Electronic Tariff Filing System

FEDERAL COMMUNICATIONS COMMISSION

47 CFR Part 61

[DA 98-914]

Electronic Tariff Filing System

AGENCY: Federal Communications Commission.

ACTION: Final rule.

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SUMMARY: The Commission adopted a Report and Order which requires that

incumbent local exchange carriers (LECs) use the Common Carrier

Bureau's (Bureau) Electronic Tariff Filing System (ETFS) to officially

file tariffs and associated documents. The Order amends the

Commission's tariff filing rules to accommodate mandatory electronic

filing. This Order applies the mandatory electronic filing requirement

to incumbent LECs only. However, ETFS also enables interested parties

to access and download these documents over the Internet, and to file

petitions to reject, or suspend and investigate tariff filings

electronically.

EFFECTIVE DATE: July 1, 1998.

FOR FURTHER INFORMATION CONTACT: Todd R. Mitchell or Geneva S. Butler,

Competitive Pricing Division, Common Carrier Bureau, (202) 418-1520.

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Order

adopted on May 28, 1998, and released on May 28, 1998. The full text of

the Order is available for inspection and copying during normal

business hours in the Commission's Public Reference Room, Room 239,

1919 M Street N.W., Washington, DC. The complete text of this decision

may be purchased from the Commission's duplication contractor,

International Transcription Services Inc. (ITS), (202) 857 3800, 1231

20th Street, N.W., Washington, DC 20036.

1. The amended rules also provide that the official filing date is

the date on which the document is received by ETFS. The date of receipt

shall be determined by the time of the end of the electronic

transmission with 5:30 pm Eastern Time as the cut-off time for filings.

Thus, if the transmission of a filing ends after 5:30 pm Eastern Time

on a business day, the official filing date will be the next business

day. If the time of termination of the filing is on a day that is not a

business day, such as, a weekend or holiday, the official filing date

will be the next business day. ETFS automatically establishes the date

of filing in accordance with these requirements. Parties filing

electronically must request and receive a receipt at the end of each

filing session in order to complete the transmission. The receipt,

which will be received at the filer's computer, will provide details of

the filing session, including the official receipt date and time, and

will serve as the filing party's official documentation that the filing

was received by the Commission. The Commission requires that all

incumbent LECs file all of their tariff base documents electronically

within the first five business days of July, 1998. Nonmajor rules, such

as implementation of electronic tariff filing, and rules implementing

the Telecommunications Act of 1996 can go into effect as determined by

the agency as long as Contract With America Advancement Act (CWAAA) and

required abstracts have been filed with Congress. ETFS has met these

requirements, therefore the waiting period for Federal Register

printing is not required.

2. Access to ETFS is via the Common Carrier Bureau's web page:

http://www.fcc.gov/ccb>, for the incumbent LECs and other interested

parties. Access to the web page is through an Internet Service Provider

(ISP) with software that includes a browser program, preferably

Netscape 3.0 or later versions. To view documents in ETFS effectively,

a user must have Adobe Acrobat plug-in for browser software. An ETFS

user's manual is available for viewing or downloading, as well as, in

paper form from the Commission's commercial copy contractor, ITS. A

computer terminal is available in the Commission's Public Reference

Room, Room 239, 1919 M Street NW, Washington, DC, for accessing ETFS.

The Commission has established an e-mail address ([email protected]) and an

information line (202) 418-7700, for questions and comments. Bureau,

202-418-1520.

Paperwork Reduction Act:

The Federal Communications Commission received Office of Management

and Budget approval for the following public information collection

pursuant to the Paperwork Reduction Act of 1995, Public Law 104-13. An

agency may not conduct or sponsor and a person is not required to

respond to a collection of information unless it displays a currently

valid control number.

OMB Control No.: 3060-0745.

Expiration Date: 12/31/2000.

Title: Implementation of the Local Exchange Carrier Tariff

Streamlining Provisions in the Telecommunications Act of 1996--CC

Docket No. 96-187.

Form No.: N/A.

Respondents: Business or other for-profit entities.

Estimated Annual Burden: 1400 respondents; .33 hours per response

(avg.); 462 total annual burden hours (estimates for electronic filing

only).

Estimated Annual Reporting and RecordKeeping Cost Burden: $170,000.

