
complaint is made;
(3) The date or dates on which the
complainant or person(s) on whose
behalf the complaint is being filed either
purchased, acquired, or used or
attempted to purchase, acquire, or use
the equipment or service about which
the complaint is being made;
(4) A complete statement of fact
explaining why the complainant
contends that the defendant
manufacturer or provider is in violation
of section 255, 716 or 718 of the Act or
the Commission’s rules, including
details regarding the service or
equipment and the relief requested, and
all documentation that supports the
complainant’s contention;
(5) A certification that the
complainant submitted to the
Commission a Request for Dispute
Assistance, pursuant to § 14.32, no less
than 30 days before the complaint is
filed;
(6) The complainant’s preferred
format or method of response to the
complaint by the Commission and
defendant (e.g., letter, facsimile
transmissions, telephone (voice/TRS/
TTY), email, audio-cassette recording,
Braille, or some other method that will
best accommodate the complainant’s
disability, if any); and
(7) Any other information that is
required by the Commission’s
accessibility complaint form.
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(c) Any party with a question about
information that should be included in
an Informal Complaint should email the
Commission’s Disability Rights Office at
dro@fcc.gov or call (202) 418–2517
(voice), (202) 418–2922 (TTY).
§ 14.35 Procedure; designation of agents
for service.
(a) The Commission shall forward any
informal complaint meeting the
requirements of § 14.34 of this subpart
to each manufacturer and service
provider named in or determined by the
staff to be implicated by the complaint.
(b) To ensure prompt and effective
service of informal and formal
complaints filed under this subpart,
every manufacturer and service provider
subject to the requirements of section
255, 716, or 718 of the Act and parts 6,
7, or 14 of this chapter shall designate
an agent, and may designate additional
agents if it so chooses, upon whom
service may be made of all notices,
inquiries, orders, decisions, and other
pronouncements of the Commission in
any matter before the Commission. The
agent shall be designated in the
manufacturer or service provider’s
annual certification pursuant to § 14.31.
tkelley on DSK3SPTVN1PROD with RULES2
§ 14.36 Answers and replies to informal
complaints.
(a) After a complainant makes a prima
facie case by asserting that a product or
service is not accessible, the
manufacturer or service provider to
whom the informal complaint is
directed bears the burden of proving
that the product or service is accessible
or, if not accessible, that accessibility is
not achievable under this part or readily
achievable under parts 6 and 7. To carry
its burden of proof, a manufacturer or
service provider must produce
documents demonstrating its due
diligence in exploring accessibility and
achievability, as required by parts 6, 7,
or 14 of this chapter throughout the
design, development, testing, and
deployment stages of a product or
service. Conclusory and unsupported
claims are insufficient to carry this
burden of proof.
(b) Any manufacturer or service
provider to whom an informal
complaint is served by the Commission
under this subpart shall file and serve
an answer responsive to the complaint
and any inquires set forth by the
Commission.
(1) The answer shall:
(i) Be filed with the Commission
within twenty days of service of the
complaint, unless the Commission or its
staff specifies another time period;
(ii) Respond specifically to each
material allegation in the complaint and
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assert any defenses that the
manufacturer or service provider claim;
(iii) Include a declaration by an officer
of the manufacturer or service provider
attesting to the truth of the facts asserted
in the answer;
(iv) Set forth any remedial actions
already taken or proposed alternative
relief without any prejudice to any
denials or defenses raised;
(v) Provide any other information or
materials specified by the Commission
as relevant to its consideration of the
complaint; and
(vi) Be prepared or formatted,
including in electronic readable format
compatible with the Commission’s
Summation or other software in the
manner requested by the Commission
and the complainant, unless otherwise
permitted by the Commission for good
cause shown.
(2) If the manufacturer’s or service
provider’s answer includes the defense
that it was not achievable for the
manufacturer or service provider to
make its product or service accessible,
the manufacturer or service provider
shall carry the burden of proof on the
defense and the answer shall:
(i) Set forth the steps taken by the
manufacturer or service provider to
make the product or service accessible
and usable;
(ii) Set forth the procedures and
processes used by the manufacturer or
service provider to evaluate whether it
was achievable to make the product or
service accessible and usable in cases
where the manufacturer or service
provider alleges it was not achievable to
do so;
(iii) Set forth the manufacturer’s basis
for determining that it was not
achievable to make the product or
service accessible and usable in cases
where the manufacturer or service
provider so alleges; and
(iv) Provide all documents supporting
the manufacturer’s or service provider’s
conclusion that it was not achievable to
make the product or service accessible
and usable in cases where the
manufacturer or service provider so
alleges.
(c) Any manufacturer or service
provider to whom an informal
complaint is served by the Commission
under this subpart shall serve the
complainant and the Commission with
a non-confidential summary of the
answer filed with the Commission
within twenty days of service of the
complaint. The non-confidential
summary must contain the essential
elements of the answer, including, but
not limited to, any asserted defenses to
the complaint, must address the
material elements of its answer, and
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include sufficient information to allow
the complainant to file a reply, if the
complainant chooses to do so.
(d) The complainant may file and
serve a reply. The reply shall:
(1) Be served on the Commission and
the manufacturer or service provider
that is subject of the complaint within
ten days after service of answer, unless
otherwise directed by the Commission;
(2) Be responsive to matters contained
in the answer and shall not contain new
matters.
§ 14.37 Review and disposition of informal
complaints.
(a) The Commission will investigate
the allegations in any informal
complaint filed that satisfies the
requirements of § 14.34(b) of this
subpart, and, within 180 days after the
date on which such complaint was filed
with the Commission, issue an order
finding whether the manufacturer or
service provider that is the subject of the
complaint violated section 255, 716, or
718 of the Act, or the Commission’s
implementing rules, and provide a basis
therefore, unless such complaint is
resolved before that time.
(b) If the Commission determines in
an order issued pursuant to paragraph
(a) of this section that the manufacturer
or service provider violated section 255,
716, or 718 of the Act, or the
Commission’s implementing rules, the
Commission may, in such order, or in a
subsequent order:
(1) Direct the manufacturer or service
provider to bring the service, or in the
case of a manufacturer, the next
generation of the equipment or device,
into compliance with the requirements
of section 255, 716, or 718 of the Act,
and the Commission’s rules, within a
reasonable period of time; and
(2) Take such other enforcement
action as the Commission is authorized
and as it deems appropriate.
(c) Any manufacturer or service
provider that is the subject of an order
issued pursuant to paragraph (b)(1) of
this section shall have a reasonable
opportunity, as established by the
Commission, to comment on the
Commission’s proposed remedial action
before the Commission issues a final
order with respect to that action.
§ 14.38 Formal Complaints; General
pleading requirements.
Formal complaint proceedings are
generally resolved on a written record
consisting of a complaint, answer, and
joint statement of stipulated facts,
disputed facts and key legal issues,
along with all associated affidavits,
exhibits and other attachments.
Commission proceedings may also
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require or permit other written
submissions such as briefs, written
interrogatories, and other
supplementary documents or pleadings.
(a) Pleadings must be clear, concise,
and explicit. All matters concerning a
claim, defense or requested remedy,
including damages, should be pleaded
fully and with specificity.
(b) Pleadings must contain facts
which, if true, are sufficient to
constitute a violation of the Act or
Commission order or regulation, or a
defense to such alleged violation.
(c) Facts must be supported by
relevant documentation or affidavit.
(d) Legal arguments must be
supported by appropriate judicial,
Commission, or statutory authority.
(e) Opposing authorities must be
distinguished.
(f) Copies must be provided of all
non-Commission authorities relied upon
which are not routinely available in
national reporting systems, such as
unpublished decisions or slip opinions
of courts or administrative agencies.
(g) Parties are responsible for the
continuing accuracy and completeness
of all information and supporting
authority furnished in a pending
complaint proceeding. Information
submitted, as well as relevant legal
authorities, must be current and
updated as necessary and in a timely
manner at any time before a decision is
rendered on the merits of the complaint.
(h) All statements purporting to
summarize or explain Commission
orders or policies must cite, in standard
legal form, the Commission ruling upon
which such statements are based.
(i) Pleadings shall identify the name,
address, telephone number, and
facsimile transmission number for either
the filing party’s attorney or, where a
party is not represented by an attorney,
the filing party.
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§ 14.39 Format and content of formal
complaints.
(a) Subject to paragraph (d) of this
section governing supplemental
complaints filed pursuant to § 14.39 of
this subpart, a formal complaint shall
contain:
(1) The name of each complainant and
defendant;
(2) The occupation, address and
telephone number of each complainant
and, to the extent known, each
defendant;
(3) The name, address, and telephone
number of complainant’s attorney, if
represented by counsel;
(4) Citation to the section of the
Communications Act and/or order and/
or regulation of the Commission alleged
to have been violated;
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(5) A complete statement of facts
which, if proven true, would constitute
such a violation. All material facts must
be supported, pursuant to the
requirements of § 14.38(c) of this
subpart and paragraph (a)(11) of this
section, by relevant affidavits and
documentation, including copies of
relevant written agreements, offers,
counter-offers, denials, or other related
correspondence. The statement of facts
shall include a detailed explanation of
the manner and time period in which a
defendant has allegedly violated the
Act, Commission order, or Commission
rule in question, including a full
identification or description of the
communications, transmissions,
services, or other carrier conduct
complained of and the nature of any
injury allegedly sustained by the
complainant. Assertions based on
information and belief are expressly
prohibited unless made in good faith
and accompanied by an affidavit
explaining the basis for the plaintiff’s
belief and why the complainant could
not reasonably ascertain the facts from
the defendant or any other source;
(6) Proposed findings of fact,
conclusions of law, and legal analysis
relevant to the claims and arguments set
forth in the complaint;
(7) The relief sought, including
recovery of damages and the amount of
damages claimed, if known;
(8) Certification that the complainant
has, in good faith, discussed or
attempted to discuss the possibility of
settlement with each defendant prior to
the filing of the formal complaint. Such
certification shall include a statement
that, prior to the filing of the complaint,
the complainant mailed a certified letter
outlining the allegations that form the
basis of the complaint it anticipated
filing with the Commission to the
defendant carrier or one of the
defendant’s registered agents for service
of process that invited a response within
a reasonable period of time and a brief
summary of all additional steps taken to
resolve the dispute prior to the filing of
the formal complaint. If no additional
steps were taken, such certificate shall
state the reason(s) why the complainant
believed such steps would be fruitless;
(9) Whether a separate action has been
filed with the Commission, any court, or
other government agency that is based
on the same claim or same set of facts,
in whole or in part, or whether the
complaint seeks prospective relief
identical to the relief proposed or at
issue in a notice-and-comment
proceeding that is concurrently before
the Commission;
(10) An information designation
containing:
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82395
(i) The name, address, and position of
each individual believed to have
firsthand knowledge of the facts alleged
with particularity in the complaint,
along with a description of the facts
within any such individual’s
knowledge;
(ii) A description of all documents,
data compilations and tangible things in
the complainant’s possession, custody,
or control, that are relevant to the facts
alleged with particularity in the
complaint. Such description shall
include for each document:
(A) The date it was prepared, mailed,
transmitted, or otherwise disseminated;
(B) The author, preparer, or other
source;
(C) The recipient(s) or intended
recipient(s);
(D) Its physical location; and
(E) A description of its relevance to
the matters contained in the complaint;
and
(iii) A complete description of the
manner in which the complainant
identified all persons with information
and designated all documents, data
compilations and tangible things as
being relevant to the dispute, including,
but not limited to, identifying the
individual(s) that conducted the
information search and the criteria used
to identify such persons, documents,
data compilations, tangible things, and
information;
(11) Copies of all affidavits,
documents, data compilations and
tangible things in the complainant’s
possession, custody, or control, upon
which the complainant relies or intends
to rely to support the facts alleged and
legal arguments made in the complaint;
(12) A completed Formal Complaint
Intake Form;
(13) A declaration, under penalty of
perjury, by the complainant or
complainant’s counsel describing the
amount, method, and the complainant’s
10-digit FCC Registration Number, if
any;
(14) A certificate of service; and
(15) A FCC Registration Number is
required under part 1, subpart W.
