[Title 47 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 1996 Edition]
[From the U.S. Government Printing Office]
47
Telecommunication
[[Page i]]
PARTS 40 TO 69
Revised as of October 1, 1996
CONTAINING
A CODIFICATION OF DOCUMENTS
OF GENERAL APPLICABILITY
AND FUTURE EFFECT
AS OF OCTOBER 1, 1996
With Ancillaries
Published by
the Office of the Federal Register
National Archives and Records
Administration
as a Special Edition of
the Federal Register
[[Page ii]]
U.S. GOVERNMENT PRINTING OFFICE
WASHINGTON : 1996
For sale by U.S. Government Printing Office
Superintendent of Documents, Mail Stop: SSOP, Washington, DC 20402-9328
[[Page iii]]
Table of Contents
Page
Explanation................................................. v
Title 47:
Chapter I--Federal Communications Commission (Continued).. 3
Finding Aids:
Material Approved for Incorporation by Reference.......... 385
Table of CFR Titles and Chapters.......................... 387
Alphabetical List of Agencies Appearing in the CFR........ 403
Table of OMB Control Numbers.............................. 413
List of CFR Sections Affected............................. 421
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Cite this Code: CFR
To cite the regulations in this volume use title, part
and section number. Thus, 47 CFR 41.1 refers to title
47, part 41, section 1.
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[[Page v]]
EXPLANATION
The Code of Federal Regulations is a codification of the general and
permanent rules published in the Federal Register by the Executive
departments and agencies of the Federal Government. The Code is divided
into 50 titles which represent broad areas subject to Federal
regulation. Each title is divided into chapters which usually bear the
name of the issuing agency. Each chapter is further subdivided into
parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year
and issued on a quarterly basis approximately as follows:
Title 1 through Title 16.................................as of January 1
Title 17 through Title 27..................................as of April 1
Title 28 through Title 41...................................as of July 1
Title 42 through Title 50................................as of October 1
The appropriate revision date is printed on the cover of each
volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially
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evidence of the text of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual
issues of the Federal Register. These two publications must be used
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To determine whether a Code volume has been amended since its
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Sections Affected (LSA),'' which is issued monthly, and the ``Cumulative
List of Parts Affected,'' which appears in the Reader Aids section of
the daily Federal Register. These two lists will identify the Federal
Register page number of the latest amendment of any given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal
Register since the last revision of that volume of the Code. Source
citations for the regulations are referred to by volume number and page
number of the Federal Register and date of publication. Publication
dates and effective dates are usually not the same and care must be
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inserted following the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96-511) requires
Federal agencies to display an OMB control number with their information
collection request.
[[Page vi]]
Many agencies have begun publishing numerous OMB control numbers as
amendments to existing regulations in the CFR. These OMB numbers are
placed as close as possible to the applicable recordkeeping or reporting
requirements.
OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on
the cover of each volume are not carried. Code users may find the text
of provisions in effect on a given date in the past by using the
appropriate numerical list of sections affected. For the period before
January 1, 1986, consult either the List of CFR Sections Affected, 1949-
1963, 1964-1972, or 1973-1985, published in seven separate volumes. For
the period beginning January 1, 1986, a ``List of CFR Sections
Affected'' is published at the end of each CFR volume.
INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was
established by statute and allows Federal agencies to meet the
requirement to publish regulations in the Federal Register by referring
to materials already published elsewhere. For an incorporation to be
valid, the Director of the Federal Register must approve it. The legal
effect of incorporation by reference is that the material is treated as
if it were published in full in the Federal Register (5 U.S.C. 552(a)).
This material, like any other properly issued regulation, has the force
of law.
What is a proper incorporation by reference? The Director of the
Federal Register will approve an incorporation by reference only when
the requirements of 1 CFR part 51 are met. Some of the elements on which
approval is based are:
(a) The incorporation will substantially reduce the volume of
material published in the Federal Register.
(b) The matter incorporated is in fact available to the extent
necessary to afford fairness and uniformity in the administrative
process.
(c) The incorporating document is drafted and submitted for
publication in accordance with 1 CFR part 51.
Properly approved incorporations by reference in this volume are
listed in the Finding Aids at the end of this volume.
What if the material incorporated by reference cannot be found? If
you have any problem locating or obtaining a copy of material listed in
the Finding Aids of this volume as an approved incorporation by
reference, please contact the agency that issued the regulation
containing that incorporation. If, after contacting the agency, you find
the material is not available, please notify the Director of the Federal
Register, National Archives and Records Administration, Washington DC
20408, or call (202) 523-4534.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a
separate volume, revised annually as of January 1, entitled CFR Index
and Finding Aids. This volume contains the Parallel Table of Statutory
Authorities and Agency Rules (Table I), and Acts Requiring Publication
in the Federal Register (Table II). A list of CFR titles, chapters, and
parts and an alphabetical list of agencies publishing in the CFR are
also included in this volume.
An index to the text of ``Title 3--The President'' is carried within
that volume.
The Federal Register Index is issued monthly in cumulative form.
This index is based on a consolidation of the ``Contents'' entries in
the daily Federal Register.
[[Page vii]]
A List of CFR Sections Affected (LSA) is published monthly, keyed to
the revision dates of the 50 CFR titles.
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing
in the Code of Federal Regulations.
INQUIRIES
For a legal interpretation or explanation of any regulation in this
volume, contact the issuing agency. The issuing agency's name appears at
the top of odd-numbered pages.
For inquiries concerning CFR reference assistance, call 202-523-5227
or write to the Director, Office of the Federal Register, National
Archives and Records Administration, Washington, DC 20408.
SALES
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Richard L. Claypoole,
Director,
Office of the Federal Register.
October 1, 1996.
[[Page ix]]
THIS TITLE
Title 47--Telecommunication is composed of five volumes. The parts
in these volumes are arranged in the following order: Parts 0-19, parts
20-39, parts 40-69, parts 70-79, and part 80 to End, chapter I--Federal
Communications Commission. The last volume, part 80 to End, also
includes chapter II--Office of Science and Technology Policy and
National Security Council, and chapter III--National Telecommunications
and Information Administration, Department of Commerce. The contents of
these volumes represent all current regulations codified under this
title of the CFR as of October 1, 1996.
Part 73 contains a numerical designation of FM broadcast channels
(Sec. 73.201) and a table of FM allotments designated for use in
communities in the United States, its territories, and possessions
(Sec. 73.202). Part 73 also contains a numerical designation of
television channels (Sec. 73.603) and a table of allotments which
contain channels designated for the listed communities in the United
States, its territories, and possessions (Sec. 73.606).
The OMB control numbers for the Federal Communications Commission,
appear in Sec. 0.408 of chapter I. For the convenience of the user
Sec. 0.408 is reprinted in the Finding Aids section of the second
through fifth volumes.
A redesignation table appears in the Finding Aids section of the
volume containing part 80 to End.
For this volume Elizabeth N. Thomas was Chief Editor. The Code of
Federal Regulations publication program is under the direction of
Frances D. McDonald, assisted by Alomha S. Morris.
[[Page x]]
[[Page 1]]
TITLE 47--
TELECOMMUNICATION
(This book contains parts 40 to 69)
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Part
chapter i--Federal Communications Commission (Continued).... 41
[[Page 3]]
CHAPTER I--FEDERAL COMMUNICATIONS
COMMISSION--(CONTINUED)
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SUBCHAPTER B--COMMON CARRIER SERVICES--(CONTINUED)
Part Page
41 Telegraph and telephone franks.............. 5
42 Preservation of records of communication
common carriers......................... 6
43 Reports of communication common carriers and
certain affiliates...................... 8
51 Interconnection............................. 14
52 Numbering................................... 49
61 Tariffs..................................... 58
62 Applications to hold interlocking
directorates............................ 92
63 Extension of lines and discontinuance,
reduction, outage and impairment of
service by common carriers; and grants
of recognized private operating agency
status.................................. 95
64 Miscellaneous rules relating to common
carriers................................ 129
65 Interstate rate of return prescription
procedures and methodologies............ 174
68 Connection of terminal equipment to the
telephone network....................... 182
69 Access charges.............................. 346
Cross Reference:
Excise taxes on communications services and facilities: Internal
Revenue, 26 CFR part 49.
Supplemental Publications:
Annual Reports of the Federal Communications Commission to Congress.
Federal Communications Commission Reports of Orders and Decisions.
Communications Act of 1934 (with amendments and index thereto), Recap.
Version, May 1989.
Study Guide and Reference Material for Commercial Radio Operator
Examinations, May 1987 edition.
[[Page 5]]
SUBCHAPTER B--COMMON CARRIER SERVICES (CONTINUED)
PART 41--TELEGRAPH AND TELEPHONE FRANKS--Table of Contents
Definitions
Sec.
41.1 Definition of terms as used in this part.
General Application of Rules
41.11 Services to which rules apply.
41.12 Persons to whom rules apply.
41.13 Carriers, services, and persons to which rules do not apply.
Limitation and Form of Issuance
41.21 Amount of free service permitted.
41.22 Name of person.
Administrative Regulations
41.31 Records to be maintained and reports to be filed.
41.32 Existing franks not conforming declared void.
Authority: Sec. 4, 48 Stat. 1066, as amended; 47 U.S.C. 154.
Interpret or apply sec. 210, 48 Stat. 1073, as amended (47 U.S.C. 210).
Source: 28 FR 13200, Dec. 5, 1963, unless otherwise noted.
Definitions
Sec. 41.1 Definition of terms as used in this part.
As used in this part:
(a) The term frank means any authority which authorizes free, or
partially free, service.
(b) The term families means the wives, husbands, minor children, and
other dependents of the officers, employees, or agents permitted to
receive and use franks, but no other person.
(c) The terms officer, agent, and employee include furloughed,
pensioned, and superannuated officers, agents, and employees.
General Application of Rules
Sec. 41.11 Services to which rules apply.
Franks valid for interstate or foreign telegraph or telephone
service may be issued or used and free service may be rendered only in
accordance with the provisions in this part.
Sec. 41.12 Persons to whom rules apply.
Full time officers, agents, and employees, and their families, of
railroad companies, merchant ship companies, motor bus companies, air
transport companies, telephone companies, telegraph companies, sleeping
car companies, express companies, and pipeline companies (common
carriers not subject to the Communications Act of 1934, as amended),
may, at the discretion of carriers subject to the Act, receive at less
than regularly established rates applicable to the service rendered.
Sec. 41.13 Carriers, services, and persons to which rules do not apply.
The rules in this part shall not apply to:
(a) Services rendered pursuant to lawful contracts for exchange of
services under section 201(b) of the Act and which contracts are filed
with the Commission, any free service rendered by a cable company
pursuant to any obligation of its landing license, or any service
rendered pursuant to any rule or order issued under the authority
transferred by section 601 of the Act.
(b) Except as provided in this part, services rendered in connection
with situations involving the safety of life and property, including
hydrographic reports, weather reports, reports regarding aids to
navigation and medical assistance to injured or sick persons on ships
and aircraft at sea, as provided in section 359(e) of the Act, or in
furnishing of reports of positions of ships at sea to newspapers of
general circulation, as provided in section 201(b) of the Act.
(c) Free or concession service now or hereafter granted to officers,
agents, or employees of common carriers subject to the Act, and to their
families.
(d) Service rendered pursuant to the provisions of Sec. 2.405 of
this chapter.
[[Page 6]]
Limitation and Form of Issuance
Sec. 41.21 Amount of free service permitted.
No franks shall be issued by any carrier authorizing free service to
any person on which the published charges would, in the aggregate,
exceed $50 in any 1 calendar year; nor shall any person use or attempt
to use any frank in any calendar year for free service on which the
charges at the duly published rates would, in the aggregate, exceed $50.
Sec. 41.22 Name of person.
Each frank shall be issued by a duly authorized officer of the
carrier granting the privilege and shall show the name of the person to
whom it is issued; and it shall be valid only for service rendered that
person.
Administrative Regulations
Sec. 41.31 Records to be maintained and reports to be filed.
Common carriers subject to the Act shall maintain records and file
reports as follows:
(a) Each such carrier shall maintain its records in such manner as
to reflect at all times the name and address of every person holding a
telegraph or telephone frank and the office, employment or relationship
held by each such person entitling him to a frank; and each such carrier
shall keep such basic records as would enable it, if ordered by the
Commission, to compile a statement for the last preceding calendar year
prior to such order or for any other period during which it is required
by other rules to retain such records, showing the above information
together with the number of franked communications handled under each
frank during such period and the aggregate charges in dollars which
would have accrued to the carrier for all of the free service rendered
under each frank during such period if charges for all such
communications had been collected at the published tariff rates.
(b) With respect to the communications referred to in Sec. 41.13
every carrier subject to the Act shall maintain its records in such a
manner as to show the number of each class of such communications
handled free of charge: Provided, That with respect to personal
telephone calls of officers, agents, or employees of common carriers
subject to the Act made free of charge or at reduced rates from
telephone company official stations it shall be sufficient, in lieu of
such record maintenance, if the carrier be at all times prepared, upon
appropriate request, to make studies which will show the number of each
class of such communications handled free of charge or at reduced rates.
(c) Each such carrier shall maintain its records in such a manner as
to show the number of reports of positions of ships at sea furnished to
newspapers of general circulation without charge, or at nominal charges,
as authorized in section 201(b) of the Act.
Sec. 41.32 Existing franks not conforming declared void.
All outstanding franks which do not conform to the rules in this
part shall be void after August 11, 1939.
PART 42--PRESERVATION OF RECORDS OF COMMUNICATION COMMON CARRIERS--Table of Contents
Applicability
Sec.
42.01 Applicability.
General Instructions
42.1 Scope of the regulations in this part.
42.2 Designation of a supervisory official.
42.3 Protection and storage of records.
42.4 Index of records.
42.5 Preparation and preservation of reproductions of original records.
42.6 Retention of telephone toll records.
42.7 Retention of other records.
Authority: Sec. 4(i), 48 Stat. 1066, as amended, 47 U.S.C. 154(i).
Interprets or applies secs. 219 and 220, 48 Stat. 1077-78, 47 U.S.C.
219, 220.
Source: 51 FR 32653, Sept. 15, 1986, unless otherwise noted.
Applicability
Sec. 42.01 Applicability.
This part prescribes the regulations governing the preservation of
records of communication common carriers
[[Page 7]]
that are fully subject to the jurisdiction of the Commission.
General Instructions
Sec. 42.1 Scope of the regulations in this part.
(a) The regulations in this part apply to all accounts, records,
memoranda, documents, papers, and correspondence prepared by or on
behalf of the carrier as well as those which come into its possession in
connection with the acquisition of property, such as by purchase,
consolidation, merger, etc.
(b) The regulations in this part shall not be construed as requiring
the preparation of accounts, records, or memoranda not required to be
prepared by other regulations, such as the Uniform System of Accounts,
except as provided hereinafter.
(c) The regulations in this part shall not be construed as excusing
compliance with any other lawful requirement for the preservation of
records.
Sec. 42.2 Designation of a supervisory official.
Each carrier subject to the regulations in this part shall designate
one or more officials to supervise the preservation of its records.
Sec. 42.3 Protection and storage of records.
The carrier shall protect records subject to the regulations in this
part from damage from fires, and other hazards and, in the selection of
storage spaces, safeguard the records from unnecessary exposure to
deterioration.
Sec. 42.4 Index of records.
Each carrier shall maintain at its operating company headquarters a
master index of records. The master index shall identify the records
retained, the related retention period, and the locations where the
records are maintained. The master index shall be subject to review by
Commission staff and the Commission shall reserve the right to add
records, or lengthen retention periods upon finding that retention
periods may be insufficient for its regulatory purposes. When any
records are lost or destroyed before expiration of the retention period
set forth in the master index, a certified statement shall be added to
the master index, as soon as practicable, listing, as far as may be
determined, the records lost or destroyed and describing the
circumstances of the premature loss or destruction. At each office of
the carrier where records are kept or stored, the carrier shall arrange,
file, and currently index the records on site so that they may be
readily identified and made available to representatives of the
Commission.
Sec. 42.5 Preparation and preservation of reproductions of original records.
(a) Each carrier may use a retention medium of its choice to
preserve records in lieu of original records, provided that they observe
the requirements of paragraphs (b) and (c) of this section.
(b) A paper or microfilm record need not be created to satisfy the
requirements of this part if the record is initially prepared in
machine-readable medium such as punched cards, magnetic tapes, and
disks. Each record kept in a machine-readable medium shall be
accompanied by a statement clearly indicating the type of data included
in the record and certifying that the information contained in it has
been accurately duplicated. This statement shall be executed by a person
duplicating the records. The records shall be indexed and retained in
such a manner that they are easily accessible, and the carrier shall
have the facilities available to locate, identify and reproduce the
records in readable form without loss of clarity.
(c) Records may be retained on microfilm provided they meet the
requirements of the Federal Business Records Act (28 U.S.C. 1732).
Sec. 42.6 Retention of telephone toll records.
Each carrier that offers or bills toll telephone service shall
retain for a period of 18 months such records as are necessary to
provide the following billing information about telephone toll calls:
the name, address, and telephone number of the caller, telephone number
called, date, time and length of the call. Each carrier shall retain
this information for toll calls that it bills
[[Page 8]]
whether it is billing its own toll service customers for toll calls or
billing customers for another carrier.
[51 FR 39536, Oct. 29, 1986]
Sec. 42.7 Retention of other records.
Except as specified in Sec. 42.6, each carrier shall retain records
identified in its master index of records for the period established
therein. Records relevant to complaint proceedings not already contained
in the index of records should be added to the index as soon as a
complaint is filed and retained until final disposition of the
complaint. Records a carrier is directed to retain as the result of a
proceeding or inquiry by the Commission to the extent not already
contained in the index will also be added to the index and retained
until final disposition of the proceeding or inquiry.
PART 43--REPORTS OF COMMUNICATION COMMON CARRIERS AND CERTAIN AFFILIATES--Table of Contents
Sec.
43.01 Applicability.
43.21 Annual reports of carriers and certain affiliates.
43.22 Quarterly reports of communication common carriers.
43.41 Reports on inside wiring services.
43.43 Reports of proposed changes in depreciation rates.
43.51 Contracts and concessions.
43.53 Reports regarding division of international toll communication
charges.
43.61 Reports of international telecommunications traffic.
43.72 [Reserved]
43.81 Reports of carriers owned by foreign telecommunications entities.
43.82 International circuit status reports.
Authority: 47 U.S.C. 154.
Source: 28 FR 13214, Dec. 5, 1963, unless otherwise noted.
Sec. 43.01 Applicability.
(a) The sections in this part include requirements which have been
promulgated under authority of sections 211 and 219 of the
Communications Act of 1934, as amended, with respect to the filing by
communication common carriers and certain of their affiliates of
periodic reports and certain other data, but do not include certain
requirements relating to the filing of information with respect to
specific services, accounting systems and other matters incorporated in
other parts of this chapter.
(b) Carriers becoming subject to the provisions of the several
sections of this part for the first time, should, within thirty (30)
days of becoming subject, file the required data as set forth in the
various sections of the part.
Sec. 43.21 Annual reports of carriers and certain affiliates.
(a) Communication common carriers having annual operating revenues
in excess of the indexed revenue threshold, as defined in Sec. 32.9000,
and certain companies (as indicated in paragraph (c) of this section)
directly or indirectly controlling such carriers shall file with the
Commission annual reports or an annual letter as provided in this
section. Except as provided in paragraphs (c), (e), (f), and (g) of this
section, each annual report required by this section shall be filed not
later than March 31 of each year, covering the preceding calendar year.
It shall be filed on the appropriate report form prescribed by the
Commission (see Sec. 1.785 of this chapter) and shall contain full and
specific answers to all questions propounded and information requested
in the currently effective report forms. The number of copies to be
filed shall be specified in the applicable report form. At least one
copy of this report shall be signed on the signature page by the
responsible accounting officer. A copy of each annual report shall be as
retained in the principal office of the respondent and shall be filed in
such manner to be readily available for reference and inspection.
(b) Each communication common carrier that has separate departments
or divisions for the conduct of its common carrier operations and its
noncarrier activities, shall file with the Commission a supplemental
annual report with respect to its common carrier operations,
exclusively, and a supplemental annual report applicable only to its
non-carrier operations. Each such report shall be prepared on the basis
of the accounting performed for the respective departments prior to
[[Page 9]]
elimination of intra-company items and shall be accompanied by a
statement of consolidation and eliminations or other explanation showing
how the consolidated report submitted in compliance with paragraph (a)
of this section was developed. Each such supplemental report shall be
completed in its entirety wherever applicable to the respective
departments, except that any schedule or statement that would be an
exact duplicate of the corresponding schedule or statement in the
consolidated report may be omitted from the supplemental report if
proper annotation is made.
(c) Each company, not itself a communication common carrier, that
directly or indirectly controls any communication common carrier that
has annual operating revenues equal to or above the indexed revenue
threshold shall file annually with the Commission, not later than the
date prescribed by the Securities and Exchange Commission for its
purposes, two complete copies of any annual report Forms 10-K (or any
superseding form) filed with that Commission.
(d) Each miscellaneous common carrier (as defined by Sec. 21.2 of
this chapter) with operating revenues for a calendar year in excess of
the indexed revenue threshold shall file with the Common Carrier Bureau
Chief a letter showing its operating revenues for that year and the
value of its total communications plant at the end of that year. Each
record carrier with operating revenues for a calendar year in excess of
three-fourths of the indexed revenue threshold shall file a letter
showing selected income statement and balance sheet items for that year
with the Common Carrier Bureau Chief. These letters must be filed by
March 31 of the following year.
(e) Each communications common carrier required by order to file a
manual allocating its costs between regulated and nonregulated
operations shall file, on or before April 1:
(1) A three-year forecast of regulated and nonregulated use of
network plant for the current calendar year and the two calendar years
following, and investment pool projections and allocations for the
current calendar year; and
(2) A report of the actual use of network plant investment for the
prior calendar year.
(f) Each local exchange carrier with annual operating revenues equal
to or above the indexed revenue threshold shall file, no later than
April 1 of each year, reports showing:
(1) Its revenues, expenses and investment for all accounts
established in part 32 of this chapter, on an operating company basis,
(2) The same part 32 of this chapter, on a study area basis, with
data for regulated and nonregulated operations for those accounts which
are related to the carrier's revenue requirement, and
(3) The separations categories on a study area basis, with each
category further divided into access elements and a nonaccess interstate
category.
(g) Each local exchange carrier with operating revenues for the
preceding year that are equal to or above the indexed revenue threshold
shall file, no later than April 1 of each year, a report showing for the
previous calendar year its revenues, expenses, taxes, plant in service,
other investment and depreciation reserves, and such other data as are
required by the Commission, on computer media prescribed by the
Commission. The total operating results shall be allocated between
regulated and nonregulated operations, and the regulated data shall be
further divided into the following categories: State and interstate, and
the interstate will be further divided into common line, traffic
sensitive access, special access and nonaccess.
[28 FR 13214, Dec. 5, 1963, as amended at 49 FR 10122, Mar. 19, 1984; 50
FR 41153, Oct. 9, 1985; 51 FR 37024, Oct. 17, 1986; 52 FR 35918, Sept.
24, 1987; 53 FR 47819, Nov. 28, 1988; 54 FR 49762, Dec. 1, 1989; 58 FR
36143, July 6, 1993; 59 FR 19648, Apr. 25, 1994; 61 FR 50245, Sept. 25,
1996]
Sec. 43.22 Quarterly reports of communication common carriers.
Each designated interstate carrier with operating revenues for the
preceding year that are equal to or above the indexed revenue threshold
shall file, by March 31, June 30, September 30, and December 31 of each
year, a report showing for the previous calendar quarter its revenues,
expenses, taxes, plant
[[Page 10]]
in service, other investment and depreciation reserves, and such other
data as are required by the Commission, on computer media prescribed by
the Commission. The total operating results shall be allocated between
regulated and nonregulated operations, and the regulated data shall be
further divided into the following categories: State and interstate, and
the interstate will be further divided into the major services.
[61 FR 50246, Sept. 25, 1996]
Sec. 43.41 Reports on inside wiring services.
Each local exchange carrier with annual operating revenues equal to
or above the indexed revenue threshold shall file, within thirty (30)
days of its publication or release, a copy of any state or local
statute, rule, order, or other document that regulates, or proposes to
regulate, the price or prices the local exchange carrier charges for
inside wiring services. This rule applies only to the local exchange
carrier serving the greatest number of access lines within the portions
of the state that are, or would be, subject to the state regulation.
[57 FR 9671, Mar. 20, 1992, as amended at 61 FR 50246, Sept. 25, 1996]
Sec. 43.43 Reports of proposed changes in depreciation rates.
(a) Each communication common carrier with annual operating revenues
equal to or above the indexed revenue threshold and which has been found
by this Commission to be a dominant carrier with respect to any
communications service shall, before making any change in the
depreciation rates applicable to its operated plant, file with the
Commission a report furnishing the data described in the subsequent
paragraphs of this section, and also comply with the other requirements
thereof.
(b) Each such report shall contain the following:
(1) A schedule showing for each class and subclass of plant (whether
or not the depreciation rate is proposed to be changed) an appropriate
designation therefor, the depreciation rate currently in effect, the
proposed rate, and the service-life and net-salvage estimates underlying
both the current and proposed depreciation rates;
(2) An additional schedule showing for each class and subclass, as
well as the totals for all depreciable plant, (i) the book cost of plant
at the most recent date available, (ii) the estimated amount of
depreciation accruals determined by applying the currently effective
rate to the amount of such book cost, (iii) the estimated amount of
depreciation accruals determined by applying the rate proposed to be
used to the amount of such book cost, and (iv) the difference between
the amounts determined in paragraphs (b)(2) (ii) and (iii) of this
section;
(3) A statement giving the reasons for the proposed change in each
rate;
(4) A statement describing the method or methods employed in the
development of the service-life and salvage estimates underlying each
proposed change in a depreciation rate; and
(5) The date as of which the revised rates are proposed to be made
effective in the accounts.
(c) Except as specified in paragraphs (c)(1) and (c)(2) of this
section, when the change in the depreciation rate proposed for any class
or subclass of plant (other than one occasioned solely by a shift in the
relative investment in the several subclasses of the class of plant)
amounts to twenty percent (20%) or more of the rate currently applied
thereto, or when the proposed change will produce an increase or
decrease of one percent (1%) or more of the aggregate depreciation
charges for all depreciable plant (based on the amounts determined in
compliance with paragraph (b)(2) of this section) the carrier shall
supplement the data required by paragraph (b) of this section with
copies of the underlying studies, including calculations and charts,
developed by the carrier to support service-life and net-salvage
estimates. If a carrier must submit data of a repetitive nature to
comply with this requirement, the carrier need only submit a fully
illustrative portion thereof.
(1) A Local Exchange Carrier regulated under price caps, pursuant to
Secs. 61.41 through 61.49 of this chapter, is
[[Page 11]]
not required to submit the supplemental information described in
paragraph (c) introductory text of this section for a specific account
if: The carrier's currently prescribed depreciation rate for the
specific account is derived from basic factors that fall within the
basic factor ranges established for that same account; and the carrier's
proposed depreciation rate for the specific account would also be
derived from basic factors that fall within the basic factor ranges for
the same account.
(2) Interexchange carriers regulated under price caps, pursuant to
Secs. 61.41 through 61.49 of this chapter, are exempted from submitting
the supplemental information as described in paragraph (c) introductory
text. They shall instead submit: Generation data, a summary of basic
factors underlying proposed rates by account and a short narrative
supporting those basic factors, including: Company plans of forecasted
retirements and additions; and recent annual retirements, salvage and
cost of removal.
(d) Each report shall be filed in duplicate and the original shall
be signed by the responsible official to whom correspondence related
thereto should be addressed.
(e) Unless otherwise directed or approved by the Commission, the
following shall be observed: Proposed changes in depreciation rates
shall be filed at least ninety (90) days prior to the last day of the
month with respect to which the revised rates are first to be applied in
the accounts (e.g., if the new rates are to be first applied in the
depreciation accounts for September, they must be filed on or before
July 1); and such rates may be made retroactive to a date not prior to
the beginning of the year in which the filing is made: Provided,
however, That in no event shall a carrier for which the Commission has
prescribed depreciation rates make any changes in such rates unless the
changes are prescribed by the Commission.
(f) Any changes in depreciation rates that are made under the
provisions of paragraph (e) of this section shall not be construed as
having been approved by the Commission unless the carrier has been
specifically so informed.
[28 FR 13214, Dec. 5, 1963, as amended at 30 FR 3223, Mar. 9, 1965; 53
FR 49987, Dec. 13, 1988; 58 FR 58790, Nov. 4, 1993; 61 FR 50246, Sept.
25, 1996]
Sec. 43.51 Contracts and concessions.
(a) Any communications common carrier that: is engaged in domestic
communications and has not been classified as nondominant pursuant to
Sec. 61.3 of this chapter or is engaged in foreign communications, and
enters into a contract with another carrier, including an operating
agreement with a communications entity in a foreign point for the
provision of a common carrier service between the United States and that
point; must file with the Commission, within thirty (30) days of
execution, a copy of each contract, agreement, concession, license,
authorization, operating agreement or other arrangement to which it is a
party and amendments thereto with respect to the following:
(1) The exchange of services;
(2) Except as provided in paragraph (c) of this section, the
interchange or routing of traffic and matters concerning rates,
accounting rates, division of tolls, or the basis of settlement of
traffic balances;
(3) The interconnection of a private line to the United States'
public switched network when such private line is used for foreign
communications; and
(4) The rights granted to the carrier by any foreign government for
the landing, connection, installation, or operation of cables, land
lines, radio stations, offices, or for otherwise engaging in
communication operations.
(b) If the agreement referred to in this section is made other than
in writing, a certified statement covering all details thereof must be
filed by at least one of the parties to the agreement. Each other party
to the agreement which is also subject to these provisions may, in lieu
of also filing a copy of the agreement, file a certified statement
referencing the filed document. The Commission may, at any time and upon
reasonable request, require any communication common carrier classified
as nondominant, and therefore not
[[Page 12]]
subject to the provisions of this section, to submit the documents
referenced in this section.
(c) With respect to contracts coming within the scope of paragraph
(a)(2) of this section between subject telephone carriers and connecting
carriers, except those contracts related to communications with foreign
or overseas points, such documents shall not be filed with the
Commission; but each subject telephone carrier shall maintain a copy of
such contracts to which it is a party in appropriate files at a central
location upon its premises, copies of which shall be readily accessible
to Commission staff and members of the public upon reasonable request
therefor; and upon request by the Commission, a subject telephone
carrier shall promptly forward individual contracts to the Commission.
(d) International settlements policy. (1) If a carrier files an
operating agreement (whether in the form of a contract, concession,
license, etc.) referred to in Sec. 43.51(a) to begin providing switched
voice, telex, telegraph, or packet-switched service between the United
States and a foreign point and the terms and conditions of such
agreement relating to the exchange of services, interchange or routing
of traffic and matters concerning rates, accounting rates, division of
tolls, or the basis of settlement of traffic balances, are not identical
to the equivalent terms and conditions in the operating agreement of
another carrier providing the same or similar service between the United
States and the same foreign point, the carrier must also file with the
Common Carrier Bureau a notification letter or waiver request, as
appropriate, under Sec. 64.1001 of this chapter.
(2) If a carrier files an amendment to the operating agreement
referred to in Sec. 43.51(a) under which it already provides switched
voice, telex, telegraph, or packet-switched service between the United
States and a foreign point, and other carriers provide the same or
similar service to the same foreign point, and the amendment relates to
the exchange of services, interchange or routing of traffic and matters
concerning rates, accounting rates, division of tolls, or the basis of
settlement of traffic balances, the carrier must also file with the
Common Carrier Bureau a notification letter or waiver request, as
appropriate, under Sec. 64.1001 of this chapter.
[51 FR 45890, Dec. 23, 1986, as amended at 56 FR 25371, June 4, 1991; 57
FR 647, Jan. 8, 1992; 58 FR 48323, Sept. 15, 1993; 60 FR 52866, Oct. 11,
1995]
Sec. 43.53 Reports regarding division of international toll communication charges.
(a) Each communication common carrier engaged directly in the
transmission or reception of telegraph communications between the
continental United States and any foreign country (other than one to
which the domestic word-count applies) shall file a report with the
Commission within thirty (30) days of the date of any arrangement
concerning the division of the total telegraph charges on such
communications other than transiting. A carrier first becoming subject
to the provisions of this section must, within thirty (30) days
thereafter, file with the Commission a report covering any such existing
arrangements.
(b) In the event that any change is made which affects data
previously filed, a revised page incorporating such change or changes
must be filed with the Commission not later than thirty (30) days from
the date the change is made, provided, however, that any change in the
amount of foreign participation in charges for outbound communications
or in the respondent's participation in charges for inbound
communications must be filed not later than thirty (30) days from the
date the change is agreed upon.
(c) A single copy of each such report must be filed in a format that
contains a clear, concise and definite statement of the arrangements.
[51 FR 45891, Dec. 23, 1986, as amended at 52 FR 8453, Mar. 18, 1987]
Sec. 43.61 Reports of international telecommunications traffic.
(a) Each common carrier engaged in providing international
telecommunications service between the area comprising the continental
United States, Alaska, Hawaii, and off-shore U.S. points and any country
or point outside that area shall file a report with
[[Page 13]]
the Commission not later than July 31 of each year for service actually
provided in the preceding calendar year.
(b) The information contained in the reports shall include actual
traffic and revenue data for each and every service provided by a common
carrier, divided among service billed in the United States, service
billed outside the United States, and service transiting the United
States.
(c) Each common carrier shall submit a revised report by October 31
identifying and correcting any inaccuracies included in the annual
report exceeding five percent of the reported figure.
(d) The information required under this section shall be furnished
in conformance with the instructions and reporting requirements prepared
under the direction of the Chief, Common Carrier Bureau, prepared and
published as a manual, in consultation and coordination with the Chief,
International Bureau.
[57 FR 8580, Mar. 11, 1992, as amended at 60 FR 5333, Jan. 27, 1995]
Sec. 43.72 [Reserved]
Sec. 43.81 Reports of carriers owned by foreign telecommunications entities.
(a) The following carriers are required to file with the Commission
an annual revenue and traffic report in triplicate with respect to all
common carrier telecommunications services they offer within the United
States.
(1) Cable and Wireless Communications, Inc.;
(2) FTCC Communications Inc.; and
(3) Consortium Communications International, Inc.
(b) The Chief, International Bureau has the authority to require
that no more than six additional communications carriers owned by
foreign telecommunications entities that are classified as dominant for
the provision of international telecommunications services originating
or terminating in the United States file Sec. 43.81 reports.
(c) The report should be captioned--Sec. 43.81 report and should
provide the following:
(1) Revenues, number of messages and number of minutes for message
telephone service traffic originated and/or terminated by the filing
carrier;
(2) Revenues, number of messages, and number of minutes for telex
traffic originated and/or terminated by the filing carrier;
(3) Revenues, number of messages, and number of minutes for
telegraph traffic originated and/or terminated by the filing carrier;
(4) Revenues, number of messages, and number of minutes for any
other basic switched services (specified by service) originated and/or
terminated by the filing carrier; and
(5) Number of leases and revenues from private line services
provided by the filing carrier.
(d) Section 43.81 Reports for:
(1) The calendar year 1988 must be filed on or before August 1,
1989;
(2) The calendar year 1989 must be filed on or before August 1,
1990; and
(3) The calendar year 1990 must be filed on or before August 1,
1991.
(e) These reports shall apply to nine or fewer persons and therefore
are not subject to the review of the Office of Management and Budget
under the Paperwork Reduction Act.
[54 FR 2130, Jan. 19, 1989, as amended at 60 FR 5333, Jan. 27, 1995]
Sec. 43.82 International circuit status reports.
(a) Each facilities-based common carrier engaged in providing
international telecommunications service between the area comprising the
continental United States, Alaska, Hawaii, and off-shore U.S. points and
any country or point outside that area shall file a circuit status
report with the Chief, International Bureau, not later than March 31
each year showing the status of its circuits used to provide
international services as of December 31 of the preceding calendar year.
(b) The information contained in the reports shall include the total
number of activated and the total number of idle circuits by the
categories of submarine cable, satellite and terrestrial facilities to
geographic points outside the United States for the services designated
by the Chief, International Bureau.
