Public Information Collections Approved by Office of Management and Budget

FEDERAL COMMUNICATIONS COMMISSION

Public Information Collections Approved by Office of Management

and Budget

July 14, 1998.

The Federal Communications Commission (FCC) has received Office of

Management and Budget (OMB) approval for the following public

information collections 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. For further information

contact Shoko B. Hair, Federal Communications Commission, (202) 418-

1379.

Federal Communications Commission

OMB Control No.: 3060-0715.

Expiration Date: 06/30/2001.

Title: Implementation of the Telecommunications Act of 1996:

Telecommunications Carriers' Use of Customer Proprietary Network

Information and Other Customer Proprietary Network.

Form No.: N/A.

Respondents: Business or other for-profit.

Estimated Annual Burden: 4832 respondents; 161.62 hours per

response (avg.); 780,989 total annual burden hours for all collections.

Estimated Annual Reporting and Recordkeeping Cost Burden:

$229,520,000.

Frequency of Response: On occasion; one-time.

Description: In the Second Report and Order issued in CC Docket No.

96-115, released 3/98, the Commission seeks to implement the statutory

obligations of section 222 of the Telecommunications Act of 1996. In

addition, the Commission undertakes a review of the current regulatory

customer proprietary network information (CPNI) framework and addresses

issues deferred to this proceeding from other Commission proceedings.

In fulfillment of these goals, the Commission imposes certain

collections of information on all telecommunications carriers.

Collections Adopted in the Second Report and Order: (a) Customer

Approval (47 U.S.C. Section 222(c)(1)): If carriers choose to use CPNI

to market service offerings outside the customer's existing service,

they must obtain customer approval. Carriers are permitted to obtain

such approval through written, oral, or electronic means. Carriers are

permitted to use

[[Page 39087]]

advanced technologies of their networks, including 800 numbers, 888

numbers, and e-mail, to obtain customer approval, in addition to using

various types of written approval, such as billing inserts. See 47 CFR

Sections 64.2007. (Number of respondents: 4832; hours per response: 78

hours; total annual burden: 376,896). (b) Customer Approval

Documentation and Recordkeeping: Carriers must document such approval

through software ``flags'' on customer service records indicating

whether the customer has approved or declined the marketing use of his

or her CPNI when solicited. The flag must be conspicuously displayed

within a box or comment field within the first few lines of the first

computer screen. The flag must indicate whether the customer has

approved the marketing use of his or her CPNI, and in addition

reference the customer's existing service subscription. Carriers must

maintain records of approval, whether written, oral, or electronic for

a period of at least one year, and be capable of producing them if the

sufficiency of a customer's approval is challenged. See 47 CFR Sections

64.2007(e) and 64.2009. (Number of respondents: 4832; hours per

response: 30 minutes; total annual burden: 2416 hours). (c)

Notification of CPNI Rights: All telecommunications carriers that

choose to solicit customer approval must provide their customers a one-

time notification of their CPNI rights prior to any such solicitation.

Carriers are required to give customers explicit notice of their CPNI

rights prior to any solicitation for approval. A carrier is permitted

to provide either written or oral notification. Such notification may

take the form of a bill insert, an individual letter or an oral

presentation that advises the customer of his/her right to restrict

carrier access to CPNI. At a minimum, customer notification, whether

oral or written, must provide sufficient information to enable the

customer to make an informed decision as to whether to permit a carrier

to use, disclose, or permit access to CPNI. The notice must specify the

types of information that constitute CPNI and the specific entities

that will receive the CPNI, describe the purpose for which the CPNI

will be used and inform the customer of his or her right to disapprove

those uses, and to deny or withdraw access to CPNI at any time. The

notification also must advise customers of the precise steps they must

take in order to grant or deny access to CPNI, and must clearly state

that a denial of approval will not affect the provision of any services

to which the customer subscribes. The notification must be reasonably

comprehensible and non-misleading. If any portion of a notification is

translated into another language, then all portions of the notification

must be translated into the language. See 47 CFR Section 64.2007(f) and

paragraphs 138-141 in the Order. (Number of respondents: 4832; hours

per response: 78 hours; total annual burden: 376,896 hours). (d)

Notification Recordkeeping: Pursuant to this one-time notification

requirement, these carriers must maintain a record of such

notifications. Carriers must maintain such records for a period of at

least one year. See 47 CFR Section 64.2007(e). (Number of respondents:

4832; hours per response: 30 minutes; total annual burden: 2416 hours).