Frequency of Response: On occasion.

Description: In the Tariff Streamlining Report and Order, the

Commission adopted regulations implementing the tariff streamlining

provisions of the Telecommunications Act of 1996. The Commission

determined, inter alia, that it would establish a program of mandatory

electronic filing of tariffs and associated documents by incumbent

local exchange carriers (LECs). The Commission delegated authority to

the Chief, Common Carrier Bureau (Bureau), to establish this program.

This Order amends rules to accommodate the Commission's Electronic

Tariff Filing System (ETFS). Incumbent LECs must use the Bureau's ETFS

to officially file tariffs and associated documents beginning July 1,

1998. Other parties may also file documents using ETFS, such as

petitions to reject, or suspend and investigate tariff filings

beginning July 1, 1998. Obligation to respond: Mandatory.

Public reporting burden for the collection of information is as

noted above. Send comments regarding the burden estimate or any other

aspect of the collection of information, including suggestions for

reducing the burden to Performance Evaluation and Records Management,

Washington, D.C. 20554.

Ordering Clause

Accordingly, It Is Ordered, pursuant to sections 1, 4(i), 10, 201-

205, of the Communications Act of 1934, as amended, 47 U.S.C. 151,

154(i), 160, 201-205, and the authority delegated pursuant to sections

0.91 and 0.291 of the Commission's rules, 47 CFR 0.91, 0.291, and

paragraph 48 of the Tariff Streamlining Order, 12 FCC Rcd 2170, page

2195 (1997), part 61 of the Commission's rules is amended as set forth

in the rule changes.

[[Page 35540]]

It Is Further Ordered that these rules shall become effective July

1, 1998.

List of Subjects in 47 CFR Part 61

Tariffs.

Federal Communications Commission.

Patrick J. Donovan,

Deputy Chief, Competitive Pricing Division, Common Carrier Bureau.

Rule Changes

For the reasons discussed in the preamble part 61 of Title 47 of

the Code of Federal Regulations, is amended as follows:

1. The authority citation for part 61 continues to read as follows:

Authority: Section 1, 4(i), 4(j), 201-205, and 403 of the

Communications Act of 1934, as amended; 47 U.S.C. 151, 154(i),

154(j), 201-205, and 403, unless otherwise noted.

2. Add new Secs. 61.13 through 61.17 and a new undesignated center

heading after the heading ``GENERAL RULES'' to read as follows:

Rules for Electronic Filing

Sec. 61.13 Scope.

Sec. 61.14 Method of filing publications.

Sec. 61.15 Letters of transmittal and cover letters.

Sec. 61.16 Base documents.

Sec. 61.17 Method of filing applications for special permission.

Rules for Electronic Filing

Sec. 61.13 Scope.

(a) This applies to all tariff publications of carriers required to

file tariff publications electronically, and any tariff publication

that a carrier chooses to file electronically.

(b) All incumbent local exchange carriers are required to file

tariff publications electronically.

(c) All tariff publications shall be filed in a manner that is

compatible and consistent with the technical requirements of the

Electronic Tariff Filing System.

Sec. 61.14 Method of filing publications.

(a) Publications filed electronically must be addressed to

``Secretary, Federal Communications Commission, Washington, DC 20554.''

The Electronic Tariff Filing System will accept filings 24 hours a day,

seven days a week. The official filing date of a publication received

by the Electronic Tariff Filing System will be determined by the date

and time the transmission ends. If the transmission ends after the

close of a business day, as that term is defined in Sec. 1.4(e)(2) of

this Chapter, the filing will be date and time stamped as of the

opening of the next business day.

(b) In addition, except for issuing carriers filing tariffing fees

electronically, for all tariff publications requiring fees as set forth

in part 1, subpart G of this chapter, issuing carriers must submit the

original of the transmittal 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

submitting tariff fees electronically should submit a copy of the Form

159 and the original transmittal letter to the Secretary of the

Commission in lieu of the Mellon Bank. The Form 159 should display the

Electronic Audit Code in the box in the upper left hand corner marked

``reserved''. Issuing carriers should submit these fee materials on the

same day as the transmission in paragraph (a) of this section.

(c) Carriers that are required to file publications electronically

may not file those publications on paper or other media unless

specifically required to do so by the Commission.