[[Page 14]]
(c) The information required under this section shall be furnished
in conformance with instructions and reporting requirements prepared
under the direction of the Chief, International Bureau, prepared and
published as a manual.
(d) Authority is hereby delegated to the Chief, International Bureau
to prepare instructions and reporting requirements for the filing of the
annual international circuit status reports.
[60 FR 51368, Oct. 2, 1995]
PART 51--INTERCONNECTION--Table of Contents
Subpart A--General Information
Sec.
51.1 Basis and purpose.
51.3 Applicability to negotiated agreements.
51.5 Terms and definitions.
Subpart B--Telecommunications Carriers
51.100 General duty.
Subpart C--Obligations of All Local Exchange Carriers
51.201 Resale.
51.203 Number portability.
51.205 Dialing parity: General.
51.207 Local dialing parity.
51.209 Toll dialing parity.
51.211 Toll dialing parity implementattion schedule.
51.213 Toll dialing parity implementation plans.
51.215 Dialing parity: Cost recovery.
51.217 Nondiscriminatory access: Telephone numbers, operator services,
directory assistance services, and directory listings.
51.219 Access to rights of way.
51.221 Reciprocal compensation.
51.223 Application of additional requirements.
Subpart D--Additional Obligations of Incumbent Local Exchange Carriers
51.301 Duty to negotiate.
51.303 Preexisting agreements.
51.305 Interconnection.
51.307 Duty to provide access on an unbundled basis to network
elements.
51.309 Use of unbundled network elements.
51.311 Nondiscriminatory access to unbundled network elements.
51.313 Just, reasonable and nondiscriminatory terms and conditions for
the provision of unbundled network elements.
51.315 Combination of unbundled network elements.
51.317 Standards for identifying network elements to be made available.
51.319 Specific unbundling requirements.
51.321 Methods of obtaining interconnection and access to unbundled
elements under section 251 of the Act.
51.323 Standards for physical collocation and virtual collocation.
51.325 Notice of network changes: Public notice requirement.
51.327 Notice of network changes: Content of notice.
51.329 Notice of network changes: Methods for providing notice.
51.331 Notice of network changes: Timing of notice.
51.333 Notice of network changes: Short term notice.
51.335 Notice of network changes: Confidential or proprietary
information.
Subpart E--Exemptions, Suspensions, and Modifications of Requirements of
Section 251 of the Act
51.401 State authority.
51.403 Carriers eligible for suspension or modification under section
251(f)(2) of the Act.
51.405 Burden of proof.
Subpart F--Pricing of Elements
51.501 Scope.
51.503 General pricing standard.
51.505 Forward-looking economic cost.
51.507 General rate structure standard.
51.509 Rate structure standards for specific elements.
51.511 Forward-looking economic cost per unit.
51.513 Proxies for forward-looking economic cost.
51.515 Application of access charges.
Subpart G--Resale
51.601 Scope of resale rules.
51.603 Resale obligation of all local exchange carriers.
51.605 Additional obligations of incumbent local exchange carriers.
51.607 Wholesale pricing standard.
51.609 Determination of avoided retail costs.
51.611 Interim wholesale rates.
51.613 Restrictions on resale.
51.615 Withdrawal of services.
51.617 Assessment of end user common line charge on resellers.
Subpart H--Reciprocal Compensation for Transport and Termination of
Local Telecommunications Traffic
51.701 Scope of transport and termination pricing rules.
[[Page 15]]
51.703 Reciprocal compensation obligation of LECs.
51.705 Incumbent LECs' rates for transport and termination.
51.707 Default proxies for incumbent LECs' transport and termination
rates.
51.709 Rate structure for transport and termination.
51.711 Symmetrical reciprocal compensation.
51.713 Bill-and-keep arrangements for reciprocal compensation.
51.715 Interim transport and termination pricing.
51.717 Renegotiation of existing non-reciprocal arrangements.
Subpart I--Procedures for Implementation of Section 252 of the Act
51.801 Commission action upon a state commission's failure to act to
carry out its responsibility under section 252 of the Act.
51.803 Procedures for Commission notification of a state commission's
failure to act.
51.805 The Commission's authority over proceedings and matters.
51.807 Arbitration and mediation of agreements by the Commission
pursuant to section 252(e)(5) of the Act.
51.809 Availability of provisions of agreements to other
telecommunications carriers under section 252(i) of the Act.
Authority: Sections 1-5, 7, 201-05, 207-09, 218, 225-27, 251-54,
271, 332, 48 Stat. 1070, as amended, 1077; 47 U.S.C. Secs. 151-55, 157,
201-05, 207-09, 218, 225-27, 251-54, 271, 332, unless otherwise noted.
Source: 61 FR 45619, Aug. 29, 1996, unless otherwise noted.
Subpart A--General Information
Sec. 51.1 Basis and purpose.
(a) Basis. These rules are issued pursuant to the Communications Act
of 1934, as amended.
(b) Purpose. The purpose of these rules is to implement sections 251
and 252 of the Communications Act of 1934, as amended, 47 U.S.C. 251 and
252.
Sec. 51.3 Applicability to negotiated agreements.
To the extent provided in section 252(e)(2)(A) of the Act, a state
commission shall have authority to approve an interconnection agreement
adopted by negotiation even if the terms of the agreement do not comply
with the requirements of this part.
Sec. 51.5 Terms and definitions.
Terms used in this part have the following meanings:
Act. The Communications Act of 1934, as amended.
Advanced intelligent network. Advanced intelligent network is a
telecommunications network architecture in which call processing, call
routing, and network management are provided by means of centralized
databases located at points in an incumbent local exchange carrier's
network.
Arbitration, final offer. Final offer arbitration is a procedure
under which each party submits a final offer concerning the issues
subject to arbitration, and the arbitrator selects, without
modification, one of the final offers by the parties to the arbitration
or portions of both such offers. ``Entire package final offer
arbitration,'' is a procedure under which the arbitrator must select,
without modification, the entire proposal submitted by one of the
parties to the arbitration. ``Issue-by-issue final offer arbitration,''
is a procedure under which the arbitrator must select, without
modification, on an issue-by-issue basis, one of the proposals submitted
by the parties to the arbitration.
Billing. Billing involves the provision of appropriate usage data by
one telecommunications carrier to another to facilitate customer billing
with attendant acknowledgements and status reports. It also involves the
exchange of information between telecommunications carriers to process
claims and adjustments.
Commercial Mobile Radio Service (CMRS). CMRS has the same meaning as
that term is defined in Sec. 20.3 of this chapter.
Commission. Commission refers to the Federal Communications
Commission.
Dialing parity. The term dialing parity means that a person that is
not an affiliate of a local exchange carrier is able to provide
telecommunications services in such a manner that customers have the
ability to route automatically, without the use of any access code,
their telecommunications to the telecommunications service provider of
the customer's designation from among 2 or more telecommunications
service providers (including such local exchange carrier).
[[Page 16]]
Directory assistance service. Directory assistance service includes,
but is not limited to, making available to customers, upon request,
information contained in directory listings.
Directory listings. Directory listings are any information:
(1) Identifying the listed names of subscribers of a
telecommunications carrier and such subscriber's telephone numbers,
addresses, or primary advertising classifications (as such
classifications are assigned at the time of the establishment of such
service), or any combination of such listed names, numbers, addresses or
classifications; and
(2) That the telecommunications carrier or an affiliate has
published, caused to be published, or accepted for publication in any
directory format.
Downstream database. A downstream database is a database owned and
operated by an individual carrier for the purpose of providing number
portability in conjunction with other functions and services.
Equipment necessary for interconnection or access to unbundled
network elements. For purposes of section 251(c)(2) of the Act, the
equipment used to interconnect with an incumbent local exchange
carrier's network for the transmission and routing of telephone exchange
service, exchange access service, or both. For the purposes of section
251(c)(3) of the Act, the equipment used to gain access to an incumbent
local exchange carrier's unbundled network elements for the provision of
a telecommunications service.
Incumbent Local Exchange Carrier (Incumbent LEC). With respect to an
area, the local exchange carrier that:
(1) On February 8, 1996, provided telephone exchange service in such
area; and
(2)(i) On February 8, 1996, was deemed to be a member of the
exchange carrier association pursuant to Sec. 69.601(b) of this chapter;
or
(ii) Is a person or entity that, on or after February 8, 1996,
became a successor or assign of a member described in paragraph (2)(i)
of this section.
Information services. The term information services means the
offering of a capability for generating, acquiring, storing,
transforming, processing, retrieving, utilizing, or making available
information via telecommunications, and includes electronic publishing,
but does not include any use of any such capability for the management,
control, or operation of a telecommunications system or the management
of a telecommunications service.
Interconnection. Interconnection is the linking of two networks for
the mutual exchange of traffic. This term does not include the transport
and termination of traffic.
Local Access and Transport Area (LATA). A Local Access and Transport
Area is a contiguous geographic area--
(1) Established before February 8, 1996 by a Bell operating company
such that no exchange area includes points within more than 1
metropolitan statistical area, consolidated metropolitan statistical
area, or State, except as expressly permitted under the AT&T Consent
Decree; or
(2) Established or modified by a Bell operating company after
February 8, 1996 and approved by the Commission.
Local Exchange Carrier (LEC). A LEC is any person that is engaged in
the provision of telephone exchange service or exchange access. Such
term does not include a person insofar as such person is engaged in the
provision of a commercial mobile service under section 332(c) of the
Act, except to the extent that the Commission finds that such service
should be included in the definition of the such term.
Maintenance and repair. Maintenance and repair involves the exchange
of information between telecommunications carriers where one initiates a
request for maintenance or repair of existing products and services or
unbundled network elements or combination thereof from the other with
attendant acknowledgements and status reports.
Meet point. A meet point is a point of interconnection between two
networks, designated by two telecommunications carriers, at which one
carrier's responsibility for service begins and the other carrier's
responsibility ends.
Meet point interconnection arrangement. A meet point interconnection
arrangement is an arrangement by which each telecommunications carrier
[[Page 17]]
builds and maintains its network to a meet point.
Network element. A network element is a facility or equipment used
in the provision of a telecommunications service. Such term also
includes, but is not limited to, features, functions, and capabilities
that are provided by means of such facility or equipment, including but
not limited to, subscriber numbers, databases, signaling systems, and
information sufficient for billing and collection or used in the
transmission, routing, or other provision of a telecommunications
service.
Operator services. Operator services are any automatic or live
assistance to a consumer to arrange for billing or completion of a
telephone call. Such services include, but are not limited to, busy line
verification, emergency interrupt, and operator-assisted directory
assistance services.
Physical collocation. Physical collocation is an offering by an
incumbent LEC that enables a requesting telecommunications carrier to:
(1) Place its own equipment to be used for interconnection or access
to unbundled network elements within or upon an incumbent LEC's
premises;
(2) Use such equipment to interconnect with an incumbent LEC's
network facilities for the transmission and routing of telephone
exchange service, exchange access service, or both, or to gain access to
an incumbent LEC's unbundled network elements for the provision of a
telecommunications service;
(3) Enter those premises, subject to reasonable terms and
conditions, to install, maintain, and repair equipment necessary for
interconnection or access to unbundled elements; and
(4) Obtain reasonable amounts of space in an incumbent LEC's
premises, as provided in this part, for the equipment necessary for
interconnection or access to unbundled elements, allocated on a first-
come, first-served basis.
Premises. Premises refers to an incumbent LEC's central offices and
serving wire centers, as well as all buildings or similar structures
owned or leased by an incumbent LEC that house its network facilities,
and all structures that house incumbent LEC facilities on public rights-
of-way, including but not limited to vaults containing loop
concentrators or similar structures.
Pre-ordering and ordering. Pre-ordering and ordering includes the
exchange of information between telecommunications carriers about
current or proposed customer products and services or unbundled network
elements or some combination thereof.
Provisioning. Provisioning involves the exchange of information
between telecommunications carriers where one executes a request for a
set of products and services or unbundled network elements or
combination thereof from the other with attendant acknowledgements and
status reports.
Rural telephone company. A rural telephone company is a LEC
operating entity to the extent that such entity:
(1) Provides common carrier service to any local exchange carrier
study area that does not include either:
(i) Any incorporated place of 10,000 inhabitants or more, or any
part thereof, based on the most recently available population statistics
of the Bureau of the Census; or
(ii) Any territory, incorporated or unincorporated, included in an
urbanized area, as defined by the Bureau of the Census as of August 10,
1993;
(2) Provides telephone exchange service, including exchange access,
to fewer than 50,000 access lines;
(3) Provides telephone exchange service to any local exchange
carrier study area with fewer than 100,000 access lines; or
(4) Has less than 15 percent of its access lines in communities of
more than 50,000 on February 8, 1996.
Service control point. A service control point is a computer
database in the public switched network which contains information and
call processing instructions needed to process and complete a telephone
call.
Service creation environment. A service creation environment is a
computer containing generic call processing software that can be
programmed to create new advanced intelligent network call processing
services.
Service provider. A service provider is a provider of
telecommunications services or a provider of information services.
[[Page 18]]
Signal transfer point. A signal transfer point is a packet switch
that acts as a routing hub for a signaling network and transfers
messages between various points in and among signaling networks.
State. The term state includes the District of Columbia and the
Territories and possessions.
State commission. A state commission means the commission, board, or
official (by whatever name designated) which under the laws of any State
has regulatory jurisdiction with respect to intrastate operations of
carriers. As referenced in this part, this term may include the
Commission if it assumes the responsibility of the state commission,
pursuant to section 252(e)(5) of the Act. This term shall also include
any person or persons to whom the state commission has delegated its
authority under section 251 and 252 of the Act.
State proceeding. A state proceeding is any administrative
proceeding in which a state commission may approve or prescribe rates,
terms, and conditions including, but not limited to, compulsory
arbitration pursuant to section 252(b) of the Act, review of a Bell
operating company statement of generally available terms pursuant to
section 252(f) of the Act, and a proceeding to determine whether to
approve or reject an agreement adopted by arbitration pursuant to
section 252(e) of the Act.
Technically feasible. Interconnection, access to unbundled network
elements, collocation, and other methods of achieving interconnection or
access to unbundled network elements at a point in the network shall be
deemed technically feasible absent technical or operational concerns
that prevent the fulfillment of a request by a telecommunications
carrier for such interconnection, access, or methods. A determination of
technical feasibility does not include consideration of economic,
accounting, billing, space, or site concerns, except that space and site
concerns may be considered in circumstances where there is no
possibility of expanding the space available. The fact that an incumbent
LEC must modify its facilities or equipment to respond to such request
does not determine whether satisfying such request is technically
feasible. An incumbent LEC that claims that it cannot satisfy such
request because of adverse network reliability impacts must prove to the
state commission by clear and convincing evidence that such
interconnection, access, or methods would result in specific and
significant adverse network reliability impacts.
Telecommunications carrier. A telecommunications carrier is any
provider of telecommunications services, except that such term does not
include aggregators of telecommunications services (as defined in
section 226 of the Act). A telecommunications carrier shall be treated
as a common carrier under the Act only to the extent that it is engaged
in providing telecommunications services, except that the Commission
shall determine whether the provision of fixed and mobile satellite
service shall be treated as common carriage. This definition includes
CMRS providers, interexchange carriers (IXCs) and, to the extent they
are acting as telecommunications carriers, companies that provide both
telecommunications and information services. Private Mobile Radio
Service providers are telecommunications carriers to the extent they
provide domestic or international telecommunications for a fee directly
to the public.
Telecommunications service. The term telecommunications service
refers to the offering of telecommunications for a fee directly to the
public, or to such classes of users as to be effectively available
directly to the public, regardless of the facilities used.
Telephone exchange service. A telephone exchange service is:
(1) A service within a telephone exchange, or within a connected
system of telephone exchanges within the same exchange area operated to
furnish to subscribers intercommunicating service of the character
ordinarily furnished by a single exchange, and which is covered by the
exchange service charge, or
(2) A comparable service provided through a system of switches,
transmission equipment, or other facilities (or combination thereof) by
which a subscriber can originate and terminate a telecommunications
service.
[[Page 19]]
Telephone toll service. The term telephone toll service refers to
telephone service between stations in different exchange areas for which
there is made a separate charge not included in contracts with
subscribers for exchange service.
Unreasonable dialing delay. For the same type of calls, dialing
delay is ``unreasonable'' when the dialing delay experienced by the
customer of a competing provider is greater than that experienced by a
customer of the LEC providing dialing parity, or nondiscriminatory
access to operator services or directory assistance.
Virtual collocation. Virtual collocation is an offering by an
incumbent LEC that enables a requesting telecommunications carrier to:
(1) Designate or specify equipment to be used for interconnection or
access to unbundled network elements to be located within or upon an
incumbent LEC's premises, and dedicated to such telecommunications
carrier's use;
(2) Use such equipment to interconnect with an incumbent LEC's
network facilities for the transmission and routing of telephone
exchange service, exchange access service, or both, or for access to an
incumbent LEC's unbundled network elements for the provision of a
telecommunications service; and
(3) Electronically monitor and control its communications channels
terminating in such equipment.
[61 FR 45619, Aug. 29, 1996, as amended at 61 FR 47348, Sept. 6, 1996]
Effective Date Note: At 61 FR 47348, Sept. 6, 1996, in Sec. 51.5,
the definitions of Dialing parity, Information services, Local Access
and Transport Area, Service provider, State, Telecommunications service,
Telephone exchange service, Telephone toll service and Unreasonable
dialing delay were added, effective Oct. 7, 1996.
Subpart B--Telecommunications Carriers
Sec. 51.100 General duty.
(a) Each telecommunications carrier has the duty:
(1) To interconnect directly or indirectly with the facilities and
equipment of other telecommunications carriers; and
(2) To not install network features, functions, or capabilities that
do not comply with the guidelines and standards as provided in the
Commission's rules or section 255 or 256 of the Act.
(b) A telecommunication carrier that has interconnected or gained
access under sections 251(a)(1), 251(c)(2), or 251(c)(3) of the Act, may
offer information services through the same arrangement, so long as it
is offering telecommunications services through the same arrangement as
well.
Subpart C--Obligations of All Local Exchange Carriers
Sec. 51.201 Resale.
The rules governing resale of services by an incumbent LEC are set
forth in subpart G of this part.
Sec. 51.203 Number portability.
The rules governing number portability are set forth in part 52,
subpart C of this chapter.
Sec. 51.205 Dialing parity: General.
A local exchange carrier (LEC) shall provide local and toll dialing
parity to competing providers of telephone exchange service or telephone
toll service, with no unreasonable dialing delays. Dialing parity shall
be provided for all originating telecommunications services that require
dialing to route a call.
[61 FR 47349, Sept. 6, 1996]
Effective Date Note: At 61 FR 47349, Sept. 6, 1996, Sec. 51.205 was
added, effective Oct. 7, 1996.
Sec. 51.207 Local dialing parity.
A LEC shall permit telephone exchange service customers within a
local calling area to dial the same number of digits to make a local
telephone call notwithstanding the identity of the customer's or the
called party's telecommunications service provider.
[61 FR 47349, Sept. 6, 1996]
Effective Date Note: At 61 FR 47349, Sept. 6, 1996, Sec. 51.207 was
added, effective Oct. 7, 1996.
[[Page 20]]
Sec. 51.209 Toll dialing parity.
(a) A LEC shall implement throughout each state in which it offers
telephone exchange service intraLATA and interLATA toll dialing parity
based on LATA boundaries. When a single LATA covers more than one state,
the LEC shall use the implementation procedures that each state has
approved for the LEC within that state's borders.
(b) A LEC shall implement toll dialing parity through a
presubscription process that permits a customer to select a carrier to
which all designated calls on a customer's line will be routed
automatically. LECs shall allow a customer to presubscribe, at a
minimum, to one telecommunications carrier for all interLATA toll calls
and to presubscribe to the same or to another telecommunications carrier
for all intraLATA toll calls.
(c) A LEC may not assign automatically a customer's intraLATA toll
traffic to itself, to its subsidiaries or affiliates, to the customer's
presubscribed interLATA or interstate toll carrier, or to any other
carrier, except when, in a state that already has implemented
intrastate, intraLATA toll dialing parity, the subscriber has selected
the same presubscribed carrier for both intraLATA and interLATA toll
calls.
(d) Notwithstanding the requirements of paragraphs (a) and (b) of
this section, states may require that toll dialing parity be based on
state boundaries if it deems that the provision of intrastate and
interstate toll dialing parity is procompetitive and otherwise in the
public interest.
[61 FR 47349, Sept. 6, 1996]
Effective Date Note: At 61 FR 47349, Sept. 6, 1996, Sec. 51.209 was
added, effective Oct. 7, 1996.
Sec. 51.211 Toll dialing parity implementation schedule.
(a) A LEC that does not begin providing in-region, interLATA or in-
region, interstate toll services in a state before February 8, 1999,
must implement intraLATA and interLATA toll dialing parity throughout
that state on February 8, 1999 or an earlier date as the state may
determine, consistent with section 271(e)(2)(B) of the Communications
Act of 1934, as amended, to be in the public interest.
(b) A Bell Operating Company (BOC) that provides in-region,
interLATA toll services in a state before February 8, 1999 shall provide
intraLATA toll dialing parity throughout that state coincident with its
provision of in-region, interLATA toll services.
(c) A LEC that is not a BOC that begins providing in-region,
interLATA or in-region, interstate toll services in a state before
August 8, 1997, shall implement intraLATA and interLATA toll dialing
parity throughout that state by August 8, 1997. If the LEC is unable to
comply with the August 8, 1997 implementation deadline, the LEC must
notify the Commission's Common Carrier Bureau by May 8, 1997. In the
notification, the LEC must state its justification for noncompliance and
must set forth the date by which it proposes to implement intraLATA and
interLATA toll dialing parity.
(d) A LEC that is not a BOC that begins providing in-region,
interLATA or in-region, interstate toll services in a state on or after
August 8, 1997, but before February 8, 1999 shall implement intraLATA
and interLATA toll dialing parity throughout that state no later than
the date on which it begins providing in-region, interLATA or in-region,
interstate toll services.
(e) Notwithstanding the requirements of paragraphs (a) through (d)
of this section, a LEC shall implement toll dialing parity under a state
order as described below:
(1) If the state issued a dialing parity order by December 19, 1995
requiring a BOC to implement toll dialing parity in advance of the dates
established by these rules, the BOC must implement toll dialing parity
in accordance with the implementation dates established by the state
order.
(2) If the state issued a dialing parity order by August 8, 1996
requiring a LEC that is not a BOC to implement toll dialing parity in
advance of the dates established by these rules, the LEC must implement
toll dialing parity in accordance with the implementation dates
established by the state order.
(f) For LECs that are not Bell Operating Companies, the term in-
region, interLATA toll service, as used in this
[[Page 21]]
section and Sec. 51.213, includes the provision of toll services outside
of the LEC's study area.
[61 FR 47349, Sept. 6, 1996]
Effective Date Note: At 61 FR 47349, Sept. 6, 1996, Sec. 51.211 was
added, effective Oct. 7, 1996. The information collection and
recordkeeping requirements contained in paragraph (c) of this section
are effective Nov. 15, 1996.
Sec. 51.213 Toll dialing parity implementation plans.
(a) A LEC must file a plan for providing intraLATA toll dialing
parity throughout each state in which it offers telephone exchange
service. A LEC cannot offer intraLATA toll dialing parity within a state
until the implementation plan has been approved by the appropriate state
commission or the Commission.
(b) A LEC's implementation plan must include:
(1) A proposal that explains how the LEC will offer intraLATA toll
dialing parity for each exchange that the LEC operates in the state, in
accordance with the provisions of this section, and a proposed time
schedule for implementation; and
(2) A proposal for timely notification of its subscribers and the
methods it proposes to use to enable subscribers to affirmatively select
an intraLATA toll service provider.
(3) A LEC that is not a BOC also shall identify the LATA with which
it will associate for the purposes of providing intraLATA and interLATA
toll dialing parity under this subpart.
(c) A LEC must file its implementation plan with the state
commission for each state in which the LEC provides telephone exchange
service, except that if a LEC determines that a state commission has
elected not to review the plan or will not complete its review in
sufficient time for the LEC to meet the toll dialing parity
implementation deadlines in Sec. 51.211, the LEC must file its plan with
the Commission:
(1) No later than 180 days before the date on which the LEC will
begin providing toll dialing parity in the state, or no later than 180
days before February 8, 1999, whichever occurs first; or
(2) For LECs that begin providing in-region, interLATA or in-region,
interstate toll service (see Sec. 51.211(f)) before August 8, 1997, no
later than December 5, 1996.
(d) The Commission will release a public notice of any LEC
implementation plan that is filed with the Commission under paragraph
(c) of this section.
(1) The LEC's plan will be deemed approved on the fifteenth day
following release of the Commission's public notice unless, no later
than the fourteenth day following the release of the Commission's public
notice; either
(i) The Common Carrier Bureau notifies the LEC that its plan will
not be deemed approved on the fifteenth day; or
(ii) An opposition to the plan is filed with the Commission and
served on the LEC that filed the plan. Such an opposition must state
specific reasons why the LEC's plan does not serve the public interest.
(2) If one or more oppositions are filed, the LEC that filed the
plan will have seven additional days (i.e., until no later than the
twenty-first day following the release of the Commission's public
notice) within which to file a reply to the opposition(s) and serve it
on all parties that filed an opposition. The response shall:
(i) Include information responsive to the allegations and concerns
identified by the opposing party; and
(ii) Identify possible revisions to the plan that will address the
opposing party's concerns.
(3) If a LEC's plan is opposed under paragraph (d)(1)(ii) of this
section, the Common Carrier Bureau will act on the plan within ninety
days of the date on which the Commission released its public notice. In
the event the Bureau fails to act within ninety days, the plan will not
go into effect pending Bureau action. If the plan is not opposed, but it
did not go into effect on the fifteenth day following the release of the
Commission's public notice (see paragraph (d)(1)(i) of this section),
and the Common Carrier Bureau fails to act on the plan within ninety
days of the date on which the Commission released its public notice, the
plan will be deemed approved without further Commission action on the
ninety-first day after the
[[Page 22]]
date on which the Commission released its public notice of the plan's
filing.
[61 FR 47349, Sept. 6, 1996]
Effective Date Note: At 61 FR 47349, Sept. 6, 1996, Sec. 51.213 was
added. The information collection and recordkeeping requirements
contained in this section are effective Nov. 15, 1996.
Sec. 51.215 Dialing parity: Cost recovery.
(a) A LEC may recover the incremental costs necessary for the
implementation of toll dialing parity. The LEC must recover such costs
from all providers of telephone exchange service and telephone toll
service in the area served by the LEC, including that LEC. The LEC shall
use a cost recovery mechanism established by the state.
(b) Any cost recovery mechanism for the provision of toll dialing
parity pursuant to this section that a state adopts must not:
(1) Give one service provider an appreciable cost advantage over
another service provider, when competing for a specific subscriber
(i.e., the recovery mechanism may not have a disparate effect on the
incremental costs of competing service providers seeking to serve the
same customer); or
(2) Have a disparate effect on the ability of competing service
providers to earn a normal return on their investment.
[61 FR 47350, Sept. 6, 1996]
Effective Date Note: At 61 FR 47350, Sept. 6, 1996, Sec. 51.215 was
added, effective Oct. 7, 1996.
Sec. 51.217 Nondiscriminatory access: Telephone numbers, operator services, directory assistance services, and directory listings.
(a) Definitions. As used in this section, the following definitions
apply:
(1) Competing provider. A ``competing provider'' is a provider of
telephone exchange or telephone toll services that seeks
nondiscriminatory access from a local exchange carrier (LEC) in that
LEC's service area.
(2) Nondiscriminatory access. ``Nondiscriminatory access'' refers to
access to telephone numbers, operator services, directory assistance and
directory listings that is at least equal to the access that the
providing local exchange carrier (LEC) itself receives.
Nondiscriminatory access includes, but is not limited to:
(i) Nondiscrimination between and among carriers in the rates,
terms, and conditions of the access provided; and
(ii) The ability of the competing provider to obtain access that is
at least equal in quality to that of the providing LEC.
(3) Providing local exchange carrier (LEC). A ``providing local
exchange carrier'' is a local exchange carrier (LEC) that is required to
permit nondiscriminatory access to a competing provider.
(b) General rule. A local exchange carrier (LEC) that provides
operator services, directory assistance services or directory listings
to its customers, or provides telephone numbers, shall permit competing
providers of telephone exchange service or telephone toll service to
have nondiscriminatory access to that service or feature, with no
unreasonable dialing delays.
(c) Specific requirements. A LEC subject to paragraph (b) of this
section must also comply with the following requirements:
(1) Telephone numbers. A LEC shall permit competing providers to
have access to telephone numbers that is identical to the access that
the LEC provides to itself.
(2) Operator services. A LEC must permit telephone service customers
to connect to the operator services offered by that customer's chosen
local service provider by dialing ``0,'' or ``0'' plus the desired
telephone number, regardless of the identity of the customer's local
telephone service provider.
(3) Directory assistance services and directory listings.--(i)
Access to directory assistance. A LEC shall permit competing providers
to have access to its directory assistance services so that any customer
of a competing provider can obtain directory listings, except as
provided in paragraph (c)(3)(iii) of this section, on a
nondiscriminatory basis, notwithstanding the identity of the customer's
local service provider, or the identity of the provider for the customer
whose listing is requested.
[[Page 23]]
(ii) Access to directory listings. A LEC shall provide directory
listings to competing providers in readily accessible magnetic tape or
electronic formats in a timely fashion upon request. A LEC also must
permit competing providers to have access to and read the information in
the LEC's directory assistance databases.
(iii) Unlisted numbers. A LEC shall not provide access to unlisted
telephone numbers, or other information that its customer has asked the
LEC not to make available. The LEC shall ensure that access is permitted
only to the same directory information that is available to its own
directory assistance customers.
(iv) Adjuncts to services. Operator services and directory
assistance services must be made available to competing providers in
their entirety, including access to any adjunct features (e.g., rating
tables or customer information databases) necessary to allow competing
providers full use of these services.
(d) Branding of operator services and directory assistance services.
The refusal of a providing local exchange carrier (LEC) to comply with
the reasonable request of a competing provider that the providing LEC
rebrand its operator services and directory assistance, or remove its
brand from such services, creates a presumption that the providing LEC
is unlawfully restricting access to its operator services and directory
assistance. The providing LEC can rebut this presumption by
demonstrating that it lacks the capability to comply with the competing
provider's request.
(e) Disputes.--(1) Disputes involving nondiscriminatory access. In
disputes involving nondiscriminatory access to operator services,
directory assistance services, or directory listings, a providing LEC
shall bear the burden of demonstrating with specificity:
(i) That it is permitting nondiscriminatory access, and
(ii) That any disparity in access is not caused by factors within
its control. ``Factors within its control'' include, but are not limited
to, physical facilities, staffing, the ordering of supplies or
equipment, and maintenance.
(2) Disputes involving unreasonable dialing delay. In disputes
between providing local exchange carriers (LECs) and competing providers
involving unreasonable dialing delay in the provision of access to
operator services and directory assistance, the burden of proof is on
the providing LEC to demonstrate with specificity that it is processing
the calls of the competing provider's customers on terms equal to that
of similar calls from the providing LEC's own customers.
[61 FR 47350, Sept. 6, 1996]
Effective Date Note: At 61 FR 47350, Sept. 6, 1996, Sec. 51.217 was
added. The information collection and recordkeeping requirements
contained in this section are effective Nov. 15, 1996.
Sec. 51.219 Access to rights of way.
The rules governing access to rights of way are set forth in part 1,
subpart J of this chapter.
Sec. 51.221 Reciprocal compensation.
The rules governing reciprocal compensation are set forth in subpart
H of this part.
Sec. 51.223 Application of additional requirements.
(a) A state may not impose the obligations set forth in section
251(c) of the Act on a LEC that is not classified as an incumbent LEC as
defined in section 251(h)(1) of the Act, unless the Commission issues an
order declaring that such LECs or classes or categories of LECs should
be treated as incumbent LECs.
(b) A state commission, or any other interested party, may request
that the Commission issue an order declaring that a particular LEC be
treated as an incumbent LEC, or that a class or category of LECs be
treated as incumbent LECs, pursuant to section 251(h)(2) of the Act.
Subpart D--Additional Obligations of Incumbent Local Exchange Carriers
Sec. 51.301 Duty to negotiate.
(a) An incumbent LEC shall negotiate in good faith the terms and
conditions of agreements to fulfill the duties established by sections
251(b) and (c) of the Act.
(b) A requesting telecommunications carrier shall negotiate in good
faith
[[Page 24]]
the terms and conditions of agreements described in paragraph (a) of
this section.
(c) If proven to the Commission, an appropriate state commission, or
a court of competent jurisdiction, the following actions or practices,
among others, violate the duty to negotiate in good faith:
(1) Demanding that another party sign a nondisclosure agreement that
precludes such party from providing information requested by the
Commission, or a state commission, or in support of a request for
arbitration under section 252(b)(2)(B) of the Act;
(2) Demanding that a requesting telecommunications carrier attest
that an agreement complies with all provisions of the Act, federal
regulations, or state law;
(3) Refusing to include in an arbitrated or negotiated agreement a
provision that permits the agreement to be amended in the future to take
into account changes in Commission or state rules;
(4) Conditioning negotiation on a requesting telecommunications
carrier first obtaining state certifications;
(5) Intentionally misleading or coercing another party into reaching
an agreement that it would not otherwise have made;
(6) Intentionally obstructing or delaying negotiations or
resolutions of disputes;
(7) Refusing throughout the negotiation process to designate a
representative with authority to make binding representations, if such
refusal significantly delays resolution of issues; and
(8) Refusing to provide information necessary to reach agreement.
Such refusal includes, but is not limited to:
(i) Refusal by an incumbent LEC to furnish information about its
network that a requesting telecommunications carrier reasonably requires
to identify the network elements that it needs in order to serve a
particular customer; and
(ii) Refusal by a requesting telecommunications carrier to furnish
cost data that would be relevant to setting rates if the parties were in
arbitration.
Sec. 51.303 Preexisting agreements.
(a) All interconnection agreements between an incumbent LEC and a
telecommunications carrier, including those negotiated before February
8, 1996, shall be submitted by the parties to the appropriate state
commission for approval pursuant to section 252(e) of the Act.
(b) Interconnection agreements negotiated before February 8, 1996,
between Class A carriers, as defined by Sec. 32.11(a)(1) of this
chapter, shall be filed by the parties with the appropriate state
commission no later than June 30, 1997, or such earlier date as the
state commission may require.
(c) If a state commission approves a preexisting agreement, it shall
be made available to other parties in accordance with section 252(i) of
the Act and Sec. 51.809 of this part. A state commission may reject a
preexisting agreement on the grounds that it is inconsistent with the
public interest, or for other reasons set forth in section 252(e)(2)(A)
of the Act.
Sec. 51.305 Interconnection.
(a) An incumbent LEC shall provide, for the facilities and equipment
of any requesting telecommunications carrier, interconnection with the
incumbent LEC's network:
(1) For the transmission and routing of telephone exchange traffic,
exchange access traffic, or both;
(2) At any technically feasible point within the incumbent LEC's
network including, at a minimum:
(i) The line-side of a local switch;
(ii) The trunk-side of a local switch;
(iii) The trunk interconnection points for a tandem switch;
(iv) Central office cross-connect points;
(v) Out-of-band signaling transfer points necessary to exchange
traffic at these points and access call-related databases; and
(vi) The points of access to unbundled network elements as described
in Sec. 51.319;
(3) That is at a level of quality that is equal to that which the
incumbent LEC provides itself, a subsidiary, an affiliate, or any other
party, except as provided in paragraph (4) of this section. At a
minimum, this requires an
[[Page 25]]
incumbent LEC to design interconnection facilities to meet the same
technical criteria and service standards that are used within the
incumbent LEC's network. This obligation is not limited to a
consideration of service quality as perceived by end users, and
includes, but is not limited to, service quality as perceived by the
requesting telecommunications carrier;
(4) That, if so requested by a telecommunications carrier and to the
extent technically feasible, is superior in quality to that provided by
the incumbent LEC to itself or to any subsidiary, affiliate, or any
other party to which the incumbent LEC provides interconnection. Nothing
in this section prohibits an incumbent LEC from providing
interconnection that is lesser in quality at the sole request of the
requesting telecommunications carrier; and
(5) On terms and conditions that are just, reasonable, and
nondiscriminatory in accordance with the terms and conditions of any
agreement, the requirements of sections 251 and 252 of the Act, and the
Commission's rules including, but not limited to, offering such terms
and conditions equally to all requesting telecommunications carriers,
and offering such terms and conditions that are no less favorable than
the terms and conditions upon which the incumbent LEC provides such
interconnection to itself. This includes, but is not limited to, the
time within which the incumbent LEC provides such interconnection.