Submission of a complaint without the
FCC Registration Number as required by
part 1, subpart W will result in
dismissal of the complaint.
(b) The following format may be used
in cases to which it is applicable, with
such modifications as the circumstances
may render necessary:
Before the Federal Communications
Commission, Washington, DC 20554
In the matter of
Complainant,
v.
Defendant.
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File No. (To be inserted by the Enforcement
Bureau)
Complaint
To: The Commission.
The complainant (here insert full name of
each complainant and, if a corporation, the
corporate title of such complainant) shows
that:
(1) (Here state post office address, and
telephone number of each complainant).
(2) (Here insert the name, and, to the extent
known, address and telephone number of
defendants).
(3) (Here insert fully and clearly the specific
act or thing complained of, together with
such facts as are necessary to give a full
understanding of the matter, including
relevant legal and documentary support).
Wherefore, complainant asks (here state
specifically the relief desired).
(Date)
(Name of each complainant)
(Name, address, and telephone number of
attorney, if any)
(c) The complainant may petition the
staff, pursuant to § 1.3 of this chapter,
for a waiver of any of the requirements
of this section. Such waiver may be
granted for good cause shown.
(d) Supplemental complaints.
(1) Supplemental complaints filed
pursuant to § 14.39 shall conform to the
requirements set out in this section and
§ 14.38 of this subpart, except that the
requirements in §§ 14.38(b), 14.39 (a)(4),
(a)(5), (a)(8), (a)(9), (a)(12), and (a)(13) of
this subpart shall not apply to such
supplemental complaints;
(2) In addition, supplemental
complaints filed pursuant to § 14.39 of
this subpart shall contain a complete
statement of facts which, if proven true,
would support complainant’s
calculation of damages for each category
of damages for which recovery is
sought. All material facts must be
supported, pursuant to the requirements
of § 14.38(c) of this subpart and
paragraph (a)(11) of this section, by
relevant affidavits and other
documentation. The statement of facts
shall include a detailed explanation of
the matters relied upon, including a full
identification or description of the
communications, transmissions,
services, or other matters relevant to the
calculation of damages and the nature of
any injury allegedly sustained by the
complainant. Assertions based on
information and belief are expressly
prohibited unless made in good faith
and accompanied by an affidavit
explaining the basis for the
complainant’s belief and why the
complainant could not reasonably
ascertain the facts from the defendant or
any other source;
(3) Supplemental complaints filed
pursuant to § 14.39 of this subpart shall
contain a certification that the
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complainant has, in good faith,
discussed or attempted to discuss the
possibility of settlement with respect to
damages for which recovery is sought
with each defendant prior to the filing
of the supplemental complaint. Such
certification shall include a statement
that, no later than 30 days after the
release of the liability order, the
complainant mailed a certified letter to
the primary individual who represented
the defendant carrier during the initial
complaint proceeding outlining the
allegations that form the basis of the
supplemental complaint it anticipates
filing with the Commission and inviting
a response from the carrier within a
reasonable period of time. The
certification shall also contain a brief
summary of all additional steps taken to
resolve the dispute prior to the filing of
the supplemental complaint. If no
additional steps were taken, such
certification shall state the reason(s)
why the complainant believed such
steps would be fruitless.
§ 14.40
Damages.
(a) A complaint against a common
carrier may seek damages. If a
complainant wishes to recover damages,
the complaint must contain a clear and
unequivocal request for damages.
(b) If a complainant wishes a
determination of damages to be made in
the same proceeding as the
determinations of liability and
prospective relief, the complaint must
contain the allegations and information
required by paragraph (h) of this
section.
(c) Notwithstanding paragraph (b) of
this section, in any proceeding to which
no statutory deadline applies, if the
Commission decides that a
determination of damages would best be
made in a proceeding that is separate
from and subsequent to the proceeding
in which the determinations of liability
and prospective relief are made, the
Commission may at any time order that
the initial proceeding will determine
only liability and prospective relief, and
that a separate, subsequent proceeding
initiated in accordance with paragraph
(e) of this section will determine
damages.
(d) If a complainant wishes a
determination of damages to be made in
a proceeding that is separate from and
subsequent to the proceeding in which
the determinations of liability and
prospective relief are made, the
complainant must:
(1) Comply with paragraph (a) of this
section, and
(2) State clearly and unequivocally
that the complainant wishes a
determination of damages to be made in
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a proceeding that is separate from and
subsequent to the proceeding in which
the determinations of liability and
prospective relief will be made.
(e) If a complainant proceeds
pursuant to paragraph (d) of this
section, or if the Commission invokes its
authority under paragraph (c) of this
section, the complainant may initiate a
separate proceeding to obtain a
determination of damages by filing a
supplemental complaint that complies
with § 14.39(d) of this subpart and
paragraph (h) of this section within
sixty days after public notice (as defined
in § 1.4(b) of this chapter) of a decision
that contains a finding of liability on the
merits of the original complaint.
(f) If a complainant files a
supplemental complaint for damages in
accordance with paragraph (e) of this
section, the supplemental complaint
shall be deemed, for statutory
limitations purposes, to relate back to
the date of the original complaint.
(g) Where a complainant chooses to
seek the recovery of damages upon a
supplemental complaint in accordance
with the requirements of paragraph (e)
of this section, the Commission will
resolve the separate, preceding liability
complaint within any applicable
complaint resolution deadlines
contained in the Act.
(h) In all cases in which recovery of
damages is sought, it shall be the
responsibility of the complainant to
include, within either the complaint or
supplemental complaint for damages
filed in accordance with paragraph (e) of
this section, either:
(1) A computation of each and every
category of damages for which recovery
is sought, along with an identification of
all relevant documents and materials or
such other evidence to be used by the
complainant to determine the amount of
such damages; or
(2) An explanation of:
(i) The information not in the
possession of the complaining party that
is necessary to develop a detailed
computation of damages;
(ii) Why such information is
unavailable to the complaining party;
(iii) The factual basis the complainant
has for believing that such evidence of
damages exists;
(iv) A detailed outline of the
methodology that would be used to
create a computation of damages with
such evidence.
(i) Where a complainant files a
supplemental complaint for damages in
accordance with paragraph (e) of this
section, the following procedures may
apply:
(1) Issues concerning the amount, if
any, of damages may be either
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designated by the Enforcement Bureau
for hearing before, or, if the parties
agree, submitted for mediation to, a
Commission Administrative Law Judge.
Such Administrative Law Judge shall be
chosen in the following manner:
(i) By agreement of the parties and the
Chief Administrative Law Judge; or
(ii) In the absence of such agreement,
the Chief Administrative Law Judge
shall designate the Administrative Law
Judge.
(2) The Commission may, in its
discretion, order the defendant either to
post a bond for, or deposit into an
interest bearing escrow account, a sum
equal to the amount of damages which
the Commission finds, upon
preliminary investigation, is likely to be
ordered after the issue of damages is
fully litigated, or some lesser sum which
may be appropriate, provided the
Commission finds that the grant of this
relief is favored on balance upon
consideration of the following factors:
(i) The complainant’s potential
irreparable injury in the absence of such
deposit;
(ii) The extent to which damages can
be accurately calculated;
(iii) The balance of the hardships
between the complainant and the
defendant; and
(iv) Whether public interest
considerations favor the posting of the
bond or ordering of the deposit.
(3) The Commission may, in its
discretion, suspend ongoing damages
proceedings for fourteen days, to
provide the parties with a time within
which to pursue settlement negotiations
and/or alternative dispute resolution
procedures.
(4) The Commission may, in its
discretion, end adjudication of damages
with a determination of the sufficiency
of a damages computation method or
formula. No such method or formula
shall contain a provision to offset any
claim of the defendant against the
complainant. The parties shall negotiate
in good faith to reach an agreement on
the exact amount of damages pursuant
to the Commission-mandated method or
formula. Within thirty days of the
release date of the damages order,
parties shall submit jointly to the
Commission either:
(i) A statement detailing the parties’
agreement as to the amount of damages;
(ii) A statement that the parties are
continuing to negotiate in good faith
and a request that the parties be given
an extension of time to continue
negotiations; or
(iii) A statement detailing the bases
for the continuing dispute and the
reasons why no agreement can be
reached.
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(j) Except where otherwise indicated,
the rules governing initial formal
complaint proceedings govern
supplemental formal complaint
proceedings, as well.
§ 14.41 Joinder of complainants and
causes of action.
(a) Two or more complainants may
join in one complaint if their respective
causes of action are against the same
defendant and concern substantially the
same facts and alleged violation of the
Communications Act.
(b) Two or more grounds of complaint
involving the same principle, subject, or
statement of facts may be included in
one complaint, but should be separately
stated and numbered.
§ 14.42
Answers.
(a) Any defendant upon whom copy
of a formal complaint is served shall
answer such complaint in the manner
prescribed under this section within
twenty days of service of the formal
complaint by the complainant, unless
otherwise directed by the Commission.
(b) The answer shall advise the
complainant and the Commission fully
and completely of the nature of any
defense, and shall respond specifically
to all material allegations of the
complaint. Every effort shall be made to
narrow the issues in the answer. The
defendant shall state concisely its
defense to each claim asserted, admit or
deny the averments on which the
complainant relies, and state in detail
the basis for admitting or denying such
averment. General denials are
prohibited. Denials based on
information and belief are expressly
prohibited unless made in good faith
and accompanied by an affidavit
explaining the basis for the defendant’s
belief and why the defendant could not
reasonably ascertain the facts from the
complainant or any other source. If the
defendant is without knowledge or
information sufficient to form a belief as
to the truth of an averment, the
defendant shall so state and this has the
effect of a denial. When a defendant
intends in good faith to deny only part
of an averment, the defendant shall
specify so much of it as is true and shall
deny only the remainder. The defendant
may deny the allegations of the
complaint as specific denials of either
designated averments or paragraphs.
(c) The answer shall contain proposed
findings of fact, conclusions of law, and
legal analysis relevant to the claims and
arguments set forth in the answer.
(d) Averments in a complaint or
supplemental complaint filed pursuant
to §§ 14.38 and 14.39 of this subpart are
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deemed to be admitted when not denied
in the answer.
(e) Affirmative defenses to allegations
contained in the complaint shall be
specifically captioned as such and
presented separately from any denials
made in accordance with paragraph (c)
of this section.
(f) The answer shall include an
information designation containing:
(1) The name, address, and position of
each individual believed to have
firsthand knowledge of the facts alleged
with particularity in the answer, along
with a description of the facts within
any such individual’s knowledge;
(2) A description of all documents,
data compilations and tangible things in
the defendant’s possession, custody, or
control, that are relevant to the facts
alleged with particularity in the answer.
Such description shall include for each
document:
(i) The date it was prepared, mailed,
transmitted, or otherwise disseminated;
(ii) The author, preparer, or other
source;
(iii) The recipient(s) or intended
recipient(s);
(iv) Its physical location; and
(v) A description of its relevance to
the matters in dispute.
(3) A complete description of the
manner in which the defendant
identified all persons with information
and designated all documents, data
compilations and tangible things as
being relevant to the dispute, including,
but not limited to, identifying the
individual(s) that conducted the
information search and the criteria used
to identify such persons, documents,
data compilations, tangible things, and
information.
(g) The answer shall attach copies of
all affidavits, documents, data
compilations and tangible things in the
defendant’s possession, custody, or
control, upon which the defendant
relies or intends to rely to support the
facts alleged and legal arguments made
in the answer.
(h) The answer shall contain
certification that the defendant has, in
good faith, discussed or attempted to
discuss, the possibility of settlement
with the complainant prior to the filing
of the formal complaint. Such
certification shall include a brief
summary of all steps taken to resolve
the dispute prior to the filing of the
formal complaint. If no such steps were
taken, such certificate shall state the
reason(s) why the defendant believed
such steps would be fruitless;
(i) The defendant may petition the
staff, pursuant to § 1.3 of this chapter,
for a waiver of any of the requirements
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of this section. Such waiver may be
granted for good cause shown.