(e) Audit Mechanism: All employees with access to customer records must

be trained as to when they can and cannot access the customer's CPNI.

Carriers must maintain electronic audit mechanisms that track access to

customer accounts. All carriers must record whenever customer records

are opened, by whom, and for what purpose, and maintain these contact

histories for a period of at least one year. See 47 CFR Section

64.2009. (Number of respondents: 4832; hours per response: 30 minutes;

total annual burden: 2416 hours). (f) Event Histories Recordkeeping: To

assure compliance with CPNI protections, sales personnel must obtain

supervisory review of any proposed request to use CPNI for outbound

marketing purposes. Carriers are required to maintain a record of these

event histories for at least one year from the date of the marketing

campaign. See 47 CFR 64.2009(d). (Number of respondents: 4832; hours

per response: 30 minutes; total annual burden: 2416 hours). (g)

Corporate Compliance Certification: All telecommunications carriers

must obtain on an annual basis a certification signed by a current

corporate officer attesting that he or she has personal knowledge that

the carrier is in compliance with the rules we promulgated in this

order, and to create an accompanying statement explaining how the

carriers are implementing our rules and safeguards. This certification

must be made publicly available. See 47 CFR Section 64.2009(e) and

paragraph 201 of Order. (Number of respondents: 4832; hours per

response: 1 hour; total annual burden 4832 hours). (h) Aggregate

Customer Information Disclosure Requirements for LECs (47 U.S.C.

222(c)(3)): LECs must disclose aggregate customer information to others

upon request, when they use or disclose the aggregate customer

information for marketing service to which the customer does not

subscribe. See paragraph 150 in text of Order. (Number of respondents:

1400; hours per response 1 hour; total annual burden: 1400 hours). (i)

Subscriber List Information Disclosure Requirement for Providers of

Telephone Exchange Service (47 U.S.C. Section 222(e)): Section 222(e)

states that a telecommunications carrier that provides ``telephone

exchange service'' shall provide subscriber list information ``gathered

in its capacity as a provider of such service on a timely and unbundled

basis, under nondiscriminatory and reasonable rates, terms, and

conditions, to any person upon request for the purpose of publishing

directories in any format.'' (Number of respondents: 1400; hours per

response: 4 hours; total annual burden: 5600 hours). (j) CPNI

Disclosure to Third Parties: Section 222(c)(2) requires carriers, when

presented with a customer's affirmative written request, to provide

that customer's CPNI to any person designated in the written

authorization. Section 222(c)(2) imposes a disclosure requirement on

carriers to ensure that any party with customer authorization,

including unaffiliated third party competitors, can obtain access to

individually identifiable CPNI. As such, carriers must provide a

customer's CPNI to any party that has obtained an affirmative written

authorization from the customer. (Number of respondents: 500; hours per

response: 5 hours; total annual burden: 2500 hours).

Collections Proposed in the FNPRM

(k) Proposed Foreign Storage of CPNI: The Commission sought comment

on whether requiring written customer consent to store or access CPNI

from a foreign country and maintaining duplicate CPNI records in the

U.S. are necessary to protect customer confidentiality under section

222(a) or any other provisions. (Number of respondents: 10; hours per

response: 78.5; total annual burden: 785 hours). (l) Proposed Foreign

Maintenance of CPNI of all U.S.-Based Customers Records: The Commission

sought comment on the FBI's proposal to require carriers to maintain

copies of the CPNI of all U.S.-based customers, regardless of whether

they are U.S. domestic customers, because of the need for prompt,

secure and confidential law enforcement, public safety, or national

security access to such information, pursuant to lawful authority.