(b) A carrier that requests interconnection solely for the purpose
of originating or terminating its interexchange traffic on an incumbent
LEC's network and not for the purpose of providing to others telephone
exchange service, exchange access service, or both, is not entitled to
receive interconnection pursuant to section 251(c)(2) of the Act.
(c) Previous successful interconnection at a particular point in a
network, using particular facilities, constitutes substantial evidence
that interconnection is technically feasible at that point, or at
substantially similar points, in networks employing substantially
similar facilities. Adherence to the same interface or protocol
standards shall constitute evidence of the substantial similarity of
network facilities.
(d) Previous successful interconnection at a particular point in a
network at a particular level of quality constitutes substantial
evidence that interconnection is technically feasible at that point, or
at substantially similar points, at that level of quality.
(e) An incumbent LEC that denies a request for interconnection at a
particular point must prove to the state commission that interconnection
at that point is not technically feasible.
(f) If technically feasible, an incumbent LEC shall provide two-way
trunking upon request.
(g) An incumbent LEC shall provide to a requesting
telecommunications carrier technical information about the incumbent
LEC's network facilities sufficient to allow the requesting carrier to
achieve interconnection consistent with the requirements of this
section.
[61 FR 45619, Aug. 29, 1996, as amended at 61 FR 47351, Sept. 6, 1996]
Effective Date Note: At 61 FR 47351, Sept. 6, 1996, in Sec. 51.305,
paragraph (g) was added. The information collection and recordkeeping
requirements contained in paragraph (g) are effective Nov. 15, 1996.
Sec. 51.307 Duty to provide access on an unbundled basis to network elements.
(a) An incumbent LEC shall provide, to a requesting
telecommunications carrier for the provision of a telecommunications
service, nondiscriminatory access to network elements on an unbundled
basis at any technically feasible point on terms and conditions that are
just, reasonable, and nondiscriminatory in accordance with the terms and
conditions of any agreement, the requirements of sections 251 and 252 of
the Act, and the Commission's rules.
(b) The duty to provide access to unbundled network elements
pursuant to section 251(c)(3) of the Act includes a duty to provide a
connection to an unbundled network element independent of any duty to
provide interconnection pursuant to this part and section 251(c)(2) of
the Act.
[[Page 26]]
(c) An incumbent LEC shall provide a requesting telecommunications
carrier access to an unbundled network element, along with all of the
unbundled network element's features, functions, and capabilities, in a
manner that allows the requesting telecommunications carrier to provide
any telecommunications service that can be offered by means of that
network element.
(d) An incumbent LEC shall provide a requesting telecommunications
carrier access to the facility or functionality of a requested network
element separate from access to the facility or functionality of other
network elements, for a separate charge.
(e) An incumbent LEC shall provide to a requesting
telecommunications carrier technical information about the incumbent
LEC's network facilities sufficient to allow the requesting carrier to
achieve access to unbundled network elements consistent with the
requirements of this section.
[61 FR 45619, Aug. 29, 1996, as amended at 61 FR 47351, Sept. 6, 1996]
Effective Date Note: At 61 FR 47351, Sept. 6, 1996, in Sec. 51.307,
paragraph (e) was added. The information collection and recordkeeping
requirements contained in paragraph (e) are effective Nov. 15, 1996.
Sec. 51.309 Use of unbundled network elements.
(a) An incumbent LEC shall not impose limitations, restrictions, or
requirements on requests for, or the use of, unbundled network elements
that would impair the ability of a requesting telecommunications carrier
to offer a telecommunications service in the manner the requesting
telecommunications carrier intends.
(b) A telecommunications carrier purchasing access to an unbundled
network element may use such network element to provide exchange access
services to itself in order to provide interexchange services to
subscribers.
(c) A telecommunications carrier purchasing access to an unbundled
network facility is entitled to exclusive use of that facility for a
period of time, or when purchasing access to a feature, function, or
capability of a facility, a telecommunications carrier is entitled to
use of that feature, function, or capability for a period of time. A
telecommunications carrier's purchase of access to an unbundled network
element does not relieve the incumbent LEC of the duty to maintain,
repair, or replace the unbundled network element.
Sec. 51.311 Nondiscriminatory access to unbundled network elements.
(a) The quality of an unbundled network element, as well as the
quality of the access to the unbundled network element, that an
incumbent LEC provides to a requesting telecommunications carrier shall
be the same for all telecommunications carriers requesting access to
that network element, except as provided in paragraph (c) of this
section.
(b) Except as provided in paragraph (c) of this section, to the
extent technically feasible, the quality of an unbundled network
element, as well as the quality of the access to such unbundled network
element, that an incumbent LEC provides to a requesting
telecommunications carrier shall be at least equal in quality to that
which the incumbent LEC provides to itself. If an incumbent LEC fails to
meet this requirement, the incumbent LEC must prove to the state
commission that it is not technically feasible to provide the requested
unbundled network element, or to provide access to the requested
unbundled network element, at a level of quality that is equal to that
which the incumbent LEC provides to itself.
(c) To the extent technically feasible, the quality of an unbundled
network element, as well as the quality of the access to such unbundled
network element, that an incumbent LEC provides to a requesting
telecommunications carrier shall, upon request, be superior in quality
to that which the incumbent LEC provides to itself. If an incumbent LEC
fails to meet this requirement, the incumbent LEC must prove to the
state commission that it is not technically feasible to provide the
requested unbundled network element or access to such unbundled network
element at the requested level of quality
[[Page 27]]
that is superior to that which the incumbent LEC provides to itself.
Nothing in this section prohibits an incumbent LEC from providing
interconnection that is lesser in quality at the sole request of the
requesting telecommunications carrier.
(d) Previous successful access to an unbundled element at a
particular point in a network, using particular facilities, is
substantial evidence that access is technically feasible at that point,
or at substantially similar points, in networks employing substantially
similar facilities. Adherence to the same interface or protocol
standards shall constitute evidence of the substantial similarity of
network facilities.
(e) Previous successful provision of access to an unbundled element
at a particular point in a network at a particular level of quality is
substantial evidence that access is technically feasible at that point,
or at substantially similar points, at that level of quality.
Sec. 51.313 Just, reasonable and nondiscriminatory terms and conditions for the provision of unbundled network elements.
(a) The terms and conditions pursuant to which an incumbent LEC
provides access to unbundled network elements shall be offered equally
to all requesting telecommunications carriers.
(b) Where applicable, the terms and conditions pursuant to which an
incumbent LEC offers to provide access to unbundled network elements,
including but not limited to, the time within which the incumbent LEC
provisions such access to unbundled network elements, shall, at a
minimum, be no less favorable to the requesting carrier than the terms
and conditions under which the incumbent LEC provides such elements to
itself.
(c) An incumbent LEC must provide a carrier purchasing access to
unbundled network elements with the pre-ordering, ordering,
provisioning, maintenance and repair, and billing functions of the
incumbent LEC's operations support systems.
Sec. 51.315 Combination of unbundled network elements.
(a) An incumbent LEC shall provide unbundled network elements in a
manner that allows requesting telecommunications carriers to combine
such network elements in order to provide a telecommunications service.
(b) Except upon request, an incumbent LEC shall not separate
requested network elements that the incumbent LEC currently combines.
(c) Upon request, an incumbent LEC shall perform the functions
necessary to combine unbundled network elements in any manner, even if
those elements are not ordinarily combined in the incumbent LEC's
network, provided that such combination is:
(1) Technically feasible; and
(2) Would not impair the ability of other carriers to obtain access
to unbundled network elements or to interconnect with the incumbent
LEC's network.
(d) Upon request, an incumbent LEC shall perform the functions
necessary to combine unbundled network elements with elements possessed
by the requesting telecommunications carrier in any technically feasible
manner.
(e) An incumbent LEC that denies a request to combine elements
pursuant to paragraph (c)(1) or paragraph (d) of this section must prove
to the state commission that the requested combination is not
technically feasible.
(f) An incumbent LEC that denies a request to combine elements
pursuant to paragraph (c)(2) of this section must prove to the state
commission that the requested combination would impair the ability of
other carriers to obtain access to unbundled network elements or to
interconnect with the incumbent LEC's network.
Sec. 51.317 Standards for identifying network elements to be made available.
(a) In determining what network elements should be made available
for purposes of section 251(c)(3) of the Act beyond those identified in
Sec. 51.319, a state commission shall first determine whether it is
technically feasible for the incumbent LEC to provide access
[[Page 28]]
to a network element on an unbundled basis.
(b) If the state commission determines that it is technically
feasible for the incumbent LEC to provide access to the network element
on an unbundled basis, the state commission may decline to require
unbundling of the network element only if:
(1) The state commission concludes that:
(i) The network element is proprietary, or contains proprietary
information that will be revealed if the network element is provided on
an unbundled basis; and
(ii) A requesting telecommunications carrier could offer the same
proposed telecommunications service through the use of other,
nonproprietary unbundled network elements within the incumbent LEC's
network; or
(2) The state commission concludes that the failure of the
incumbent LEC to provide access to the network element would not
decrease the quality of, and would not increase the financial or
administrative cost of, the telecommunications service a requesting
telecommunications carrier seeks to offer, compared with providing that
service over other unbundled network elements in the incumbent LEC's
network.
Sec. 51.319 Specific unbundling requirements.
An incumbent LEC shall provide nondiscriminatory access in
accordance with Sec. 51.311 and section 251(c)(3) of the Act to the
following network elements on an unbundled basis to any requesting
telecommunications carrier for the provision of a telecommunications
service:
(a) Local Loop. The local loop network element is defined as a
transmission facility between a distribution frame (or its equivalent)
in an incumbent LEC central office and an end user customer premises.
(b) Network Interface Device. (1) The network interface device
network element is defined as a cross-connect device used to connect
loop facilities to inside wiring.
(2) An incumbent LEC shall permit a requesting telecommunications
carrier to connect its own local loops to the inside wiring of premises
through the incumbent LEC's network interface device. The requesting
telecommunications carrier shall establish this connection through an
adjoining network interface device deployed by such telecommunications
carrier.
(c) Switching Capability. (1) Local Switching Capability.
(i) The local switching capability network element is defined as:
(A) Line-side facilities, which include, but are not limited to,
the connection between a loop termination at a main distribution frame
and a switch line card;
(B) Trunk-side facilities, which include, but are not limited to,
the connection between trunk termination at a trunk-side cross-connect
panel and a switch trunk card; and
(C) All features, functions, and capabilities of the switch, which
include, but are not limited to:
(1) The basic switching function of connecting lines to lines,
lines to trunks, trunks to lines, and trunks to trunks, as well as the
same basic capabilities made available to the incumbent LEC's customers,
such as a telephone number, white page listing, and dial tone; and
(2) All other features that the switch is capable of providing,
including but not limited to custom calling, custom local area signaling
service features, and Centrex, as well as any technically feasible
customized routing functions provided by the switch.
(ii) An incumbent LEC shall transfer a customer's local service to
a competing carrier within a time period no greater than the interval
within which the incumbent LEC currently transfers end users between
interexchange carriers, if such transfer requires only a change in the
incumbent LEC's software;
(2) Tandem Switching Capability. The tandem switching capability
network element is defined as:
(i) Trunk-connect facilities, including but not limited to the
connection between trunk termination at a cross-connect panel and a
switch trunk card;
(ii) The basic switching function of connecting trunks to trunks;
and
[[Page 29]]
(iii) The functions that are centralized in tandem switches (as
distinguished from separate end-office switches), including but not
limited to call recording, the routing of calls to operator services,
and signaling conversion features.
(d) Interoffice Transmission Facilities. (1) Interoffice
transmission facilities are defined as incumbent LEC transmission
facilities dedicated to a particular customer or carrier, or shared by
more than one customer or carrier, that provide telecommunications
between wire centers owned by incumbent LECs or requesting
telecommunications carriers, or between switches owned by incumbent LECs
or requesting telecommunications carriers.
(2) The incumbent LEC shall:
(i) Provide a requesting telecommunications carrier exclusive use
of interoffice transmission facilities dedicated to a particular
customer or carrier, or use of the features, functions, and capabilities
of interoffice transmission facilities shared by more than one customer
or carrier;
(ii) Provide all technically feasible transmission facilities,
features, functions, and capabilities that the requesting
telecommunications carrier could use to provide telecommunications
services;
(iii) Permit, to the extent technically feasible, a requesting
telecommunications carrier to connect such interoffice facilities to
equipment designated by the requesting telecommunications carrier,
including, but not limited to, the requesting telecommunications
carrier's collocated facilities; and
(iv) Permit, to the extent technically feasible, a requesting
telecommunications carrier to obtain the functionality provided by the
incumbent LEC's digital cross-connect systems in the same manner that
the incumbent LEC provides such functionality to interexchange carriers.
(e) Signaling Networks and Call-Related Databases. (1) Signaling
Networks.
(i) Signaling networks include, but are not limited to, signaling
links and signaling transfer points.
(ii) When a requesting telecommunications carrier purchases
unbundled switching capability from an incumbent LEC, the incumbent LEC
shall provide access to its signaling network from that switch in the
same manner in which it obtains such access itself.
(iii) An incumbent LEC shall provide a requesting
telecommunications carrier with its own switching facilities access to
the incumbent LEC's signaling network for each of the requesting
telecommunications carrier's switches. This connection shall be made in
the same manner as an incumbent LEC connects one of its own switches to
a signal transfer point.
(iv) An incumbent LEC is not required to unbundle those signaling
links that connect service control points to switching transfer points
or to permit a requesting telecommunications carrier to link its own
signal transfer points directly to the incumbent LEC's switch or call-
related databases;
(2) Call-Related Databases.
(i) Call-related databases are defined as databases, other than
operations support systems, that are used in signaling networks for
billing and collection or the transmission, routing, or other provision
of a telecommunications service.
(ii) For purposes of switch query and database response through a
signaling network, an incumbent LEC shall provide access to its call-
related databases, including, but not limited to, the Line Information
Database, Toll Free Calling database, downstream number portability
databases, and Advanced Intelligent Network databases, by means of
physical access at the signaling transfer point linked to the unbundled
database.
(iii) An incumbent LEC shall allow a requesting telecommunications
carrier that has purchased an incumbent LEC's local switching capability
to use the incumbent LEC's service control point element in the same
manner, and via the same signaling links, as the incumbent LEC itself.
(iv) An incumbent LEC shall allow a requesting telecommunications
carrier that has deployed its own switch, and has linked that switch to
an incumbent LEC's signaling system, to gain access to the incumbent
LEC's service control
[[Page 30]]
point in a manner that allows the requesting carrier to provide any
call-related, database-supported services to customers served by the
requesting telecommunications carrier's switch.
(v) A state commission shall consider whether mechanisms mediating
access to an incumbent LEC's Advanced Intelligent Network service
control points are necessary, and if so, whether they will adequately
safeguard against intentional or unintentional misuse of the incumbent
LEC's Advanced Intelligent Network facilities.
(vi) An incumbent LEC shall provide a requesting telecommunications
carrier with access to call-related databases in a manner that complies
with section 222 of the Act;
(3) Service Management Systems.
(i) A service management system is defined as a computer database
or system not part of the public switched network that, among other
things:
(A) Interconnects to the service control point and sends to that
service control point the information and call processing instructions
needed for a network switch to process and complete a telephone call;
and
(B) Provides telecommunications carriers with the capability of
entering and storing data regarding the processing and completing of a
telephone call.
(ii) An incumbent LEC shall provide a requesting telecommunications
carrier with the information necessary to enter correctly, or format for
entry, the information relevant for input into the particular incumbent
LEC service management system.
(iii) An incumbent LEC shall provide a requesting
telecommunications carrier the same access to design, create, test, and
deploy Advanced Intelligent Network-based services at the service
management system, through a service creation environment, that the
incumbent LEC provides to itself.
(iv) A state commission shall consider whether mechanisms mediating
access to Advanced Intelligent Network service management systems and
service creation environments are necessary, and if so, whether they
will adequately safeguard against intentional or unintentional misuse of
the incumbent LEC's Advanced Intelligent Network facilities.
(v) An incumbent LEC shall provide a requesting telecommunications
carrier access to service management systems in a manner that complies
with section 222 of the Act.
(f) Operations Support Systems Functions. (1) Operations support
systems functions consist of pre-ordering, ordering, provisioning,
maintenance and repair, and billing functions supported by an incumbent
LEC's databases and information.
(2) An incumbent LEC that does not currently comply with this
requirement shall do so as expeditiously as possible, but, in any event,
no later than January 1, 1997.
(g) Operator Services and Directory Assistance. An incumbent LEC
shall provide access to operator service and directory assistance
facilities where technically feasible.
Sec. 51.321 Methods of obtaining interconnection and access to unbundled elements under section 251 of the Act.
(a) Except as provided in paragraph (e) of this section, an
incumbent LEC shall provide, on terms and conditions that are just,
reasonable, and nondiscriminatory in accordance with the requirements of
this part, any technically feasible method of obtaining interconnection
or access to unbundled network elements at a particular point upon a
request by a telecommunications carrier.
(b) Technically feasible methods of obtaining interconnection or
access to unbundled network elements include, but are not limited to:
(1) Physical collocation and virtual collocation at the premises of
an incumbent LEC; and
(2) Meet point interconnection arrangements.
(c) A previously successful method of obtaining interconnection or
access to unbundled network elements at a particular premises or point
on an incumbent LEC's network is substantial evidence that such method
is technically feasible in the case of substantially similar network
premises or points.
(d) An incumbent LEC that denies a request for a particular method
of obtaining interconnection or access to
[[Page 31]]
unbundled network elements on the incumbent LEC's network must prove to
the state commission that the requested method of obtaining
interconnection or access to unbundled network elements at that point is
not technically feasible.
(e) An incumbent LEC shall not be required to provide for physical
collocation of equipment necessary for interconnection or access to
unbundled network elements at the incumbent LEC's premises if it
demonstrates to the state commission that physical collocation is not
practical for technical reasons or because of space limitations. In such
cases, the incumbent LEC shall be required to provide virtual
collocation, except at points where the incumbent LEC proves to the
state commission that virtual collocation is not technically feasible.
If virtual collocation is not technically feasible, the incumbent LEC
shall provide other methods of interconnection and access to unbundled
network elements to the extent technically feasible.
(f) An incumbent LEC shall submit to the state commission detailed
floor plans or diagrams of any premises where the incumbent LEC claims
that physical collocation is not practical because of space limitations.
(g) An incumbent LEC that is classified as a Class A company under
Sec. 32.11 of this chapter and that is not a National Exchange Carrier
Association interstate tariff participant as provided in part 69,
subpart G, shall continue to provide expanded interconnection service
pursuant to interstate tariff in accordance with Secs. 64.1401, 64.1402,
69.121 of this chapter, and the Commission's other requirements.
Sec. 51.323 Standards for physical collocation and virtual collocation.
(a) An incumbent LEC shall provide physical collocation and virtual
collocation to requesting telecommunications carriers.
(b) An incumbent LEC shall permit the collocation of any type of
equipment used for interconnection or access to unbundled network
elements. Whenever an incumbent LEC objects to collocation of equipment
by a requesting telecommunications carrier for purposes within the scope
of section 251(c)(6) of the Act, the incumbent LEC shall prove to the
state commission that the equipment will not be actually used by the
telecommunications carrier for the purpose of obtaining interconnection
or access to unbundled network elements. Equipment used for
interconnection and access to unbundled network elements includes, but
is not limited to:
(1) Transmission equipment including, but not limited to, optical
terminating equipment and multiplexers; and
(2) Equipment being collocated to terminate basic transmission
facilities pursuant to Secs. 64.1401 and 64.1402 of this chapter as of
August 1, 1996.
(c) Nothing in this section requires an incumbent LEC to permit
collocation of switching equipment or equipment used to provide enhanced
services.
(d) When an incumbent LEC provides physical collocation, virtual
collocation, or both, the incumbent LEC shall:
(1) Provide an interconnection point or points, physically
accessible by both the incumbent LEC and the collocating
telecommunications carrier, at which the fiber optic cable carrying an
interconnector's circuits can enter the incumbent LEC's premises,
provided that the incumbent LEC shall designate interconnection points
as close as reasonably possible to its premises;
(2) Provide at least two such interconnection points at each
incumbent LEC premises at which there are at least two entry points for
the incumbent LEC's cable facilities, and at which space is available
for new facilities in at least two of those entry points;
(3) Permit interconnection of copper or coaxial cable if such
interconnection is first approved by the state commission; and
(4) Permit physical collocation of microwave transmission facilities
except where such collocation is not practical for technical reasons or
because of space limitations, in which case virtual collocation of such
facilities is required where technically feasible.
(e) When providing virtual collocation, an incumbent LEC shall, at a
minimum, install, maintain, and repair
[[Page 32]]
collocated equipment identified in paragraph (b) of this section within
the same time periods and with failure rates that are no greater than
those that apply to the performance of similar functions for comparable
equipment of the incumbent LEC itself.
(f) An incumbent LEC shall allocate space for the collocation of the
equipment identified in paragraph (b) of this section in accordance with
the following requirements:
(1) An incumbent LEC shall make space available within or on its
premises to requesting telecommunications carriers on a first-come,
first-served basis, provided, however, that the incumbent LEC shall not
be required to lease or construct additional space to provide for
physical collocation when existing space has been exhausted;
(2) To the extent possible, an incumbent LEC shall make contiguous
space available to requesting telecommunications carriers that seek to
expand their existing collocation space;
(3) When planning renovations of existing facilities or constructing
or leasing new facilities, an incumbent LEC shall take into account
projected demand for collocation of equipment;
(4) An incumbent LEC may retain a limited amount of floor space for
its own specific future uses, provided, however, that the incumbent LEC
may not reserve space for future use on terms more favorable than those
that apply to other telecommunications carriers seeking to reserve
collocation space for their own future use;
(5) An incumbent LEC shall relinquish any space held for future use
before denying a request for virtual collocation on the grounds of space
limitations, unless the incumbent LEC proves to the state commission
that virtual collocation at that point is not technically feasible; and
(6) An incumbent LEC may impose reasonable restrictions on the
warehousing of unused space by collocating telecommunications carriers,
provided, however, that the incumbent LEC shall not set maximum space
limitations applicable to such carriers unless the incumbent LEC proves
to the state commission that space constraints make such restrictions
necessary.
(g) An incumbent LEC shall permit collocating telecommunications
carriers to collocate equipment and connect such equipment to unbundled
network transmission elements obtained from the incumbent LEC, and shall
not require such telecommunications carriers to bring their own
transmission facilities to the incumbent LEC's premises in which they
seek to collocate equipment.
(h) An incumbent LEC shall permit a collocating telecommunications
carrier to interconnect its network with that of another collocating
telecommunications carrier at the incumbent LEC's premises and to
connect its collocated equipment to the collocated equipment of another
telecommunications carrier within the same premises provided that the
collocated equipment is also used for interconnection with the incumbent
LEC or for access to the incumbent LEC's unbundled network elements.
(1) An incumbent LEC shall provide the connection between the
equipment in the collocated spaces of two or more telecommunications
carriers, unless the incumbent LEC permits one or more of the
collocating parties to provide this connection for themselves; and
(2) An incumbent LEC is not required to permit collocating
telecommunications carriers to place their own connecting transmission
facilities within the incumbent LEC's premises outside of the actual
physical collocation space.
(i) An incumbent LEC may require reasonable security arrangements to
separate a collocating telecommunications carrier's space from the
incumbent LEC's facilities.
(j) An incumbent LEC shall permit a collocating telecommunications
carrier to subcontract the construction of physical collocation
arrangements with contractors approved by the incumbent LEC, provided,
however, that the incumbent LEC shall not unreasonably withhold approval
of contractors. Approval by an incumbent LEC shall be based on the same
criteria it uses in approving contractors for its own purposes.
[[Page 33]]
Sec. 51.325 Notice of network changes: Public notice requirement.
(a) An incumbent local exchange carrier (``LEC'') must provide
public notice regarding any network change that:
(1) Will affect a competing service provider's performance or
ability to provide service; or
(2) Will affect the incumbent LEC's interoperability with other
service providers.
(b) For purposes of this section, interoperability means the ability
of two or more facilities, or networks, to be connected, to exchange
information, and to use the information that has been exchanged.
(c) Until public notice has been given in accordance with
Secs. 51.325 through 51.335, an incumbent LEC may not disclose to
separate affiliates, separated affiliates, or unaffiliated entities
(including actual or potential competing service providers or
competitors), information about planned network changes that are subject
to this section.
(d) For the purposes of Secs. 51.325 through 51.335, the term
services means telecommunications services or information services.
[61 FR 47351, Sept. 6, 1996]
Effective Date Note: At 61 FR 47351, Sept. 6, 1996, Sec. 51.325 was
added. The information collection and recordkeeping requirements
contained in this section are effective Nov. 15, 1996.
Sec. 51.327 Notice of network changes: Content of notice.
(a) Public notice of planned network changes must, at a minimum,
include:
(1) The carrier's name and address;
(2) The name and telephone number of a contact person who can supply
additional information regarding the planned changes;
(3) The implementation date of the planned changes;
(4) The location(s) at which the changes will occur;
(5) A description of the type of changes planned (Information
provided to satisfy this requirement must include, as applicable, but is
not limited to, references to technical specifications, protocols, and
standards regarding transmission, signaling, routing, and facility
assignment as well as references to technical standards that would be
applicable to any new technologies or equipment, or that may otherwise
affect interconnection); and
(6) A description of the reasonably foreseeable impact of the
planned changes.
(b) The incumbent LEC also shall follow, as necessary, procedures
relating to confidential or proprietary information contained in
Sec. 51.335.
[61 FR 47351, Sept. 6, 1996]
Effective Date Note: At 61 FR 47351, Sept. 6, 1996, Sec. 51.327 was
added. The information collection and recordkeeping requirements
contained in this section are effective Nov. 15, 1996.
Sec. 51.329 Notice of network changes: Methods for providing notice.
(a) In providing the required notice to the public of network
changes, an incumbent LEC may use one of the following methods:
(1) Filing a public notice with the Commission; or
(2) Providing public notice through industry fora, industry
publications, or the carrier's publicly accessible Internet site. If an
incumbent LEC uses any of the methods specified in paragraph (a)(2) of
this section, it also must file a certification with the Commission that
includes:
(i) A statement that identifies the proposed changes;
(ii) A statement that public notice has been given in compliance
with Secs. 51.325 through 51.335; and
(iii) A statement identifying the location of the change information
and describing how this information can be obtained.
(b) Until the planned change is implemented, an incumbent LEC must
keep the notice available for public inspection, and amend the notice to
keep the information complete, accurate and up-to-date.
(c) Specific filing requirements. Commission filings under this
section must be made as follows:
(1) The public notice or certification must be labeled with one of
the following titles, as appropriate: ``Public Notice of Network Change
Under Rule 51.329(a),'' ``Certification of Public Notice of Network
Change Under Rule
[[Page 34]]
51.329(a),'' ``Short Term Public Notice Under Rule 51.333(a),'' or
``Certification of Short Term Public Notice Under Rule 51.333(a).''
(2) Two paper copies of the incumbent LEC's public notice or
certification, required under paragraph (a) of this section, must be
sent to ``Secretary, Federal Communications Commission, Washington, DC
20554.'' The date on which this filing is received by the Secretary is
considered the official filing date.
(3) In addition, one paper copy and one diskette copy must be sent
to the ``Chief, Network Services Division, Common Carrier Bureau,
Federal Communications Commission, Washington, DC 20554.'' The diskette
copy must be on a standard 3\1/2\ inch diskette, formatted in IBM-
compatible format to be readable by high-density floppy drives operating
under MS DOS 5.X or later compatible versions, and shall be in a word-
processing format designated, from time-to-time, in public notices
released by the Network Services Division. The diskette must be
submitted in ``read only'' mode, and must be clearly labeled with the
carrier's name, the filing date, and an identification of the diskette's
contents.
[61 FR 47351, Sept. 6, 1996]
Effective Date Note: At 61 FR 47351, Sept. 6, 1996, Sec. 51.329 was
added. The information collection and recordkeeping requirements
contained in this section are effective Nov. 15, 1996.
Sec. 51.331 Notice of network changes: Timing of notice.
(a) An incumbent LEC shall give public notice of planned changes at
the make/buy point, as defined in paragraph (b) of this section, but at
least 12 months before implementation, except as provided below:
(1) If the changes can be implemented within twelve months of the
make/buy point, public notice must be given at the make/buy point, but
at least six months before implementation.
(2) If the changes can be implemented within six months of the make/
buy point, public notice may be given pursuant to the short term notice
procedures provided in Sec. 51.333.
(b) For purposes of this section, the make/buy point is the time at
which an incumbent LEC decides to make for itself, or to procure from
another entity, any product the design of which affects or relies on a
new or changed network interface. If an incumbent LEC's planned changes
do not require it to make or to procure a product, then the make/buy
point is the point at which the incumbent LEC makes a definite decision
to implement a network change.
(1) For purposes of this section, a product is any hardware or
software for use in an incumbent LEC's network or in conjunction with
its facilities that, when installed, could affect the compatibility of
an interconnected service provider's network, facilities or services
with an incumbent LEC's existing telephone network, facilities or
services, or with any of an incumbent carrier's services or
capabilities.
(2) For purposes of this section a definite decision is reached when
an incumbent LEC determines that the change is warranted, establishes a
timetable for anticipated implementation, and takes any action toward
implementation of the change within its network.
[61 FR 47352, Sept. 6, 1996]
Effective Date Note: At 61 FR 47352, Sept. 6, 1996, Sec. 51.331 was
added. The information collection and recordkeeping requirements
contained in this section are effective Nov. 15, 1996.
Sec. 51.333 Notice of network changes: Short term notice.
(a) Certificate of service. If an incumbent LEC wishes to provide
less than six months notice of planned network changes, the public
notice or certification that it files with the Commission must include a
certificate of service in addition to the information required by
Sec. 51.327(a) or Sec. 51.329(a)(2), as applicable. The certificate of
service shall include:
(1) A statement that, at least five business days in advance of its
filing with the Commission, the incumbent LEC served a copy of its
public notice upon each telephone exchange service provider that
directly interconnects with the incumbent LEC's network; and
[[Page 35]]
(2) The name and address of each such telephone exchange service
provider upon which the notice was served.
(b) Implementation date. The Commission will release a public notice
of such short term notice filings. Short term notices shall be deemed
final on the tenth business day after the release of the Commission's
public notice, unless an objection is filed, pursuant to paragraph (c)
of this section.
(c) Objection procedures. An objection to an incumbent LEC's short
term notice may be filed by an information service provider or
telecommunication service provider that directly interconnects with the
incumbent LEC's network. Such objections must be filed with the
Commission, and served on the incumbent LEC, no later than the ninth
business day following the release of the Commission's public notice.
All objections to an incumbent LEC's short term notice must:
(1) State specific reasons why the objector cannot accommodate the
incumbent LEC's changes by the date stated in the incumbent LEC's public
notice and must indicate any specific technical information or other
assistance required that would enable the objector to accommodate those
changes;
(2) List steps the objector is taking to accommodate the incumbent
LEC's changes on an expedited basis;
(3) State the earliest possible date (not to exceed six months from
the date the incumbent LEC gave its original public notice under this
section) by which the objector anticipates that it can accommodate the
incumbent LEC's changes, assuming it receives the technical information
or other assistance requested under paragraph (c)(1) of this section;
(4) Provide any other information relevant to the objection; and
(5) Provide the following affidavit, executed by the objector's
president, chief executive officer, or other corporate officer or
official, who has appropriate authority to bind the corporation, and
knowledge of the details of the objector's inability to adjust its
network on a timely basis:
``I, (name and title), under oath and subject to penalty for
perjury, certify that I have read this objection, that the statements
contained in it are true, that there is good ground to support the
objection, and that it is not interposed for purposes of delay. I have
appropriate authority to make this certification on behalf of (objector)
and I agree to provide any information the Commission may request to
allow the Commission to evaluate the truthfulness and validity of the
statements contained in this objection.''
(d) Response to objections. If an objection is filed, an incumbent
LEC shall have until no later than the fourteenth business day following
the release of the Commission's public notice to file with the
Commission a response to the objection and to serve the response on all
parties that filed objections. An incumbent LEC's response must:
(1) Provide information responsive to the allegations and concerns
identified by the objectors;
(2) State whether the implementation date(s) proposed by the
objector(s) are acceptable;
(3) Indicate any specific technical assistance that the incumbent
LEC is willing to give to the objectors; and
(4) Provide any other relevant information.
(e) Resolution. If an objection is filed pursuant to paragraph (c)
of this section, then the Chief, Network Services Division, Common
Carrier Bureau, will issue an order determining a reasonable public
notice period, provided however, that if an incumbent LEC does not file
a response within the time period allotted, or if the incumbent LEC's
response accepts the latest implementation date stated by an objector,
then the incumbent LEC's public notice shall be deemed amended to
specify the implementation date requested by the objector, without
further Commission action. An incumbent LEC must amend its public notice
to reflect any change in the applicable implementation date pursuant to
Sec. 51.329(b).
[61 FR 47352, Sept. 6, 1996]
Effective Date Note: At 61 FR 47352, Sept. 6, 1996, Sec. 51.333 was
added. The information collection and recordkeeping requirements
contained in this section are effective Nov. 15, 1996.
[[Page 36]]
Sec. 51.335 Notice of network changes: Confidential or proprietary information.
(a) If an incumbent LEC claims that information otherwise required
to be disclosed is confidential or proprietary, the incumbent LEC's
public notice must include, in addition to the information identified in
Sec. 51.327(a), a statement that the incumbent LEC will make further
information available to those signing a nondisclosure agreement.
(b) Tolling the public notice period. Upon receipt by an incumbent
LEC of a competing service provider's request for disclosure of
confidential or proprietary information, the applicable public notice
period will be tolled until the parties agree on the terms of a
nondisclosure agreement. An incumbent LEC receiving such a request must
amend its public notice as follows:
(1) On the date it receives a request from a competing service
provider for disclosure of confidential or proprietary information, to
state that the notice period is tolled; and
(2) On the date the nondisclosure agreement is finalized, to specify
a new implementation date.
[61 FR 47352, Sept. 6, 1996]
Effective Date Note: At 61 FR 47352, Sept. 6, 1996, Sec. 51.335 was
added. The information collection and recordkeeping requirements
contained in this section are effective Nov. 15, 1996.
Subpart E--Exemptions, Suspensions, and Modifications of Requirements of
Section 251 of the Act
Sec. 51.401 State authority.
A state commission shall determine whether a telephone company is
entitled, pursuant to section 251(f) of the Act, to exemption from, or
suspension or modification of, the requirements of section 251 of the
Act. Such determinations shall be made on a case-by-case basis.
Sec. 51.403 Carriers eligible for suspension or modification under section 251(f)(2) of the Act.
A LEC is not eligible for a suspension or modification of the
requirements of section 251(b) or section 251(c) of the Act pursuant to
section 251(f)(2) of the Act if such LEC, at the holding company level,
has two percent or more of the subscriber lines installed in the
aggregate nationwide.
Sec. 51.405 Burden of proof.
(a) Upon receipt of a bona fide request for interconnection,
services, or access to unbundled network elements, a rural telephone
company must prove to the state commission that the rural telephone
company should be entitled, pursuant to section 251(f)(1) of the Act, to
continued exemption from the requirements of section 251(c) of the Act.
(b) A LEC with fewer than two percent of the nation's subscriber
lines installed in the aggregate nationwide must prove to the state
commission, pursuant to section 251(f)(2) of the Act, that it is
entitled to a suspension or modification of the application of a
requirement or requirements of section 251(b) or 251(c) of the Act.
(c) In order to justify continued exemption under section 251(f)(1)
of the Act once a bona fide request has been made, an incumbent LEC must
offer evidence that the application of the requirements of section
251(c) of the Act would be likely to cause undue economic burden beyond
the economic burden that is typically associated with efficient
competitive entry.