§ 14.43 Cross-complaints and
counterclaims.
Cross-complaints seeking any relief
within the jurisdiction of the
Commission against any party
(complainant or defendant) to that
proceeding are expressly prohibited.
Any claim that might otherwise meet
the requirements of a cross-complaint
may be filed as a separate complaint in
accordance with §§ 14.38 through 14.40
of this subpart. For purposes of this
subpart, the term ‘‘cross-complaint’’
shall include counterclaims.
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§ 14.44
Replies.
(a) Within three days after service of
an answer containing affirmative
defenses presented in accordance with
the requirements of § 14.42(e) of this
subpart, a complainant may file and
serve a reply containing statements of
relevant, material facts and legal
arguments that shall be responsive to
only those specific factual allegations
and legal arguments made by the
defendant in support of its affirmative
defenses. Replies which contain other
allegations or arguments will not be
accepted or considered by the
Commission.
(b) Failure to reply to an affirmative
defense shall be deemed an admission
of such affirmative defense and of any
facts supporting such affirmative
defense that are not specifically
contradicted in the complaint.
(c) The reply shall contain proposed
findings of fact, conclusions of law, and
legal analysis relevant to the claims and
arguments set forth in the reply.
(d) The reply shall include an
information designation containing:
(1) The name, address and position of
each individual believed to have
firsthand knowledge about the facts
alleged with particularity in the reply,
along with a description of the facts
within any such individual’s
knowledge.
(2) A description of all documents,
data compilations and tangible things in
the complainant’s possession, custody,
or control that are relevant to the facts
alleged with particularity in the reply.
Such description shall include for each
document:
(i) The date prepared, mailed,
transmitted, or otherwise disseminated;
(ii) The author, preparer, or other
source;
(iii) The recipient(s) or intended
recipient(s);
(iv) Its physical location; and
(v) A description of its relevance to
the matters in dispute.
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(3) A complete description of the
manner in which the complainant
identified all persons with information
and designated all documents, data
compilations and tangible things as
being relevant to the dispute, including,
but not limited to, identifying the
individual(s) that conducted the
information search and the criteria used
to identify such persons, documents,
data compilations, tangible things, and
information;
(e) The reply shall attach copies of all
affidavits, documents, data compilations
and tangible things in the complainant’s
possession, custody, or control upon
which the complainant relies or intends
to rely to support the facts alleged and
legal arguments made in the reply.
(f) The complainant may petition the
staff, pursuant to § 1.3 of this chapter,
for a waiver of any of the requirements
of this section. Such waiver may be
granted for good cause shown.
§ 14.45
Motions.
(a) A request to the Commission for an
order shall be by written motion, stating
with particularity the grounds and
authority therefor, and setting forth the
relief or order sought.
(b) All dispositive motions shall
contain proposed findings of fact and
conclusions of law, with supporting
legal analysis, relevant to the contents of
the pleading. Motions to compel
discovery must contain a certification
by the moving party that a good faith
attempt to resolve the dispute was made
prior to filing the motion. All facts
relied upon in motions must be
supported by documentation or
affidavits pursuant to the requirements
of § 14.38(c) of this subpart, except for
those facts of which official notice may
be taken.
(c) The moving party shall provide a
proposed order for adoption, which
appropriately incorporates the basis
therefor, including proposed findings of
fact and conclusions of law relevant to
the pleading. The proposed order shall
be clearly marked as a ‘‘Proposed
Order.’’ The proposed order shall be
submitted both as a hard copy and on
computer disk in accordance with the
requirements of § 14.51(d) of this
subpart. Where appropriate, the
proposed order format should conform
to that of a reported FCC order.
(d) Oppositions to any motion shall be
accompanied by a proposed order for
adoption, which appropriately
incorporates the basis therefor,
including proposed findings of fact and
conclusions of law relevant to the
pleading. The proposed order shall be
clearly captioned as a ‘‘Proposed
Order.’’ The proposed order shall be
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submitted both as a hard copy and on
computer disk in accordance with the
requirements of § 14.51(d) of this
subpart. Where appropriate, the
proposed order format should conform
to that of a reported FCC order.
(e) Oppositions to motions may be
filed and served within five business
days after the motion is filed and served
and not after. Oppositions shall be
limited to the specific issues and
allegations contained in such motion;
when a motion is incorporated in an
answer to a complaint, the opposition to
such motion shall not address any
issues presented in the answer that are
not also specifically raised in the
motion. Failure to oppose any motion
may constitute grounds for granting of
the motion.
(f) No reply may be filed to an
opposition to a motion.
(g) Motions seeking an order that the
allegations in the complaint be made
more definite and certain are prohibited.
(h) Amendments or supplements to
complaints to add new claims or
requests for relief are prohibited. Parties
are responsible, however, for the
continuing accuracy and completeness
of all information and supporting
authority furnished in a pending
complaint proceeding as required under
§ 14.38(g) of this subpart.
§ 14.46 Formal complaints not stating a
cause of action; defective pleadings.
(a) Any document purporting to be a
formal complaint which does not state
a cause of action under the
Communications Act or a Commission
rule or order will be dismissed. In such
case, any amendment or supplement to
such document will be considered a
new filing which must be made within
the statutory periods of limitations of
actions contained in section 415 of the
Communications Act.
(b) Any other pleading filed in a
formal complaint proceeding not in
conformity with the requirements of the
applicable rules in this part may be
deemed defective. In such case the
Commission may strike the pleading or
request that specified defects be
corrected and that proper pleadings be
filed with the Commission and served
on all parties within a prescribed time
as a condition to being made a part of
the record in the proceeding.
§ 14.47
Discovery.
(a) A complainant may file with the
Commission and serve on a defendant,
concurrently with its complaint, a
request for up to ten written
interrogatories. A defendant may file
with the Commission and serve on a
complainant, during the period starting
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with the service of the complaint and
ending with the service of its answer, a
request for up to ten written
interrogatories. A complainant may file
with the Commission and serve on a
defendant, within three calendar days of
service of the defendant’s answer, a
request for up to five written
interrogatories. Subparts of any
interrogatory will be counted as separate
interrogatories for purposes of
compliance with this limit. Requests for
interrogatories filed and served
pursuant to this procedure may be used
to seek discovery of any non-privileged
matter that is relevant to the material
facts in dispute in the pending
proceeding, provided, however, that
requests for interrogatories filed and
served by a complainant after service of
the defendant’s answer shall be limited
in scope to specific factual allegations
made by the defendant in support of its
affirmative defenses. This procedure
may not be employed for the purpose of
delay, harassment or obtaining
information that is beyond the scope of
permissible inquiry related to the
material facts in dispute in the pending
proceeding.
(b) Requests for interrogatories filed
and served pursuant to paragraph (a) of
this section shall contain a listing of the
interrogatories requested and an
explanation of why the information
sought in each interrogatory is both
necessary to the resolution of the
dispute and not available from any other
source.
(c) A responding party shall file with
the Commission and serve on the
propounding party any opposition and
objections to the requests for
interrogatories as follows:
(1) By the defendant, within ten
calendar days of service of the requests
for interrogatories served
simultaneously with the complaint and
within five calendar days of the requests
for interrogatories served following
service of the answer;
(2) By the complainant, within five
calendar days of service of the requests
for interrogatories; and
(3) In no event less than three
calendar days prior to the initial status
conference as provided for in § 14.50(a)
of this subpart.
(d) Commission staff will consider the
requests for interrogatories, properly
filed and served pursuant to paragraph
(a) of this section, along with any
objections or oppositions thereto,
properly filed and served pursuant to
paragraph (b) of this section, at the
initial status conference, as provided for
in § 14.50(a)(5) of this subpart, and at
that time determine the interrogatories,
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if any, to which parties shall respond,
and set the schedule of such response.
(e) The interrogatories ordered to be
answered pursuant to paragraph (d) of
this section are to be answered
separately and fully in writing under
oath or affirmation by the party served,
or if such party is a public or private
corporation or partnership or
association, by any officer or agent who
shall furnish such information as is
available to the party. The answers shall
be signed by the person making them.
The answers shall be filed with the
Commission and served on the
propounding party.
(f) A propounding party asserting that
a responding party has provided an
inadequate or insufficient response to a
Commission-ordered discovery request
may file a motion to compel within ten
days of the service of such response, or
as otherwise directed by Commission
staff, pursuant to the requirements of
§ 14.45 of this subpart.
(g) The Commission may, in its
discretion, require parties to provide
documents to the Commission in a
scanned or other electronic format that
provides:
(1) Indexing by useful identifying
information about the documents; and
(2) Technology that allows staff to
annotate the index so as to make the
format an efficient means of reviewing
the documents.
(h) The Commission may allow
additional discovery, including, but not
limited to, document production,
depositions and/or additional
interrogatories. In its discretion, the
Commission may modify the scope,
means and scheduling of discovery in
light of the needs of a particular case
and the requirements of applicable
statutory deadlines.
§ 14.48 Confidentiality of information
produced or exchanged by the parties.
(a) Any materials generated in the
course of a formal complaint proceeding
may be designated as proprietary by that
party if the party believes in good faith
that the materials fall within an
exemption to disclosure contained in
the Freedom of Information Act (FOIA),
5 U.S.C. 552(b)(1) through (9). Any party
asserting confidentiality for such
materials shall so indicate by clearly
marking each page, or portion thereof,
for which a proprietary designation is
claimed. If a proprietary designation is
challenged, the party claiming
confidentiality shall have the burden of
demonstrating, by a preponderance of
the evidence, that the material
designated as proprietary falls under the
standards for nondisclosure enunciated
in the FOIA.
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(b) Materials marked as proprietary
may be disclosed solely to the following
persons, only for use in prosecuting or
defending a party to the complaint
action, and only to the extent necessary
to assist in the prosecution or defense of
the case:
(1) Counsel of record representing the
parties in the complaint action and any
support personnel employed by such
attorneys;
(2) Officers or employees of the
opposing party who are named by the
opposing party as being directly
involved in the prosecution or defense
of the case;
(3) Consultants or expert witnesses
retained by the parties;
(4) The Commission and its staff; and
(5) Court reporters and stenographers
in accordance with the terms and
conditions of this section.
(c) These individuals shall not
disclose information designated as
proprietary to any person who is not
authorized under this section to receive
such information, and shall not use the
information in any activity or function
other than the prosecution or defense in
the case before the Commission. Each
individual who is provided access to the
information shall sign a notarized
statement affirmatively stating that the
individual has personally reviewed the
Commission’s rules and understands the
limitations they impose on the signing
party.
(d) No copies of materials marked
proprietary may be made except copies
to be used by persons designated in
paragraph (b) of this section. Each party
shall maintain a log recording the
number of copies made of all
proprietary material and the persons to
whom the copies have been provided.
(e) Upon termination of a formal
complaint proceeding, including all
appeals and petitions, all originals and
reproductions of any proprietary
materials, along with the log recording
persons who received copies of such
materials, shall be provided to the
producing party. In addition, upon final
termination of the complaint
proceeding, any notes or other work
product derived in whole or in part
from the proprietary materials of an
opposing or third party shall be
destroyed.
§ 14.49 Other required written
submissions.
(a) The Commission may, in its
discretion, or upon a party’s motion
showing good cause, require the parties
to file briefs summarizing the facts and
issues presented in the pleadings and
other record evidence.