(d) Carriers that are required to file publications electronically

need only transmit one set of files to the Commission. No other copies

to any other party are required.

(e) Carriers that are required to file publications electronically

must continue to comply with the format requirements set forth in part

61.

Sec. 61.15 Letters of transmittal and cover letters.

(a) All tariff publications filed with the Commission

electronically must be accompanied by a letter of transmittal. All

letters of transmittal must:

(1) Concisely explain the nature and purpose of the filing;

(2) Specify whether supporting information is required for the new

tariff or tariff revision, and specify the Commission rule or rules

governing the supporting information requirements for that filing;

(3) Contain a statement indicating the date and method of filing of

the original of the transmittal as required by Sec. 61.14(b).

(b) Carriers filing tariffs electronically pursuant to the notice

requirements of section 204(a)(3) of the Communications Act shall

display prominently, in the upper right hand corner of the letter of

transmittal, a statement that the filing is made pursuant to that

section and whether the tariff is filed on 7 or 15 days notice.

(c) Any carrier filing a new or revised tariff made on 15 days'

notice or less shall include in the letter of transmittal the name,

room number, street address, telephone number, and facsimile number of

the individual designated by the filing carrier to receive personal or

facsimile service of petitions against the filing as required under

Sec. 1.773(a)(4) of this chapter.

(d) The letter of transmittal must specifically reference by number

any special permission necessary to implement the tariff publication.

Special permission must be granted prior to the filing of the tariff

publication and may not be requested in the transmittal letter.

(e) The letter of transmittal must be substantially in the format

established in Secs. 61.33(g) and 61.33(h)(1).

(f) All submissions of documents other than a new tariff or

revisions to an existing tariff, such as Base Documents or Tariff

Review Plans, must be accompanied by a cover letter that concisely

explains the nature and purpose of the filing. Publications submitted

under this paragraph are not required to submit a tariffing fee.

Sec. 61.16 Base documents.

(a) The Base Document is a complete tariff which incorporates all

effective revisions, as of the last day of the preceding month. The

Base Document should be submitted with a cover letter as specified in

Sec. 61.15(f) of this part and identified as the Monthly Updated Base

Document.

(b) Initially, carriers that currently have tariffs on file with

the commission must file a Base Document within five days of the

initiation of mandatory electronic filing.

(c) Subsequently, if there have been revisions that became

effective up to and including the last day of the preceding month, a

new Base Document must be submitted within the first five business days

of the current month that will incorporate those revisions.

Sec. 61.17 Method of filing applications for special permission.

(a) An application for special permission filed electronically must

be addressed to ``Secretary, Federal Communications Commission,

Washington, DC 20554.'' The Electronic Tariff Filing System will accept

filings 24 hours a day, seven days a week. The official filing date of

a publication received by the Electronic Tariff Filing System will be

determined by the date and time the transmission ends. If the

transmission ends after the close of a business day, as that term is

defined in Sec. 1.4(e)(2) of this chapter, the filing will be date and

time stamped as of the opening of the next business day.

(b) In addition, except for issuing carriers filing tariffing fees

electronically, for special permission applications requiring fees as

set forth in part 1, subpart G of this chapter,

[[Page 35541]]

issuing carriers must submit the original of the application 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 submitting tariffing fees electronically

should submit a copy of the Form 159 and the original application

letter to the Secretary of the Commission in lieu of the Mellon Bank.

The Form 159 should display the Electronic Audit Code in the box in the

upper left hand corner marked ``reserved''. Issuing carriers should

submit these fee materials on the same day as the transmission in

paragraph (a) of this section.

(c) In addition, the requirements of Sec. 61.153(c) are applicable,

except the additional copy addressed to the Chief, Tariff and Pricing

Analysis Branch is not required.

3. Section 61.52 is amended by revising paragraph (c) to read as

follows:

Sec. 61.52 Form, size, type, legibility, etc.

* * * * *

(c) Incumbent local exchange carriers shall file all tariff

publications and associated documents, such as transmittal letters,

requests for special permission, and supporting information,

electronically in accordance with the requirements set forth in

Sec. 61.13 through Sec. 61.17.

[FR Doc. 98-17410 Filed 6-29-98; 8:45 am]

BILLING CODE 6712-01-P