(d) In order to justify a suspension or modification under section
251(f)(2) of the Act, a LEC must offer evidence that the application of
section 251(b) or section 251(c) of the Act would be likely to cause
undue economic burden beyond the economic burden that is typically
associated with efficient competitive entry.
Subpart F--Pricing of Elements
Sec. 51.501 Scope.
(a) The rules in this subpart apply to the pricing of network
elements, interconnection, and methods of obtaining access to unbundled
elements, including physical collocation and virtual collocation.
(b) As used in this subpart, the term ``element'' includes network
elements,
[[Page 37]]
interconnection, and methods of obtaining interconnection and access to
unbundled elements.
Sec. 51.503 General pricing standard.
(a) An incumbent LEC shall offer elements to requesting
telecommunications carriers at rates, terms, and conditions that are
just, reasonable, and nondiscriminatory.
(b) An incumbent LEC's rates for each element it offers shall comply
with the rate structure rules set forth in Secs. 51.507 and 51.509, and
shall be established, at the election of the state commission--
(1) Pursuant to the forward-looking economic cost-based pricing
methodology set forth in Secs. 51.505 and 51.511; or
(2) Consistent with the proxy ceilings and ranges set forth in
Sec. 51.513.
(c) The rates that an incumbent LEC assesses for elements shall not
vary on the basis of the class of customers served by the requesting
carrier, or on the type of services that the requesting carrier
purchasing such elements uses them to provide.
Sec. 51.505 Forward-looking economic cost.
(a) In general. The forward-looking economic cost of an element
equals the sum of:
(1) The total element long-run incremental cost of the element, as
described in paragraph (b); and
(2) A reasonable allocation of forward-looking common costs, as
described in paragraph (c).
(b) Total element long-run incremental cost. The total element long-
run incremental cost of an element is the forward-looking cost over the
long run of the total quantity of the facilities and functions that are
directly attributable to, or reasonably identifiable as incremental to,
such element, calculated taking as a given the incumbent LEC's provision
of other elements.
(1) Efficient network configuration. The total element long-run
incremental cost of an element should be measured based on the use of
the most efficient telecommunications technology currently available and
the lowest cost network configuration, given the existing location of
the incumbent LEC's wire centers.
(2) Forward-looking cost of capital. The forward-looking cost of
capital shall be used in calculating the total element long-run
incremental cost of an element.
(3) Depreciation rates. The depreciation rates used in calculating
forward-looking economic costs of elements shall be economic
depreciation rates.
(c) Reasonable allocation of forward-looking common costs--(1)
Forward-looking common costs. Forward-looking common costs are economic
costs efficiently incurred in providing a group of elements or services
(which may include all elements or services provided by the incumbent
LEC) that cannot be attributed directly to individual elements or
services.
(2) Reasonable allocation. (i) The sum of a reasonable allocation of
forward-looking common costs and the total element long-run incremental
cost of an element shall not exceed the stand-alone costs associated
with the element. In this context, stand-alone costs are the total
forward-looking costs, including corporate costs, that would be incurred
to produce a given element if that element were provided by an efficient
firm that produced nothing but the given element.
(ii) The sum of the allocation of forward-looking common costs for
all elements and services shall equal the total forward-looking common
costs, exclusive of retail costs, attributable to operating the
incumbent LEC's total network, so as to provide all the elements and
services offered.
(d) Factors that may not be considered. The following factors shall
not be considered in a calculation of the forward-looking economic cost
of an element:
(1) Embedded costs. Embedded costs are the costs that the incumbent
LEC incurred in the past and that are recorded in the incumbent LEC's
books of accounts;
(2) Retail costs. Retail costs include the costs of marketing,
billing, collection, and other costs associated with offering retail
telecommunications services to subscribers who are not
telecommunications carriers, described in Sec. 51.609;
(3) Opportunity costs. Opportunity costs include the revenues that
the incumbent LEC would have received for
[[Page 38]]
the sale of telecommunications services, in the absence of competition
from telecommunications carriers that purchase elements; and
(4) Revenues to subsidize other services. Revenues to subsidize
other services include revenues associated with elements or
telecommunications service offerings other than the element for which a
rate is being established.
(e) Cost study requirements. An incumbent LEC must prove to the
state commission that the rates for each element it offers do not exceed
the forward-looking economic cost per unit of providing the element,
using a cost study that complies with the methodology set forth in this
section and Sec. 51.511.
(1) A state commission may set a rate outside the proxy ranges or
above the proxy ceilings described in Sec. 51.513 only if that
commission has given full and fair effect to the economic cost based
pricing methodology described in this section and Sec. 51.511 in a state
proceeding that meets the requirements of paragraph (e)(2) of this
section.
(2) Any state proceeding conducted pursuant to this section shall
provide notice and an opportunity for comment to affected parties and
shall result in the creation of a written factual record that is
sufficient for purposes of review. The record of any state proceeding in
which a state commission considers a cost study for purposes of
establishing rates under this section shall include any such cost study.
Sec. 51.507 General rate structure standard.
(a) Element rates shall be structured consistently with the manner
in which the costs of providing the elements are incurred.
(b) The costs of dedicated facilities shall be recovered through
flat-rated charges.
(c) The costs of shared facilities shall be recovered in a manner
that efficiently apportions costs among users. Costs of shared
facilities may be apportioned either through usage-sensitive charges or
capacity-based flat-rated charges, if the state commission finds that
such rates reasonably reflect the costs imposed by the various users.
(d) Recurring costs shall be recovered through recurring charges,
unless an incumbent LEC proves to a state commission that such recurring
costs are de minimis. Recurring costs shall be considered de minimis
when the costs of administering the recurring charge would be excessive
in relation to the amount of the recurring costs.
(e) State commissions may, where reasonable, require incumbent LECs
to recover nonrecurring costs through recurring charges over a
reasonable period of time. Nonrecurring charges shall be allocated
efficiently among requesting telecommunications carriers, and shall not
permit an incumbent LEC to recover more than the total forward-looking
economic cost of providing the applicable element.
(f) State commissions shall establish different rates for elements
in at least three defined geographic areas within the state to reflect
geographic cost differences.
(1) To establish geographically-deaveraged rates, state commissions
may use existing density-related zone pricing plans described in
Sec. 69.123 of this chapter, or other such cost-related zone plans
established pursuant to state law.
(2) In states not using such existing plans, state commissions must
create a minimum of three cost-related rate zones.
Sec. 51.509 Rate structure standards for specific elements.
In addition to the general rules set forth in Sec. 51.507, rates for
specific elements shall comply with the following rate structure rules.
(a) Local loops. Loop costs shall be recovered through flat-rated
charges.
(b) Local switching. Local switching costs shall be recovered
through a combination of a flat-rated charge for line ports and one or
more flat-rated or per-minute usage charges for the switching matrix and
for trunk ports.
(c) Dedicated transmission links. Dedicated transmission link costs
shall be recovered through flat-rated charges.
(d) Shared transmission facilities between tandem switches and end
offices. The costs of shared transmission facilities between tandem
switches and end offices may be recovered through usage-sensitive
charges, or in another manner consistent with the manner
[[Page 39]]
that the incumbent LEC incurs those costs.
(e) Tandem switching. Tandem switching costs may be recovered
through usage-sensitive charges, or in another manner consistent with
the manner that the incumbent LEC incurs those costs.
(f) Signaling and call-related database services. Signaling and
call-related database service costs shall be usage-sensitive, based on
either the number of queries or the number of messages, with the
exception of the dedicated circuits known as signaling links, the cost
of which shall be recovered through flat-rated charges.
(g) Collocation. Collocation costs shall be recovered consistent
with the rate structure policies established in the Expanded
Interconnection proceeding, CC Docket No. 91-141.
Sec. 51.511 Forward-looking economic cost per unit.
(a) The forward-looking economic cost per unit of an element equals
the forward-looking economic cost of the element, as defined in
Sec. 51.505, divided by a reasonable projection of the sum of the total
number of units of the element that the incumbent LEC is likely to
provide to requesting telecommunications carriers and the total number
of units of the element that the incumbent LEC is likely to use in
offering its own services, during a reasonable measuring period.
(b)(1) With respect to elements that an incumbent LEC offers on a
flat-rate basis, the number of units is defined as the discrete number
of elements (e.g., local loops or local switch ports) that the incumbent
LEC uses or provides.
(2) With respect to elements that an incumbent LEC offers on a
usage-sensitive basis, the number of units is defined as the unit of
measurement of the usage (e.g., minutes of use or call-related database
queries) of the element.
Sec. 51.513 Proxies for forward-looking economic cost.
(a) A state commission may determine that the cost information
available to it with respect to one or more elements does not support
the adoption of a rate or rates that are consistent with the
requirements set forth in Secs. 51.505 and 51.511. In that event, the
state commission may establish a rate for an element that is consistent
with the proxies specified in this section, provided that:
(1) Any rate established through use of such proxies shall be
superseded once the state commission has completed review of a cost
study that complies with the forward-looking economic cost based pricing
methodology described in Secs. 51.505 and 51.511, and has concluded that
such study is a reasonable basis for establishing element rates; and
(2) The state commission sets forth in writing a reasonable basis
for its selection of a particular rate for the element.
(b) The constraints on proxy-based rates described in this section
apply on a geographically averaged basis. For purposes of determining
whether geographically deaveraged rates for elements comply with the
provisions of this section, a geographically averaged proxy-based rate
shall be computed based on the weighted average of the actual,
geographically deaveraged rates that apply in separate geographic areas
in a state.
(c) Proxies for specific elements. (1) Local loops. For each state
listed below, the proxy-based monthly rate for unbundled local loops, on
a statewide weighted average basis, shall be no greater than the figures
listed in the table below. (The Commission has not established a default
proxy ceiling for loop rates in Alaska.)
Table
------------------------------------------------------------------------
Proxy
State ceiling
------------------------------------------------------------------------
Alabama....................................................... $17.25
Arizona....................................................... 12.85
Arkansas...................................................... 21.18
California.................................................... 11.10
Colorado...................................................... 14.97
Connecticut................................................... 13.23
Delaware...................................................... 13.24
District of Columbia.......................................... 10.81
Florida....................................................... 13.68
Georgia....................................................... 16.09
Hawaii........................................................ 15.27
Idaho......................................................... 20.16
Illinois...................................................... 13.12
Indiana....................................................... 13.29
Iowa.......................................................... 15.94
Kansas........................................................ 19.85
Kentucky...................................................... 16.70
Louisiana..................................................... 16.98
Maine......................................................... 18.69
[[Page 40]]
Maryland...................................................... 13.36
Massachusetts................................................. 9.83
Michigan...................................................... 15.27
Minnesota..................................................... 14.81
Mississippi................................................... 21.97
Missouri...................................................... 18.32
Montana....................................................... 25.18
Nebraska...................................................... 18.05
Nevada........................................................ 18.95
New Hampshire................................................. 16.00
New Jersey.................................................... 12.47
New Mexico.................................................... 18.66
New York...................................................... 11.75
North Carolina................................................ 16.71
North Dakota.................................................. 25.36
Ohio.......................................................... 15.73
Oklahoma...................................................... 17.63
Oregon........................................................ 15.44
Pennsylvania.................................................. 12.30
Puerto Rico................................................... 12.47
Rhode Island.................................................. 11.48
South Carolina................................................ 17.07
South Dakota.................................................. 25.33
Tennessee..................................................... 17.41
Texas......................................................... 15.49
Utah.......................................................... 15.12
Vermont....................................................... 20.13
Virginia...................................................... 14.13
Washington.................................................... 13.37
West Virginia................................................. 19.25
Wisconsin..................................................... 15.94
Wyoming....................................................... 25.11
------------------------------------------------------------------------
(2) Local switching. The blended proxy-based rate for unbundled
local switching shall be no greater than 0.4 cents ($0.004) per minute,
and no less than 0.2 cents ($0.002) per minute, except that, where a
state commission has, before August 8, 1996, established a rate less
than or equal to 0.5 cents ($0.005) per minute, that rate may be
retained pending completion of a forward-looking economic cost study.
The blended rate for unbundled local switching shall be calculated as
the sum of the following:
(i) The applicable flat-rated charges for subelements associated
with unbundled local switching, such as line ports, divided by the
projected average minutes of use per flat-rated subelement; and
(ii) The applicable usage-sensitive charges for subelements
associated with unbundled local switching, such as switching and trunk
ports. A weighted average of such charges shall be used in appropriate
circumstances, such as when peak and off-peak charges are used.
(3) Dedicated transmission links. The proxy-based rates for
dedicated transmission links shall be no greater than the incumbent
LEC's tariffed interstate charges for comparable entrance facilities or
direct-trunked transport offerings, as described in Secs. 69.110 and
69.112 of this chapter.
(4) Shared transmission facilities between tandem switches and end
offices. The proxy-based rates for shared transmission facilities
between tandem switches and end offices shall be no greater than the
weighted per-minute equivalent of DS1 and DS3 interoffice dedicated
transmission link rates that reflects the relative number of DS1 and DS3
circuits used in the tandem to end office links (or a surrogate based on
the proportion of copper and fiber facilities in the interoffice
network), calculated using a loading factor of 9,000 minutes per month
per voice-grade circuit, as described in Sec. 69.112 of this chapter.
(5) Tandem switching. The proxy-based rate for tandem switching
shall be no greater than 0.15 cents ($0.0015) per minute of use.
(6) Collocation. To the extent that the incumbent LEC offers a
comparable form of collocation in its interstate expanded
interconnection tariffs, as described in Secs. 64.1401 and 69.121 of
this chapter, the proxy-based rates for collocation shall be no greater
than the effective rates for equivalent services in the interstate
expanded interconnection tariff. To the extent that the incumbent LEC
does not offer a comparable form of collocation in its interstate
expanded interconnection tariffs, a state commission may, in its
discretion, establish a proxy-based rate, provided that the state
commission sets forth in writing a reasonable basis for concluding that
its rate would approximate the result of a forward-looking economic cost
study, as described in Sec. 51.505.
(7) Signaling, call-related database, and other elements. To the
extent that the incumbent LEC has established rates for offerings
comparable to other elements in its interstate access tariffs, and has
provided cost support for those rates pursuant to Sec. 61.49(h) of this
chapter, the proxy-based rates for those elements shall be no greater
than the effective rates for equivalent services in the interstate
access tariffs. In other
[[Page 41]]
cases, the proxy-based rate shall be no greater than a rate based on
direct costs plus a reasonable allocation of overhead loadings, pursuant
to Sec. 61.49(h) of this chapter.
Sec. 51.515 Application of access charges.
(a) Neither the interstate access charges described in part 69 of
this chapter nor comparable intrastate access charges shall be assessed
by an incumbent LEC on purchasers of elements that offer telephone
exchange or exchange access services.
(b) Notwithstanding Secs. 51.505, 51.511, and 51.513(d)(2) and
paragraph (a) of this section, an incumbent LEC may assess upon
telecommunications carriers that purchase unbundled local switching
elements, as described in Sec. 51.319(c)(1), for interstate minutes of
use traversing such unbundled local switching elements, the carrier
common line charge described in Sec. 69.105 of this chapter, and a
charge equal to 75% of the interconnection charge described in
Sec. 69.124 of this chapter, only until the earliest of the following,
and not thereafter:
(1) June 30, 1997;
(2) The later of the effective date of a final Commission decision
in CC Docket No. 96-45, Federal-State Joint Board on Universal Service,
or the effective date of a final Commission decision in a proceeding to
consider reform of the interstate access charges described in part 69;
or
(3) With respect to a Bell operating company only, the date on which
that company is authorized to offer in-region interLATA service in a
state pursuant to section 271 of the Act. The end date for Bell
operating companies that are authorized to offer interLATA service shall
apply only to the recovery of access charges in those states in which
the Bell operating company is authorized to offer such service.
(c) Notwithstanding Secs. 51.505, 51.511, and 51.513(d)(2) and
paragraph (a) of this section, an incumbent LEC may assess upon
telecommunications carriers that purchase unbundled local switching
elements, as described in Sec. 51.319(c)(1), for intrastate toll minutes
of use traversing such unbundled local switching elements, intrastate
access charges comparable to those listed in paragraph (b) and any
explicit intrastate universal service mechanism based on access charges,
only until the earliest of the following, and not thereafter:
(1) June 30, 1997;
(2) The effective date of a state commission decision that an
incumbent LEC may not assess such charges; or
(3) With respect to a Bell operating company only, the date on which
that company is authorized to offer in-region interLATA service in the
state pursuant to section 271 of the Act. The end date for Bell
operating companies that are authorized to offer interLATA service shall
apply only to the recovery of access charges in those states in which
the Bell operating company is authorized to offer such service.
Subpart G--Resale
Sec. 51.601 Scope of resale rules.
The provisions of this subpart govern the terms and conditions under
which LECs offer telecommunications services to requesting
telecommunications carriers for resale.
Sec. 51.603 Resale obligation of all local exchange carriers.
(a) A LEC shall make its telecommunications services available for
resale to requesting telecommunications carriers on terms and conditions
that are reasonable and non-discriminatory.
(b) A LEC must provide services to requesting telecommunications
carriers for resale that are equal in quality, subject to the same
conditions, and provided within the same provisioning time intervals
that the LEC provides these services to others, including end users.
Sec. 51.605 Additional obligations of incumbent local exchange carriers.
(a) An incumbent LEC shall offer to any requesting
telecommunications carrier any telecommunications service that the
incumbent LEC offers on a retail basis to subscribers that are not
telecommunications carriers for resale at wholesale rates that are, at
the election of the state commission--
[[Page 42]]
(1) Consistent with the avoided cost methodology described in
Secs. 51.607 and 51.609; or
(2) Interim wholesale rates, pursuant to Sec. 51.611.
(b) Except as provided in Sec. 51.613, an incumbent LEC shall not
impose restrictions on the resale by a requesting carrier of
telecommunications services offered by the incumbent LEC.
Sec. 51.607 Wholesale pricing standard.
(a) The wholesale rate that an incumbent LEC may charge for a
telecommunications service provided for resale to other
telecommunications carriers shall equal the incumbent LEC's existing
retail rate for the telecommunications service, less avoided retail
costs, as described in Sec. 51.609.
(b) For purposes of this subpart, exchange access services, as
defined in section 3 of the Act, shall not be considered to be
telecommunications services that incumbent LECs must make available for
resale at wholesale rates to requesting telecommunications carriers.
Sec. 51.609 Determination of avoided retail costs.
(a) Except as provided in Sec. 51.611, the amount of avoided retail
costs shall be determined on the basis of a cost study that complies
with the requirements of this section.
(b) Avoided retail costs shall be those costs that reasonably can be
avoided when an incumbent LEC provides a telecommunications service for
resale at wholesale rates to a requesting carrier.
(c) For incumbent LECs that are designated as Class A companies
under Sec. 32.11 of this chapter, except as provided in paragraph (d) of
this section, avoided retail costs shall:
(1) Include, as direct costs, the costs recorded in USOA accounts
6611 (product management), 6612 (sales), 6613 (product advertising),
6621 (call completion services), 6622 (number services), and 6623
(customer services) (Secs. 32.6611, 32.6612, 32.6613, 32.6621, 32.6622,
and 32.6623 of this chapter);
(2) Include, as indirect costs, a portion of the costs recorded in
USOA accounts 6121-6124 (general support expenses), 6711, 6712, 6721-
6728 (corporate operations expenses), and 5301 (telecommunications
uncollectibles) (Secs. 32.6121-32.6124, 32.6711, 32.6712, 32.6721-
32.6728, and 32.5301 of this chapter); and
(3) Not include plant-specific expenses and plant non-specific
expenses, other than general support expenses (Secs. 32.6110-32.6116,
32.6210-32.6565 of this chapter).
(d) Costs included in accounts 6611-6613 and 6621-6623 described in
paragraph (c) of this section (Secs. 32.6611-32.6613 and 32.6621-32.6623
of this chapter) may be included in wholesale rates only to the extent
that the incumbent LEC proves to a state commission that specific costs
in these accounts will be incurred and are not avoidable with respect to
services sold at wholesale, or that specific costs in these accounts are
not included in the retail prices of resold services. Costs included in
accounts 6110-6116 and 6210-6565 described in paragraph (c) of this
section (Secs. 32.6110-32.6116, 32.6210-32.6565 of this chapter) may be
treated as avoided retail costs, and excluded from wholesale rates, only
to the extent that a party proves to a state commission that specific
costs in these accounts can reasonably be avoided when an incumbent LEC
provides a telecommunications service for resale to a requesting
carrier.
(e) For incumbent LECs that are designated as Class B companies
under Sec. 32.11 of this chapter and that record information in summary
accounts instead of specific USOA accounts, the entire relevant summary
accounts may be used in lieu of the specific USOA accounts listed in
paragraphs (c) and (d) of this section.
Sec. 51.611 Interim wholesale rates.
(a) If a state commission cannot, based on the information available
to it, establish a wholesale rate using the methodology prescribed in
Sec. 51.609, then the state commission may elect to establish an interim
wholesale rate as described in paragraph (b) of this section.
(b) The state commission may establish interim wholesale rates that
are at least 17 percent, and no more than 25 percent, below the
incumbent LEC's existing retail rates, and shall articulate the basis
for selecting a particular
[[Page 43]]
discount rate. The same discount percentage rate shall be used to
establish interim wholesale rates for each telecommunications service.
(c) A state commission that establishes interim wholesale rates
shall, within a reasonable period of time thereafter, establish
wholesale rates on the basis of an avoided retail cost study that
complies with Sec. 51.609.
Sec. 51.613 Restrictions on resale.
(a) Notwithstanding Sec. 51.605(b), the following types of
restrictions on resale may be imposed:
(1) Cross-class selling. A state commission may permit an incumbent
LEC to prohibit a requesting telecommunications carrier that purchases
at wholesale rates for resale, telecommunications services that the
incumbent LEC makes available only to residential customers or to a
limited class of residential customers, from offering such services to
classes of customers that are not eligible to subscribe to such services
from the incumbent LEC.
(2) Short term promotions. An incumbent LEC shall apply the
wholesale discount to the ordinary rate for a retail service rather than
a special promotional rate only if:
(i) Such promotions involve rates that will be in effect for no more
than 90 days; and
(ii) The incumbent LEC does not use such promotional offerings to
evade the wholesale rate obligation, for example by making available a
sequential series of 90-day promotional rates.
(b) With respect to any restrictions on resale not permitted under
paragraph (a), an incumbent LEC may impose a restriction only if it
proves to the state commission that the restriction is reasonable and
nondiscriminatory.
(c) Branding. Where operator, call completion, or directory
assistance service is part of the service or service package an
incumbent LEC offers for resale, failure by an incumbent LEC to comply
with reseller unbranding or rebranding requests shall constitute a
restriction on resale.
(1) An incumbent LEC may impose such a restriction only if it proves
to the state commission that the restriction is reasonable and
nondiscriminatory, such as by proving to a state commission that the
incumbent LEC lacks the capability to comply with unbranding or
rebranding requests.
(2) For purposes of this subpart, unbranding or rebranding shall
mean that operator, call completion, or directory assistance services
are offered in such a manner that an incumbent LEC's brand name or other
identifying information is not identified to subscribers, or that such
services are offered in such a manner that identifies to subscribers the
requesting carrier's brand name or other identifying information.
Sec. 51.615 Withdrawal of services.
When an incumbent LEC makes a telecommunications service available
only to a limited group of customers that have purchased such a service
in the past, the incumbent LEC must also make such a service available
at wholesale rates to requesting carriers to offer on a resale basis to
the same limited group of customers that have purchased such a service
in the past.
Sec. 51.617 Assessment of end user common line charge on resellers.
(a) Notwithstanding the provision in Sec. 69.104(a) of this chapter
that the end user common line charge be assessed upon end users, an
incumbent LEC shall assess this charge, and the charge for changing the
designated primary interexchange carrier, upon requesting carriers that
purchase telephone exchange service for resale. The specific end user
common line charge to be assessed will depend upon the identity of the
end user served by the requesting carrier.
(b) When an incumbent LEC provides telephone exchange service to a
requesting carrier at wholesale rates for resale, the incumbent LEC
shall continue to assess the interstate access charges provided in part
69 of this chapter, other than the end user common line charge, upon
interexchange carriers that use the incumbent LEC's facilities to
provide interstate or international telecommunications services to the
interexchange carriers' subscribers.
[[Page 44]]
Subpart H--Reciprocal Compensation for Transport and Termination of
Local Telecommunications Traffic
Sec. 51.701 Scope of transport and termination pricing rules.
(a) The provisions of this subpart apply to reciprocal compensation
for transport and termination of local telecommunications traffic
between LECs and other telecommunications carriers.
(b) Local telecommunications traffic. For purposes of this subpart,
local telecommunications traffic means:
(1) Telecommunications traffic between a LEC and a
telecommunications carrier other than a CMRS provider that originates
and terminates within a local service area established by the state
commission; or
(2) Telecommunications traffic between a LEC and a CMRS provider
that, at the beginning of the call, originates and terminates within the
same Major Trading Area, as defined in Sec. 24.202(a) of this chapter.
(c) Transport. For purposes of this subpart, transport is the
transmission and any necessary tandem switching of local
telecommunications traffic subject to section 251(b)(5) of the Act from
the interconnection point between the two carriers to the terminating
carrier's end office switch that directly serves the called party, or
equivalent facility provided by a carrier other than an incumbent LEC.
(d) Termination. For purposes of this subpart, termination is the
switching of local telecommunications traffic at the terminating
carrier's end office switch, or equivalent facility, and delivery of
such traffic to the called party's premises.
(e) Reciprocal compensation. For purposes of this subpart, a
reciprocal compensation arrangement between two carriers is one in which
each of the two carriers receives compensation from the other carrier
for the transport and termination on each carrier's network facilities
of local telecommunications traffic that originates on the network
facilities of the other carrier.
Sec. 51.703 Reciprocal compensation obligation of LECs.
(a) Each LEC shall establish reciprocal compensation arrangements
for transport and termination of local telecommunications traffic with
any requesting telecommunications carrier.
(b) A LEC may not assess charges on any other telecommunications
carrier for local telecommunications traffic that originates on the
LEC's network.
Sec. 51.705 Incumbent LECs' rates for transport and termination.
(a) An incumbent LEC's rates for transport and termination of local
telecommunications traffic shall be established, at the election of the
state commission, on the basis of:
(1) The forward-looking economic costs of such offerings, using a
cost study pursuant to Secs. 51.505 and 51.511;
(2) Default proxies, as provided in Sec. 51.707; or
(3) A bill-and-keep arrangement, as provided in Sec. 51.713.
(b) In cases where both carriers in a reciprocal compensation
arrangement are incumbent LECs, state commissions shall establish the
rates of the smaller carrier on the basis of the larger carrier's
forward-looking costs, pursuant to Sec. 51.711.
Sec. 51.707 Default proxies for incumbent LECs' transport and termination rates.
(a) A state commission may determine that the cost information
available to it with respect to transport and termination of local
telecommunications traffic does not support the adoption of a rate or
rates for an incumbent LEC that are consistent with the requirements of
Secs. 51.505 and 51.511. In that event, the state commission may
establish rates for transport and termination of local
telecommunications traffic, or for specific components included therein,
that are consistent with the proxies specified in this section, provided
that:
(1) Any rate established through use of such proxies is superseded
once that state commission establishes rates for transport and
termination pursuant to Secs. 51.705(a)(1) or 51.705(a)(3); and
[[Page 45]]
(2) The state commission sets forth in writing a reasonable basis
for its selection of a particular proxy for transport and termination of
local telecommunications traffic, or for specific components included
within transport and termination.
(b) If a state commission establishes rates for transport and
termination of local telecommunications traffic on the basis of default
proxies, such rates must meet the following requirements:
(1) Termination. The incumbent LEC's rates for the termination of
local telecommunications traffic shall be no greater than 0.4 cents
($0.004) per minute, and no less than 0.2 cents ($0.002) per minute,
except that, if a state commission has, before August 8, 1996,
established a rate less than or equal to 0.5 cents ($0.005) per minute
for such calls, that rate may be retained pending completion of a
forward-looking economic cost study.
(2) Transport. The incumbent LEC's rates for the transport of local
telecommunications traffic, under this section, shall comply with the
proxies described in Sec. 51.513(d) (3), (4), and (5) that apply to the
analogous unbundled network elements used in transporting a call to the
end office that serves the called party.
Sec. 51.709 Rate structure for transport and termination.
(a) In state proceedings, a state commission shall establish rates
for the transport and termination of local telecommunications traffic
that are structured consistently with the manner that carriers incur
those costs, and consistently with the principles in Secs. 51.507 and
51.509.
(b) The rate of a carrier providing transmission facilities
dedicated to the transmission of traffic between two carriers' networks
shall recover only the costs of the proportion of that trunk capacity
used by an interconnecting carrier to send traffic that will terminate
on the providing carrier's network. Such proportions may be measured
during peak periods.
Sec. 51.711 Symmetrical reciprocal compensation.
(a) Rates for transport and termination of local telecommunications
traffic shall be symmetrical, except as provided in paragraphs (b) and
(c) of this section.
(1) For purposes of this subpart, symmetrical rates are rates that a
carrier other than an incumbent LEC assesses upon an incumbent LEC for
transport and termination of local telecommunications traffic equal to
those that the incumbent LEC assesses upon the other carrier for the
same services.
(2) In cases where both parties are incumbent LECs, or neither party
is an incumbent LEC, a state commission shall establish the symmetrical
rates for transport and termination based on the larger carrier's
forward-looking costs.
(3) Where the switch of a carrier other than an incumbent LEC serves
a geographic area comparable to the area served by the incumbent LEC's
tandem switch, the appropriate rate for the carrier other than an
incumbent LEC is the incumbent LEC's tandem interconnection rate.
(b) A state commission may establish asymmetrical rates for
transport and termination of local telecommunications traffic only if
the carrier other than the incumbent LEC (or the smaller of two
incumbent LECs) proves to the state commission on the basis of a cost
study using the forward-looking economic cost based pricing methodology
described in Secs. 51.505 and 51.511, that the forward-looking costs for
a network efficiently configured and operated by the carrier other than
the incumbent LEC (or the smaller of two incumbent LECs), exceed the
costs incurred by the incumbent LEC (or the larger incumbent LEC), and,
consequently, that such that a higher rate is justified.
(c) Pending further proceedings before the Commission, a state
commission shall establish the rates that licensees in the Paging and
Radiotelephone Service (defined in part 22, subpart E of this chapter),
Narrowband Personal Communications Services (defined in part 24, subpart
D of this chapter), and Paging Operations in the Private Land Mobile
Radio Services (defined in part 90, subpart P of this chapter) may
assess upon other carriers for the transport and termination of local
telecommunications traffic based on
[[Page 46]]
the forward-looking costs that such licensees incur in providing such
services, pursuant to Secs. 51.505 and 51.511. Such licensees' rates
shall not be set based on the default proxies described in Sec. 51.707.
Sec. 51.713 Bill-and-keep arrangements for reciprocal compensation.
(a) For purposes of this subpart, bill-and-keep arrangements are
those in which neither of the two interconnecting carriers charges the
other for the termination of local telecommunications traffic that
originates on the other carrier's network.
(b) A state commission may impose bill-and-keep arrangements if the
state commission determines that the amount of local telecommunications
traffic from one network to the other is roughly balanced with the
amount of local telecommunications traffic flowing in the opposite
direction, and is expected to remain so, and no showing has been made
pursuant to Sec. 51.711(b).
(c) Nothing in this section precludes a state commission from
presuming that the amount of local telecommunications traffic from one
network to the other is roughly balanced with the amount of local
telecommunications traffic flowing in the opposite direction and is
expected to remain so, unless a party rebuts such a presumption.
Sec. 51.715 Interim transport and termination pricing.
(a) Upon request from a telecommunications carrier without an
existing interconnection arrangement with an incumbent LEC, the
incumbent LEC shall provide transport and termination of local
telecommunications traffic immediately under an interim arrangement,
pending resolution of negotiation or arbitration regarding transport and
termination rates and approval of such rates by a state commission under
sections 251 and 252 of the Act.
(1) This requirement shall not apply when the requesting carrier has
an existing interconnection arrangement that provides for the transport
and termination of local telecommunications traffic by the incumbent
LEC.
(2) A telecommunications carrier may take advantage of such an
interim arrangement only after it has requested negotiation with the
incumbent LEC pursuant to Sec. 51.301.
(b) Upon receipt of a request as described in paragraph (a) of this
section, an incumbent LEC must, without unreasonable delay, establish an
interim arrangement for transport and termination of local
telecommunications traffic at symmetrical rates.
(1) In a state in which the state commission has established
transport and termination rates based on forward-looking economic cost
studies, an incumbent LEC shall use these state-determined rates as
interim transport and termination rates.
(2) In a state in which the state commission has established
transport and termination rates consistent with the default price ranges
and ceilings described in Sec. 51.707, an incumbent LEC shall use these
state-determined rates as interim rates.
(3) In a state in which the state commission has neither established
transport and termination rates based on forward-looking economic cost
studies nor established transport and termination rates consistent with
the default price ranges described in Sec. 51.707, an incumbent LEC
shall set interim transport and termination rates at the default
ceilings for end-office switching (0.4 cents per minute of use), tandem
switching (0.15 cents per minute of use), and transport (as described in
Sec. 51.707(b)(2)).
(c) An interim arrangement shall cease to be in effect when one of
the following occurs with respect to rates for transport and termination
of local telecommunications traffic subject to the interim arrangement:
(1) A voluntary agreement has been negotiated and approved by a
state commission;
(2) An agreement has been arbitrated and approved by a state
commission; or
(3) The period for requesting arbitration has passed with no such
request.
(d) If the rates for transport and termination of local
telecommunications traffic in an interim arrangement differ from the
rates established by a state commission pursuant to Sec. 51.705, the
state commission shall require carriers to make adjustments to past
compensation. Such adjustments to past
[[Page 47]]
compensation shall allow each carrier to receive the level of
compensation it would have received had the rates in the interim
arrangement equalled the rates later established by the state commission
pursuant to Sec. 51.705.
Sec. 51.717 Renegotiation of existing non-reciprocal arrangements.
(a) Any CMRS provider that operates under an arrangement with an
incumbent LEC that was established before August 8, 1996 and that
provides for non-reciprocal compensation for transport and termination
of local telecommunications traffic is entitled to renegotiate these
arrangements with no termination liability or other contract penalties.
(b) From the date that a CMRS provider makes a request under
paragraph (a) of this section until a new agreement has been either
arbitrated or negotiated and has been approved by a state commission,
the CMRS provider shall be entitled to assess upon the incumbent LEC the
same rates for the transport and termination of local telecommunications
traffic that the incumbent LEC assesses upon the CMRS provider pursuant
to the pre-existing arrangement.
Subpart I--Procedures for Implementation of Section 252 of the Act
Sec. 51.801 Commission action upon a state commission's failure to act to carry out its responsibility under section 252 of the Act.
(a) If a state commission fails to act to carry out its
responsibility under section 252 of the Act in any proceeding or other
matter under section 252 of the Act, the Commission shall issue an order
preempting the state commission's jurisdiction of that proceeding or
matter within 90 days after being notified (or taking notice) of such
failure, and shall assume the responsibility of the state commission
under section 252 of the Act with respect to the proceeding or matter
and shall act for the state commission.
(b) For purposes of this part, a state commission fails to act if
the state commission fails to respond, within a reasonable time, to a
request for mediation, as provided for in section 252(a)(2) of the Act,
or for a request for arbitration, as provided for in section 252(b) of
the Act, or fails to complete an arbitration within the time limits
established in section 252(b)(4)(C) of the Act.
(c) A state shall not be deemed to have failed to act for purposes
of section 252(e)(5) of the Act if an agreement is deemed approved under
section 252(e)(4) of the Act.
Sec. 51.803 Procedures for Commission notification of a state commission's failure to act.
(a) Any party seeking preemption of a state commission's
jurisdiction, based on the state commission's failure to act, shall
notify the Commission in accordance with following procedures:
(1) Such party shall file with the Secretary of the Commission a
petition, supported by an affidavit, that states with specificity the
basis for the petition and any information that supports the claim that
the state has failed to act, including, but not limited to, the
applicable provisions of the Act and the factual circumstances
supporting a finding that the state commission has failed to act;
(2) Such party shall ensure that the state commission and the other
parties to the proceeding or matter for which preemption is sought are
served with the petition required in paragraph (a)(1) of this section on
the same date that the petitioning party serves the petition on the
Commission; and
(3) Within fifteen days from the date of service of the petition
required in paragraph (a)(1) of this section, the applicable state
commission and parties to the proceeding may file with the Commission a
response to the petition.