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(b) Unless otherwise directed by the
Commission, all briefs shall include all
legal and factual claims and defenses
previously set forth in the complaint,
answer, or any other pleading submitted
in the proceeding. Claims and defenses
previously made but not reflected in the
briefs will be deemed abandoned. The
Commission may, in its discretion, limit
the scope of any briefs to certain
subjects or issues. A party shall attach
to its brief copies of all documents, data
compilations, tangible things, and
affidavits upon which such party relies
or intends to rely to support the facts
alleged and legal arguments made in its
brief and such brief shall contain a full
explanation of how each attachment is
relevant to the issues and matters in
dispute. All such attachments to a brief
shall be documents, data compilations
or tangible things, or affidavits made by
persons, that were identified by any
party in its information designations
filed pursuant to §§ 14.39(a)(10)(i),
(a)(10)(ii), 14.27(f)(1), (f)(2), and
14.44(d)(1), (d)(2) of this subpart. Any
other supporting documentation or
affidavits that are attached to a brief
must be accompanied by a full
explanation of the relevance of such
materials and why such materials were
not identified in the information
designations. These briefs shall contain
the proposed findings of fact and
conclusions of law which the filing
party is urging the Commission to
adopt, with specific citation to the
record, and supporting relevant
authority and analysis.
(c) In cases in which discovery is not
conducted, absent an order by the
Commission that briefs be filed, parties
may not submit briefs. If the
Commission does authorize the filing of
briefs in cases in which discovery is not
conducted, briefs shall be filed
concurrently by both the complainant
and defendant at such time as
designated by the Commission staff and
in accordance with the provisions of
this section.
(d) In cases in which discovery is
conducted, briefs shall be filed
concurrently by both the complainant
and defendant at such time designated
by the Commission staff.
(e) Briefs containing information
which is claimed by an opposing or
third party to be proprietary under
§ 14.48 of this subpart shall be
submitted to the Commission in
confidence pursuant to the requirements
of § 0.459 of this chapter and clearly
marked ‘‘Not for Public Inspection.’’ An
edited version removing all proprietary
data shall also be filed with the
Commission for inclusion in the public
file. Edited versions shall be filed
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within five days from the date the
unedited brief is submitted, and served
on opposing parties.
(f) Initial briefs shall be no longer than
twenty-five pages. Reply briefs shall be
no longer than ten pages. Either on its
own motion or upon proper motion by
a party, the Commission staff may
establish other page limits for briefs.
(g) The Commission may require the
parties to submit any additional
information it deems appropriate for a
full, fair, and expeditious resolution of
the proceeding, including affidavits and
exhibits.
(h) The parties shall submit a joint
statement of stipulated facts, disputed
facts, and key legal issues no later than
two business days prior to the initial
status conference, scheduled in
accordance with the provisions of
§ 14.50(a) of this subpart.
§ 14.50
Status conference.
(a) In any complaint proceeding, the
Commission may, in its discretion,
direct the attorneys and/or the parties to
appear before it for a status conference.
Unless otherwise ordered by the
Commission, an initial status conference
shall take place, at the time and place
designated by the Commission staff, ten
business days after the date the answer
is due to be filed. A status conference
may include discussion of:
(1) Simplification or narrowing of the
issues;
(2) The necessity for or desirability of
additional pleadings or evidentiary
submissions;
(3) Obtaining admissions of fact or
stipulations between the parties as to
any or all of the matters in controversy;
(4) Settlement of all or some of the
matters in controversy by agreement of
the parties;
(5) Whether discovery is necessary
and, if so, the scope, type and schedule
for such discovery;
(6) The schedule for the remainder of
the case and the dates for any further
status conferences; and
(7) Such other matters that may aid in
the disposition of the complaint.
(b)(1) Parties shall meet and confer
prior to the initial status conference to
discuss:
(i) Settlement prospects;
(ii) Discovery;
(iii) Issues in dispute;
(iv) Schedules for pleadings;
(v) Joint statement of stipulated facts,
disputed facts, and key legal issues; and
(2) Parties shall submit a joint
statement of all proposals agreed to and
disputes remaining as a result of such
meeting to Commission staff at least two
business days prior to the scheduled
initial status conference.
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(c) In addition to the initial status
conference referenced in paragraph (a)
of this section, any party may also
request that a conference be held at any
time after the complaint has been filed.
(d) During a status conference, the
Commission staff may issue oral rulings
pertaining to a variety of interlocutory
matters relevant to the conduct of a
formal complaint proceeding including,
inter alia, procedural matters, discovery,
and the submission of briefs or other
evidentiary materials.
(e) Parties may make, upon written
notice to the Commission and all
attending parties at least three business
days prior to the status conference, an
audio recording of the Commission
staff’s summary of its oral rulings.
Alternatively, upon agreement among
all attending parties and written notice
to the Commission at least three
business days prior to the status
conference, the parties may make an
audio recording of, or use a
stenographer to transcribe, the oral
presentations and exchanges between
and among the participating parties,
insofar as such communications are
‘‘on-the-record’’ as determined by the
Commission staff, as well as the
Commission staff’s summary of its oral
rulings. A complete transcript of any
audio recording or stenographic
transcription shall be filed with the
Commission as part of the record,
pursuant to the provisions of paragraph
(f)(2) of this section. The parties shall
make all necessary arrangements for the
use of a stenographer and the cost of
transcription, absent agreement to the
contrary, will be shared equally by all
parties that agree to make the record of
the status conference.
(f) The parties in attendance, unless
otherwise directed, shall either:
(1) Submit a joint proposed order
memorializing the oral rulings made
during the conference to the
Commission by 5:30 p.m., Eastern Time,
on the business day following the date
of the status conference, or as otherwise
directed by Commission staff. In the
event the parties in attendance cannot
reach agreement as to the rulings that
were made, the joint proposed order
shall include the rulings on which the
parties agree, and each party’s
alternative proposed rulings for those
rulings on which they cannot agree.
Commission staff will review and make
revisions, if necessary, prior to signing
and filing the submission as part of the
record. The proposed order shall be
submitted both as hard copy and on
computer disk in accordance with the
requirements of § 14.51(d) of this
subpart; or
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(2) Pursuant to the requirements of
paragraph (e) of this section, submit to
the Commission by 5:30 p.m., Eastern
Time, on the third business day
following the status conference or as
otherwise directed by Commission staff
either:
(i) A transcript of the audio recording
of the Commission staff’s summary of its
oral rulings;
(ii) A transcript of the audio recording
of the oral presentations and exchanges
between and among the participating
parties, insofar as such communications
are ‘‘on-the-record’’ as determined by
the Commission staff, and the
Commission staff’s summary of its oral
rulings; or
(iii) A stenographic transcript of the
oral presentations and exchanges
between and among the participating
parties, insofar as such communications
are ‘‘on-the-record’’ as determined by
the Commission staff, and the
Commission staff’s summary of its oral
rulings.
(g) Status conferences will be
scheduled by the Commission staff at
such time and place as it may designate
to be conducted in person or by
telephone conference call.
(h) The failure of any attorney or
party, following reasonable notice, to
appear at a scheduled conference will
be deemed a waiver by that party and
will not preclude the Commission staff
from conferring with those parties and/
or counsel present.
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§ 14.51 Specifications as to pleadings,
briefs, and other documents; subscription.
(a) All papers filed in any formal
complaint proceeding must be drawn in
conformity with the requirements of
§§ 1.49 and 1.50 of this chapter.
(b) All averments of claims or
defenses in complaints and answers
shall be made in numbered paragraphs.
The contents of each paragraph shall be
limited as far as practicable to a
statement of a single set of
circumstances. Each claim founded on a
separate transaction or occurrence and
each affirmative defense shall be
separately stated to facilitate the clear
presentation of the matters set forth.
(c) The original of all pleadings and
other submissions filed by any party
shall be signed by the party, or by the
party’s attorney. The signing party shall
include in the document his or her
address, telephone number, facsimile
number and the date on which the
document was signed. Copies should be
conformed to the original. Unless
specifically required by rule or statute,
pleadings need not be verified. The
signature of an attorney or party shall be
a certificate that the attorney or party
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has read the pleading, motion, or other
paper; that to the best of his or her
knowledge, information, and belief
formed after reasonable inquiry, it is
well grounded in fact and is warranted
by existing law or a good faith argument
for the extension, modification, or
reversal of existing law; and that it is
not interposed solely for purposes of
delay or for any other improper
purpose.
(d) All proposed orders shall be
submitted both as hard copies and on
computer disk formatted to be
compatible with the Commission’s
computer system and using the
Commission’s current word processing
software. Each disk should be submitted
in ‘‘read only’’ mode. Each disk should
be clearly labeled with the party’s name,
proceeding, type of pleading, and date
of submission. Each disk should be
accompanied by a cover letter. Parties
who have submitted copies of tariffs or
reports with their hard copies need not
include such tariffs or reports on the
disk. Upon showing of good cause, the
Commission may waive the
requirements of this paragraph.
§ 14.52 Copies; service; separate filings
against multiple defendants.
(a) Complaints may generally be
brought against only one named
defendant; such actions may not be
brought against multiple defendants
unless the defendants are commonly
owned or controlled, are alleged to have
acted in concert, are alleged to be jointly
liable to complainant, or the complaint
concerns common questions of law or
fact. Complaints may, however, be
consolidated by the Commission for
disposition.
(b) The complainant shall file an
original copy of the complaint and, on
the same day:
(1) File three copies of the complaint
with the Office of the Commission
Secretary;
(2) Serve two copies on the
Enforcement Bureau; and
(3) If a complaint is addressed against
multiple defendants, file three copies of
the complaint with the Office of the
Commission Secretary for each
additional defendant.
(c) Generally, a separate file is set up
for each defendant. An original plus two
copies shall be filed of all pleadings and
documents, other than the complaint,
for each file number assigned.
(d) The complainant shall serve the
complaint by hand delivery on either
the named defendant or one of the
named defendant’s registered agents for
service of process on the same date that
the complaint is filed with the
Commission in accordance with the
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82401
requirements of paragraph (b) of this
section.
(e) Upon receipt of the complaint by
the Commission, the Commission shall
promptly send, by facsimile
transmission to each defendant named
in the complaint, notice of the filing of
the complaint. The Commission shall
send, by regular U.S. mail delivery, to
each defendant named in the complaint,
a copy of the complaint. The
Commission shall additionally send, by
regular U.S. mail to all parties, a
schedule detailing the date the answer
will be due and the date, time and
location of the initial status conference.
(f) All subsequent pleadings and
briefs filed in any formal complaint
proceeding, as well as all letters,
documents or other written
submissions, shall be served by the
filing party on the attorney of record for
each party to the proceeding, or, where
a party is not represented by an
attorney, each party to the proceeding
either by hand delivery, overnight
delivery, or by facsimile transmission
followed by regular U.S. mail delivery,
together with a proof of such service in
accordance with the requirements of
§ 1.47(g) of this chapter. Service is
deemed effective as follows:
(1) Service by hand delivery that is
delivered to the office of the recipient
by 5:30 p.m., local time of the recipient,
on a business day will be deemed
served that day. Service by hand
delivery that is delivered to the office of
the recipient after 5:30 p.m., local time
of the recipient, on a business day will
be deemed served on the following
business day;
(2) Service by overnight delivery will
be deemed served the business day
following the day it is accepted for
overnight delivery by a reputable
overnight delivery service such as, or
comparable to, the US Postal Service
Express Mail, United Parcel Service or
Federal Express; or
(3) Service by facsimile transmission
that is fully transmitted to the office of
the recipient by 5:30 p.m., local time of
the recipient, on a business day will be
deemed served that day. Service by
facsimile transmission that is fully
transmitted to the office of the recipient
after 5:30 p.m., local time of the
recipient, on a business day will be
deemed served on the following
business day.
(g) Supplemental complaint
proceedings. Supplemental complaints
filed pursuant to § 14.39 of this subpart
shall conform to the requirements set
out in this section, except that the
complainant need not submit a filing
fee, and the complainant may effect
service pursuant to paragraph (f) of this
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section rather than paragraph (d) of this
section.