(b) The party seeking preemption must prove that the state has
failed to act to carry out its responsibilities under section 252 of the
Act.
(c) The Commission, pursuant to section 252(e)(5) of the Act, may
take notice upon its own motion that a state commission has failed to
act. In such a case, the Commission shall issue a public notice that the
Commission has taken notice of a state commission's failure to act. The
applicable state
[[Page 48]]
commission and the parties to a proceeding or matter in which the
Commission has taken notice of the state commission's failure to act may
file, within fifteen days of the issuance of the public notice, comments
on whether the Commission is required to assume the responsibility of
the state commission under section 252 of the Act with respect to the
proceeding or matter.
(d) The Commission shall issue an order determining whether it is
required to preempt the state commission's jurisdiction of a proceeding
or matter within 90 days after being notified under paragraph (a) of
this section or taking notice under paragraph (c) of this section of a
state commission's failure to carry out its responsibilities under
section 252 of the Act.
Sec. 51.805 The Commission's authority over proceedings and matters.
(a) If the Commission assumes responsibility for a proceeding or
matter pursuant to section 252(e)(5) of the Act, the Commission shall
retain jurisdiction over such proceeding or matter. At a minimum, the
Commission shall approve or reject any interconnection agreement adopted
by negotiation, mediation or arbitration for which the Commission,
pursuant to section 252(e)(5) of the Act, has assumed the state's
commission's responsibilities.
(b) Agreements reached pursuant to mediation or arbitration by the
Commission pursuant to section 252(e)(5) of the Act are not required to
be submitted to the state commission for approval or rejection.
Sec. 51.807 Arbitration and mediation of agreements by the Commission pursuant to section 252(e)(5) of the Act.
(a) The rules established in this section shall apply only to
instances in which the Commission assumes jurisdiction under section
252(e)(5) of the Act.
(b) When the Commission assumes responsibility for a proceeding or
matter pursuant to section 252(e)(5) of the Act, it shall not be bound
by state laws and standards that would have applied to the state
commission in such proceeding or matter.
(c) In resolving, by arbitration under section 252(b) of the Act,
any open issues and in imposing conditions upon the parties to the
agreement, the Commission shall:
(1) Ensure that such resolution and conditions meet the requirements
of section 251 of the Act, including the rules prescribed by the
Commission pursuant to that section;
(2) Establish any rates for interconnection, services, or network
elements according to section 252(d) of the Act, including the rules
prescribed by the Commission pursuant to that section; and
(3) Provide a schedule for implementation of the terms and
conditions by the parties to the agreement.
(d) An arbitrator, acting pursuant to the Commission's authority
under section 252(e)(5) of the Act, shall use final offer arbitration,
except as otherwise provided in this section:
(1) At the discretion of the arbitrator, final offer arbitration may
take the form of either entire package final offer arbitration or issue-
by-issue final offer arbitration.
(2) Negotiations among the parties may continue, with or without the
assistance of the arbitrator, after final arbitration offers are
submitted. Parties may submit subsequent final offers following such
negotiations.
(3) To provide an opportunity for final post-offer negotiations, the
arbitrator will not issue a decision for at least fifteen days after
submission to the arbitrator of the final offers by the parties.
(e) Final offers submitted by the parties to the arbitrator shall be
consistent with section 251 of the Act, including the rules prescribed
by the Commission pursuant to that section.
(f) Each final offer shall:
(1) Meet the requirements of section 251, including the rules
prescribed by the Commission pursuant to that section;
(2) Establish rates for interconnection, services, or access to
unbundled network elements according to section 252(d) of the Act,
including the rules prescribed by the Commission pursuant to that
section; and
(3) Provide a schedule for implementation of the terms and
conditions by
[[Page 49]]
the parties to the agreement. If a final offer submitted by one or more
parties fails to comply with the requirements of this section, the
arbitrator has discretion to take steps designed to result in an
arbitrated agreement that satisfies the requirements of section 252(c)
of the Act, including requiring parties to submit new final offers
within a time frame specified by the arbitrator, or adopting a result
not submitted by any party that is consistent with the requirements of
section 252(c) of the Act, and the rules prescribed by the Commission
pursuant to that section.
(g) Participation in the arbitration proceeding will be limited to
the requesting telecommunications carrier and the incumbent LEC, except
that the Commission will consider requests by third parties to file
written pleadings.
(h) Absent mutual consent of the parties to change any terms and
conditions adopted by the arbitrator, the decision of the arbitrator
shall be binding on the parties.
Sec. 51.809 Availability of provisions of agreements to other telecommunications carriers under section 252(i) of the Act.
(a) An incumbent LEC shall make available without unreasonable delay
to any requesting telecommunications carrier any individual
interconnection, service, or network element arrangement contained in
any agreement to which it is a party that is approved by a state
commission pursuant to section 252 of the Act, upon the same rates,
terms, and conditions as those provided in the agreement. An incumbent
LEC may not limit the availability of any individual interconnection,
service, or network element only to those requesting carriers serving a
comparable class of subscribers or providing the same service (i.e.,
local, access, or interexchange) as the original party to the agreement.
(b) The obligations of paragraph (a) of this section shall not apply
where the incumbent LEC proves to the state commission that:
(1) The costs of providing a particular interconnection, service, or
element to the requesting telecommunications carrier are greater than
the costs of providing it to the telecommunications carrier that
originally negotiated the agreement, or
(2) The provision of a particular interconnection, service, or
element to the requesting carrier is not technically feasible.
(c) Individual interconnection, service, or network element
arrangements shall remain available for use by telecommunications
carriers pursuant to this section for a reasonable period of time after
the approved agreement is available for public inspection under section
252(f) of the Act.
PART 52--NUMBERING--Table of Contents
Subpart A--Scope and Authority
Sec.
52.1 Basis and purpose.
52.3 General.
52.5 Definitions.
Subpart B--Administration
52.7 Definitions.
52.9 General requirements.
52.11 North American Numbering Council.
52.13 North American Numbering Plan Administrator.
52.15 Central office code administration.
52.17 Costs of number administration.
52.19 Area code relief.
Subpart C--Number Portability
52.21 Definitions.
52.23 Deployment of long-term database methods for number portability
by LECs.
52.25 Database architecture and administration.
52.27 Deployment of transitional measures for number portability.
52.29 Cost recovery for transitional measures for number portability.
52.31 Deployment of long-term database methods for number portability
by CMRS providers.
52.32-52.99 [Reserved]
Appendix to Part 52--Deployment Schedule for Long-Term Database Methods
for Local Number Portability
Authority: Sec. 1, 2, 4, 5, 48 Stat. 1066, as amended; 47 U.S.C.
Sec. 151, 152, 154, 155 unless otherwise noted. Interpret or apply secs.
3, 4, 201-05, 207-09, 218, 225-7, 251-2, 271 and 332, 48 Stat. 1070, as
amended, 1077; 47 U.S.C. 153, 154, 201-05, 207-09, 218, 225-7, 251-2,
271 and 332 unless otherwise noted.
Source: 61 FR 38637, July 25, 1996, unless otherwise noted.
[[Page 50]]
Subpart A--Scope and Authority
Source: 61 FR 47353, Sept. 6, 1996, unless otherwise noted.
Effective Date Note: At 61 FR 47353, Sept. 6, 1996, subpart A was
added, effective Oct. 7, 1996.
Sec. 52.1 Basis and purpose.
(a) Basis. These rules are issued pursuant to the Communications Act
of 1934, as amended, 47 U.S.C. 151 et. seq.
(b) Purpose. The purpose of these rules is to establish, for the
United States, requirements and conditions for the administration and
use of telecommunications numbers for provision of telecommunications
services.
Sec. 52.3 General.
The Commission shall have exclusive authority over those portions of
the North American Numbering Plan (NANP) that pertain to the United
States. The Commission may delegate to the States or other entities any
portion of such jurisdiction.
Sec. 52.5 Definitions.
As used in this part:
(a) Incumbent local exchange carrier. With respect to an area, an
``incumbent local exchange carrier'' is a local exchange carrier that:
(1) On February 8, 1996, provided telephone exchange service in such
area; and
(2) (i) On February 8, 1996, was deemed to be a member of the
exchange carrier association pursuant to Sec. 69.601(b) of this chapter
(47 CFR 69.601(b)); or
(ii) Is a person or entity that, on or after February 8, 1996,
became a successor or assign of a member described in paragraph
(a)(2)(i) of this section.
(b) North American Numbering Council (NANC). The ``North American
Numbering Council'' is an advisory committee created under the Federal
Advisory Committee Act, 5 U.S.C., App (1988), to advise the Commission
and to make recommendations, reached through consensus, that foster
efficient and impartial number administration.
(c) North American Numbering Plan (NANP). The ``North American
Numbering Plan'' is the basic numbering scheme for the
telecommunications networks located in Anguilla, Antigua, Bahamas,
Barbados, Bermuda, British Virgin Islands, Canada, Cayman Islands,
Dominica, Dominican Republic, Grenada, Jamaica, Montserrat, St. Kitts &
Nevis, St. Lucia, St. Vincent, Turks & Caicos Islands, Trinidad &
Tobago, and the United States (including Puerto Rico, the U.S. Virgin
Islands, Guam and the Commonwealth of the Northern Mariana Islands).
(d) State. The term ``state'' includes the District of Columbia and
the Territories and possessions.
(e) State commission. The term ``state commission'' means the
commission, board, or official (by whatever name designated) which under
the laws of any state has regulatory jurisdiction with respect to
intrastate operations of carriers.
(f) Telecommunications. ``Telecommunications'' means the
transmission, between or among points specified by the user, of
information of the user's choosing, without change in the form or
content of the information as sent and received.
(g) Telecommunications carrier. A ``telecommunications carrier'' is
any provider of telecommunications services, except that such term does
not include aggregators of telecommunications services (as defined in 47
U.S.C. 226(a)(2)).
(h) Telecommunications service. The term ``telecommunications
service'' refers to the offering of telecommunications for a fee
directly to the public, or to such classes of users as to be effectively
available directly to the public, regardless of the facilities used.
Subpart B--Administration
Source: 61 FR 47353, Sept. 6, 1996, unless otherwise noted.
Effective Date Note: At 61 FR 47353, Sept. 6, 1996, subpart B was
added, effective Oct. 7, 1996.
Sec. 52.7 Definitions.
As used in this subpart:
(a) Area code or numbering plan area (NPA). The term ``area code or
numbering plan area'' refers to the first three digits (NXX) of a ten-
digit telephone number in the form NXX-NXX-XXXX,
[[Page 51]]
where N represents any one of the numbers 2 through 9 and X represents
any one of the numbers 0 through 9.
(b) Area code relief. The term ``area code relief'' refers to the
process by which central office codes are made available when there are
few or no unassigned central office codes remaining in an existing area
code and a new area code is introduced.
(c) Central office (CO) code. The term ``central office code''
refers to the second three digits (NXX) of a ten-digit telephone number
in the form NXX-NXX-XXXX, where N represents any one of the numbers 2
through 9 and X represents any one of the numbers 0 through 9.
(d) Central office (CO) code administrator. The term ``central
office code administrator'' refers to the entity or entities responsible
for managing central office codes in each area code.
(e) North American Numbering Plan Administrator (NANPA). The term
``North American Numbering Plan Administrator'' refers to the entity or
entities responsible for managing the NANP.
Sec. 52.9 General requirements.
(a) To ensure that telecommunications numbers are made available on
an equitable basis, the administration of telecommunications numbers
shall, in addition to the specific requirements set forth in this
subpart:
(1) Facilitate entry into the telecommunications marketplace by
making telecommunications numbering resources available on an efficient,
timely basis to telecommunications carriers;
(2) Not unduly favor or disfavor any particular telecommunications
industry segment or group of telecommunications consumers; and
(3) Not unduly favor one telecommunications technology over another.
(b) If the Commission delegates any telecommunications numbering
administration functions to any State or other entity pursuant to 47
U.S.C. 251(e)(1), such State or entity shall perform these functions in
a manner consistent with this part.
Sec. 52.11 North American Numbering Council.
The duties of the North American Numbering Council (NANC), may
include, but are not limited to:
(a) Advising the Commission on policy matters relating to the
administration of the NANP in the United States;
(b) Making recommendations, reached through consensus, that foster
efficient and impartial number administration;
(c) Initially resolving disputes, through consensus, pertaining to
number administration in the United States;
(d) Recommending to the Commission an appropriate entity to serve as
the NANPA;
(e) Recommending to the Commission an appropriate mechanism for
recovering the costs of NANP administration in the United States,
consistent with Sec. 52.17;
(f) Carrying out the duties described in Sec. 52.25; and
(g) Carrying out this part as directed by the Commission.
Sec. 52.13 North American Numbering Plan Administrator.
(a) The North American Numbering Plan Administrator (NANPA) shall be
an independent and impartial non-government entity.
(b) The duties of the NANPA shall include, but are not limited to:
(1) Ensuring that the interests of all NANP member countries are
considered;
(2) Processing number assignment applications associated with, but
not limited to: area codes, N11 codes, carrier identification codes
(CICs), ``500'' central office codes, ``900''central office codes,
``456'' central office codes, Signalling System 7 network codes, and
Automatic Number Identification Integration Integers (ANI II);
(3) Assigning the numbers and codes described in paragraph (b)(2) of
this section;
(4) Maintaining and monitoring administrative number databases;
(5) Assuming additional telecommunications number administration
activities, as assigned; and
[[Page 52]]
(6) Ensuring that any action taken with respect to number
administration is consistent with this part.
Sec. 52.15 Central office code administration.
(a) Central Office Code Administration shall be performed by the
NANPA, or another entity or entities, as designated by the Commission.
(b) Duties of the entity or entities performing central office code
administration may include, but are not limited to:
(1) Processing central office code assignment applications and
assigning such codes in a manner that is consistent with this part;
(2) Accessing and maintaining central office code assignment
databases;
(3) Contributing to the CO Code Use Survey (COCUS), an annual survey
that describes the present and projected use of CO codes for each NPA in
the NANP;
(4) Monitoring the use of central office codes within each area code
and forecasting the date by which all central office codes within that
area code will be assigned; and
(5) Planning for and initiating area code relief, consistent with
Sec. 52.19.
(c) Any telecommunications carrier performing central office code
administration:
(1) Shall not charge fees for the assignment or use of central
office codes to other telecommunications carriers, including paging and
CMRS providers, unless the telecommunications carrier assigning the
central office code charges one uniform fee for all carriers, including
itself and its affiliates; and
(2) Shall, consistent with this subpart, apply identical standards
and procedures for processing all central office code assignment
requests, and for assigning such codes, regardless of the identity of
the telecommunications carrier making the request.
Sec. 52.17 Costs of number administration.
All telecommunications carriers in the United States shall
contribute on a competitively neutral basis to meet the costs of
establishing numbering administration.
(a) For each telecommunications carrier, such contributions shall be
based on the gross revenues from the provision of its telecommunications
services.
(b) The contributions in paragraph (a) of this section shall be
based on each contributor's gross revenues from its provision of
telecommunications services reduced by all payments for
telecommunications services and facilities that have been paid to other
telecommunications carriers.
Sec. 52.19 Area code relief.
(a) State commissions may resolve matters involving the introduction
of new area codes within their states. Such matters may include, but are
not limited to: Directing whether area code relief will take the form of
a geographic split, an overlay area code, or a boundary realignment;
establishing new area code boundaries; establishing necessary dates for
the implementation of area code relief plans; and directing public
education and notification efforts regarding area code changes.
(b) State commissions may perform any or all functions related to
initiation and development of area code relief plans, so long as they
act consistently with the guidelines enumerated in this part, and
subject to paragraph (b)(2) of this section. For the purposes of this
paragraph, initiation and development of area code relief planning
encompasses all functions related to the implementation of new area
codes that were performed by central office code administrators prior to
February 8, 1996. Such functions may include: declaring that the area
code relief planning process should begin; convening and conducting
meetings to which the telecommunications industry and the public are
invited on area code relief for a particular area code; and developing
the details of a proposed area code relief plan or plans.
(1) The entity or entities designated by the Commission to serve as
central office code administrator(s) shall initiate and develop area
code relief plans for each area code in each state that has not notified
such entity or entities,
[[Page 53]]
pursuant to paragraph (b)(2) of this section, that the state will handle
such functions.
(2) Pursuant to paragraph (b)(1) of this section, a state commission
must notify the entity or entities designated by the Commission to serve
as central office code administrator(s) for its state that such state
commission intends to perform matters related to initiation and
development of area code relief planning efforts in its state.
Notification shall be written and shall include a description of the
specific functions the state commission intends to perform. Where the
NANP Administrator serves as the central office code administrator, such
notification must be made within 120 days of the selection of the NANP
Administrator.
(c) New area codes may be introduced through the use of:
(1) A geographic area code split, which occurs when the geographic
area served by an area code in which there are few or no central office
codes left for assignment is split into two or more geographic parts;
(2) An area code boundary realignment, which occurs when the
boundary lines between two adjacent area codes are shifted to allow the
transfer of some central office codes from an area code for which
central office codes remain unassigned to an area code for which few or
no central office codes are left for assignment; or
(3) An area code overlay, which occurs when a new area code is
introduced to serve the same geographic area as an existing area code,
subject to the following conditions:
(i) No area code overlay may be implemented unless all central
office codes in the new overlay area code are assigned to those entities
requesting assignment on a first-come, first-serve basis, regardless of
the identity of, technology used by, or type of service provided by that
entity. No group of telecommunications carriers shall be excluded from
assignment of central office codes in the existing area code, or be
assigned such codes only from the overlay area code, based solely on
that group's provision of a specific type of telecommunications service
or use of a particular technology;
(ii) No area code overlay may be implemented unless there exists, at
the time of implementation, mandatory ten-digit dialing for every
telephone call within and between all area codes in the geographic area
covered by the overlay area code; and
(iii) No area code overlay may be implemented unless every
telecommunications carrier, including CMRS providers, authorized to
provide telephone exchange service, exchange access, or paging service
in that NPA 90 days before introduction of the new overlay area code, is
assigned during that 90 day period at least one central office code in
the existing area code.
Effective Date Note: At 61 FR 47353, Sept. 6, 1996, Sec. 52.19 was
added. The information collection and recordkeeping requirements
contained in paragraph (b) of this section are effective Nov. 15, 1996.
Subpart C--Number Portability
Source: 61 FR 38637, July 25, 1996, unless otherwise noted.
Redesignated at 61 FR 47353, Sept. 6, 1996.
Effective Date Note: At 61 FR 47353, Sept. 6, 1996, subpart B
(consisting of Sec. Sec. 52.1-52.99) was redesignated as subpart C
(consisting of Sec. Sec. 52.21-52.99), effective Oct. 7, 1996.
Sec. 52.21 Definitions.
As used in this subpart:
(a) The term broadband PCS has the same meaning as that term is
defined in Sec. 24.5 of this chapter.
(b) The term cellular service has the same meaning as that term is
defined in Sec. 22.99 of this chapter.
(c) The term covered SMR means either 800 MHz and 900 MHz SMR
licensees that hold geographic area licenses or incumbent wide area SMR
licensees that offer real-time, two-way switched voice service that is
interconnected with the public switched network, either on a stand-alone
basis or packaged with other telecommunications services. This term does
not include local SMR licensees offering mainly dispatch services to
specialized customers in a non-cellular system configuration, licensees
offering only data, one-way, or stored voice services on an
interconnected basis, or any SMR provider that is not interconnected to
the public switched network.
[[Page 54]]
(d) The term database method means a number portability method that
utilizes one or more external databases for providing called party
routing information.
(e) The term downstream database means a database owned and operated
by an individual carrier for the purpose of providing number portability
in conjunction with other functions and services.
(f) The term incumbent wide area SMR licensee has the same meaning
as that term is defined in Sec. 20.3 of this chapter.
(g) The term local exchange carrier means any person that is engaged
in the provision of telephone exchange service or exchange access. For
purposes of this subpart, such term does not include a person insofar as
such person is engaged in the provision of a commercial mobile service
under 47 U.S.C. 332(c).
(h) The term local number portability administrator (LNPA) means an
independent, non-governmental entity, not aligned with any particular
telecommunications industry segment, whose duties are determined by the
NANC.
(i) The term location portability means the ability of users of
telecommunications services to retain existing telecommunications
numbers without impairment of quality, reliability, or convenience when
moving from one physical location to another.
(j) The term long-term database method means a database method that
complies with the performance criteria set forth in Sec. 52.3(a).
(k) The term number portability means the ability of users of
telecommunications services to retain, at the same location, existing
telecommunications numbers without impairment of quality, reliability,
or convenience when switching from one telecommunications carrier to
another.
(l) The term regional database means an SMS database or an SMS/SCP
pair that contains information necessary for carriers to provide number
portability in a region as determined by the NANC.
(m) The term service control point (SCP) means a database in the
public switched network which contains information and call processing
instructions needed to process and complete a telephone call. The
network switches access an SCP to obtain such information. Typically,
the information contained in an SCP is obtained from the SMS.
(n) The term service management system (SMS) means a database or
computer system not part of the public switched network that, among
other things:
(1) Interconnects to an SCP and sends to that SCP the information
and call processing instructions needed for a network switch to process
and complete a telephone call; and
(2) Provides telecommunications carriers with the capability of
entering and storing data regarding the processing and completing of a
telephone call.
(o) The term service portability means the ability of users of
telecommunications services to retain existing telecommunications
numbers without impairment of quality, reliability, or convenience when
switching from one telecommunications service to another, without
switching from one telecommunications carrier to another.
(p) The term service provider portability means the ability of users
of telecommunications services to retain, at the same location, existing
telecommunications numbers without impairment of quality, reliability,
or convenience when switching from one telecommunications carrier to
another.
(q) The term transitional measure means a method such as Remote Call
Forwarding (RCF), Flexible Direct Inward Dialing (DID), or other
comparable and technically feasible arrangement that allows one local
exchange carrier to transfer telephone numbers from its network to the
network of another telecommunications carrier, but does not comply with
the performance criteria set forth in Sec. 52.3(a).
[61 FR 38637, July 25, 1996. Redesignated at 61 FR 47353, Sept. 6, 1996,
as amended at 61 FR 47355, Sept. 6, 1996]
Effective Date Note: At 61 FR 47355, Sept. 6, 1996, in Sec. 51.21,
paragraphs (g) through (k), (m) through (r) and (v), were redesignated
as (f) through (j), (k) through (p) and (q); paragraphs (f), (l), (s),
(t) and (u) were removed, effective Oct. 7, 1996. For the
[[Page 55]]
convenience of the user, the superseded text is set forth as follows:
Sec. 52.21 Definitions.
* * * * *
(f) The term incumbent local exchange carrier means, with respect to
an area, the local exchange carrier that:
(1) On February 8, 1996, provided telephone exchange service in such
area; and
(2)(i) On February 8, 1996, was deemed to be a member of the
exchange carrier association pursuant to Sec. 69.601(b) of the
Commission's regulations (47 CFR 69.601(b)); or
(ii) Is a person or entity that, on or after February 8, 1996,
became a successor or assign of a member described in paragraph
(f)(2)(i) of this section.
* * * * *
(l) The term North American Numbering Council (NANC) means an
advisory committee created under the Federal Advisory Committee Act, 5
U.S.C., App (1988), to advise the Commission and to make
recommendations, reached through consensus, that foster efficient and
impartial number administration.
* * * * *
(s) The term telecommunications means the transmission, between or
among points specified by the user, of information of the user's
choosing, without change in the form or content of the information as
sent and received.
(t) The term telecommunications carrier means any provider of
telecommunications services, except that such term does not include
aggregators of telecommunications services (as defined in 47 U.S.C.
226(a)(2)).
(u) The term telecommunications service means the offering of
telecommunications for a fee directly to the public, or to such classes
of users as to be effectively available directly to the public,
regardless of the facilities used.
* * * * *
Sec. 52.23 Deployment of long-term database methods for number portability by LECs.
(a) Subject to paragraphs (b) and (c) of this section, all local
exchange carriers (LECs) must provide number portability in compliance
with the following performance criteria:
(1) Supports network services, features, and capabilities existing
at the time number portability is implemented, including but not limited
to emergency services, CLASS features, operator and directory assistance
services, and intercept capabilities;
(2) Efficiently uses numbering resources;
(3) Does not require end users to change their telecommunications
numbers;
(4) Does not require telecommunications carriers to rely on
databases, other network facilities, or services provided by other
telecommunications carriers in order to route calls to the proper
termination point;
(5) Does not result in unreasonable degradation in service quality
or network reliability when implemented;
(6) Does not result in any degradation in service quality or network
reliability when customers switch carriers;
(7) Does not result in a carrier having a proprietary interest;
(8) Is able to migrate to location and service portability; and
(9) Has no significant adverse impact outside the areas where number
portability is deployed.
(b) All LECs must provide a long-term database method for number
portability in the 100 largest Metropolitan Statistical Areas (MSAs) by
December 31, 1998, in accordance with the deployment schedule set forth
in the appendix to this part 52.
(c) Beginning January 1, 1999, all LECs must make a long-term
database method for number portability available within six months after
a specific request by another telecommunications carrier in areas in
which that telecommunications carrier is operating or plans to operate.
(d) The Chief, Common Carrier Bureau, may waive or stay any of the
dates in the implementation schedule, as the Chief determines is
necessary to ensure the efficient development of number portability, for
a period not to exceed 9 months (i.e., no later than September 30,
1999).
(e) In the event a LEC is unable to meet the Commission's deadlines
for implementing a long-term database method for number portability, it
may file with the Commission at least 60 days in advance of the deadline
a petition to extend the time by which implementation in its network
will be completed. A LEC seeking such relief must demonstrate through
substantial,
[[Page 56]]
credible evidence the basis for its contention that it is unable to
comply with the deployment schedule set forth in the appendix to this
part 52. Such requests must set forth:
(1) The facts that demonstrate why the carrier is unable to meet the
Commission's deployment schedule;
(2) A detailed explanation of the activities that the carrier has
undertaken to meet the implementation schedule prior to requesting an
extension of time;
(3) An identification of the particular switches for which the
extension is requested;
(4) The time within which the carrier will complete deployment in
the affected switches; and
(5) A proposed schedule with milestones for meeting the deployment
date.
(f) The Chief, Common Carrier Bureau, shall monitor the progress of
local exchange carriers implementing number portability, and may direct
such carriers to take any actions necessary to ensure compliance with
the deployment schedule set forth in the appendix to this part 52.
(g) Carriers that are members of the Illinois Local Number
Portability Workshop must conduct a field test of any technically
feasible long-term database method for number portability in the
Chicago, Illinois, area concluding no later than August 31, 1997. The
carriers participating in the test must jointly file with the Common
Carrier Bureau a report of their findings within 30 days following
completion of the test. The Chief, Common Carrier Bureau, shall monitor
developments during the field test.
Sec. 52.25 Database architecture and administration.
(a) The North American Numbering Council (NANC) shall direct
establishment of a nationwide system of regional SMS databases for the
provision of long-term database methods for number portability.
(b) All telecommunications carriers shall have equal and open access
to the regional databases.
(c) The NANC shall select a local number portability
administrator(s) (LNPA(s)) to administer the regional databases within
seven months of the initial meeting of the NANC.
(d) The NANC shall determine whether one or multiple
administrator(s) should be selected, whether the LNPA(s) can be the same
entity selected to be the North American Numbering Plan Administrator,
how the LNPA(s) should be selected, the specific duties of the LNPA(s),
the geographic coverage of the regional databases, the technical
interoperability and operational standards, the user interface between
telecommunications carriers and the LNPA(s), the network interface
between the SMS and the downstream databases, and the technical
specifications for the regional databases.
(e) Once the NANC has selected the LNPA(s) and determined the
locations of the regional databases, it must report its decisions to the
Commission.
(f) The information contained in the regional databases shall be
limited to the information necessary to route telephone calls to the
appropriate telecommunications carriers. The NANC shall determine what
specific information is necessary.
(g) Any state may opt out of its designated regional database and
implement a state-specific database. A state must notify the Common
Carrier Bureau and NANC that it plans to implement a state-specific
database within 60 days from the release date of the Public Notice
issued by the Chief, Common Carrier Bureau, identifying the
administrator selected by the NANC and the proposed locations of the
regional databases. Carriers may challenge a state's decision to opt out
of the regional database system by filing a petition with the
Commission.
(h) Individual state databases must meet the national requirements
and operational standards recommended by the NANC and adopted by the
Commission. In addition, such state databases must be technically
compatible with the regional system of databases and must not interfere
with the scheduled implementation of the regional databases.
(i) Individual carriers may download information necessary to
provide number portability from the regional databases into their own
downstream
[[Page 57]]
databases. Individual carriers may mix information needed to provide
other services or functions with the information downloaded from the
regional databases at their own downstream databases. Carriers may not
withhold any information necessary to provide number portability from
the regional databases on the grounds that such data has been combined
with other information in its downstream database.
Sec. 52.27 Deployment of transitional measures for number portability.
All LECs shall provide transitional measures, which may consist of
Remote Call Forwarding (RCF), Flexible Direct Inward Dialing (DID), or
any other comparable and technically feasible method, as soon as
reasonably possible upon receipt of a specific request from another
telecommunications carrier, until such time as the LEC implements a
long-term database method for number portability in that area.
Sec. 52.29 Cost recovery for transitional measures for number portability.
Any cost recovery mechanism for the provision of number portability
pursuant to Sec. 52.7(a), that is adopted by a state commission must
not:
(a) Give one telecommunications carrier an appreciable, incremental
cost advantage over another telecommunications carrier, when competing
for a specific subscriber (i.e., the recovery mechanism may not have a
disparate effect on the incremental costs of competing carriers seeking
to serve the same customer); or
(b) Have a disparate effect on the ability of competing
telecommunications carriers to earn a normal return on their investment.
Sec. 52.31 Deployment of long-term database methods for number portability by CMRS providers.
(a) By June 30, 1999, all cellular, broadband PCS, and covered SMR
providers must provide a long-term database method for number
portability, including the ability to support roaming, in compliance
with the performance criteria set forth in Sec. 52.3(a).
(b) By December 31, 1998, all cellular, broadband PCS, and covered
SMR providers must have the capability to obtain routing information,
either by querying the appropriate database themselves or by making
arrangements with other carriers that are capable of performing database
queries, so that they can deliver calls from their networks to any party
that has retained its number after switching from one telecommunications
carrier to another.
(c) The Chief, Wireless Telecommunications Bureau, may waive or stay
any of the dates in the implementation schedule, as the Chief determines
is necessary to ensure the efficient development of number portability,
for a period not to exceed 9 months (i.e., no later than September 30,
1999, for the deadline in paragraph (b) of this section, and no later
than March 31, 2000, for the deadline in paragraph (a) of this section).
(d) In the event a carrier subject to paragraphs (a) and (b) of this
section is unable to meet the Commission's deadlines for implementing a
long-term number portability method, it may file with the Commission at
least 60 days in advance of the deadline a petition to extend the time
by which implementation in its network will be completed. A carrier
seeking such relief must demonstrate through substantial, credible
evidence the basis for its contention that it is unable to comply with
paragraphs (a) and (b) of this section. Such requests must set forth:
(1) The facts that demonstrate why the carrier is unable to meet our
deployment schedule;
(2) A detailed explanation of the activities that the carrier has
undertaken to meet the implementation schedule prior to requesting an
extension of time;
(3) An identification of the particular switches for which the
extension is requested;
(4) The time within which the carrier will complete deployment in
the affected switches; and
(5) A proposed schedule with milestones for meeting the deployment
date.
(e) The Chief, Wireless Telecommunications Bureau, may establish
reporting requirements in order to monitor the progress of cellular,
broadband
[[Page 58]]
PCS, and covered SMR providers implementing number portability, and may
direct such carriers to take any actions necessary to ensure compliance
with this deployment schedule.
Secs. 52.32-52.99 [Reserved]
Appendix to Part 52--Deployment Schedule for Long-Term Database Methods
for Local Number Portability
Implementation must be completed by the carriers in the relevant
MSAs during the periods specified below:
10/97-12/97
Chicago, IL........................................................ 3
Philadelphia, PA................................................... 4
Atlanta, GA........................................................ 8
New York, NY....................................................... 2
Los Angeles, CA.................................................... 1
Houston, TX........................................................ 7
Minneapolis, MN.................................................... 12
1/98-3/98
Detroit, MI........................................................ 6
Cleveland, OH...................................................... 20
Washington, DC..................................................... 5
Baltimore, MD...................................................... 18
Miami, FL.......................................................... 24
Fort Lauderdale, FL................................................ 39
Orlando, FL........................................................ 40
Cincinnati, OH..................................................... 30
Tampa, FL.......................................................... 23
Boston, MA......................................................... 9
Riverside, CA...................................................... 10
San Diego, CA...................................................... 14
Dallas, TX......................................................... 11
St. Louis, MO...................................................... 16
Phoenix, AZ........................................................ 17
Seattle, WA........................................................ 22
4/98-6/98
Indianapolis, IN................................................... 34
Milwaukee, WI...................................................... 35
Columbus, OH....................................................... 38
Pittsburgh, PA..................................................... 19
Newark, NJ......................................................... 25
Norfolk, VA........................................................ 32
New Orleans, LA.................................................... 41
Charlotte, NC...................................................... 43
Greensboro, NC..................................................... 48
Nashville, TN...................................................... 51
Las Vegas, NV...................................................... 50
Nassau, NY......................................................... 13
Buffalo, NY........................................................ 44
Orange Co, CA...................................................... 15
Oakland, CA........................................................ 21
San Francisco, CA.................................................. 29
Rochester, NY...................................................... 49
Kansas City, KS.................................................... 28
Fort Worth, TX..................................................... 33
Hartford, CT....................................................... 46
Denver, CO......................................................... 26
Portland, OR....................................................... 27
7/98-9/98
Grand Rapids, MI................................................... 56
Dayton, OH......................................................... 61
Akron, OH.......................................................... 73
Gary, IN........................................................... 80
Bergen, NJ......................................................... 42
Middlesex, NJ...................................................... 52
Monmouth, NJ....................................................... 54
Richmond, VA....................................................... 63
Memphis, TN........................................................ 53
Louisville, KY..................................................... 57
Jacksonville, FL................................................... 58
Raleigh, NC........................................................ 59
West Palm Beach, FL................................................ 62
Greenville, SC..................................................... 66
Honolulu, HI....................................................... 65
Providence, RI..................................................... 47
Albany, NY......................................................... 64
San Jose, CA....................................................... 31
Sacramento, CA..................................................... 36
Fresno, CA......................................................... 68
San Antonio, TX.................................................... 37
Oklahoma City, OK.................................................. 55
Austin, TX......................................................... 60
Salt Lake City, UT................................................. 45
Tucson, AZ......................................................... 71
10/98-12/98
Toledo, OH......................................................... 81
Youngstown, OH..................................................... 85
Ann Arbor, MI...................................................... 95
Fort Wayne, IN..................................................... 100
Scranton, PA....................................................... 78
Allentown, PA...................................................... 82
Harrisburg, PA..................................................... 83
Jersey City, NJ.................................................... 88
Wilmington, DE..................................................... 89
Birmingham, AL..................................................... 67
Knoxville, KY...................................................... 79
Baton Rouge, LA.................................................... 87
Charleston, SC..................................................... 92
Sarasota, FL....................................................... 93
Mobile, AL......................................................... 96
Columbia, SC....................................................... 98
Tulsa, OK.......................................................... 70
Syracuse, NY....................................................... 69
Springfield, MA.................................................... 86
Ventura, CA........................................................ 72
Bakersfield, CA.................................................... 84
Stockton, CA....................................................... 94
Vallejo, CA........................................................ 99
El Paso, TX........................................................ 74
Little Rock, AR.................................................... 90
Wichita, KS........................................................ 97
New Haven, CT...................................................... 91
Omaha, NE.......................................................... 75
Albuquerque, NM.................................................... 76
Tacoma, WA......................................................... 77
PART 61--TARIFFS--Table of Contents
Sec.
61.1 Purpose and application.
61.2 Clear and explicit explanatory statements.
[[Page 59]]
Definitions
61.3 Definitions.
61.11--61.19 [Reserved]
GENERAL RULES
General Rules for Domestic and International Nondominant Carriers
61.20 Method of filing publications.
61.21 Cover letters.
Specific Rules for Domestic and International Nondominant Carriers
61.22 Composition of tariffs.
61.23 Notice requirements.
61.32 Method of filing publications.
61.33 Letters of transmittal.
61.35 Delivered free of charges.
61.36 Tariff publications not returned.
61.38 Supporting information to be submitted with letters of
transmittal.
61.39 Optional supporting information to be submitted with letters of
transmittal for Access Tariff filings effective on or after
April 1, 1989, by local exchange carriers serving 50,000 or
fewer access lines in a given study area that are described as
subset 3 carriers in Sec. 69.602.
61.40 Private line rate structure guidelines.
61.41 Price cap requirements generally.
61.42 Price cap baskets and service categories.
61.43 Annual price cap filings required.
61.44 Adjustments to the PCI for Dominant Interexchange Carriers.
61.45 Adjustments to the PCI for Local Exchange Carriers.
61.46 Adjustments to the API.
61.47 Adjustments to the SBI; pricing bands.
61.48 Transition rules for price cap formula calculations.
61.49 Supporting information to be submitted with letters of
transmittal for tariffs of carriers subject to price cap
regulation.
61.50 Scope: Optional incentive regulation for rate of return local
exchange carriers.
Specific Rules for Tariff Publications
61.52 Form, size, type, legibility, etc.
61.53 Consecutive numbering.
61.54 Composition of tariffs.
61.55 Contract-based tariffs.
61.56 Supplements.
61.57 Cancellations.
61.58 Notice requirements.
61.59 Effective period required before changes.
61.67 New or discontinued telephone and teletypewriter service points;
mileages.
61.68 Special notations.
61.69 Rejection.
61.71 Reissued matter.
61.72 Posting.
61.73 Duplication of rates or regulations.
61.74 References to other instruments.
Concurrences
61.131 Scope.
61.132 Method of filing concurrences.
61.133 Format of concurrences.
61.134 Concurrences for through services.
61.135 Concurrences for other purposes.
61.136 Revocation of concurrences.
Applications for Special Permission
61.151 Scope.
61.152 Terms of applications and grants.
61.153 Method of filing applications.
Adoption of Tariffs and Other Documents of Predecessor Carriers
61.171 Adoption notice.
61.172 Changes to be incorporated in tariffs of successor carrier.
Suspensions
61.191 Carrier to file supplement when notified of suspension.
61.192 Contents of supplement announcing suspension.
61.193 Vacation of suspension order; supplements announcing same; etc.
Authority: Secs. 1, 4(i), 4(j), 201-205, and 403 of the
Communications Act of 1934, as amended; 47 U.S.C. 151, 154(i), 154(j),
201-205, and 403, unless otherwise noted.
Source: 49 FR 40869, Oct. 18, 1984, unless otherwise noted.
Sec. 61.1 Purpose and application.
(a) The purpose of this part is to prescribe the framework for the
initial establishment of and subsequent revisions to tariff
publications.
(b) Tariff publications filed with the Commission must conform to
the rules in this part. Failure to comply with any provisions of this
part may be grounds for rejection of the non-complying publication.
(c) No carrier required to file tariffs may provide any interstate
or foreign communication service until every tariff publication for such
communication service is on file with the Commission and in effect.
Sec. 61.2 Clear and explicit explanatory statements.
In order to remove all doubt as to their proper application, all
tariff publications must contain clean and explicit explanatory
statements regarding the rates and regulations.
[[Page 60]]
Definitions
Sec. 61.3 Definitions.
(a) Act. The Communications Act of 1934 (48 Stat. 1004; 47 U.S.C.
chapter 5), as amended.
(b) Actual Price Index (API). An index of the level of aggregate
rate element rates in a basket, which index is calculated pursunt to
Sec. 61.46.
(c) Association. This term has the meaning given it in Sec. 69.2(d).
(d) Band. A zone of pricing flexibility for a service category,
which zone is calculated pursuant to Sec. 61.47.
(e) Base period. For carriers subject to Secs. 61.41--61.49, the 12-
month period ending six months prior to the effective date of annual
price cap tariffs, or for carriers regulated under Sec. 61.50, the 24-
month period ending six months prior to the effective date of biennial
optional incentive plan tariffs. Base year or base period earnings shall
not include amounts associated with exogenous adjustments to the PCI for
the sharing or lower formula adjustment mechanisms.
(f) Basket. Any class or category of tariffed services:
(1) Which is established by the Commission pursuant to price cap
regulation;
(2) The rates of which are reflected in an Actual Price Index; and
(3) The related costs of which are reflected in a Price Cap Index.
(g) Change in rate structure. A restructuring or other alternation
of the rate components for an existing service.
(h) Charges. The price for service based on tariffed rates.
(i) Commercial contractor. The commercial firm to whom the
Commission annually awards a contract to make copies of Commission
records for sale to the public.
(j) Commission. The Federal Communications Commission.
(k) Concurring carrier. A carrier (other than a connecting carrier)
subject to the Act which concurs in and assents to schedules of rates
and regulations filed on its behalf an issuing carrier or carriers.
(l) Connecting carrier. A carrier engaged in interstate or foreign
communication solely through physical connection with the facilities of
another carrier not directly or indirectly controlling or controlled by,
or under direct or indirect common control with, such carrier.
(m) Contract-based tariff. A tariff based on a service contract
entered into between an interexchange carrier subject to Sec. 61.42 (a)
through (c) or a nondominant carrier and a customer.
(n) Corrections. The remedy of errors in typing, spelling, or
punctuations.
(o) Dominant carrier. A carrier found by the Commission to have
market power (i.e., power to control prices).
(p) GDP Price Index (GDP-PI). The estimate of the ``Fixed Weight
Price Index for Gross Domestic Product, 1987 Weights'' published by the
United States Department of Commerce, which the Commission designates by
Order.
(q) GNP Price Index (GNP-PI). The estimate of the ``Fixed-Weighted
Price Index for Gross National Product, 1982 Weights'' published by the
United States Department of Commerce, which the Commission designates by
Order.
(r) Issuing carrier. A carrier subject to the Act that publishes and
files a tariff or tariffs with the Commission.
(s) Local Exchange Carrier. A telephone company that provides
telephone exchange service as defined in section 3(r) of the Act.
(t) New service offering. A tariff filing that provides for a class
or sub-class of service not previously offered by the carrier involved
and that enlarges the range of service options available to ratepayers.
(u) Non-dominant carrier. A carrier not found to be dominant.
(v) Other participating carrier. A carrier subject to the Act that
publishes a tariff containing rates and regulations applicable to the
portion or through service it furnishes in conjunction with another
subject carrier.
(w) Price Cap Index (PCI). An index of costs applying to carriers
subject to price cap regulation, which index is calculated for each
basket pursuant to Sec. 61.44 or 61.45.
(x) Price cap regulation. A method of regulation of dominant
carriers provided in Secs. 61.41 through 61.49.
(y) Price cap tariff. Any tariff filing involving a service that is
within a
[[Page 61]]
price cap basket, or that requires calculations pursuant to Sec. 61.44,
61.45, 61.46, or 61.47.
(z) Productivity factor. An adjustment factor used to make annual
adjustments to the Price Cap Index to reflect the margin by which a
carrier subject to price cap regulation is expected to improve its
productivity relative to the economy as a whole.
(aa) Rate. The tariffed price per unit of service.
(bb) Rate increase. Any change in a tariff which results in an
increased rate or charge to any of the filing carrier's customers.
(cc) Rate level change. A tariff change that only affects the actual
rate associated with a rate element, and does not affect any tariff
regulations or any other wording of tariff language.
(dd) Regulations. The body of carrier prescribed rules in a tariff
governing the offering of service in that tariff, including rules,
practices, classifications, and definitions.
(ee) Restructured service. An offering which represents the
modification of a method of charging or provisioning a service; or the
introduction of a new method of charging or provisioning that does not
result in a net increase in options available to customers.
(ff) Service Band Index (SBI). An index of the level of aggregate
rate element rates in a service category, which index is calculated
pursuant to Sec. 61.47.
(gg) Service category. Any group of rate elements subject to price
cap regulation, which group is subject to a band.
(hh) Supplement. A publication filed as part of a tariff for the
purpose of suspending or cancelling that tariff, or tariff publication
and numbered independently from the tariff page series.
(ii) Tariff. Schedules of rates and regulations filed by common
carriers.
(jj) Tariff publication, or publication. A tariff, supplement,
revised page, additional page, concurrence, notice of revocation,
adoption notice, or any other schedule of rates or regulations.
(kk) Tariff year. The period from the day in a calendar year on
which a carrier's annual access tariff filing is scheduled to become
effective through the preceding day of the subsequent calendar year.
(ll) Text change. A change in the text of a tariff which does not
result in a change in any rate or regulation.
(mm) United States. The several States and Territories, the District
of Columbia, and the possessions of the United States.
[54 FR 19840, May 8, 1989, as amended at 55 FR 42382, Oct. 19, 1990; 56
FR 55239, Oct. 25, 1991; 58 FR 36147, July 6, 1993; 59 FR 10301, Mar. 4,
1994; 60 FR 19527, Apr. 19, 1995; 60 FR 20052, Apr. 24, 1995]
Sec. 61.11--61.19 [Reserved]
GENERAL RULES
General Rules for Domestic and International Nondominant Carriers
Sec. 61.20 Method of filing publications.
(a) Publications sent for filing must be addressed to ``Secretary,
Federal Communications Commission, Washington, DC 20554.'' The date on
which the publication is received by the Secretary of the Commission (or
the Mail Room where submitted by mail) is considered the official filing
date.
(b)(1) In addition, for all tariff publications requiring fees as
set forth in part 1, subpart G of this chapter, issuing carriers must
submit the original of the cover letter (without attachments), FCC Form
159, and the appropriate fee to the Mellon Bank, Pittsburgh, PA at the
address set forth in Sec. 1.1105 of this chapter. Issuing carriers
should submit these fee materials on the same date as the submission in
paragraph (a) of this section.
(2) International carriers must certify in their original cover
letter that they are authorized under Section 214 of the Communications
Act of 1934, as amended, to provide service, and reference the FCC file
number of that authorization.
(c) In addition to the requirements set forth in paragraphs (a) and
(b) of this section, the issuing carrier must send a copy of the cover
letter with one diskette containing both the complete tariff and any
attachments, as appropriate, to the Secretary, Federal Communications
Commission. In addition, the issuing carrier must send one diskette of
the complete tariff and a
[[Page 62]]
copy of the cover letter to the commercial contractor (at its office on
Commission premises), and to the Chief, Tariff Review Branch. The latter
should be clearly labeled as the ``Public Reference Copy.'' The issuing
carrier should file the copies required by this paragraph so they will
be received on the same date as the filings in paragraph (a) of this
section.
[58 FR 44460, Aug. 23, 1993, as amended at 61 FR 15726, Apr. 9, 1996]
Effective Date Note: At 61 FR 15726, Apr. 9, 1996, in Sec. 61.20,
the preceding undesignated center headings and paragraph (b) were
revised. This amendment contains information collection and
recordkeeping requirements and will not become effective until approval
has been given by the Office of Management and Budget.
Sec. 61.21 Cover letters.
(a)(1) Except as specified in Sec. 61.32(b), all publications filed
with the Commission must be accompanied by a cover letter, 8.5 by 11
inches (21.6 cm x 27.9 cm) in size. All cover letters should briefly
explain the nature of the filing and indicate the date and method of
filing of the original cover letter, as required by Sec. 61.20(b)(1).
(2) International carriers must certify that they are authorized
under Section 214 of the Communications Act of 1934, as amended, to
provide service, and reference the FCC file number of that
authorization.
(b) A separate cover letter may accompany each publication, or an
issuing carrier may file as many publications as desired with one cover
letter.
Note: If a receipt for accompanying publication is desired, the
cover letter must be sent in duplicate. One copy showing the date of the
receipt by the Commission will then be returned to the sender.
[58 FR 44460, Aug. 23, 1993, as amended at 61 FR 15726, Apr. 9, 1996]
Effective Date Note: At 61 FR 15726, Apr. 9, 1996, in Sec. 61.21,
paragraph (a) was revised. Paragraph (a) contains information collection
and recordkeeping requirements and will not become effective until
approval has been given by the Office of Management and Budget.
Specific Rules for Domestic and International Nondominant Carriers
Sec. 61.22 Composition of tariffs.
(a) The tariff must be submitted on a 3\1/2\ inch (8.89 cm)
diskette, formatted in an IBM compatible form using MS DOS 5.0 and
WordPerfect 5.1 software. The diskette must be submitted in ``read
only'' mode. The diskette must be clearly labelled with the carrier's
name, Tariff Number, and the date of submission. The cover letter must
be submitted on 8\1/2\ by 11 inch (21.6 cm x 27.9 cm) paper, and must be
plainly printed in black ink.
(b) The tariff must contain the carrier's name, the international
Section 214 authorization FCC file number (when applicable), and the
information required by Section 203 of the Act.
(c) Changes to a tariff must be made by refiling the entire tariff
on a new diskette, with the changed material included. The carrier must
indicate in the tariff what changes have been made.
(d) Domestic and international nondominant carriers subject to the
provisions of this section are not subject to the tariff filing
requirements of Sec. 61.54.
[58 FR 44460, Aug. 23, 1993; 58 FR 48323, Sept. 15, 1993, as amended at
61 FR 15727, Apr. 9, 1996]
Effective Date Note: At 61 FR 15727, Apr. 9, 1996, in Sec. 61.22,
the preceding undesignated center heading and paragraphs (b) and (d)
were revised. This amendment contains information collection and
recordkeeping requirements and will not become effective until approval
has been given by the Office of Management and Budget.
Sec. 61.23 Notice requirements.
(a) Every proposed tariff filing must bear an effective date and,
except as otherwise provided by regulation, special permission, or
Commission order, must be made on at least the number of days notice
specified in this section.
(b) Notice is accomplished by filing the proposed tariff changes
with the Commission. Any period of notice specified in this section
begins on and includes the date the tariff is received by the
Commission, but does not include the effective date. In computing the
[[Page 63]]
notice period required, all days including Sundays and holidays must be
counted.
(c) Tariff filings of domestic and international non-dominant
carriers must be made on at least one-day notice.
[58 FR 44460, Aug. 23, 1993, as amended at 61 FR 15727, Apr. 9, 1996]
Sec. 61.32 Method of filing publications.
(a) Publications sent for filing must be addressed to ``Secretary,
Federal Communications Commission, Washington, DC 20554.'' The date on
which the publication is received by the Secretary of the Commission (or
the Mail Room where submitted by mail) is considered the official filing
date.
(b) In addition, for all tariff publications requiring fees as set
forth in part 1, subpart G of this chapter, issuing carriers must submit
the original of the transmittal letter (without attachments), FCC Form
155, and the appropriate fee to the Mellon Bank, Pittsburgh, PA, at the
address set forth in Sec. 1.1105. Issuing carriers should submit these
fee materials on the same date as the submission in paragraph (a).
(c) In addition to the requirements set forth in paragraphs (a) and
(b) of this section, the issuing carrier must send a copy of the
transmittal letter with two copies of the proposed tariff pages and all
attachments, including the supporting information specified in
Sec. 61.38 or Sec. 61.49, as appropriate, to the Secretary, Federal
Communications Commission. In addition, the issuing carrier must send a
copy of the publication, supporting information specified in Sec. 61.38
or Sec. 61.49, as appropriate, and transmittal letter to the commercial
contractor (at its office on Commission premises), and to the Chief,
Tariff Review Branch. The latter should be clearly labeled as the
``Public Reference Copy.'' The copies of supporting information required
here are in addition to those required by Sec. 61.38(c). The issuing
carrier must file the copies required by this paragraph so they will be
received on the same date as the filings in paragraph (a).
[55 FR 19173, May 8, 1990]
Sec. 61.33 Letters of transmittal.
(a) Except as specified in Sec. 61.32(b), all publications filed
with the Commission must be accompanied by a letter of transmittal, A4
(21 cm x 29.7 cm) or 8.5 x 11 inches (21.6 cm x 27.9 cm) in size. All
letters of transmittal must (1) concisely explain the nature and purpose
of the filing; (2) specify whether supporting information under
Sec. 61.38 is required; (3) state whether copies have been delivered to
the Commercial Contractor and Chief, Tariff Review Branch as required by
Sec. 61.32, and (4) contain a statement indicating the date and method
of filing of the original of the transmittal letter as required by
Sec. 61.32(b), and the date and method of filing the copies as required
by Sec. 61.32 (a) and (c).
(b) In addition to the requirements set forth in paragraph (a) of
this section, any local exchange carrier choosing to file an Access
Tariff under Sec. 61.39 must include in the transmittal:
(1) A summary of the filing's basic rates, terms and conditions;
(2) A statement concerning whether any prior Commission facility
authorization necessary to the implementation of the tariff has been
obtained; and
(3) A statement that the filing is made pursuant to Sec. 61.39.
(c) In addition to the requirements set forth in paragraph (a) of
this section, any carrier filing a price cap tariff must include in the
letter of transmittal a statement that the filing is made pursuant to
Sec. 61.49.
(d) In addition to the requirements set forth in paragraph (a) of
this section, any carrier filing a new or revised tariff made on less
than 15 days' notice must include in the letter of transmittal the name,
room number, street address, telephone number, and facsimile number of
the individual designated by the filing carrier to receive personal or
facsimile service of petitions against the filing as required under
Sec. 1.773(a)(4) of this chapter.
(e) In addition to the requirements set forth in paragraphs (a),
(b), and (c) of this section, the letter of transmittal must
specifically reference by number any special permission necessary to
implement the tariff publication. Special permission must be granted
prior
[[Page 64]]
to the filing of the tariff publication, and may not be requested in the
transmittal letter.
(f) The letter of transmittal must be substantially in the following
format.
(Exact name of carrier in full)_________________________________________
(Post Office Address)___________________________________________________
______________, 19____._________________________________________________
(Date)__________________________________________________________________
Transmittal No.________
Secretary,
Federal Communications Commission
Washington, DC 20554
Attention: Common Carrier Bureau.
The accompanying tariff (or other publication) issued by
________________, and bearing FCC No. ________, effective
______________, 19____, is sent to you for filing in compliance with the
requirements of the Communications Act of 1934, as amended. (Here give
the additional information required.)
(Name of issuing officer or agent)______________________________________
(Title)_________________________________________________________________
(g)(1) A separate letter of transmittal may accompany each
publication, or the above format may be modified to provide for filing
as many publications as desired with one transmittal letter.
(2) For contract-based tariffs defined in Sec. 61.3(m), a separate
letter of transmittal must accompany each tariff filed. The transmittals
must be numbered in a series separate from transmittals for non-contract
tariff filing. Numbers must appear on the face of the transmittal and be
in the form of ``CTT No. ________'', using CTT as an abbreviation for
contract-based tariff transmittals. Contract-based tariffs must also be
numbered in a series separate from non-contract-based tariffs. Numbers
must be in the form of ``CT No. ________'', using CT as an abbreviation
for contract-based tariffs. Each contract-based tariff must be assigned
a separate number. Transmittals and tariffs subject to this paragraph
shall be filed beginning with the number ``1'' and shall be numbered
consecutively.
Note: If a receipt for accompanying publication is desired, the
letter of transmittal must be sent in duplicate. One copy showing the
date of receipt by the Commission will then be returned to the sender.
[55 FR 19173, May 8, 1990, as amended by 56 FR 55239, Oct. 25, 1991; 58
FR 17530, Apr. 5, 1993; 58 FR 44906, Aug. 25, 1993]
Sec. 61.35 Delivered free of charges.
Tariff publications must be delivered to the Commission free from
all charges, including claims for postage.
Sec. 61.36 Tariff publications not returned.
Tariff publications will not be returned.
Sec. 61.38 Supporting information to be submitted with letters of transmittal.
(a) Scope. This section applies to dominant carriers whose gross
annual revenue exceed $500,000 for the most recent 12 month period of
operations or are estimated to exceed $500,000 for a representative 12
month period. Local exchange carriers serving 50,000 or fewer access
lines in a given study area that are described as subset 3 carriers in
Sec. 69.602 of this chapter may submit Access Tariff filings for that
study area pursuant to either this section or Sec. 61.39. However, the
Commission may require any carrier to submit such information as may be
necessary for a review of a tariff filing. This section (other than the
preceding sentence of this paragraph) shall not apply to tariff filings
proposing rates for services identified in Sec. 61.42 (a), (b), (d),
(e), and (g), promotional offerings that relate to services subject to
price cap regulation, tariff filings proposing rates for services
identified in Sec. 61.50, or to tariff filings, other than promotional
filings, filed on 14 days' notice pursuant to Sec. 61.58(c)(6).
(b) Explanation and data supporting either changes or new tariff
offerings. The material to be submitted for a tariff change which
affects rates or charges or for a tariff offering a new service, must
include an explanation of the changed or new matter, the reasons for the
filing, the basis of ratemaking employed, and economic information to
support the changed or new matter.
(1) For a tariff change the carrier must submit the following,
including complete explanations of the bases for the estimates.
(i) A cost of service study for all elements for the most recent 12
month period;
[[Page 65]]
(ii) A study containing a projection of costs for a representative
12 month period;
(iii) Estimates of the effect of the changed matter on the traffic
and revenues from the service to which the changed matter applies, the
carrier's other service classifications, and the carrier's overall
traffic and revenues. These estimates must include the projected effects
on the traffic and revenues for the same representative 12 month period
used in (ii) above.
(2) For a tariff filing offering a new service, the carrier must
submit the following, including complete explanations of the bases for
the estimates.
(i) A study containing a projection of costs for a representative 12
month period; and
(ii) Estimates of the effect of the new matter on the traffic and
revenues from the service to which the new matter applies, the carrier's
other service classifications, and the carrier's overall traffic and
revenues. These estimates must include the projected effects on the
traffic and revenues for the same representative 12 month period used in
paragraph (b)(2)(i) of this section.
(3) For a tariff filing that introduces or changes a contribution
charge for special access and expanded interconnection, as defined in
Sec. 69.122 of this chapter, the carrier must submit information
sufficient to establish that the charge has been calculated in a manner
that complies with the Commission order authorizing the contribution
charge.
(4) For a tariff that introduces a system of density pricing zones,
as described in Sec. 69.123 of this chapter, the carrier must, before
filing its tariff, submit a density pricing zone plan including, inter
alia, documentation sufficient to establish that the system of zones
reasonably reflects cost-related characteristics, such as the density of
total interstate traffic in central offices located in the respective
zones, and receive approval of its proposed plan.
(c) Working papers and statistical data. (1) Concurrently with the
filing of any tariff change or tariff filing for a service not
previously offered, the Chief, Tariff Review Branch must be provided two
sets of working papers containing the information underlying the data
supplied in response to paragraph (b) of this section, and a clear
explanation of how the working papers relate to that information.
(2) All statistical studies must be submitted and supported in the
form prescribed in Sec. 1.363 of the Commission's Rules.
(d) Form and content of additional material to be submitted with
certain rate increases. In the circumstances set out in paragraphs
(d)(1) and (2) of this section, the filing carrier must submit all
additional cost, marketing and other data underlying the working papers
to justify a proposed rate increase. The carrier must submit this
information in suitable form to serve as the carrier's direct case in
the event the rate increase is set by the Commission for investigation.
(1) Rate increases affecting single services or tariffed items.
(i) A rate increase in any service or tariffed item which results in
more than $1 million in additional annual revenues, calculated on the
basis of existing quantities in service, without regard to the
percentage increase in such revenues; or
(ii) A single rate increase in any service or tariffed item, or
successive rate increases in the same service or tariffed item within a
12 month period, either of which results in:
(A) At least a 10 percent increase in annual revenues from that
service or tariffed item, and
(B) At least $100,000 in additional annual revenues, both calculated
on the basis of existing quantities in service.
(2) Rate increases affecting more than one service or tariffed item.
(i) A general rate increase in more than one service or tariffed
item occurring at one time, which results in more than $1 million in
additional revenues calculated on the basis of existing quantities in
service, without regard to the percentage increase in such revenues; or
(ii) A general rate increase in more than one service or tariffed
item occurring at one time, or successive general rate increases in the
same services or tariffed items occurring within a 12
[[Page 66]]
month period, either of which results in:
(A) At least a 10 percent increase in annual revenues from those
services or tariffed items, and
(B) At least $100,000 in additional annual revenues, both calculated
on the basis of existing quantities in service.
(e) Submission of explanation and data by connecting carriers. If
the changed or new matter is being filed by the issuing carrier at the
request of a connecting carrier, the connecting carrier must provide the
data required by paragraphs (b) and (c) of this section on the date the
issuing carrier files the tariff matter with the Commission.
(f) Copies of explanation and data to customers. Concurrently with
the filing of any rate for special construction (or special assembly
equipment and arrangements) developed on the basis of estimated costs,
the offering carrier must transmit to the customer a copy of the
explanation and data required by paragraphs (b) and (c) of this section.
[49 FR 40869, Oct. 18, 1984, as amended at 53 FR 36289, Sept. 19, 1988;
54 FR 19841, May 8, 1989; 55 FR 42382, Oct. 19, 1990; 56 FR 55239, Oct.
25, 1991; 57 FR 54330, Nov. 18, 1992; 58 FR 36147, July 6, 1993; 58 FR
48762, Sept. 17, 1993]
Sec. 61.39 Optional supporting information to be submitted with letters of transmittal for Access Tariff filings effective on or after April 1, 1989, by local
exchange carriers serving 50,000 or fewer access lines in a
given study area that are described as subset 3 carriers in
Sec. 69.602.
(a) Scope. This section provides for an optional method of filing
for any local exchange carrier that is described as subset 3 carrier in
Sec. 69.602 of this chapter, which elects to issue its own Access Tariff
for a period commencing on or after April 1, 1989, and which serves
50,000 or fewer access lines in a study area as determined under
Sec. 36.611(a)(8) of this chapter. However, the Commission may require
any carrier to submit such information as may be necessary for review of
a tariff filing. This section (other than the preceding sentence of this
paragraph) shall not apply to tariff filings proposing rates for
services identified in Sec. 61.42(d), (e) and (g), which filings are
submitted by carriers subject to price cap regulation, or to tariff
filings proposing rates for services identified in Sec. 61.50, which
filings are submitted by carriers subject to optional incentive
regulation.
(b) Explanation and data supporting tariff changes. The material to
be submitted to either a tariff change or a new tariff which affects
rates or charges must include an explanation of the filing in the
transmittal as required by Sec. 61.33. The basis for ratemaking must
comply with the following requirements. Except as provided in paragraph
(b)(5) of this section, it is not necessary to submit this supporting
data at the time of filing. However, the local exchange carrier should
be prepared to submit the data promptly upon reasonable request by the
Commission or interested parties.
(1) For a tariff change, the local exchange carrier that is a cost
schedule carrier must propose Tariff Sensitive rates based on the
following:
(i) For the first period, a cost of service study for Traffic
Sensitive elements for the most recent 12 month period with related
demand for the same period.
(ii) For subsequent filings, a cost of service study for Traffic
Sensitive elements for the total period since the local exchange
carrier's last annual filing, with related demand for the same period.
(2) For a tariff change, the local exchange company that is an
average schedule carrier must propose Traffic Sensitive rates based on
the following:
(i) For the first period, the local exchange carrier's most recent
annual Traffic Sensitive settlement from the National Exchange Carrier
Association pool.
(ii) For subsequent filings, an amount calculated to reflect the
Traffic Sensitive average schedule pool settlement the carrier would
have received if the carrier had continued to participate, based upon
the most recent average schedule formulas approved by the Commission.
(3) For a tariff change, the local exchange carrier that is a cost
schedule carrier must propose Common Line rates based on the following:
(i) For the first period the Carrier Common Line revenue requirement
shall be determined by a cost of service
[[Page 67]]
study for the most recent 12 month period. The Carrier Common Line
revenue requirement shall be divided by a factor equal to the demand
over the preceding 12-month period, multiplied by the ratio of Carrier
Common Line minutes of use during the most recent 12-month period over
Carrier Common Line minutes of use in the preceding 12-month period.
(ii) For subsequent filings, the Carrier Common Line revenue
requirement shall be determined by a cost of service study for the total
period since the carrier's last biennial access filing. The Carrier
Common Line revenue requirement determined in this manner shall be
divided by a factor equal to the demand over the preceding 12-month
period, multiplied by the ratio of Carrier Common Line minutes of use
during the most recent 12-month period over Carrier Common Line minutes
of use in the preceding 12-month period.
(4) For a tariff change, the local exchange carrier which is an
average schedule carrier must propose common line rates based on the
following:
(i) For the first period, the local exchange carrier's most recent
annual Common Line settlement from the National Exchange Carrier
Association that is conclusively binding upon the carrier and the
Association. This carrier common line settlement amount shall be divided
by a factor equal to the demand over the preceding 12-month period,
multiplied by the ratio of Carrier Common Line minutes of use during the
most recent 12-month period over Carrier Common Line minutes of use in
the preceding 12-month period.
(ii) For subsequent filings, an amount calculated to reflect the
average schedule pools settlement the carrier would have received if the
carrier had continued to participate, based upon the most recent average
schedule Common Line formulas approved by the Commission. This amount
shall be divided by a factor equal to the demand over the preceding 12-
month period, multiplied by the ratio of Carrier Common Line minutes of
use during the most recent 12-month period over Carrier Common Line
minutes of use in the preceding 12-month period.
(5) For End User Common Line charges included in a tariff pursuant
to this Section, the local exchange carrier must provide supporting
information for the two-year historical period with its letter of
transmittal in accordance with Sec. 61.38.
(c) Maximum allowable rate of return. Local exchange carriers filing
tariffs under this section are not required to comply with Secs. 65.700
through 65.701, inclusive, of the Commission's Rules, except with
respect to periods during which tariffs were not subject to this
section. The Commission may require any carrier to submit such
information if it deems it necessary to monitor the carrier's earnings.
However, rates must be calculated based on the local exchange carrier's
prescribed rate of return applicable to the period during which the
rates are effective.
(d) Rates for a new service that is the same as that offered by a
price cap regulated local exchange carrier providing service in an
adjacent serving area are deemed presumptively lawful, if the proposed
rates, in the aggregate, are no greater than the rates established by
the price cap local exchange carrier. Tariff filings made pursuant to
this paragraph must include the following:
(1) A brief explanation of why the service is like an existing
service offered by a geographically adjacent price cap regulated local
exchange carrier; and
(2) Data to establish compliance with this subsection that, in
aggregate, the proposed rates for the new service are no greater than
those in effect for the same or comparable service offered by that same
geographically adjacent price cap regulated local exchange carrier.
Compliance may be shown through submission of applicable tariff pages of
the adjacent carrier; a showing that the serving areas are adjacent; any
necessary explanations and work sheets.
(e) Average schedule companies filing pursuant to this section shall
retain their status as average schedule companies.
[52 FR 26682, July 16, 1987, as amended at 53 FR 36289, Sept. 19, 1988;
55 FR 42382, Oct. 19, 1990; 58 FR 36147, July 6, 1993]
[[Page 68]]
Sec. 61.40 Private line rate structure guidelines.
(a) The Commission uses a variety of tools to determine whether a
carrier's private line tariffs are just, reasonable, and
nondiscriminatory. The carrier's burden of cost justification can be
reduced when its private line rate structures comply with the following
five guidelines.
(1) Rate structures for the same or comparable services should be
integrated;
(2) Rate structures for the same or comparable services should be
consistent with one another;
(3) Rate elements should be selected to reflect market demand,
pricing convenience for the carrier and customers, and cost
characteristics; a rate element which appears separately in one rate
structure should appear separately in all other rate structures;
(4) Rate elements should be consistently defined with respect to
underlying service functions and should be consistently employed through
all rate structures; and
(5) Rate structures should be simple and easy to understand.
(b) The guidelines do not preclude a carrier, in a given case when a
private line tariff does not comply with these guidelines, from
justifying its departure from the guidelines and showing that its tariff
is just, reasonable, and nondiscriminatory.
Sec. 61.41 Price cap requirements generally.
(a) Sections 61.42 through 61.49 shall apply as follows:
(1) To dominant interexchange carriers, as specified by Commission
order;
(2) To such local exchange carriers as specified by Commission
order, and to all local exchange carriers, other than average schedule
companies, that are affiliated with such carriers; and
(3) On an elective basis, to local exchange carriers, other than
those specified in paragraph (a)(2) of this section, that are neither
participants in any Association tariff, nor affiliated with any such
participants, except that affiliation with average schedule companies
shall not bar a carrier from electing price cap regulation provided the
carrier is otherwise eligible.
(b) If a telephone company, or any one of a group of affiliated
telephone companies, files a price cap tariff in one study area, that
telephone company and its affiliates, except its average schedule
affiliates, must file price cap tariffs in all their study areas.
(c) The following rules apply to telephone companies subject to
price cap regulation, as that term is defined in Sec. 61.3(w), which are
involved in mergers, acquisitions, or similar transactions.
(1) Any telephone company subject to price cap regulation that is a
party to a merger, acquisition, or similar transaction shall continue to
be subject to price cap regulation notwithstanding such transaction.
(2) Where a telephone company subject to price cap regulation
acquires, is acquired by, merges with, or otherwise becomes affiliated
with a telephone company that is not subject to price cap regulation,
the latter telephone company shall become subject to price cap
regulation no later than one year following the effective date of such
merger, acquisition, or similar transaction and shall accordingly file
price cap tariffs to be effective no later than that date in accordance
with the applicable provisions of this part 61.
(3) Notwithstanding the provisions of Sec. 61.41(c)(2) above, when a
telephone company subject to price cap regulation acquires, is acquired
by, merges with, or otherwise becomes affiliated with a telephone
company that qualifies as an `average schedule' company, the latter
company may retain its `average schedule' status or become subject to
price cap regulation in accordance with Sec. 69.3(i)(3) and the
requirements referenced in that section.
(d) Local exchange carriers that become subject to price cap
regulation as that term is defined in Sec. 61.3(w) of this chapter shall
not be eligible to withdraw from such regulation.
[55 FR 42382, Oct. 19, 1990; 55 FR 50558, Dec. 7, 1990, as amended at 56
FR 55239, Oct. 25, 1991]
Sec. 61.42 Price cap baskets and service categories.
(a) Each dominant interexchange carrier subject to price cap
regulation shall establish three baskets as follows:
[[Page 69]]
(1) A residential services basket;
(2) An 800 service basket; and
(3) A business services basket.
(b)(1) The residential basket shall contain such services as the
Commission shall permit or require, including the following service
categories:
(i) Domestic day MTS;
(ii) Domestic evening MTS;
(iii) Domestic night/weekend MTS;
(iv) International MTS;
(v) Operator and credit card services; and
(vi) Reach Out America.
(2) The 800 service basket shall contain 800 Directory Assistance.
(3) The business services basket shall contain analog private lines,
including analog voice grade private line, unless provided under
contract to a government entity, and terrestrial television transmission
service.
(c) Dominant interexchange carriers subject to price cap regulations
shall exclude the following offerings from their price cap baskets:
(1) Special construction services relating to services in Sec. 61.42
(b)(1), (b)(2), and (b)(3);
(2) All other special construction services;
(3) American Telephone and Telegraph Company Tariff F.C.C. No. 11
services;
(4) American Telephone and Telegraph Company Tariff F.C.C. No. 12
services;
(5) American Telephone and Telegraph Company Tariff F.C.C. No. 16
services;
(6) Services subject to below-the-line accounting;
(7) International private line and record carrier services;
(8) Contract-based tariffs;
(9) Services removed from price cap regulation pursuant to the
Report and Order in Docket No. 90-132;
(10) [Reserved]
(11) All other promotional offerings;
(12) Custom tariff services;
(13) Readyline 800 service;
(14) AT&T 800 service;
(15) Megacom 800 service;
(16) Other 800 services; and
(17) Commercial services.
(18) Such other services as the Commission may specify.
(d) Each local exchange carrier subject to price cap regulation
shall establish baskets of services as follows:
(1) A basket for the common line interstate access elements as
described in Secs. 69.103, 69.104, 69.105, and 69.115 of this chapter;
(2) A basket for traffic sensitive switched interstate access
elements;
(3) A basket for trunking services as described in Secs. 69.110,
69.111, 69.112, 69.114, 69.124, and 69.125 of this chapter;
(4) To the extent that a local exchange carrier specified in
Sec. 61.41(a) (2) or (3) offers interstate interexchange services that
are not classified as access services for the purpose of part 69 of this
chapter, such exchange carrier shall establish a fourth basket for such
services.