[FR Doc. 2011–31162 Filed 12–29–11; 8:45 am]
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Agencies
[Federal Register Volume 76, Number 251 (Friday, December 30, 2011)]
[Rules and Regulations]
[Pages 82354-82402]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-31162]
[[Page 82353]]
Vol. 76
Friday,
No. 251
December 30, 2011
Part II
Federal Communications Commission
-----------------------------------------------------------------------
47 CFR Parts 1, 6, 7, et al.
Implementing the Provisions of the Communications Act of 1934, as
Enacted by the Twenty-First Century Communications and Video
Accessibility Act of 2010; Final Rule
Federal Register / Vol. 76 , No. 251 / Friday, December 30, 2011 /
Rules and Regulations
[[Page 82354]]
-----------------------------------------------------------------------
FEDERAL COMMUNICATIONS COMMISSION
47 CFR Parts 1, 6, 7, and 14
[CG Docket No. 10-213; WT Docket No. 96-198; CG Docket No. 10-145; FCC
11-151]
Implementing the Provisions of the Communications Act of 1934, as
Enacted by the Twenty-First Century Communications and Video
Accessibility Act of 2010
AGENCY: Federal Communications Commission.
ACTION: Final rule.
-----------------------------------------------------------------------
SUMMARY: In this document, the Commission adopts rules that implement
provisions of section 104 of the Twenty-First Century Communications
and Video Accessibility Act of 2010 (CVAA), Public Law 111-260, the
most significant accessibility legislation since the passage of the
Americans with Disabilities Act (ADA) in 1990. A Proposed Rule relating
to implementation of section 718 of the Communications Act of 1934, as
enacted by the CVAA, is published elsewhere in this issue of the
Federal Register. This proceeding amends the Commission's rules to
ensure that people with disabilities have access to the incredible and
innovative communications technologies of the 21st-century. These rules
are significant and necessary steps towards ensuring that the 54
million Americans with disabilities are able to fully utilize and
benefit from advanced communications services (ACS). People with
disabilities often have not shared in the benefits of this rapid
technological advancement. The CVAA implements steps in addressing this
inequity by advancing the accessibility of ACS in a manner that is
consistent with our objectives of promoting investment and innovation.
This is consistent with the Commission's commitment to promote rapid
deployment of and universal access to broadband services for all
Americans.
DATES: Effective January 30, 2012, except 47 CFR 14.5, 14.20(d), 14.31,
14.32, and 14.34 through 14.52, which contain information collection
requirements that have not been approved by the Office of Management
and Budget (OMB). The Commission will publish a document in the Federal
Register announcing the effective date of those sections.
FOR FURTHER INFORMATION CONTACT: Rosaline Crawford, Consumer and
Governmental Affairs Bureau, at (202) 418-2075 or
rosaline.crawford@fcc.gov; Brian Regan, Wireless Telecommunications
Bureau, at (202) 418-2849 or brian.regan@fcc.gov; or Janet Sievert,
Enforcement Bureau, at (202) 418-1362 or janet.sievert@fcc.gov. For
additional information concerning the Paperwork Reduction Act
information collection requirements contained in this document, contact
Cathy Williams, Federal Communications Commission, at (202) 418-2918,
or via email Cathy.Williams@fcc.gov.
SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Report
and Order, FCC 11-151, adopted and released on October 7, 2011. The
full text of this document is available for inspection and copying
during normal business hours in the FCC Reference Information Center,
Room CY-A257, 445 12th Street SW., Washington, DC 20554. The complete
text may be purchased from the Commission's duplicating contractor,
Best Copy and Printing, Inc. (BCPI), Portals II, 445 12th Street SW.,
Room CY-B402, Washington, DC 20554, (202) 488-5300, facsimile (202)
488-5563, or via email at fcc@bcpiweb.com. The complete text is also
available on the Commission's Web site at https://hraunfoss.fcc.gov/edocs_public/attachment/FCC-11-151A1doc. To request materials in
accessible formats for people with disabilities (Braille, large print,
electronic files, audio format), send an email to fcc504@fcc.gov or
call the Consumer and Governmental Affairs Bureau (202) 418-0530
(voice), (202) 418-0432 (TTY).
Final Paperwork Reduction of 1995 Analysis
This document contains new and modified information collection
requirements. The Commission, as part of its continuing effort to
reduce paperwork burdens, invites the general public to comment on the
information collection requirements contained in document FCC 11-151 as
required by the PRA of 1995, Public Law 104-13. In addition, we note
that pursuant to the Small Business Paperwork Relief Act of 2002,
Public Law 107-198, see 44 U.S.C. 3506(c)(4), we previously sought
specific comment on how the Commission might further reduce the
information collection burden for small business concerns with fewer
than 25 employees.
In this proceeding, we adopt new recordkeeping rules that provide
clear guidance to covered entities on the records they must keep to
demonstrate compliance with our new rules. We require covered entities
to keep the three categories of records set forth in section
717(a)(5)(A) of the CVAA. We also require annual certification by a
corporate officer that the company is keeping the required records. We
have assessed the effects of these rules and find that any burden on
small businesses will be minimal because we have adopted the minimum
recordkeeping requirements that allow covered entities to keep records
in any format they wish. This approach takes into account the variances
in covered entities (e.g., size, experience with the Commission),
recordkeeping methods, and products and services covered by the CVAA.
Furthermore, this approach provides the greatest flexibility to small
businesses and minimizes the impact that the statutorily mandated
requirements impose on small businesses. Correspondingly, we considered
and rejected the alternative of imposing a specific format or one-size-
fits-all system for recordkeeping that could potentially impose greater
burdens on small businesses. Moreover, the certification requirement is
possibly less burdensome on small businesses than large, as it merely
requires certification from an officer that the necessary records were
kept over the previous year; this is presumably a less resource
intensive certification for smaller entities. Finally, we adopt a
requirement that consumers must file a ``Request for Dispute
Assistance'' with the Consumer and Governmental Affairs' Disability
Rights Office as a prerequisite to filing an informal complaint with
the Enforcement Bureau. This information request is beneficial because
it will trigger Commission involvement before a complaint is filed and
will benefit both consumers and industry by helping to clarify the
accessibility needs of consumers. It will also encourage settlement
discussions between the parties in an effort to resolve accessibility
issues without the expenditure of time and resources in the informal
complaint process. We also note that we have temporarily exempted small
entities from the rules we have adopted herein while we consider, in
the Accessibility FNPRM, whether we should grant a permanent exemption,
and what criteria should be associated with such an exemption.
Synopsis
I. Executive Summary
1. In this Report and Order, we conclude that the accessibility
requirements of section 716 of the Act apply to non-interconnected VoIP
services, electronic messaging services,
[[Page 82355]]
and interoperable video conferencing services. We implement rules that
hold entities that make or produce end user equipment, including
tablets, laptops, and smartphones, responsible for the accessibility of
the hardware and manufacturer-provided software used for email, SMS
text messaging, and other ACS. We also hold these entities responsible
for software upgrades made available by such manufacturers for download
by users. Additionally, we conclude that, except for third-party
accessibility solutions, there is no liability for a manufacturer of
end user equipment for the accessibility of software that is
independently selected and installed by the user, or that the user
chooses to use in the cloud. We provide the flexibility to build-in
accessibility or to use third-party solutions, if solutions are
available at nominal cost (including set up and maintenance) to the
consumer. We require covered entities choosing to use third-party
accessibility solutions to support those solutions for the life of the
ACS product or service or for a period of up to two years after the
third-party solution is discontinued, whichever comes first. If the
third-party solution is discontinued, however, another third-party
accessibility solution must be made available by the covered entity at
nominal cost to the consumer. If accessibility is not achievable either
by building it in or by using third-party accessibility solutions,
equipment or services must be compatible with existing peripheral
devices or specialized customer premises equipment commonly used by
individuals with disabilities to achieve access, unless such
compatibility is not achievable.
2. We also conclude that providers of advanced communications
services include all entities that offer advanced communications
services in or affecting interstate commerce, including resellers and
aggregators. Such providers include entities that provide advanced
communications services over their own networks, as well as providers
of applications or services accessed (i.e., downloaded and run) by
users over other service providers' networks. Consistent with our
approach for manufacturers of equipment, we find that a provider of
advanced communications services is responsible for the accessibility
of the underlying components of its service, including software
applications, to the extent that doing so is achievable. A provider
will not be responsible for the accessibility of components that it
does not provide, except when the provider relies on a third-party
solution to comply with its accessibility obligations.
3. We adopt rules identifying the four statutory factors that will
be used to conduct an achievability analysis pursuant to section 716:
(i) The nature and cost of the steps needed to meet the requirements of
section 716 of the Act and this part with respect to the specific
equipment or service in question; (ii) the technical and economic
impact on the operation of the manufacturer or provider and on the
operation of the specific equipment or service in question, including
on the development and deployment of new communications technologies;
(iii) the type of operations of the manufacturer or provider; and (iv)
the extent to which the service provider or manufacturer in question
offers accessible services or equipment containing varying degrees of
functionality and features, and offered at differing price points.
Pursuant to the fourth achievability factor, we conclude that covered
entities do not have to consider what is achievable with respect to
every product, if such entity offers consumers with the full range of
disabilities products with varied functions, features, and prices. We
also conclude that ACS providers have a duty not to install network
features, functions, or capabilities that impede accessibility or
usability.
4. We adopt rules pursuant to section 716(h)(1) to accommodate
requests to waive the requirements of section 716 for ACS and ACS
equipment. We conclude that we will grant waivers on a case-by-case
basis and adopt two factors for determining the primary purpose for
which equipment or a service is designed. We will consider whether the
equipment or service is capable of accessing ACS and whether it was
designed for multiple purposes but primarily for purposes other than
using ACS. In determining whether the equipment or service is designed
primarily for purposes other than using ACS, the Commission shall
consider the following factors: (i) whether the product was designed to
be used for ACS purposes by the general public; and (ii) whether the
equipment or services are marketed for the ACS features and functions.
5. Our new accessibility rules further provide that we may also
waive, on our own motion or in response to a petition, the requirements
of section 716 for classes of services and equipment that meet the
above statutory requirements and waiver criteria. To be deemed a class,
members of a class must have the same kind of equipment or service and
same kind of ACS features and functions.
6. We further conclude that the Commission has the discretion to
place time limits on waivers. The waiver will generally be good for the
life of the product or service model or version. However, if
substantial upgrades are made to the product that may change the nature
of the product or service, a new waiver request must be filed. Parties
filing class waiver requests must explain in detail the expected
lifecycle for the equipment or services that are part of the class. All
products and services covered by a class waiver that are introduced
into the market while the waiver is in effect will ordinarily be
subject to the waiver for the duration of the life of those particular
products and services. For products and services already under
development at the time when a class waiver expires, the achievability
analysis conducted may take into consideration the developmental stage
of the product and the effort and expense needed to achieve
accessibility at that point in the developmental stage. To the extent a
class waiver petitioner seeks a waiver for multiple generations of
similar equipment and services, we will examine the justification for
the waiver extending through the lifecycle of each discrete generation.
7. We adopt a timeline for consideration of waiver requests similar
to the Commission's timeline for consideration of applications for
transfers or assignments of licenses or authorizations relating to
complex mergers. We delegate to the Consumer and Governmental Affairs
Bureau the authority to act upon all waiver requests, and urge the
Bureau to act promptly with the goal of completing action on each
waiver request within 180 days of public notice. In addition, we
require that all public notices of waiver requests provide a minimum
30-day comment period. Finally, we note that these public notices will
be posted and highlighted on a Web page designated for disability-
related information in the Disability Rights Office section of the
Commission's Web site.
8. The Commission has already received requests for class waivers
for gaming equipment, services, and software, and TVs and Digital Video
Players (``DVPs'') enabled for use with the Internet. While we conclude
that the record is insufficient to grant waivers for gaming and IP-
enabled TVs and DVPs, parties may re-file requests consistent with the
new waiver rules.
9. We construe section 716(i) of the Act to provide a narrow
exemption from
[[Page 82356]]
the accessibility requirements of section 716. Specifically, we
conclude that equipment that is customized for the unique needs of a
particular entity, and that is not offered directly to the public, is
exempt from section 716. We conclude that this narrow exemption should
be limited in scope to customized equipment and services offered to
business and other enterprise customers only. We also conclude that
equipment manufactured for the unique needs of public safety entities
falls within this narrow exemption.