(5) To the extent that a local exchange carrier specified in
Secs. 61.41(a) (2) or (3) offers interstate video dialtone services, a
basket for basic video dialtone services as described in Sec. 63.54 of
this chapter.
(e)(1) The traffic sensitive switched interstate access basket shall
contain such services as the Commission shall permit or require,
including the following service categories:
(i) Local switching as described in Sec. 69.106;
(ii) Information, as described in Sec. 69.109; and
(iii) Data base access services; and
(iv) Billing name and address, as described in Sec. 69.128 of this
chapter.
(2) The trunking basket shall contain such transport and special
access services as the Commission shall permit or require, including the
following service categories and subcategories:
(i) Voice grade entrance facilities, voice grade direct-trunked
transport, voice grade dedicated signalling transport, voice grade
special access, WATS special access, metallic special access, and
telegraph special access services;
(ii) Audio and video services;
(iii) High capacity flat-rated transport, high capacity special
access, and DDS services, including the following service subcategories:
(A) DS1 entrance facilities, DS1 direct-trunked transport, DS1
dedicated signalling transport, and DS1 special access services; and
[[Page 70]]
(B) DS3 entrance facilities, DS3 direct-trunked transport, DS3
dedicated signalling transport, and DS3 special access services;
(iv) Wideband data and wideband analog services;
(v) Tandem-switched transport, as described in Sec. 69.111 of this
chapter; and
(vi) Interconnection charge, as described in Sec. 69.124 of this
chapter.
(vii) Signalling for tandem switching, as described in Sec. 69.129
of this chapter.
(f) Each local exchange carrier subject to price cap regulation
shall exclude from its price cap baskets such services or portions of
such services as the Commission has designated or may hereafter
designate by order.
(g) New services, other than those within the scope of paragraphs
(c) and (f) of this section, must be included in the affected basket at
the first annual price cap tariff filing following completion of the
base period in which they are introduced. To the extent that such new
services are permitted or required to be included in new or existing
service categories within the assigned basket, they shall be so included
at the first annual price cap tariff filing following completion of the
base period in which they are introduced.
[54 FR 19842, May 8, 1989, as amended at 55 FR 42382, Oct. 19, 1990; 55
FR 50558, Dec. 7, 1990; 56 FR 5956, Feb. 14, 1991; 56 FR 55239, Oct. 25,
1991; 57 FR 54718, Nov. 20, 1992; 58 FR 7868, Feb. 10, 1993; 58 FR
29552, May 21, 1993; 58 FR 31914, June 7, 1993; 58 FR 36145, July 6,
1993; 59 FR 10301, Mar. 4, 1994; 59 FR 32930, June 27, 1994; 60 FR 4569,
Jan. 24, 1995; 60 FR 13639, Mar. 14, 1995; 60 FR 52346, Oct. 6, 1995]
Sec. 61.43 Annual price cap filings required.
Carriers subject to price cap regulation shall submit annual price
cap tariff filings that propose rates for the upcoming year, that make
appropriate adjustments to their PCI, API, and SBI values pursuant to
Secs. 61.44 through 61.47, and that incorporate the costs and rates of
new services into the PCI, API, or SBI calculations pursuant to
Secs. 61.44(g), 61.45(g), 61.46(b), and 61.47 (b) and (c). Carriers may
propose rate or other tariff changes more often than annually,
consistent with the requirements of Sec. 61.59.
[54 FR 19842, May 8, 1989, as amended at 55 FR 42383, Oct. 19, 1990]
Sec. 61.44 Adjustments to the PCI for Dominant Interexchange Carriers.
(a) Dominant interexchange carriers subject to price cap regulation
shall file adjustments to the PCI for each basket as part of the annual
price cap tariff filing, and shall maintain updated PCIs to reflect the
effect of mid-year access and exogenous cost changes.
(b) Subject to paragraph (d) of this section, adjustments to each
PCI of dominant interexchange carriers subject to price cap regulation
shall be made pursuant to the following formula:
PCIt=PCIt-1[1+w(GNP-PI-X)+Y/R+Z/R]
where
GNP-PI=the percentage change in the GNP-PI between the quarter ending
six months prior to the effective date of the new annual
tariff and the corresponding quarter of the previous year,
X=productivity factor of 3.0%,
Y=(new access rate--access rate at the time the PCI was updated
to PCIt-1) x (base period demand),
Z=the dollar effect of current regulatory changes when compared
to the regulations in effect at the time the PCI was updated
to PCIt-1, measured at base period level of operations,
R=base period quantities for each rate element ``i'', multiplied by the
price for each rate element ``i'' at the time the PCI was
updated to PCIt-1,
w=R - (access rate in effect at the time the PCI was updated to
PCIt-1 x base period demand) + Z, all divided
by R,
PCIt=the new PCI value, and
PCIt-1=the immediately preceding PCI value.
(c) The exogenous cost changes represented by the term
``Z'' in the formula detailed in paragraph (b) of this section,
shall be limited to those cost changes that the Commission shall permit
or require, and include those caused by:
(1) The completion of the amortization of depreciation reserve
deficiencies;
(2) Changes in the Uniform System of Accounts;
(3) Changes in the Separations Manual;
[[Page 71]]
(4) The reallocation of investment from regulated to nonregulated
activities pursuant to Sec. 64.901; and
(5) Such tax law changes and other extraordinary exogenous cost
changes as the Commission shall permit or require.
These exogenous cost changes shall be apportioned on a cost-causative
basis between price cap services as a group, and excluded services as a
group. Exogenous cost changes thus attributed to price cap services
shall be further apportioned on a cost-causative basis among price cap
baskets.
(d) In calculating the ``Y'' variable in the formula
detailed in paragraph (b) of this section:
(1) The net change in total non-traffic sensitive access costs for
all capped services (in all baskets), calculated at base period demand,
shall be allocated among the baskets in proportion to each basket's
share of total base period non-traffic sensitive minutes of access (both
originating and terminating);
(2) The net change in total traffic sensitive access costs for all
capped services (in all baskets), calculated at base period demand,
shall be allocated among the baskets in proportion to each basket's
share of total base period traffic sensitive minutes of access; and
(3) Changes in special access costs in each basket, calculated at
base period demand, shall be assigned directly to the baskets in which
such costs are incurred.
(e) In calculating the ``w'' variable in the formula detailed in
paragraph (b) of this section, the access costs that must be subtracted
from the ``R'' variable shall be apportioned among the baskets in a
manner that is consistent with the methodology provided in paragraph (d)
of this section for calculating the ``Y'' in each basket.
(f) The ``w(GNP-PI - X)'' component of the PCI formula shall be
employed only in the adjustment made in connection with the annual price
cap filing.
(g) The exogenous cost changes and changes in access costs caused by
new services subject to price cap regulation must be included in the
appropriate PCI calculations under paragraph (b) of this section
beginning at the first annual price cap tariff filing following
completion of the base period in which they are introduced.
(h) In the event that a price cap tariff becomes effective, which
tariff results in an API value (calculated pursuant to Sec. 61.46) that
exceeds the currently applicable PCI value, the PCI value shall be
adjusted upward to equal the API value.
[54 FR 19842, May 8, 1989, as amended at 55 FR 42383, Oct. 19, 1990]
Sec. 61.45 Adjustments to the PCI for Local Exchange Carriers.
(a) Local exchange carriers subject to price cap regulation shall
file adjustments to the PCI for each basket as part of the annual price
cap tariff filing, and shall maintain updated PCIs to reflect the effect
of mid-year exogenous cost changes.
(b) Adjustments to local exchange carrier PCIs for the baskets
designated in Secs. 61.42(d) (2), (3), (4), and (5), shall be made
pursuant to the formula set forth in Secs. 61.44 (b), and as further
explained in Secs. 61.44 (e), (f), (g), and (h).
(1) Notwithstanding the value of X defined in Sec. 61.44(b), the X
value applicable to the baskets specified in Sec. 61.42(d) (2) and (3)
shall be 4.0%, or 4.7%, or 5.3%, as the carrier elects.
(2) For the basket specified in Sec. 61.42(d)(4), the value of X
shall be 3.0%, or 3.7%, or 4.3%, as the carrier elects.
(3) Notwithstanding the value of X defined in Sec. 61.44(b), the
value of X applicable to the basket specified in Sec. 61.42(d)(5) shall
be 0%.
(c) Subject to paragraph (e) of this section, adjustments to local
exchange carrier PCIs for the basket designated in Sec. 61.42(d)(1)
shall be made pursuant to the following formula:
PCI1=PCIt-1[1+w[(GDP-PI-X-(g/2))/(1+(g/2))]+Z/R]
where
GDP-PI=the percentage change in the GDP-PI between the quarter ending
six months prior to the effective date of the new annual tariff and the
corresponding quarter of the previous year,
X=productivity factor of 4.0%, or 4.7%, or 5.3% if the carrier so
elects,
[[Page 72]]
g=the ratio of minutes of use per access line during the base period, to
minutes of use per access line during the previous base period, minus 1,
Z=the dollar effect of current regulatory changes when compared
to the regulations in effect at the time the PCI was updated to
PCIt-1, measured at base period level of operations,
R=base period quantities for each rate element ``i'', multiplied by the
price for each rate element ``i'' at the time the PCI was updated to
PCIt-1,
w=R+Z, all divided by R,
PCIt=the new PCI value, and
PCIt-1=the immediately preceding PCI value.
(d) The exogenous cost changes represented by the term
``Z'' in the formula detailed in paragraphs (b) and (c) of this
section shall be limited to those cost changes that the Commission shall
permit or require by rule, rule waiver, or declaratory ruling.
(1) Subject to further order of the Commission, those exogenous
changes shall include cost changes caused by:
(i) The completion of the amortization of depreciation reserve
deficiencies;
(ii) Such changes in the Uniform System of Accounts, including
changes in the Uniform System of Accounts requirements made pursuant to
Sec. 32.16 of this chapter, as the Commission shall permit or require be
treated as exogenous by rule, rule waiver, or declaratory ruling.
(iii) Changes in the Separations Manual;
(iv) Changes to the level of obligation associated with the Long
Term Support Fund and the Transitional Support Fund described in
Sec. 69.612;
(v) The reallocation of investment from regulated to nonregulated
activities pursuant to Sec. 64.901;
(vi) Such tax law changes and other extraordinary cost changes as
the Commission shall permit or require be treated as exogenous by rule,
rule waiver, or declaratory ruling.
(vii) Retargeting the PCI to the level specified by the Commission
for carriers whose base year earnings are below the level of the lower
adjustment mark.
(viii) Inside wire amortizations.
(2) Local exchange carriers specified in Sec. 61.41 (a)(2) or (a)(3)
shall also make such temporary exogenous cost changes as may be
necessary to reduce PCIs to give full effect to any sharing of base
period earnings required by the sharing mechanism set forth in the
Commission's Second Report and Order in Common carrier Docket No. 87-
313, FCC 90-314, adopted September 19, 1990. Such exogenous cost changes
shall include interest, computed at the prescribed rate of return, from
the day after the end of the period giving rise to the adjustment, to
the midpoint of the period when the adjustment is in effect.
(3) Local exchange carriers specified in Sec. 61.41(a)(2) or (a)(3)
of this part shall, in their annual access tariff filing, recognize all
exogenous cost changes attributable to modifications during the coming
tariff year in the obligations specified in Sec. 61.45(d)(1)(iv) as well
as those changes attributable to alterations in their Subscriber Plant
Factor and the Dial Equipment Minutes factor, and completions of inside
wire amortizations and reserve deficiency amortizations.
(4) Exogenous cost changes shall be apportioned on a cost-causative
basis between price cap services as a group, and excluded services as a
group. Exogenous cost changes thus attributed to price cap services
shall be further apportioned on a cost-causative basis among the price
cap baskets.
(e) The ``w[(GDP-PI-X-[g/2))/(1+(g/2))]'' component of the PCI
formula contained in paragraph (c) of this section shall be employed
only in the adjustment made in connection with the annual price cap
filing.
(f) The exogenous costs caused by new services subject to price cap
regulation must be included in the appropriate PCI calculations under
paragraph (c) of this section beginning at the first annual price cap
tariff filing following completion of the base period in which such
services are introduced.
(g) In the event that a price cap tariff becomes effective, which
tariff results in an API value (calculated pursuant to Sec. 61.46) that
exceeds the currently applicable PCI value, the PCI value shall
[[Page 73]]
be adjusted upward to equal the API value.
(h) To the extent a local exchange carrier elects the higher
productivity factor, the election must be made in all baskets, except
the video dialtone services basket, as designated in Sec. 61.42(d)(5).
[55 FR 42383, Oct. 19, 1990; 55 FR 50558, Dec. 7, 1990, as amended at 56
FR 21617, May 10, 1991; 58 FR 36148, July 6, 1993; 60 FR 19527, Apr. 19,
1995; 60 FR 52346, Oct. 6, 1995]
Sec. 61.46 Adjustments to the API.
(a) Except as provided in paragraphs (d) and (e) of this section, in
connection with any price cap tariff filing proposing rate changes, the
carrier must calculate an API for each affected basket pursuant to the
following methodology:
APIt = APIt-1 [i vi (Pt/Pt-
1)i]
where
APIt = the proposed API value,
APIt-1 = the existing API value,
Pt = the proposed price for rate element ``i,''
Pt-1 = the existing price for rate element ``i,'' and
vi = the current estimated revenue weight for rate element ``i,''
calculated as the ratio of the base period demand for the rate
element ``i'' priced at the existing rate, to the base period
demand for the entire basket of services priced at existing
rates.
(b) New services subject to price cap regulation must be included in
the appropriate API calculations under paragraph (a) of this section
beginning at the first annual price cap tariff filing following
completion of the base period in which they are introduced. This index
adjustment requires that the demand for the new service during the base
period must be included in determining the weights used in calculating
the API.
(c) Any price cap tariff filing proposing rate restructuring shall
require an adjustment to the API pursuant to the general methodology
described in paragraph (a) of this section. This adjustment requires the
conversion of existing rates into rates of equivalent value under the
proposed structure, and then the comparison of the existing rates that
have been converted to reflect restructuring to the proposed
restructured rates. This calculation may require use of carrier data and
estimation techniques to assign customers of the preexisting service to
those services (including the new restructured service) that will remain
or become available after restructuring.
(d) In connection with any price cap tariff proposing changes to
rates for services in the basket designated in Sec. 61.42(d)(1), the
maximum allowable carrier common line (CCL) charges shall be computed
pursuant to the following methodology:
CCLMOU=CLMOU* (1+% change in CL PCI)-EUCLMOU* 1/ (1+(g/
2))
where
CCLMOU=The sum of each of the proposed Carrier Common Line rates
multiplied by its corresponding base period Carrier Common
Line minutes of use, divided by the sum of all types of base
period Carrier Common Line minutes of use,
CLMOU=The sum of each of the existing maximum allowable Carrier
Common Line rates multiplied by its corresponding base period
Carrier Common Line minutes of use plus each existing End User
Common Line (EUCL) rate multiplied by its corresponding base
period lines, divided by the sum of all types of base period
Carrier Common Line minutes of use,
EUCLMOU=Proposed End User Line rates multiplied by base period
lines and divided by the sum of all types of base period
Carrier Common Line minutes of use, and
g=The ratio of minutes of use per access line during the base period to
minutes of use per access line during the previous base
period, minus 1.
(e) In addition, for the purposes of Sec. 61.46(d), ``Existing
Carrier Common Line Rates'' shall include existing originating premium,
originating non-premium, terminating premium, and terminating non-
premium rates; and ``End User Common Line Rates'' used to calculate the
CLMOU and the EUCLMOU factors shall include, but not be
limited to, Residential and Single Line Business rates, Multi-Line
Business rates, Centrex rates, Limited Pay Telephone Rates, and the
Special Access surcharge.
(f) The ``1/(1+(g/2)'' component of the CCLMOU formula
contained in paragraph (d) shall be employed only in the
[[Page 74]]
adjustment made in connection with the annual price cap filing.
[54 FR 19843, May 8, 1989, as amended at 55 FR 42383, Oct. 19, 1990; 55
FR 50558, Dec. 7, 1990]
Sec. 61.47 Adjustments to the SBI; pricing bands.
(a) In connection with any price cap tariff filing proposing changes
in the rates of service categories or subcategories, the carrier must
calculate an SBI value for each affected service category or subcategory
pursuant to the following methodology:
SBIt = SBIt-1[i vi(Pt/Pt-
1)i]
where
SBIt = the proposed SBI value,
SBIt-1 = the existing SBI value,
Pt = the proposed price for rate element ``i,''
Pt-1 = the existing price for rate element ``i,'' and
vi = the current estimated revenue weight for rate element ``i,''
calculated as the ratio of the base period demand for the rate
element ``i'' priced at the existing rate, to the base period
demand for the entire group of rate elements comprising the
service category priced at existing rates.
(b) New services that are added to existing service categories or
subcategories must be included in the appropriate SBI calculations under
paragraph (a) of this section beginning at the first annual price cap
tariff filing following completion of the base period in which they are
introduced. This index adjustment requires that the demand for the new
service during the base period must be included in determining the
weights used in calculating the SBI.
(c) In the event that the introduction of a new service requires the
creation of a new service category or subcategory, a new SBI must be
established for that service category or subcategory beginning at the
first annual price cap tariff filing following completion of the base
period in which the new service is introduced. The new SBI should be
initialized at a value of 100, corresponding to the service category or
subcategory rates in effect the last day of the base period, and
thereafter should be adjusted as provided in paragraph (a) of this
section.
(d) Any price cap tariff filing proposing rate restructuring shall
require an adjustment to the affected SBI pursuant to the general
methodology described in paragraph (a) of this section. This adjustment
requires the conversion of existing rates in the rate element group into
rates of equivalent value under the proposed structure, and then the
comparison of the existing rates that have been converted to reflect
restructuring to the proposed restructured rates. This calculation may
require use of carrier data and estimation techniques to assign
customers of the preexisting service to those services (including the
new restructured service) that will remain or become available after
restructuring.
(e) Pricing bands shall be established each tariff year for each
service category and subcategory within a basket. Except as provided in
paragraphs (f), (g), and (h) of this section, each band shall limit the
pricing flexibility of the service category or subcategory, as reflected
in the SBI, to an annual increase of five percent or an annual decrease
of ten percent, relative to the percentage change in the PCI for that
basket, measured from the levels in effect on the last day of the
preceding tariff year.
(f) Dominant interexchange carriers. (1) The upper pricing bands for
the evening MTS and night/weekend MTS service categories shall limit the
annual upward pricing flexibility for those service categories, as
reflected in their SBIs, to four percent, relative to the percentage
change in the PCI for the residential and small business services
basket, measured from the last day of the preceding tariff year.
(2) Dominant interexchange carriers subject to price cap regulation
shall calculate a composite average rate for services contained in the
residential and small business services basket that are purchased by
residential customers. Notwithstanding paragraph (f)(1) of this section,
the annual upward pricing flexibility for this composite average rate
shall be limited to one percent, relative to the percentage change in
the PCI for the residential and small business services basket, measured
from the last day of the preceding tariff year.
[[Page 75]]
(g)(1) Local Exchange Carriers--Service categories and
subcategories. Local exchange carriers subject to price cap regulation
as that term is defined in Sec. 61.3(w) shall use the methodology set
forth in paragraphs (a) through (d) of this section to calculate two
separate subindexes: One for the DS1 services offered by such carriers
and the other for the DS3 services offered by such carriers. The annual
pricing flexibility for each of these two subindexes shall be limited to
an annual increase of five percent or an annual decrease of ten percent,
relative to the percentage change in the PCI for the special access
services basket, measured from the last day of the preceding tariff
year.
(2) The upper pricing band for the tandem-switched transport service
category shall limit the annual upward pricing flexibility for this
service category, as reflected in its SBI, to two percent, relative to
the percentage change in the PCI for the trunking basket, measured from
the levels in effect on the last day of the preceding tariff year. The
lower pricing band for the tandem-switched transport service category
shall limit the annual downward pricing flexibility for this service
category, as reflected in its SBI, to ten percent, relative to the
percentage change in the PCI for the trunking basket, measured from the
levels in effect on the last day of the preceding tariff year.
(3) The upper pricing band for the interconnection charge service
category shall limit the annual upward pricing flexibility for this
service category, as reflected in its SBI, to zero percent, relative to
the percentage change in the PCI for the trunking basket, measured from
the levels in effect on the last day of the preceding tariff year. There
shall be no lower pricing band for the interconnection charge.
(4) Local exchange carriers subject to price cap regulation as that
term is defined in Sec. 61.3(v) shall use the methodology set forth in
paragraphs (a) through (d) of this section to calculate a separate
subindex for the 800 data base vertical features offered by such
carriers. The annual pricing flexibility for this subindex shall be
limited to an annual increase of five percent or an annual decrease of
ten percent, relative to the percentage change in the PCI for the
traffic sensitive basket, measured from the last day of the preceding
tariff year.
(5) The upper pricing band for the ``Signalling for tandem
switching'' service category shall limit the upward pricing flexibility
for this service category, as reflected in its SBI, to two percent,
relative to the percentage change in the PCI for the trunking basket,
measured from the levels in effect on the last day of the preceding
tariff year. There shall be no lower pricing band for this service
category.
(6) Local exchange carriers subject to price cap regulation as that
term is defined in Sec. 61.3 shall use the methodology set forth in
paragraphs (a) through (d) of this section to calculate a lower pricing
band for the basket described in Sec. 61.42(d)(5). The annual pricing
flexibility for this basket, as reflected in the API, shall be limited
to an annual decrease of fifteen percent, relative to the percentage
change in the PCI for that basket, measured from the last day of the
preceding tariff year.
(h) Local exchange carriers--Density pricing zones. (1) In addition
to the requirements of paragraphs (g)(1) and (g)(2) of this section,
those local exchange carriers subject to price cap regulation that have
established density pricing zones pursuant to Sec. 69.123 of this
chapter shall use the methodology set forth in paragraphs (a) through
(d) of this section to calculate separate subindexes in each zone for
each of the following groups of services:
(i) DS1 entrance facilities, DS1 direct-trunked transport, DS1
dedicated signalling transport, and DS1 special access services;
(ii) DS3 entrance facilities, DS3 direct-trunked transport, DS3
dedicated signalling transport, and DS3 special access services;
(iii) Voice grade entrance facilities, voice grade direct-trunked
transport, and voice grade dedicated signalling transport, and (if the
Commission, by order, designates such services as subject to
competition) voice grade special access;
(iv) Tandem-switched transport; and
(v) Such other special access services that the Commission may
designate by order.
[[Page 76]]
(2) The annual pricing flexibility for each of the subindexes
specified in paragraph (h)(1) of this section shall be limited to an
annual increase of five percent or an annual decrease of fifteen
percent, relative to the percentage change in the PCI for the trunking
basket, measured from the levels in effect on the last day of the
proceeding tariff year.
[54 FR 19843, May 8, 1989, as amended at 55 FR 42384, Oct. 19, 1990; 56
FR 55239, Oct. 25, 1991; 57 FR 54331, Nov. 18, 1992; 58 FR 7868, Feb.
10, 1993; 58 FR 48762, Sept. 17, 1993; 59 FR 10302, Mar. 4, 1994; 59 FR
32930, June 27, 1994; 60 FR 19528, Apr. 19, 1995; 60 FR 52346, Oct. 6,
1995]
Sec. 61.48 Transition rules for price cap formula calculations.
(a) Dominant interexchange carriers subject to price cap regulation
shall file initial price cap tariffs May 17, 1989, to be effective July
1, 1989.
(b)(1) In connection with the initial price cap tariff filing
described in paragraph (a) of this section, each PCI, API, and SBI shall
be assigned an initial value prior to adjustment of 100, corresponding
to the costs and rates in effect as of December 31, 1988.
(2) The PCI and API for offerings under Sec. 61.42(b)(3) shall be
assigned a value equal to 100, corresponding to rates in effect as of
August 1, 1991. Dominant interexchange carriers subject to price cap
regulation shall file new business basket index levels with the first
business basket tariff transmittal that is filed subsequent to the
effective date of this rule.
(c) Local exchange carriers subject to price cap regulation shall
file initial price cap tariffs not later than November 1, 1990, to be
effective January 1, 1991.
(d)(1) In connection with the initial price cap filing described in
paragraph (c) of this section, each PCI, API, and SBI shall be assigned
an initial value prior to adjustment of 100, corresponding to the costs
and rates in effect as of July 1, 1990.
(2) Carriers electing price cap regulation under Sec. 61.41(a)(3) of
this part in a year after 1991 shall file initial price cap tariffs not
later than April 2 of the year of election, to be effective on July 1 of
the year of election. Each PCI, API, and SBI shall be assigned an
initial value prior to adjustment of 100, corresponding to the costs and
rates in effect as of January 1 of the year of election.
(e) In connection with the initial price cap filing described in
paragraph (c) of this section, initial PCI calculations shall be made
without adjustment for any changes in inflation or productivity. Annual
price cap filings incorporating the full values of the GNP-PI and
productivity offsets will commence April 2, 1991, with a scheduled
effective date of July 1, 1991.
(f) Local exchange carriers specified in Sec. 61.41(a) (2) or (3)
shall, in their initial price cap filings described in paragraph (c) of
this section, adjust their PCIs through use of an exogenous cost factor
to account for the represcription of the rate of return, effective
January 1, 1991.
(g) Local Transport Restructure--Initial Rates. Local exchange
carriers subject to price cap regulation shall set initial transport
rates, as defined in Sec. 69.2(tt) of this chapter, according to the
requirements set forth in Secs. 69.108, 69.110, 69.111, 69.112, 69.124,
and 69.125 of this chapter.
(h) Local Transport Restructure--Price Cap Transition Rules--(1)
Definitions. The following definitions apply for purposes of paragraph
(h) of this section:
Effective date is March 4, 1994.
Initial restructured rates are rates that are (or should have been)
effective on the transport restructure date;
Revenue weight of a given group of services included in a basket,
service category, or subcategory is the ratio of base period demand for
the given service rate elements included in the basket, service
category, or subcategory priced at initial restructured rates, to the
base period demand for the entire group of rate elements comprising the
basket, service category, or subcategory priced at initial restructured
rates; and
Transport restructure date is the date on which local exchange
carriers' initial transport rates, as defined in Sec. 69.2(tt) of this
chapter, became effective.
(2) Trunking Basket PCI and API. (i) On the effective date, the PCI
value for the trunking basket, as defined in
[[Page 77]]
Sec. 61.42(d)(3), shall be computed by multiplying the API value for the
special access basket on the day preceding the transport restructure
date, by a weighted average of the following:
(A) The ratio of the PCI value that applied to the special access
basket on the day preceding the transport restructure date, to the API
value that applied to the special access basket on the day preceding the
transport restructure date, weighted by the revenue weight of the
special access services included in the trunking basket; and
(B) The ratio of the PCI value that applied to the traffic sensitive
basket on the day preceding the transport restructure date, to the API
value that applied to the traffic sensitive basket on the day preceding
the transport restructure date, weighted by the revenue weight of the
transport services included in the trunking basket.
(ii) On the effective date, the API value for the trunking basket
referred to in Sec. 61.42(e)(2) shall be equal to the API value for the
special access basket on the day preceding the transport restructure
date.
(3) Service Category and Subcategory Pricing Bands for Flat-Rated
Transport and Special Access. From the effective date through the end of
the tariff year, the following shall govern instead of Secs. 61.47(e)
and 61.47(g)(1). The pricing bands established for the voice grade and
high capacity service categories referred to in Secs. 61.42(e)(2)(i) and
61.42(e)(2)(iii) and the DS1 and DS3 service subcategories referred to
in Secs. 61.42(e)(2)(iii)(A) and 61.42(e)(2)(iii)(B), shall limit the
pricing flexibility of the service category or subcategory, as reflected
in its SBI, as follows:
(i) The upper pricing band shall be a weighted average of the
following:
(A) The upper pricing band that applied to the special access
services included in the category or subcategory on the day preceding
the transport restructure date, weighted by the revenue weight of the
special access services included in the category or subcategory; and
(B) 1.05 times the SBI value for the special access services
included in the category or subcategory on the day preceding the
transport restructure date, weighted by the revenue weight of the
transport services included in the category or subcategory.
(ii) The lower pricing band shall be a weighted average of the
following:
(A) The lower pricing band that applied to the special access
services included in the category or subcategory on the day preceding
the transport restructure date, weighted by the revenue weight of the
special access services included in the category or subcategory; and
(B) 0.90 times the SBI value for the special access services
included in the category or subcategory on the day preceding the
transport restructure date, weighted by the revenue weight of the
transport services included in the category or subcategory.
(iii) On the effective date, the SBI value for the category or
subcategory shall be equal to the SBI value for the corresponding
special access category or subcategory on the day preceding the
effective date.
(4) Tandem-Switched Transport and Interconnection Charge SBIs. On
the effective date, the SBIs for the tandem-switched transport and
interconnection charge service categories defined in Sec. 61.42(e)(2)
(v) and (vi) shall be assigned an initial value prior to adjustment of
100, corresponding to the initial restructured rates in those
categories.
(5) Tandem-Switched Transport and Interconnection Charge Service
Category Pricing Bands. From the effective date through the end of the
tariff year, the following shall govern instead of Sec. 61.47 (g)(2) and
(g)(3):
(i) The upper pricing band for the tandem-switched transport service
category shall limit the upward pricing flexibility for this service
category, as reflected in its SBI, to two percent, measured from the
initial restructured rates for tandem-switched transport. The lower
pricing band for the tandem-switched transport service category shall
limit the downward pricing flexibility for this service category, as
reflected in its SBI, to ten percent, measured from the initial
restructured rates for tandem-switched transport.
(ii) The upper pricing band for the interconnection charge service
category shall limit the upward pricing flexibility for this service
category, as
[[Page 78]]
reflected in its SBI, to zero percent, measured from the initial
restructured rate for the interconnection charge.
(i) Transport and Special Access Density Pricing Zone Transition
Rules--(1) Definitions. The following definitions apply for purposes of
paragraph (i) of this section:
Earlier date is the earlier of the special access zone date and the
transport zone date.
Earlier service is special access if the special access zone date
precedes the transport zone date, and is transport if the transport zone
date precedes the special access zone date.
Later date is the later of the special access zone date and the
transport zone date.
Later service is transport if the special access zone date precedes
the transport zone date, and is special access if the transport zone
date precedes the special access zone date.
Revenue weight of a given group of services included in a zone
category is the ratio of base period demand for the given service rate
elements included in the category priced at existing rates, to the base
period demand for the entire group of rate elements comprising the
category priced at existing rates.
Special access zone date is the date on which a local exchange
carrier tariff establishing divergent special access rates in different
zones, as described in Sec. 69.123(c) of this chapter, becomes
effective.
Transport zone date is the date on which a local exchange carrier
tariff establishing divergent switched transport rates in different
zones, as described in Sec. 69.123(d) of this chapter, becomes
effective.
(2) Simultaneous Introduction of Special Access and Transport Zones.
Local exchange carriers subject to price cap regulation that have
established density pricing zones pursuant to Sec. 69.123 of this
chapter, and whose special access zone date and transport zone date
occur on the same date, shall initially establish density pricing zone
SBIs and bands pursuant to the methodology in Sec. 61.47(h).
(3) Sequential Introduction of Zones in the Same Tariff Year.
Notwithstanding Sec. 61.47(h), local exchange carriers subject to price
cap regulation that have established density pricing zones pursuant to
Sec. 69.123 of this chapter, and whose special access zone date and
transport zone date occur on different dates during the same tariff
year, shall, on the earlier date, establish density pricing zone SBIs
and pricing bands using the methodology described in Sec. 61.47(h), but
applicable to the earlier service only. On the later date, such carriers
shall recalculate the SBIs and pricing bands to limit the pricing
flexibility of the services included in each density pricing zone
category, as reflected in its SBI, as follows:
(i) The upper pricing band shall be a weighted average of the
following:
(A) The upper pricing band that applied to the earlier services
included in the zone category on the day preceding the later date,
weighted by the revenue weight of the earlier services included in the
zone category; and
(B) 1.05 times the SBI value for the services included in the zone
category on the day preceding the later date, weighted by the revenue
weight of the later services included in the zone category.
(ii) The lower pricing band shall be a weighted average of the
following:
(A) The lower pricing band that applied to the earlier services
included in the zone category on the day preceding the later date,
weighted by the revenue weight of the earlier services included in the
zone category; and
(B) 0.85 times the SBI value for the services included in the zone
category on the day preceding the later date, weighted by the revenue
weight of the later services included in the zone category.
(iii) On the later date, the SBI value for the zone category shall
be equal to the SBI value for the category on the day preceding the
later date.
(4) Introduction of Zones in Different Tariff Years. Notwithstanding
Sec. 61.47(h), those local exchange carriers subject to price cap
regulation that have established density pricing zones pursuant to
Sec. 69.123 of this chapter, and whose special access zone date and
transport zone date do not occur within the same tariff year, shall, on
the earlier date, establish density pricing zone SBIs and pricing bands
using the methodology
[[Page 79]]
described in Sec. 61.47(h), but applicable to the earlier service only.
(i) On the later date, such carriers shall use the methodology set
forth in paragraphs (a) through (d) of Sec. 61.47 to calculate separate
SBIs in each zone for each of the following groups of services:
(A) DS1 special access services;
(B) DS3 special access services;
(C) DS1 entrance facilities, DS1 direct-trunked transport, and DS1
dedicated signalling transport;
(D) DS3 entrance facilities, DS3 direct-trunked transport, and DS3
dedicated signalling transport;
(E) Voice grade entrance facilities, voice grade direct-trunked
transport, and voice grade dedicated signalling transport;
(F) Tandem-switched transport; and
(G) Such other special access services as the Commission may
designate by order.
(ii) From the later date through the end of the following tariff
year, the annual pricing flexibility for each of the subindexes
specified in paragraph (i)(4)(i) of this section shall be limited to an
annual increase of five percent or an annual decrease of fifteen
percent, relative to the percentage change in the PCI for the trunking
basket, measured from the levels in effect on the last day of the tariff
year preceding the tariff year in which the later date occurs.
(iii) On the first day of the second tariff year following the
tariff year during which the later date occurs, the local exchange
carriers to which this paragraph applies shall establish the separate
subindexes provided in Sec. 61.47(h)(1), and shall set the initial SBIs
for those density pricing zone categories that are combined (specified
in paragraphs (i)(4)(i)(A) and (i)(4)(i)(C), (i)(4)(i)(B) and
(i)(4)(i)(D), and (i)(4)(i)(E) and (i)(4)(i)(G) of this section) by
computing the weighted averages of the SBIs that applied to the formerly
separate zone categories, weighted by the revenue weights of the
respective services included in the zone categories.
(j) Video Dialtone Services. For local exchange carriers subject to
price cap regulation, the video dialtone services basket, as designated
in Sec. 61.42(d)(5), shall be established with an initial PCI and API
level of 100 in the first annual price cap tariff filing following
competition of the base period in which the initial video dialtone
service was introduced. The initial value of 100 for the PCI and API for
video dialtone service prior to adjustment of inflation and productivity
shall correspond to the rates in effect just prior to the effective date
of the annual filing in which rates for video dialtone service are
initially included in the video dialtone basket.
[54 FR 19843, May 8, 1989, as amended at 55 FR 42384, Oct. 19, 1990; 56
FR 21617, May 10, 1991; 56 FR 55239, Oct. 25, 1991; 59 FR 10302, Mar. 4,
1994; 60 FR 19528, Apr. 19, 1995; 60 FR 52346, Oct. 6, 1995]
Sec. 61.49 Supporting information to be submitted with letters of transmittal for tariffs of carriers subject to price cap regulation.
(a) Each price cap tariff filing must be accompanied by supporting
materials sufficient to calculate required adjustments to each PCI, API,
and SBI pursuant to the methodologies provided in Secs. 61.44, 61.45,
61.46, and 61.47, as applicable
(b) Each price cap tariff filing that proposes rates that are within
applicable bands established pursuant to Sec. 61.47, and that results in
an API value that is equal to or less than the applicable PCI value,
must be accompanied by supporting materials sufficient to establish
compliance with the applicable bands, and to calculate the necessary
adjustment to the affected APIs and SBIs pursuant to Secs. 61.46 and
61.47, respectively.