10. We find that the record does not contain sufficient support to
adopt a permanent exemption for small entities. Nonetheless, we believe
that relief is necessary for small entities that may lack the legal,
technical, or financial ability to conduct an achievability analysis or
comply with the recordkeeping and certification requirements under
these rules. Therefore, we adopt a temporary exemption for ACS
providers and ACS equipment manufacturers that qualify as small
business concerns under the Small Business Administration's rules and
small business size standards. The temporary exemption will expire on
the earlier of (1) the effective date of small entity exemption rules
adopted pursuant to the Further Notice of Proposed Rulemaking released
simultaneously with this order (``Accessibility FNPRM''), or (2)
October 8, 2013.
11. We adopt as general performance objectives the requirements
that covered equipment and services be accessible, compatible, and
usable. We defer consideration of more specific performance objectives
to ensure the accessibility, usability, and compatibility of ACS and
ACS equipment until the Access Board adopts Final Guidelines and the
Emergency Access Advisory Committee (EAAC) provides recommendations to
the Commission relating to the migration to IP-enabled networks.
Additionally, consistent with the views of the majority of the
commenters, we refrain from adopting any technical standards as safe
harbors for covered entities. To facilitate the ability of covered
entities to implement accessibility features early in product
development cycles, we gradually phase in compliance requirements for
accessibility, with full compliance required by October 8, 2013.
12. We also adopt new recordkeeping rules that provide clear
guidance to covered entities on the records they must keep to
demonstrate compliance with our new rules. We require covered entities
to keep the three categories of records set forth in section
717(a)(5)(A). We remind covered entities that do not make their
products or services accessible and claim as a defense that it is not
achievable for them to do so, that they bear the burden of proof on
this defense.
13. In an effort to encourage settlements, we adopt a requirement
that consumers must file a ``Request for Dispute Assistance'' with the
Consumer and Governmental Affairs' Disability Rights Office as a
prerequisite to filing an informal complaint with the Enforcement
Bureau. We also establish minimum requirements for information that
must be contained in an informal complaint. While we also adopt formal
complaint procedures, we decline to require complainants to file
informal complaints prior to filing formal complaints.
II. Report and Order
1. Advanced Communications Services
a. General
14. Section 3(1) of the Act defines ``advanced communications
services'' to mean (A) interconnected VoIP service; (B) non-
interconnected VoIP service; (C) electronic messaging service; and (D)
interoperable video conferencing service. We will adopt into our rules
the statutory definition of ``advanced communications services.'' We
thus agree with commenters that urge us to include all offerings of
services that meet the statutory definitions as being within the scope
of our rules. In doing so, we maintain the balance that Congress
achieved in the CVAA between promoting accessibility through a broadly
defined scope of covered services and equipment and ensuring industry
flexibility and innovation through other provisions of the Act,
including limitations on liability, waivers, and exemptions.
15. Some commenters asserted that the Commission should exclude
from the definition of advanced communications services such services
that are ``incidental'' components of a product. We reject this view.
Were the Commission to adopt that approach, it would be rendering
superfluous section 716's waiver provision, which allows the Commission
to waive its requirements for services or equipment ``designed
primarily for purposes other than using advanced communications
service.'' Several parties also ask the Commission to read into the
statutory definition of advanced communications services the phrase
``offered to the public.'' They argue that we should exclude from our
definition advanced communications services those services that are
provided on an ``incidental'' basis because such services are not
affirmatively ``offered'' by the provider or equipment. There is
nothing in the statute or the legislative history that supports this
narrow reading. Section 3(1) of the Act clearly states that the
enumerated services are themselves ``advanced communications services''
when provided, and does not limit the definition to the particular
marketing focus of the manufacturers or service providers.
b. Interconnected VoIP Service
16. Section 3(25) of the Act, as added by the CVAA, provides that
the term ``interconnected VoIP service'' has the meaning given in Sec.
9.3 of the Commission's rules, as such section may be amended from time
to time. Section 9.3, in turn, defines interconnected VoIP as a service
that (1) enables real-time, two-way voice communications; (2) requires
a broadband connection from the user's location; (3) requires Internet
protocol-compatible CPE; and (4) permits users generally to receive
calls that originate on the public switched telephone network
(``PSTN'') and to terminate calls to the PSTN. As urged by commenters,
we adopt the definition of ``interconnected VoIP service'' as having
the same meaning as in Sec. 9.3 of the Commission's rules, as such
section may be amended from time to time. Given that this definition
has broad reaching applicability beyond this proceeding, we find that
any changes to this definition should be undertaken in a proceeding
that considers the broader context and effects of any such change.
17. We confirm that section 716(f) means that section 255, and not
section 716, applies to telecommunications and interconnected VoIP
services and equipment offered as of October 7, 2010. Our proposed rule
read, in part, that ``the requirements of this part shall not apply to
any equipment or services * * * that were subject to the requirements
of section 255 of the Act on October 7, 2010.'' We decline to amend our
proposed rule by substituting the word ``were'' with the word ``are,''
as urged by NCTA. The statute makes clear that any equipment or service
that was subject to section 255 on October 7, 2010, should continue to
be subject to section 255, regardless of whether that equipment or
service was offered before or after October 7, 2010. With respect to a
new service (and equipment used for that service) that was not in
existence on October 7, 2010, we believe we have the authority to
classify the service as a service subject to either section 255 or
section 716 (or
[[Page 82357]]
neither). In addition, Congress anticipated that the definition of
interconnected VoIP service may change over time. In that event, it is
possible, for example, that certain non-interconnected VoIP services
that are currently subject to section 716 may meet a future definition
of interconnected VoIP services and yet remain subject to section 716.
18. With respect to multipurpose devices, including devices used
for both telecommunications and advanced communications services, we
agree with the vast majority of commenters that argued that section 255
applies to telecommunications services and to services classified as
interconnected VoIP as of October 7, 2010, as well as to equipment
components used for those services, and section 716 applies to non-
interconnected VoIP, electronic messaging, and interoperable video
conferencing services, as well as equipment components used for those
services. We reject the suggestion of some commenters that such
multipurpose devices should be governed exclusively by section 255.
Nothing in the statute or legislative history indicates that Congress
sought to exclude from the requirements of section 716 a device used
for advanced communications merely because it also has
telecommunications or interconnected VoIP capability. Rather, both the
House Report and the Senate Report state that smartphones represent a
technology that Americans rely on daily and, at the same time, a
technological advance that is often still not accessible to individuals
with disabilities. If multipurpose devices such as smartphones were
subject exclusively to section 255, then the advanced communications
services components of smartphones, which are not subject to section
255, would not be covered by section 716. That is, there would be no
requirement to make the advanced communications services components of
multipurpose devices such as smartphones accessible to people with
disabilities. Such an approach would, therefore, undermine the very
purpose of the CVAA.
19. Due to the large number of multipurpose devices, including
smartphones, tablets, laptops and desktops, that are on the market, if
section 716(f) were interpreted to mean that section 716 applies only
to equipment that is used exclusively for advanced communications
services, and that section 255 applies only to equipment that is used
exclusively for telecommunications and interconnected VoIP services,
almost no devices would be covered by section 716 and only stand-alone
telephones and VoIP phones would be covered by section 255. That
reading would undercut Congress's clear aim in enacting the CVAA. Such
a result is also contrary to how section 255 is currently applied to
multipurpose equipment and services. Under Commission rules
implementing section 255, ``multipurpose equipment * * * is covered by
section 255 only to the extent that it provides a telecommunications
function'' and not ``to all functions * * * whenever the equipment is
capable of any telecommunications function.'' Similarly, ``[a]n entity
that provides both telecommunications and non-telecommunications
services * * * is subject to section 255 only to the extent that it
provides a telecommunications service.'' We also disagree with
commenters that suggest that such multipurpose devices should be
governed exclusively by section 716. Such an interpretation would
render section 716(f) meaningless.
20. We recognize that the application of section 255 and section
716 to such multipurpose devices means that manufacturers and service
providers may be subject to two distinct requirements, but as discussed
above, we believe any other interpretation would be inconsistent with
Congressional intent. As a practical matter, we note that the nature of
the service or equipment that is the subject of a complaint--depending
on the type of communications involved--will determine whether section
255 or section 716, or both, apply in a given context.
c. Non-interconnected VoIP Service
21. Section 3(36) of the Act, as added by the CVAA, states that the
term ``non-interconnected VoIP service'' means a service that ``(i)
enables real-time voice communications that originate from or terminate
to the user's location using Internet protocol or any successor
protocol; and (ii) requires Internet protocol compatible customer
premises equipment'' and ``does not include any service that is an
interconnected VoIP service.'' The IT and Telecom RERCs urge us to
modify the statutory definition of non-interconnected VoIP to read
``any VoIP that is not interconnected VoIP.'' They are concerned that
the language in section 3(36) which reads ``does not include any
service that is an interconnected VoIP service'' could be interpreted
to mean that if a service ``includes both interconnected and non-
interconnected VoIP, then all the non-interconnected [VoIP] is exempt
because it is bundled with an interconnected VoIP service.'' In
response to these concerns, we clarify that a non-interconnected VoIP
service is not exempt simply because it is bundled or provided along
with an interconnected VoIP service. Accordingly, we agree with other
commenters that it is unnecessary and not appropriate to change the
statutory definition and hereby adopt the definition of ``non-
interconnected VoIP service'' set forth in the Act.
d. Electronic Messaging Service
22. Section 3(19) of the Act, as added by the CVAA, states that the
term ``electronic messaging service'' ``means a service that provides
real-time or near real-time non-voice messages in text form between
individuals over communications networks.'' We adopt, as proposed, the
definition of ``electronic messaging service'' contained in the Act. We
agree with most commenters and find it consistent with the Senate and
House Reports that electronic messaging service includes ``more
traditional, two-way interactive services such as text messaging,
instant messaging, and electronic mail, rather than * * * blog posts,
online publishing, or messages posted on social networking Web sites.''
While some common features of social networking sites thus fall outside
the definition of ``electronic messaging service,'' other features of
these sites are covered by sections 716 and 717. The Wireless RERC
asserts that, to the extent a social networking system provides
electronic messaging services as defined in the Act, those services
should be subject to sections 716 and 717. While the statute does not
specifically reference the use of electronic messaging services as part
of a social networking site, the comments referenced above in the
Senate and House Reports suggest it was well aware that such aspects of
social networking sites would fall under the Act. The reports
specifically exclude ``messages posted on social networking Web
sites,'' but do not exclude the two-way interactive services offered
through such Web sites. We therefore conclude that to the extent such
services are provided through a social networking or related site, they
are subject to sections 716 and 717 of the Act.
23. We also find, as proposed in the Accessibility NPRM, that the
phrase ``between individuals'' precludes the application of the
accessibility requirements to communications in which no human is
involved, such as automatic software updates or other device-to-device
or machine-to-machine communications. Such exchanges between devices
are also excluded from the definition of electronic messaging
[[Page 82358]]
service when they are not ``messages in text form.'' The definitional
requirement that electronic messaging service be ``between
individuals'' also excludes human-to-machine or machine-to-human
communications.
24. We conclude that section 2(a) of the CVAA exempts entities,
such as Internet service providers, from liability for violations of
section 716 when they are acting only to transmit covered services or
to provide an information location tool. Thus, service providers that
merely provide access to an electronic messaging service, such as a
broadband platform that provides an end user with access to a web-based
email service, are excluded from the accessibility requirements of
section 716.
e. Interoperable Video Conferencing Service
25. An ``interoperable video conferencing service'' is one of the
enumerated ``advanced communications services'' in the CVAA. Such a
service is defined by the CVAA as one ``that provides real-time video
communications, including audio, to enable users to share information
of the user's choosing.'' Many commenters argue that that the word
``interoperable'' cannot be read out of the statute, and we agree.
Congress expressly included the term ``interoperable,'' and therefore
the Commission must determine its meaning in the context of the
statute. We find, however, that the record is insufficient to determine
how exactly to define ``interoperable,'' and thus we seek further
comment on this issue in the Accessibility FNPRM.