(c) Each price cap tariff filing that proposes rates above the
applicable band limits established in Secs. 61.47(e), (f)(1), (g), and
(h) or above the limit on composite average residential rates
established in Sec. 61.47(f)(2), must be accompanied by supporting
materials establishing substantial cause for the proposed rates.
(d) Each price cap filing that proposes service category rates below
applicable band limits established in Sec. 61.47(e), (g), and (h) of
this part, must be accompanied by supporting materials establishing that
the rates cover the service category's average variable
[[Page 80]]
cost, or equivalently, that the service category's net additional
revenue resulting from the price change exceeds additional costs.
(e) Each price cap tariff filing that proposes rates that will
result in an API value that exceeds the applicable PCI value must be
accompanied by:
(1) An explanation of the manner in which all costs have been
allocated among baskets; and
(2) Within the affected basket, a cost assignment slowing down to
the lowest possible level of disaggregation, including a detailed
explanation of the reasons for the prices of all rate elements to which
costs are not assigned.
(f) Each price cap tariff filing that proposes restructuring of
existing rates must be accompanied by supporting materials sufficient to
make the adjustments to each affected API and SBI required by
Secs. 61.46(c) and 61.47(d), respectively.
(g)(1) Each tariff filing by a dominant interexchange carrier, as
specified by Commission order, that introduces a new service that will
later be included in a basket must be accompanied by cost data
sufficient to establish that the new service, and each unbundled element
thereof, will generate a net revenue increase--measured against revenues
generated from all services subject to price cap regulation, and
calculated based upon present value--within the lesser of a 24-month
period after an annual price cap tariff including the new service takes
effect, or 36 months from the date the new service becomes effective.
Each carrier making such a tariff filing must, at the time the new
service is incorporated into the price cap index, submit data sufficient
to make the API and PCI calculations required by Secs. 61.46(b) and
61.44(c) of this part, and, as necessary, to make the SBI calculations
provided in Sec. 61.47 (b) or (c) of this part.
(2) Each tariff filing submitted by a local exchange carrier
specified in Sec. 61.41(a) (2) or (3) of this part that introduces a new
service or a restructured unbundled basic service element (BSE) (as BSE
is defined in Sec. 69.2 (mm)) that is or will later be included in a
basket must be accompanied by cost data sufficient to establish that the
new service or unbundled BSE will not recover more than a reasonable
portion of the carrier's overhead costs.
(h) Each tariff filing by a local exchange carrier subject to price
cap regulation that introduces a new service or a restructured unbundled
basis service element (BSE), as defined in Sec. 69.2(mm) of this
chapter, that is or will later be included in a basket, or that
introduces or changes the rates for connection charge subelments for
expanded interconnection, as defined in Sec. 69.121 of this chapter,
must also be accompanied by:
(1) The following, including complete explanations of the bases for
the estimates.
(i) A study containing a projection of costs for a representative 12
month period; and
(ii) Estimates of the effect of the new tariff on the traffic and
revenues from the service to which the new tariff applies, the carrier's
other service classifications, and the carrier's overall traffic and
revenues. These estimates must include the projected effects on the
traffic and revenues for the same representative 12 month period used in
paragraph (h)(1)(i) of this section.
(2) Working papers and statistical data. (i) Concurrently with the
filing of any tariff change or tariff filing for a service not
previously offered, the Chief, Tariff Review Branch must be provided two
sets of working papers containing the information underlying the data
supplied in response to paragraph (h)(1) of this section, and a clear
explanation of how the working papers relate to that information.
(ii) All statistical studies must be submitted and supported in the
form prescribed in Sec. 1.363 of the Commission's rules.
(i) Each tariff filing submitted by a local exchange carrier subject
to price cap regulation that introduces or changes the rates for
connection charge subelements for expanded interconnection, as defined
in Sec. 69.121 of this chapter, must be accompanied by cost data
sufficient to establish that such charges will not recover more than a
just and reasonable portion of the carrier's overhead costs.
(j) For a tariff filing that introduces or changes a contribution
charge for
[[Page 81]]
special access and expanded interconnection, as defined in Sec. 69.122
of this chapter, the carrier must submit information sufficient to
establish that the charge has been calculated in a manner that complies
with the Commission order authorizing the contribution charge.
(k) For a tariff that introduces a system of density pricing zones,
as described in Sec. 69.123 of this chapter, the carrier must, before
filing its tariff, submit a density pricing zone plan including, inter
alia, documentation sufficient to establish that the system of zones
reasonably reflects cost-related characteristics, such as the density of
total interstate traffic in central offices located in the respective
zones, and receive approval of its proposed plan.
[54 FR 19843, May 8, 1989, as amended at 55 FR 42384, Oct. 19, 1990; 56
FR 5956, Feb. 14, 1991; 56 FR 21617, May 10, 1991; 56 FR 33880, July 24,
1991; 57 FR 37730, Aug. 20, 1992; 57 FR 54331, Nov. 18, 1992; 58 FR
17167, Apr. 1, 1993; 58 FR 38536, July 19, 1993; 58 FR 48762, Sept. 17,
1993; 59 FR 10304, Mar. 4, 1994]
Sec. 61.50 Scope: Optional incentive regulation for rate of return local exchange carriers.
(a) This section shall apply on an elective basis, to local exchange
carriers for either traffic sensitive rates only or for both traffic
sensitive and common line rates. Carriers electing the plan for traffic
sensitive rates only must participate in the Association common line
pool. Affiliation with average schedule companies shall not bar a
carrier from electing optional incentive regulation provided the carrier
is otherwise eligible.
(b) If a telephone company, or any one of a group of affiliated
telephone companies, files an optional incentive regulation tariff in
one study area, that telephone company and its affiliates, except its
average schedule affiliates, must file incentive plan tariffs in all
their study areas.
(c) The following rules apply to telephone companies subject to this
section, that become involved in mergers, acquisitions, or similar
transactions, except that mergers with, acquisitions by, or other
similar transactions with companies subject to price cap regulation, as
that term is defined in Sec. 61.3(w), shall be governed by
Sec. 61.41(c).
(1) Any telephone company subject to this section that is a party to
a merger, acquisition, or similar transaction, shall continue to be
subject to incentive regulation notwithstanding such transaction.
(2) Where a telephone company subject to this section acquires, is
acquired by, merged with, or otherwise becomes affiliated with a
telephone company that is not subject to this section, the latter
telephone company shall become subject to optional incentive plan
regulation no later than one year following the effective date of such
merger, acquisition, or similar transaction and shall accordingly file
optional incentive plan tariffs to be effective no later than that date
in accordance with the applicable provisions of this part 61.
(3) Notwithstanding the provisions of paragraph (c)(2) of this
section, when a telephone company subject to optional incentive plan
regulation acquires, is acquired by, mergers with, or otherwise becomes
affiliated with a telephone company that qualifies as an ``average
schedule'' company, the latter company may retain its ``average
schedule'' status or become subject to optional incentive plan
regulations in accordance with Sec. 69.3(i)(3) of this chapter and the
requirements referenced in that section.
(d) Local exchange carriers that are subject to this section shall
not withdraw from optional incentive regulation until the end of two,
two-year tariff periods. If a local exchange carrier withdraws from
optional incentive plan regulation, it must file company-specific
tariffs under the provisions of Sec. 61.38 for four years before it may
again elect to enter incentive plan regulation; such carrier may not
participate in the applicable Association tariff during that four years.
After the four year period, the carrier may either return to the
incentive plan, or remain under Sec. 61.38.
(e) Each local exchange carrier subject to this section shall
establish the baskets of services, including service categories, as
identified in Sec. 61.42 (d) and (e).
[[Page 82]]
(f) Each local exchange carrier subject to optional incentive
regulation shall exclude from its baskets such services or portions of
such services as the Commission has designated or may hereafter
designate by order.
(g) New services, other than those within the scope of paragraph (f)
of this section, must be included in the affected basket at the first
two-year tariff filing following completion of the two-year tariff
period in which they are introduced. To the extent that such new
services are permitted or required to be included in new or existing
service categories within the assigned basket, they shall be so included
at the first two-year tariff filing following completion of the two-year
tariff period in which they are introduced.
(h)(1) Except as provided in paragraph (c)(4) of this section, in
connection with any optional incentive plan tariff filings proposing
rate changes, the carrier must calculate an index for each affected
basket as determined by the Common Carrier Bureau.
(2) In connection with any tariff filed under this section proposing
changes to rates for services in the basket designated in paragraph (e)
of this section, the maximum allowable increase or decrease in a basket
shall be limited to ten percent over the two-year tariff period.
(i) Rates for a new service that is the same as that offered by a
price cap regulated local exchange carrier providing service in an
adjacent serving area are deemed presumptively lawful, if the proposed
rates, in the aggregate, are no greater than the rate established by the
price cap local exchange carrier. Tariff filings made pursuant to this
paragraph must include the following:
(1) A brief explanation of why the service is like an existing
service offered by a geographically adjacent price cap regulated local
exchange carrier; and
(2) Data to establish compliance with this subsection that, in
aggregate, the proposed rates for the new service are no greater than
those in effect for the same or comparable service offered by that same
geographically adjacent price cap regulated local exchange carrier.
(j) The maximum allowable rate of return on earnings based on rates
filed by a local exchange carrier subject to this section, shall be
determined by adding a fixed increment of one and one-half percent to
the carrier's prescribed rate of return. Rates of local exchange
carriers subject to this section that result in earnings less than
three-quarters percent below the carrier's prescribed rate of return may
be retargeted to three-quarters percent below the carrier's prescribed
rate of return, in a mid-course tariff filing.
(k) Local exchange carriers filing common line rates under this
section must propose Carrier Common Line rates based on the following:
(1) For the first period the Carrier Common Line revenue requirement
shall be determined by a cost of service study for the most recent 12
month period. The Carrier Common Line revenue requirement shall be
divided by a factor equal to the demand over the preceding 12-month
period, multiplied by the ratio of Carrier Common Line minutes of use
during the most recent 12-month period over Carrier Common Line minutes
of use in the preceding 12-month period.
(2) For subsequent filings, the Carrier Common Line revenue
requirement shall be determined by a cost of service study for the total
period since the carrier's last biennial access filing. The Carrier
Common Line revenue requirement determined in this manner shall be
divided by a factor equal to the demand over the preceding 12-month
period, multiplied by the ratio of Carrier Common Line minutes of use
during the most recent 12-month period over Carrier Common Line minutes
of use in the preceding 12-month period.
[58 FR 36148, July 6, 1993]
Specific Rules for Tariff Publications
Sec. 61.52 Form, size, type, legibility, etc.
(a) All tariff publications must be in loose-leaf form of size A4
(21 cm x 29.7 cm) or 8.5 x 11 inches (21.6 cm x 27.9 cm), and must be
plainly printed in black print on white paper of durable quality. Less
than 6-point type may not be used. Erasures or alterations in writing
must not be made in any tariff
[[Page 83]]
publication filed with the Commission or in those copies posted for
public convenience. A margin of no less than 2.5 cm (1 inch) in width
must be allowed at the left edge of every tariff publication.
(b) Pages of tariffs must be printed on one side only, and must be
numbered consecutively and designated as ``Original title page,''
``Original page 1,'' ``Original page 2,'' etc.
(1) All such pages must show, in the upper left-hand corner the name
of the issuing carrier; in the upper right-hand corner the FCC number of
the tariff, with the page designation directly below; in the lower left-
hand corner the issued date; in the lower right-hand corner the
effective date; and at the bottom, center, the street address of the
issuing officer. The carrier must also specify the issuing officer's
title either at the bottom center of all tariff pages, or on the title
page and check sheet only.
(2) As an alternative, the issuing carrier may show in the upper
left-hand corner the name of the issuing carrier, the title and street
address of the issuing officer, and the issued date; and in the upper
right-hand corner the FCC number of the tariff, with the page
designation directly below, and the effective date. The carrier must
specify the issuing officer's title in the upper left-hand corner of
either all tariff pages, or on the title page and check sheet only. A
carrier electing to place the information at the top of the page should
annotate the bottom of each page to indicate the end of the material,
e.g., a line, or the term ``Printed in USA,'' or ``End''.
(3) Only one format may be employed in a tariff publication.
[49 FR 40869, Oct. 18, 1984, as amended at 58 FR 44906, Aug. 25, 1993]
Sec. 61.53 Consecutive numbering.
Carriers should file tariff publications under consecutive FCC
numbers. If this cannot be done, a memorandum containing an explanation
of the missing number or numbers must be submitted. Supplements to a
tariff must be numbered consecutively in a separate series.
Sec. 61.54 Composition of tariffs.
(a) Tariffs must contain in consecutive order: A title page; check
sheet; table of contents; list of concurring, connecting, and other
participating carriers; explanation of symbols and abbreviations;
application of tariff; general rules (including definitions),
regulations, exceptions and conditions; and rates. If the issuing
carrier elects to add a section assisting in the use of the tariff, it
should be placed immediately after the table of contents.
(b) The title page of every tariff and supplement must show:
(1) FCC number, indication of cancellations. In the upper right-hand
corner, the designation of the tariff or supplement as ``FCC No. ------
--,'' or ``Supplement No. -------- to FCC No. --------,'' and
immediately below, the FCC number or numbers of tariffs or supplements
cancelled thereby.
(2) Name of carrier, class of service, geographical application,
means of transmission. The exact name of the carrier, and such other
information as may be necessary to identify the carrier issuing the
tariff publication; a brief statement showing each class of service
provided; the geographical application; and the type of facilities used
to provide service.
(3) Expiration Date. When the entire tariff or supplement is to
expire with a fixed date, the expiration date must be shown in
connection with the effective date in the following manner:
Expires at the end of -------------------- (date) unless sooner
canceled, changed or extended.
(4) Title and address of issuing officer. The title and street
address of the officer issuing the tariff or supplement in the format
specified in Sec. 61.52.
(5) Revised title page. When a revised title page is issued, the
following notation must be shown in connection with its effective date:
Original tariff effective -------------------- (here show the effective
date of the original tariff).
(c)(1) The page immediately following the title page must be
designated as ``Original page 1'' and captioned ``Check Sheet.'' When
the original tariff is filed, the check sheet must show
[[Page 84]]
the number of pages contained in the tariff. For example, ``Page 1 to
150, inclusive, of this tariff are effective as of the date shown.''
When new pages are added, they must be numbered in continuing sequence,
and designated as ``Original page -------- .'' For example, when the
original tariff filed has 150 pages, the first page added after page 150
is to be designated as ``Original page 151,'' and the foregoing notation
must be revised to include the added pages.
(2) If pages are to be inserted between numbered pages, each such
page must be designated as an original page and must bear the number of
the immediately preceding page followed by an alpha or numeric suffix.
For example, when two new pages are to be inserted between pages 44 and
45 of the tariff, the first inserted page must be designated as Original
page 44A or 44.1 and the second inserted page as Original page 44B or
44.2. Issuing carriers may not utilize both the alpha and numeric
systems in the same publication.
(3) When pages are revised, when new pages (including pages with
letter or numeric suffix as set forth above) are added to the tariff, or
when supplements are issued, the check sheet must be revised
accordingly. Revised check sheets must indicate with an asterisk the
specific pages added or revised. In addition to the notation in (1), the
check sheet must list, under the heading ``The original and revised
pages named below (and Supplement No. --------) contain all changes from
the original tariff that are in effect on the date shown,'' all original
pages in numerical order that have been added to the tariff and the
pages which have been revised, including the revision number. For
example:
------------------------------------------------------------------------
Number of revision except
Page as indicated
------------------------------------------------------------------------
Title........................................ 1st
1............................................ *8th
3............................................ 5th
5A........................................... *Orig.
10........................................... *8th
151.......................................... Orig.
------------------------------------------------------------------------
*New or Revised page.
(4) Changes in, and additions to tariffs must be made by reprinting
the page upon which a change or addition is made. Such changed page is
to be designated as a revised page, cancelling the page which it amends.
For example, ``First revised page 1 cancels original page 1,'' or
``Second revised page 2 cancels first revised page 2,'' etc. When a
revised page omits rates or regulations previously published on the page
which it cancels, but such rates or regulations are published on another
page, the revised page must make specific reference to the page on which
the rates or regulations will be found. This reference must be
accomplished by inserting a sentence at the bottom of the revised page
that states ``Certain rates (or regulations) previously found on this
page can now be found on page ------.'' In addition, the page on which
the omitted material now appears must bear the appropriate symbol
opposite such material, and make specific reference to the page from
which the rates or regulations were transferred. This reference must be
accomplished by inserting a sentence at the bottom of the other page
that states ``Certain rates (or regulations) on this page formerly
appeared on page --------.''
(5) Rejected pages must be treated as indicated in Sec. 61.69.
(d) Table of contents. The table of contents must contain a full and
complete statement showing the exact location and specifying the page or
section and page numbers, where information by subjects under general
headings will be found. If a tariff contains so small a volume of matter
that its title page or its interior arrangement plainly discloses its
contents, the table of contents may be omitted.
(e) Tariff User's guide. At its option, a carrier may include a
section explaining how to use the tariff.
(f) List of concurring carriers. This list must contain the exact
name or names of carriers concurring in the tariff, alphabetically
arranged, and the name of the city or town in which the principal office
of every such carrier is located. If there are no concurring carriers,
then the statement ``no concurring carriers'' must be made at the place
where the names of the concurring carriers would otherwise appear. If
the concurring carriers are numerous, their names may be stated in
alphabetical
[[Page 85]]
order in a separate tariff filed with the Commission by the issuing
carrier. Specific reference to such separate tariff by FCC number must
be made in the tariff at the place where such names would otherwise
appear.
(g) List of connecting carriers. This list must contain the exact
name or names of connecting carriers, alphabetically arranged, for which
rates or regulations are published in the tariff, and the name of the
city or town in which the principal office of every such carrier is
located. If there are no connecting carriers, then the statement ``no
connecting carriers'' must be made at the place where their names would
otherwise appear. If connecting carriers are numerous, their names may
be stated in alphabetical order in a separate tariff filed with the
Commission by the issuing carrier. Specific reference to such separate
tariff by FCC number must be made in the tariff at the place where such
names would otherwise appear.
(h) List of other participating carriers. This list must contain the
exact name of every other carrier subject to the Act engaging or
participating in the communication service to which the tariff or
supplement applies, together with the name of the city or town in which
the principal office of such carrier is located. If there is no such
other carrier, then the statement ``no participating carriers'' must be
made at the place where the names of such other carriers would otherwise
appear. If such other carriers are numerous, their names may be stated
in alphabetical order in a separate tariff filed with the Commission by
the issuing carrier. Specific reference must be made in the tariff at
the place where such names would otherwise appear. The names of
concurring and connecting carriers properly listed in a tariff published
by any other participating carrier need not be repeated in this list.
(i)(1) Symbols, reference marks, abbreviations. The tariff must
contain an explanation of symbols, reference marks, and abbreviations of
technical terms used. The following symbols used in tariffs are reserved
for the purposes indicated below:
R to signify reduction.
I to signify increase.
C to signify changed regulation.
T to signify a change in text but no change in rate or regulation.
S to signify reissued matter.
M to signify matter relocated without change.
N to signify new rate or regulation.
D to signify discontinued rate or regulation.
Z to signify a correction.
(2) The uniform symbols must be used as follows.
(i) When a change of the same character is made in all or in
substantially all matter in a tariff, it may be indicated at the top of
the title page of the tariff or at the top of each affected page, in the
following manner: ``All rates in this tariff are increases,'' or, ``All
rates on this page are reductions, except as otherwise indicated.''
(ii) When a change of the same character is made in all or
substantially all matters on a page or supplement, it may be indiated at
the top of the page or supplement in the following manner: All rates on
this page (or supplement) are increases,'' or, ``All rates on this page
(or supplement) are reductions except as otherwise indicated.''
(3) Items which have not been in effect 30 days when brought forward
on revised pages must be shown as reissued, in the manner prescribed in
Sec. 61.54(i)(1). Items which have been in effect 30 days or more and
are brought forward without change on revised pages must not be shown as
reissued items.
(j) Rates and general rules, regulations, exceptions and conditions.
The general rules (including definitions), regulations, exceptions, and
conditions which govern the tariff must be stated clearly and
definitely. All general rules, regulations, exceptions or conditions
which in any way affect the rates named in the tariff must be specified.
A special rule, regulation, exception or condition affecting a
particular item or rate must be specifically referred to in connection
with such item or rate. Rates must be expressed in United States
currency, per chargeable unit of service for all communication services,
together with a list of all points of service to and from which the
rates apply. They must be arranged in a simple and systematic manner.
Complicated or ambiguous terminology may not be
[[Page 86]]
used, and no rate, rule, regulation, exception or condition shall be
included which in any way attempts to substitute a rate, rule,
regulation, exception or condition named in any other tariff.
Sec. 61.55 Contract-based tariffs.
(a) Scope. This section shall apply to offerings as defined in
Sec. 61.3(m).
(b) Composition of contract-based tariffs shall comply with
Sec. 61.54(b) through (i).
(c) Contract-based tariffs shall include the following:
(1) The term of the contract, including any renewal options;
(2) A brief description of each of the services provided under the
contract;
(3) Minimum volume commitments for each service;
(4) The contract price for each service or services at the volume
levels committed to by the customers;
(5) A general description of any volume discounts built into the
contract rate structure; and
(6) A general description of other classifications, practices and
regulations affecting the contract rate.
(d) Contract-based tariffs of an interexchange carrier subject to
price cap regulation shall not include services included in
Secs. 61.42(b), 61.42 (c)(1), (c)(4), and 61.42(c)(10).
[56 FR 55239, Oct. 25, 1991]
Sec. 61.56 Supplements.
A carrier may not file a supplement except to suspend or cancel a
tariff publication.
Sec. 61.57 Cancellations.
The following paragraphs govern the cancellation of tariffs and
supplements.
(a) By tariff or supplement. A carrier may cancel any tariff or
supplement in whole or in part by another tariff or supplement.
Cancellation of a tariff automatically cancels every supplement to that
tariff, except a cancelling supplement.
(b) By expiration. Subject to Sec. 61.59, a carrier may cancel a
tariff or supplement in whole or in part by fixing a date on which the
rates or regulations will expire.
(c) Indication of. (1) A carrier which cancels a tariff or
supplement in whole by another tariff or supplement must comply with
Sec. 61.54(b)(1). Cancellation of tariffs or supplements in whole by
expiration must be indicated as provided in Sec. 61.54(b)(3).
(2) Where a carrier issues a tariff, supplement, or revised page
partially cancelling another tariff, supplement, or revised page, it
must specifically state what portion of the other tariff publication is
cancelled. Such other tariff or supplement must at the same time be
correspondingly amended, effective on the same date.
(3) When only a part of tariff or supplement is to expire, a carrier
must show the expiration date on the same page, and associate it with
the matter which is to expire. Changes in expiration date must be made
pursuant to the notice requirements of Sec. 61.58, unless otherwise
authorized by the Commission. Expirations must be indicated as follows:
Expires at the end of -------------------- (date) unless sooner
cancelled, changed or extended.
(d) Rates and regulations to apply. When a carrier cancels a tariff
or supplement in whole or in part by another tariff or supplement, the
cancelling publication must show where all rates and regulations will be
found, or what rates and regulations will apply.
(e) Omissions. When a tariff or supplement cancelling a previous
tariff or supplement omits points of origin or destination, rates or
regulations, or routes, which were contained in such tariff or
supplement, the new tariff or supplement must indicate the omission in
the manner prescribed in paragraph (c) of this section. If such
omissions effect changes in rates of regulations, that fact must be
indicated by the use of the uniform symbols prescribed in
Sec. 61.54(i)(1).
(f) Carriers ceasing operations. When a carrier ceases operations
without a successor, it must cancel its tariffs pursuant to the notice
requirements of Sec. 61.58, unless otherwise authorized by the
Commission.
[[Page 87]]
Sec. 61.58 Notice requirements.
(a) Every proposed tariff filing must bear an effective date and,
except as otherwise provided by regulation, special permission, or
Commission order, must be made on at least the number of days notice
specified in this section.
(1) Notice is accomplished by filing the proposed tariff changes
with the Commission. Any period of notice specified in this section
begins on and includes the date the tariff is received by the
Commission, but does not include the effective date. If a tariff filing
proposes changes governed by more than one of the notice periods listed
below, the longest notice period will apply. In computing the notice
period required, all days including Sundays and holidays must be
counted.
(2) The Chief, Common Carrier Bureau, may require the deferral of
the effective date of any tariff filing made on less than 120 days'
notice, so as to provide for a maximum total of 120 days' notice, or of
such other maximum period of notice permitted by section 203(b) of the
Communications Act, regardless of whether petitions under Sec. 1.773 of
the Commission's Rules have been filed.
(3) Tariff filings proposing corrections must be made on at least 3
days' notice, and may be filed notwithstanding the provisions of
Sec. 61.59. Corrections to tariff materials not yet effective cannot
take effect before the effective date of the original material.
(4) This subsection applies only to dominant carriers. If the tariff
publication would increase any rate or charge, or would effectuate and
authorized discountinuance, reduction or other impairment of service to
any customer, the offering carrier must inform the affected customers of
the content of the tariff publication. Such notification should be made
in a form appropriate to the circumstance, and may include written
notification, personal contact, or advertising in newspapers of general
circulation.
(b) Non-dominant carriers. Tariff filings of non-dominant carriers
must be made on at least 14 days' notice.
(c) Carriers subject to price cap regulation. This paragraph applies
only to carriers subject to price cap regulation. Such carriers must
file tariffs according to the following notice periods.
(1) For annual adjustments to the PCI, API, and SBI values under
Secs. 61.44, 61.46, and 61.47, respectively, dominant interexchange
carrier filings must be made on at least 45 days' notice. For annual
adjustments to the PCI, API, and SBI values under Secs. 61.45, 61.46,
and 61.47, respectively, local exchange carrier tariff filings must be
made on not less than 90 days' notice.
(2) Tariff filings that do not cause any API to exceed any
applicable PCI pursuant to calculations provided for in Sec. 61.46 of
this part, and that do not cause any SBI to exceed its banding
limitations established in Sec. 61.47 of this part, must be made on at
least 14 days' notice, provided that the tariff filing is restricted to
one or more of the following changes to the tariff:
(i) Alters only a rate level;
(ii) Adds a geographic location;
(iii) Eliminates a rate element; or
(iv) Changes the number or size of taper points in a volume discount
plan without changing the initial volume quantity associated with the
lowest discount level or the highest volume quantity associated with the
highest discount level.
(3) Tariff filings that will cause any API to exceed its applicable
PCI pursuant to calculations provided for in Sec. 61.46 of this part,
that will cause any SBI to exceed its upper banding limitations
established in Secs. 61.47(e), (f)(1), (g), and (h) of this part, or
that will cause the composite average residential rate to exceed its
limitation on upward pricing flexibility established in Sec. 61.47(f)(2)
of this part, must be made on at least 120 days' notice, or such other
maximum period of notice permitted by section 203(b) of the
Communications Act, regardless of whether petitions under Sec. 1.773 of
the Commission's Rules have been filed.
(4) Tariff filings that will cause any SBI to decrease below its
lower banding limit established in Sec. 61.47(e), (g), and (h), must be
made on at least 45 days' notice.
(5) Tariff filings involving a change in rate structure of a service
included in a basket listed in Sec. 61.42(a) or Sec. 61.42(d), or the
introduction of a new service within the scope of Sec. 61.42(g),
[[Page 88]]
must be made on at least 45 days' notice.
(6) Tariff filings involving services included in Sec. 61.42(c),
except for services included in Sec. 61.42 (c)(1), (c)(4), and (c)(10),
must be made on at least 14 days notice.
(7) The required notice for services included in Sec. 61.42 (c)(1),
(c)(4), and (c)(10), tariff filings involving services included in
Sec. 61.42(f), or tariff filings involving changes in tariff
regulations, other than tariff regulations for services described in
paragraph (c)(6), shall be that required in connection with such filings
by dominant carriers that are not subject to price cap regulation.
(d) Other carriers. (1) Tariff filings in the instances specified in
paragraphs (d)(1) (i), (ii), and (iii) of this section must be made on
at least 15 days' notice.
(i) Tariffs filed in the first instance by new carriers.
(ii) Tariffs filings involving new rates and regulations not
previously filed at, from, to or via points on new lines; at, from to or
via new radio facilities; or for new points of radio communication.
(iii) Tariff filings involving a change in the name of a carrier, a
change in Vertical and Horizontal coordinates (or other means used to
determine airline mileages), a change in the lists of mileages, a change
in the lists of connecting, concurring or other participating carriers,
text changes, or the imposition of termination charges calculated from
effective tariff provisions. The imposition of termination charges does
not include the initial filing of termination liability provisions.
(2) Tariff filings involving a change in rate structure, a new
service offering, or a rate increase must be made on at least 45 days'
notice.
(3) All tariff filings not specifically assigned a different period
of public notice in this part must be made on at least 35 days' notice.
(e) Carriers subject to optional incentive regulation. Paragraph (e)
of this section applies only to carriers subject to Sec. 61.50. Such
carriers must file tariffs according to the following notice periods:
(1) For initial and renewal tariff filings whose effective date
coincides with the start of any two-year tariff period as defined in
Sec. 69.3(f) of this chapter, filings must be made on not less than 90
days' notice.
(2) For rate revisions made pursuant to Sec. 61.50 (g) and (i), and
Sec. 61.39(d), tariff filings must be made on not less than 14 days'
notice.
[49 FR 40869, Oct. 18, 1984, as amended at 54 FR 19844, May 8, 1989; 55
FR 42384, Oct. 19, 1990; 56 FR 1500, Jan. 15, 1991; 56 FR 5956, Feb. 14,
1991; 56 FR 55239, Oct. 25, 1991; 58 FR 36149, July 6, 1993; 59 FR
10304, Mar. 4, 1994]
Sec. 61.59 Effective period required before changes.
Except as provided in Sec. 61.58(a)(3) or except as otherwise
authorized by the Commission, new rates or regulations must be effective
for at least 30 days before any change may be made.
Sec. 61.67 New or discontinued telephone and teletypewriter service points; mileages.
Message toll telephone service points and teletypewriter exchange
service points added or discontinued during a calendar month may be
filed not later than 20 days after the end of such month where the basic
schedules of rates and regulations applicable to such message toll
telephone and teletypewriter exchange service points are effective and
the effective date of each addition of discontinuance is shown.
Sec. 61.68 Special Notations.
(a) A tariff filing must contain a statement of the authority for
any matter to be filed on less than the notice required in Sec. 61.58.
The following must be used:
Issued on not less than -- days' notice under authority of --
(specific reference to the special permission, decision, order or
section of these rules).
If all the matter in a tariff publication is to become effective on less
than the notice required in Sec. 61.58, specific reference to the
Commission authority must be shown on the title page. If only a part of
the tariff publication is to become effective on less than the notice
required in Sec. 61.58, reference to the Commission authority must
appear on the same page(s), and be associated with the pertinent matter.
(b) When a portion of any tariff publication is issued in order to
comply
[[Page 89]]
with the Commission order, the following notation must be associated
with that portion of the tariff publication:
In compliance with the order of the Federal Communications
Commission in -- (a specific citation to the applicable order should be
made).
Sec. 61.69 Rejection.
When a tariff publication is rejected by the Commission, its number
may not be used again. The rejected tariff publication may not be
referred to as cancelled or revised. The publication that is
subsequently issued in lieu of the rejected tariff publication must bear
the notation
In lieu of --, rejected by the Federal Communications Commission.
Sec. 61.71 Reissued matter.
Matter in effect for less than 30 days and brought forward without
change from another tariff publication must bear the appropriate symbol
provided in Sec. 61.54(i)(1) for reissued matter. The number and
original effective date of the tariff publication in which the matter
was originally published must be associated with the reissued matter.
Sec. 61.72 Posting.
(a) Offering carriers must post (i.e., keep accessible to the
public) during the carrier's regular business hours, a schedule of rates
and regulations. This schedule must include all effective and proposed
rates and regulations pertaining to the services offered to and from the
community or communities served, and must be the same as that on file
with the Commission. This posting requirement must be satisfied by the
following methods:
(1) Where the filing has an office or offices open to the public in
states or territories of the United States, the carrier must post the
schedule of rates and regulations in one office in each state or
territory of its operation.
(2) A carrier must provide a telephone number for public inquiries
about information contained in its tariffs. This telephone number should
be made readily available to all interested parties.
(3) A carrier must post a notice in each business office of the
carrier open to the public in that state or territory, stating the
street address of the location in which the schedule of rates and
regulations can be found and the telephone number for public inquiries
on tariffs.
(b) The posting of rates and regulations shall be considered timely
if they are available for public inspection at the posting locations
within 15 days of their filing with the Commission.
Sec. 61.73 Duplication of rates or regulations.
A carrier concurring in schedules of another carrier must not
publish conflicting or duplicative rates or regulations.
Sec. 61.74 References to other instruments.
(a) Except as otherwise provided in this and other sections of this
part, no tariff publication filed with the Commission may make reference
to any other tariff publication or to any other document or instrument.
(b) Tariffs for end-on-end through services may reference the
tariffs of other carriers participating in the offering.
(c) Tariffs may reference concurrences for the purpose of starting
where rates or regulations applicable to a service not governed by the
tariff may be found.
Concurrences
Sec. 61.131 Scope.
Sections 61.132 through 61.136 apply to a carrier which must file
concurrences reflecting rates and regulations for through service
provided in conjunction with other carriers and to a carrier which has
chosen, as an alternative to publishing its own tariff, to arrange
concurrence in an effective tariff of another carrier. Limited or
partial concurrences will not be permitted.
Sec. 61.132 Method of filing concurrences.
A carrier proposing to concur in another carrier's effective tariff
must deliver two copies of the concurrence to the issuing carrier in
whose favor the concurrence is issued. The concurrence must be signed by
an officer or agent of
[[Page 90]]
the carrier executing the concurrence, and must be numbered
consecutively in a separate series from its FCC tariff numbers. At the
same time the issuing carrier revises its tariff to reflect such a
concurrence, it must submit both copies of the concurrence to the
Commission. The concurrence must bear the same effective date as the
date of the tariff filing reflecting the concurrence.
Sec. 61.133 Format of concurrences.
(a) Concurrences must be issued in the following format:
Concurrence
F.C.C. Concurrence No. --------
(Cancels F.C.C. Concurrence No. ----
(Name of Carrier ------------)
(Post Office Address ------------)
(Date) ---------------- 19--.
Secretary,
Federal Communications Commission, Washington, D.C. 20554.
This is to report that (name of concurring carrier) assents to and
concurs in the tariffs described below. (Name of concurring carrier)
thus makes itself a party to these tariffs and obligates itself (and its
connecting carriers) to observe every provision in them, until a notice
of revocation is filed with the Commission and delivered to the issuing
carrier.
This concurrence applies to interstate (and foreign) communication:
1. Between the different points on the concurring carrier's own
system;
2. Between all points on the concurring carrier's system and the
systems of its connecting carriers; and
3. Between all points on the system of the concurring carrier and
the systems of its connecting carriers on the one hand, and, on the
other hand, all points on the system of the carrier issuing the tariff
or tariffs listed below and the systems of its connecting carriers and
other carriers with which through routes have been established.
(Note: Any of the above numbered paragraphs may be omitted or the
wording modified to state the points to which the concurrence applies.)
Tariff
(Here describe the tariff or tariffs concurred in by the carrier,
specifying FCC number, title, date of issuance, and date effective.
Example: A.B.C. Communications Company, Tariff FCC No. 1, Interstate
Telegraph Message Service, Issued January 1, 1983, Effective April 1,
1983).
Cancels FCC Concurrence No. ----, effective ----, 19--.
(Name of concurring carrier)____________________________________________
By______________________________________________________________________
(Title)_________________________________________________________________
(b) No material is to be included in a concurrence other than that
indicated in the above-prescribed form, unless specially authorized by
the Commission. A concurrence in any tariff so described will be deemed
to include all amendments and successive issues which the issuing
carrier may make and file. All such amendments and successive issues
will be binding between customers and carriers. Between carriers
themselves, however, the filing by the issuing carrier of an amendment
or successive issue with the Commission must not imply or be construed
to imply an agreement to the filing by concurring carriers. Such filings
do not affect the contractual rights or remedies of any concurring
carrier(s) which have not, by contract or otherwise, specifically
consented in advance to such amendment or successive issue.