26. We also find that the inclusion of the word ``interoperable''
does not suggest that Congress sought to require interoperability, as
some commenters have suggested. There simply is no language in the CVAA
to support commenters' views that interoperability is required or
should be required, or that that we may require video conferencing
services to be interoperable because ``interoperability'' is a subset
of ``accessibility,'' ``usability,'' and ``compatibility'' as required
by section 716.
27. We reject CTIA's argument that personal computers, tablets, and
smartphones should not be considered equipment used for interoperable
video conferencing service, because these devices are not primarily
designed for two-way video conferencing, and accessibility should be
required only for equipment designed primarily or specifically for
interoperable video conferencing service. Consumers get their advanced
communications services primarily through multipurpose devices,
including smartphones, tablets, laptops and desktops. If section 716
applies only to equipment that is used exclusively for advanced
communications services, almost no devices would be covered by section
716, and therefore Congress's aims in enacting the statute would be
undermined.
28. With respect to webinars and webcasts, we find that services
and equipment that provide real-time video communications, including
audio, between two or more users, are ``video conferencing services''
and equipment, even if they can also be used for video broadcasting
purposes (only from one user). We disagree, however, with the IT and
Telecom RERCs that providing interactive text messaging, chatting,
voting, or hand-raising by or between two or more users, along with
real-time video communications, including audio, only from one user,
constitutes a ``video conferencing service.'' In this example of a
system that provides multiple modes of communication simultaneously,
providing text messaging between two or more users is an electronic
messaging service. Similarly, telecommunications or VoIP services may
be provided as part of a webinar or webcast. The provision of
electronic messaging, VoIP, or other services, alongside real-time
video communications, including audio, only from one user, does not
convert the latter into a ``video conferencing service.''
29. Finally, we agree with commenters that non-real-time or near-
real-time features or functions of a video conferencing service, such
as video mail, do not meet the definition of ``real-time video
communications.'' We defer consideration to the Accessibility FNPRM as
to whether we should exercise our ancillary jurisdiction to require
that a video mail service be accessible to individuals with
disabilities when provided along with a video conferencing service. We
also do not decide at this time whether our ancillary jurisdiction
extends to require other features or functions provided along with a
video conferencing service, such as recording and playing back video
communications on demand, to be accessible.
2. Manufacturers of Equipment Used for Advanced Communications Services
30. Section 716(a)(1) states the following:
A manufacturer of equipment used for advanced communications
services, including end user equipment, network equipment, and
software, shall ensure that the equipment and software that such
manufacturer offers for sale or otherwise distributes in interstate
commerce shall be accessible to and usable by individuals with
disabilities, unless the requirements of this subsection are not
achievable.
31. In the Accessibility NPRM the Commission proposed to find that
developers of software that is used for advanced communications
services and that is downloaded or installed by the user rather than by
a manufacturer are covered by section 716(a). The IT and Telecom RERCs
support that proposal on the grounds that coverage should not turn on
how a manufacturer distributes ACS software (pre-installed on a device
or installed by the user). Microsoft and the VON Coalition, on the
other hand, argue that section 716(a) must be read as applying only to
manufacturers of equipment, that ``software'' is not ``equipment,'' and
that our proposal would impermissibly extend the Commission's authority
beyond the limits set by Congress in the CVAA.
32. We find that, while the language of section 716(a)(1) is
ambiguous, the better interpretation of section 716(a)(1) is that it
does not impose independent regulatory obligations on providers of
software that the end user acquires separately from equipment used for
advanced communications services.
33. Section 716(a)(1) can be read in at least two ways. Under one
reading, the italicized phrase ``including end user equipment, network
equipment, and software'' defines the full range of equipment
manufacturers covered by the Act. Under this construction,
manufacturers of end user equipment used for ACS, manufacturers of
network equipment used for ACS, and manufacturers of software used for
ACS, would all independently be subject to the accessibility
obligations of section 716(a)(1), and to the enforcement regime of
section 717. ``Equipment,'' as used in the phrase ``a manufacturer of
equipment used for advanced communications services'' would thus refer
both to physical machines or devices and to software that is acquired
by the user separately from any machine or device, and software would
be understood to be a type of equipment. This first reading is the
interpretation on which we sought comment in the Accessibility NPRM.
34. Under a second possible reading, the phrase ``manufacturer of
equipment'' would be given its common meaning as referring to makers of
physical machines or devices. If such equipment is used for advanced
communications services, then the equipment manufacturer is responsible
for making it accessible. Under this
[[Page 82359]]
reading, the phrase ``including end user equipment, network equipment,
and software'' makes clear that both end user equipment and network
equipment, as well as the software included by the manufacturer in such
equipment, must be consistent with the CVAA's accessibility mandate. We
have modified the definitions of ``end user equipment'' and ``network
equipment'' that are proposed in the Accessibility NPRM to make clear
that such equipment may include both hardware and software components.
Thus, to the extent that equipment used for advanced communications
services include software components--for example, operating systems or
email clients--the manufacturer of the equipment is responsible for
making sure that both ``the equipment and software that such
manufacturer offers for sale or otherwise distributes in interstate
commerce'' is accessible.
35. The text of the CVAA does not compel either of these
inconsistent readings. The first, more expansive, reading accords more
easily with the use of commas surrounding and within the phrase ``,
including end user equipment, network equipment, and software,'' but it
requires giving the term ``equipment'' a meaning that is far broader
than its ordinary usage. In addition, if ``equipment'' means
``software'' as well as hardware, then there was no need for Congress
to say in the same sentence that ``the equipment and software'' that a
manufacturer offers must be made accessible. The second, narrower,
reading gives a more natural meaning to the word ``equipment'' and
explains why it was necessary for Congress to say that the manufacturer
of equipment used for ACS must make both ``equipment and software''
accessible. The second reading is thus more consistent with the
interpretive canon that all words in a statute should if possible be
given meaning and not deemed to be surplusage (as ``software'' would be
in this phrase under the first reading).
36. Looking to other provisions of the CVAA, the language of
section 716(j) is more consistent with the second, narrower
understanding of section 716(a)(1). Section 716(j) establishes a rule
of construction to govern our implementation of the Act, stating that
section 716 shall not be construed to require a manufacturer of
equipment used for ACS or a provider of ACS ``to make every feature and
function of every device or service accessible for every disability.''
The word ``device'' refers to a physical object and cannot reasonably
be construed to also refer to separately-acquired software. If, as in
the broader interpretation of section 716(a)(1), ``manufacturer of
equipment'' includes manufacturers of separately acquired software,
then Congress created a rule of construction for section 716 as a whole
that applies to only some of the equipment that is subject to section
716(a). The narrower interpretation of section 716(a)(1) produces a
more logical result, in that section 716(j), as it applies to
manufacturers of equipment, has the same scope as section 716(a).
37. Examining the legislative history of the CVAA, we find no
indication in either the Senate Report or the House Report that
Congress intended to instruct the Commission to regulate directly
software developers that are neither manufacturers of equipment nor
providers of advanced communications services--a class of businesses
that the Commission historically has not regulated. There is, on the
other hand, evidence that Congress had makers of physical objects in
mind when it made ``manufacturers of equipment'' responsible for
accessibility. For example, the Senate Report states that the Act
requires manufacturers of equipment used for ACS and providers of ACS
to ``make any such equipment, which they design, develop, and
fabricate, accessible to individuals with disabilities, if doing so is
achievable.'' The Senate Report further says that sections 716(a) and
716(b) ``require that manufacturers and service providers,
respectively, make their devices and services accessible to people with
disabilities.'' Likewise, the House Report states that sections 716(a)
and 716(b) ``give manufacturers and service providers a choice
regarding how accessibility will be incorporated into a device or
service.'' Software is not fabricated, nor are software programs or
applications referred to as devices. Particularly in light of this
legislative history, we are doubtful that Congress would have
significantly expanded the Commission's traditional jurisdiction to
reach software developers, without any clear statement of such intent.
38. We disagree with commenters that suggest that the Commission's
interpretation of CPE in the Section 255 Report and Order compels us to
find that software developers that are neither manufacturers of ACS
equipment nor providers of ACS are covered under section 716(a). First,
in the Section 255 Report and Order, the Commission found that CPE
``includes software integral to the operation of the telecommunications
function of the equipment, whether sold separately or not.'' Although
the statutory definition of CPE did not reference software, the
Commission found that it should construe CPE similarly to how it
construed ``telecommunications equipment'' in the Act, which Congress
explicitly defined to include ``software integral to such equipment
(including upgrades).'' The Commission did not in the Section 255
Report and Order reach the issue of whether any entity that was not a
manufacturer of the end user equipment or provider of
telecommunications services had separate responsibilities under the
Act.
39. Second, in the CVAA, Congress gave no indication that it
intended the Commission to incorporate, when defining the scope of
``equipment and software'' for purposes of section 716(a)(1), the
definitions we have established for the different, but analogous, terms
(``telecommunications equipment'' and ``customer premises equipment'')
used in section 255. Here, we interpret the statutory language to
include all software, including upgrades, that is used for ACS and that
is a component of the end user equipment, network equipment, or of the
ACS service--and do not limit software to meaning only software that is
integral to the network equipment or end user equipment. As we discuss
further in paragraph 58, infra, if software gives the consumer the
ability to engage in advanced communications, the provider of that
software is a covered entity, regardless of whether the software is
downloaded to the consumer's equipment or accessed in the cloud.
40. The purpose of sections 716 through 718 of the CVAA--to ensure
access to advanced communications services for people with
disabilities--is fully served by the narrower interpretation of section
716(a) that we describe above because that interpretation focuses our
regulatory efforts where they will be the most productive.
41. Advanced communications services are delivered within a complex
and evolving ecosystem. Communications devices are often general-
purpose computers or devices incorporating aspects of general-purpose
computers, such as smartphones, tablets, and entertainment devices. In
the Accessibility NPRM the Commission observed that such systems are
commonly described as having five components or layers: (1) Hardware
(commonly referred to as the ``device''); (2) operating system; (3)
user interface layer; (4) application; and (5) network services. We
agree with ITI that three additional components in the architecture
play a role in ensuring the
[[Page 82360]]
accessibility of ACS: (1) Assistive technology (``AT'') utilized by the
end user; (2) the accessibility application programming interface
(``API''); and (3) the web browser.
42. For individuals with disabilities to use an advanced
communications service, all of these components may have to support
accessibility features and capabilities. It is clear, however, that
Congress did not give us the task of directly regulating the
manufacturers, developers, and providers all of these components.
Rather, Congress chose to focus our regulatory and enforcement efforts
on the equipment manufacturers and the ACS providers.
43. We believe that end user equipment manufacturers, in
collaboration with the developers of the software components of the
equipment and related service providers, are best equipped to be
ultimately responsible for ensuring that all of the components that the
end user equipment manufacturer provides are accessible to and usable
by individuals with disabilities. Manufacturers are responsible for the
software components of their equipment whether they pre-install the
software, provide the software to the consumer on a physical medium
such as a CD, or require the consumer to download the software. The
manufacturer is the one that purchases those components and is
therefore in a position to require that each of those components
supports accessibility. Similarly, as we discuss further below, the
provider of an advanced communications service is the entity in the
best position to make sure that the components (hardware, software on
end user devices, components that reside on the web) it provides and
that make up its service all support accessibility.
44. We believe these conclusions will foster industry collaboration
between manufacturers of end user equipment, software manufacturers,
and service providers and agree with TWC that this collaboration must
be a central tenet in the efforts to implement the CVAA. For example,
as Microsoft states, ``a laptop manufacturer that builds ACS into its
device will need to consult with the developer of the operating system
to develop this functionality, and in that way the operating system
provider will be deeply involved in solving these problems and
promoting innovations in accessibility, such as making an accessibility
API available to the manufacturer.'' The consumer, who is not a party
to any arrangements or agreements, contractual or otherwise, between an
end user equipment manufacturer and a software developer, will not be
put in the position of having to divine which entity is ultimately
responsible for the accessibility of end user equipment used for
advanced communications services.
45. We recognize that consumers are able to change many of the
software components of the equipment they use for advanced
communications services, including, for some kinds of equipment, the
operating systems, email clients, and other installed software used for
ACS. We believe that, as a practical matter, operating systems and
other software that are incorporated by manufacturers into their
equipment will also be accessible when made separately available
because it will not be efficient or economical for developers of
software used to provide ACS to make accessible versions of their
products for equipment manufacturers that pre-install the software and
non-accessible freestanding versions of the same products. Therefore,
we believe that we do not need to adopt an expansive interpretation of
the scope of section 716(a) to ensure that consumers receive the
benefits intended by Congress.
46. Section 717(b)(1) of the Act requires us to report to Congress
every two years, beginning in 2012. We are required, among other
things, to report on the extent to which accessibility barriers still
exist with respect to new communications technologies. We intend to pay
particular attention in these reports to the question of whether
entities that are not directly subject to our regulations, including
software developers, are causing such barriers to persist.
47. Finally, the narrower interpretation of the scope of section
716(a) that we adopt herein makes this statutory program more cost-
effective than would the more expansive interpretation. Covered
entities are subject not only to the substantive requirement that they
make their products accessible, if achievable, but also to an
enforcement mechanism that includes recordkeeping and certification
requirements. This type of enforcement program imposes costs on both
industry and the government. Congress made a determination, which we
endorse and enforce, that these costs are well justified to realize the
accessibility benefits that the CVAA will bring about. But the costs of
extending design, recordkeeping, and certification requirements to
software developers would be justified only if they were outweighed by
substantial additional accessibility benefits.
48. As explained above, it appears that the benefits of
accessibility, as envisioned by Congress and supporters of the CVAA,
can be largely (and perhaps entirely) realized under the narrower, less
costly interpretation of section 716(a)(1). Furthermore, the biennial
review requirement of section 717(b)(1) ensures that, if our prediction
proves incorrect, the Commission will have an occasion to examine
whether application of the CVAA's requirements directly to developers
of consumer-installed software is warranted, and make any necessary
adjustments to our rules to achieve accessibility in accordance with
the intent of the CVAA. This biennial review process gives us
additional confidence that applying the statute more narrowly and
cautiously in our initial rules is the most appropriate policy at this
time.
49. With respect to the definition of ``manufacturer,'' consistent
with the Commission's approach in the Section 255 Report and Order and
in the Accessibility NPRM, we define ``manufacturer'' as ``an entity
that makes or produces a product.'' As the Commission noted in the
Section 255 Report and Order, ``[t]his definition puts responsibility
on those who have direct control over the products produced, and
provides a ready point of contact for consumers and the Commission in
getting answers to accessibility questions and resolving complaints.''
We believe this definition encompasses entities that are ``extensively
involved in the manufacturing process--for example, by providing
product specifications.'' We also believe this definition includes
entities that contract with other entities to make or produce a
product; a manufacturer need not own a production facility or handle
raw materials to be a manufacturer.
50. TechAmerica argues that section 716(a) should apply only to
equipment with a ``primary purpose'' of offering ACS. We reject this
interpretation. As discussed above, consumers commonly access advanced
communications services through general purpose devices. The CVAA
covers equipment ``used for ACS,'' and we interpret this to include
general purpose hardware with included software that provides users
with access to advanced communications services.
51. Commenters also expressed concerns about the impact of software
upgrades on accessibility. The IT and Telecom RERCs state that
``[u]pgrades can be used to increase accessibility * * * or they can
take accessibility away, as has, unfortunately occurred on numerous
occasions.'' Wireless RERC urges that ``[e]nd-users who buy an
accessible device expect manufacturer-provided updates and upgrades to
continue to be accessible.'' We agree
[[Page 82361]]
that the purposes of the CVAA would be undermined if it permitted
equipment or services that are originally required to be accessible to
become inaccessible due to software upgrades. In accordance with our
interpretation of section 716(a)(1) above, just as a manufacturer of a
device is responsible for the accessibility of included software, that
manufacturer is also responsible for ensuring that the software
developer maintains accessibility if and when it provides upgrades.
However, we agree with CTIA that a manufacturer cannot be responsible
for software upgrades ``that it does not control and that it has no
knowledge the user may select and download.''
52. Indeed, we recognize more generally, as ITI urges, that
manufacturers of equipment are not responsible for the components over
which they have no control. Thus, manufacturers are not responsible for
software that is independently selected and installed by users, or for
software that users choose to access in the cloud. Furthermore, we
generally agree with commenters that a manufacturer is not responsible
for optional software offered as a convenience to subscribers at the
time of purchase and that carriers are not liable for third-party
applications that customers download onto mobile devices--even if
software is available on a carrier's Web site or application store.
53. A manufacturer, however, has a responsibility to consider how
the components in the architecture work together when it is making a
determination about what accessibility is achievable for its product.
If, for example, a manufacturer decides to rely on a third-party
software accessibility solution, even though a built-in solution is
achievable, it cannot later claim that it is not responsible for the
accessibility of the third-party solution. A manufacturer of end-user
equipment is also responsible for the accessibility of software offered
to subscribers if the manufacturer requires or incentivizes a purchaser
to use a particular third-party application to access all the features
of or obtain all the benefits of a device or service, or markets its
device in conjunction with a third-party add-on.
54. Because we did not receive a full record on the unique
challenges associated with implementing section 718, we will solicit
further input in the Accessibility FNPRM on how we should proceed. In
particular, we seek comment on the unique technical challenges
associated with developing non-visual accessibility solutions for web
browsers in a mobile phone and the steps that we can take to ensure
that covered entities will be able to comply with these requirements on
October 8, 2013, the date on which section 718 becomes effective.
Section 718 requires a mobile phone manufacturer that includes a
browser, or a mobile phone service provider that arranges for a browser
to be included on a mobile phone, to ensure that the browser functions
are accessible to and usable by individuals who are blind or have a
visual impairment, unless doing so is not achievable. In the
Accessibility FNPRM, we also seek to develop a record on whether
Internet browsers should be considered software generally subject to
the requirements of section 716. Specifically, we seek to clarify the
relationship between sections 716 and 718 and solicit comment on the
appropriate regulatory approach for Internet browsers that are not
built into mobile phones.
3. Providers of Advanced Communications Services
55. Section 716(b)(1) of the Act provides that, with respect to
service providers, after the effective date of applicable regulations
established by the Commission and subject to those regulations, a
``provider of advanced communications services shall ensure that such
services offered by such provider in or affecting interstate commerce
are accessible to and usable by individuals with disabilities,'' unless
these requirements are ``not achievable.''
56. Consistent with the proposal in the Accessibility NPRM, we
agree with commenters that state that we should interpret the term
``providers'' broadly and include all entities that make available
advanced communications in whatever manner. Such providers include, for
example, those that make web-based email services available to
consumers; those that provide non-interconnected VoIP services through
applications that consumers download to their devices; and those that
provide texting services over a cellular network.
57. As is the case with manufacturers, providers of ACS are
responsible for ensuring the accessibility of the underlying components
of the service, to the extent that doing so is achievable. For example,
a provider of a web-based email service could meet its obligations by
ensuring its services are coded to web accessibility standards (such as
the Web Content Accessibility Guidelines (WCAG)), if achievable. For
services downloaded onto the OS of a desktop or mobile device, service
providers could meet their obligations by ensuring, if achievable, that
their services are coded so they can work with the Accessibility API
for the OS of the device. Accessibility APIs are specialized interfaces
developed by platform owners, which software applications use to
communicate accessibility information about user interfaces to
assistive technologies. Those that provide texting services over a
cellular network, for example, must ensure that there is nothing in the
network that would thwart the accessibility of the service, if
achievable.
58. COAT raises the concern that some software used for ACS may be
neither a component of the end user equipment nor a component of a
service and thus would not be covered under the statute. Specifically,
COAT argues that H.323 video and audio communication is peer-to-peer
and does not require a service provider at all. Similarly, it argues
that it is possible to have large-scale examples of peer-to-peer
systems without service providers and that models used in the non-ACS
context could be expanded to be used for ACS. We believe that COAT
construes the meaning of ``provider of advanced communications
services'' too narrowly. If software gives the consumer the ability to
send and receive email, send and receive text messages, make non-
interconnected VoIP calls, or otherwise engage in advanced
communications, then provision of that software is provision of ACS. On
the other hand, provision of client software such as Microsoft Outlook
is not provision of ACS. While consumers use such client software to
manage their ACS, the client software standing alone does not provide
ACS. The provider of that software would be a covered entity, and the
service, including any provided through a small-scale or large-scale
peer-to-peer system, would be subject to the requirements of the
statute. We also disagree with COAT's suggestion that ACS used with an
online directory would not be covered. While online directories are
excluded from coverage under the limited liability provisions in
section 2(a)(2) of the CVAA, the ACS used with such directories are
covered. This is true regardless of whether the software is downloaded
to the consumer's equipment or accessed in the cloud.
59. We disagree with Verizon's assertion that the requirement in
section 716(e)(1)(C) that the Commission shall ``determine the
obligations under this section of manufacturers, service providers, and
providers of applications or services accessed over service provider
networks'' compels the conclusion that developers of applications have
their own independent accessibility obligations. We note that the
regulations that the
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Commission must promulgate pursuant to section 716(e) relate to the
substantive requirements of the Act found in sections 716(a)-(d)
encompassing accessibility (sections 716(a) and 716(b)); compatibility
(section 716(c)); and network features, functions, and capabilities
(section 716(d)). Each of these obligations applies to manufacturers of
ACS equipment and/or providers of ACS. There are no independent
substantive requirements in these sections that apply to ``providers of
applications or services accessed over service provider networks.'' We
believe the most logical interpretation of this phrase is the one
proposed in the NPRM: that providers of advanced communications
services include entities that provide advanced communications services
over their own networks as well as providers of applications or
services accessed (i.e., downloaded and run) by users over other
service providers' networks. We adopt this interpretation, which we
believe comports with our analysis above that providers of ACS are
responsible for ensuring the accessibility of the underlying components
of the service, including the software applications, to the extent that
doing so is achievable.
60. We find, however, that a provider of advanced communications
services is not responsible for the accessibility of third-party
applications and services that are not components of its service and
that the limitations on liability in section 2(a) of the CVAA generally
preclude such service provider liability. This approach is consistent
with commenters that argue that service providers and manufacturers
should be responsible only for those services and applications that
they provide to consumers. They explain that they have no control over
third party applications that consumers add on their own and that such
third party applications have the potential to significantly alter the
functionality of devices. Notwithstanding that conclusion and
consistent with section 2(b) of the CVAA, we also agree with commenters
that the limitation on liability under section 2(a) does not apply in
situations where a provider of advanced communications services relies
on a third-party application or service to comply with the
accessibility requirements of section 716.
61. We also confirm that providers of advanced communications
services may include resellers and aggregators, which is consistent
with the approach the Commission adopted in the Section 255 Report and
Order. Several commenters support that conclusion. We disagree with
Verizon's suggestion that, to the extent that a carrier is strictly
reselling an advanced communications service as is (without
alteration), the sole control of the features and functions rests with
the underlying service provider, not the reseller, and the reseller
should not have independent compliance obligations. To the extent that
the underlying service provider makes those services accessible to and
usable by individuals with disabilities in accordance with the CVAA
mandates, those services should remain accessible and usable when
resold as is (without alteration). Resellers offer services to
consumers who may or may not be aware of the identity of the underlying
service provider. It is both logical and in keeping with the purposes
of the CVAA for consumers to be able to complain against the provider
from whom they obtain a service, should that service be inaccessible.
While a reseller may not control the features of the underlying
service, it does have control over its decision to resell that service.
Its obligation, like that of any other ACS provider, is to ensure that
the services it provides are accessible, unless that is not achievable.
62. Because the networks used for advanced communications services
are interstate in nature, and the utilization of equipment,
applications and services on those net