(Number of respondents: 4832; hours per response: 30 minutes; total

annual burden; 2416 hours). All of the collections, adopted and

proposed,

[[Page 39088]]

would be used to ensure that telecommunications carriers comply with

the CPNI requirements the Commission promulgates in the Second Report

and Order and to implement Section 222 of the statute. Obligation to

respond: Mandatory.

OMB Control No.: 3060-0756.

Expiration Date: 06/30/2001.

Title: Procedural Requirements and Policies for Commission

Processing of Bell Operating Company Applications for the Provision of

In-Region, InterLATA Services Under Section 271 of the Communications

Act.

Form No.: N/A.

Respondents: Business or other for-profit.

Estimated Annual Burden: 75 respondents; 250 hours per response

(avg.); 18,820 total annual burden hours for all collections.

Estimated Annual Reporting and Recordkeeping Cost Burden: $0.

Frequency of Response: On occasion.

Description: In a Public Notice released 9/19/97, the Commission

revised the various procedural requirements and policies relating to

the Commission's processing of Bell Operating Company (BOC)

applications to provide in-region, interLATA services pursuant to

section 271 of the Communications Act of 1934, as amended. Section 271

provides for applications on a state-by-state basis. The Public Notice

requires that applicant file an original and 11 copies of each

application, together with one copy on a computer diskette. The

applications each will consist of a stand-alone, principal document

with supporting documentation such as records of state proceedings,

interconnection agreements, affidavits, etc. (No. of respondents: 7;

hours per response: 125 hours; total annual burden: 6125 hours). State

regulatory commission will file written consultations relating to the

applications no later than approximately 20 days after the issuance of

an Initial Public Notice establishing specific due dates for various

filings. (No. of respondents: 49; hours per response: 120 hours; total

annual burden: 5880 hours). The Department of Justice will file written

consultations relating to the applications not later than approximately

35 days after the issuance of the Initial Public Notice. (No. of

respondents: 1; hours per response 100 hrs per state; total annual

burden: 4900 hours). Interested third parties may file comments on the

applications not later than approximately 20 days after the issuance of

the Initial Public Notice. All substantive arguments must be made in a

legal brief and not in affidavits or other supporting documentation.

(No. of respondents: 75; hours per response: 25 hours; total annual

burden: 1875 hours). All participants in the proceeding may file a

reply to any comment made by any other participant. Such replies will

be due approximately 45 days after the Initial Public Notice is issued.

(No. of respondents: 10; hours per response: 2 hours; total annual

hour: 20 hours). A dispositive motion filed with the Commission in a

section 271 proceeding will be treated as an early-filed pleading and

will not be subject to a separate pleading cycle, unless the Commission

or Bureau determines otherwise. Non-dispositive motions will be subject

to the default pleading cycle in section 1.45 of our rules, unless the

Commission determines otherwise in a public notice. (No. of

respondents: 10; hours per response: 2 hours; total annual burden: 20

hours). See the September 1997 Public Notice for details of all the

requirements and procedures associated with this process. All of the

requirements are used to ensure that BOCs have complied with their

obligations under the Communications Act of 1934, as amended, before

being authorized to provide in-region, interLATA services pursuant to

section 271. Obligation to respond: Mandatory.

OMB Control No.: 3060-0793.

Expiration Date: 07/31/2001.

Title: Procedures for States Regarding Lifeline Consents, Adoption

of Intrastate Discount Matrix for Schools and Libraries, and

Designation of Eligible Telecommunications Carriers.

Form No.: N/A.

Respondents: Business or other for-profit.

Estimated Annual Burden: 865 respondents; 1.12 hours per response

(avg.); 970 total annual burden hours for all collections.

Estimated Annual Reporting and Recordkeeping Cost Burden: $0.

Frequency of Response: On occasion.

Description: On May 8, 1997, the Commission released Federal-State

Joint Board on Universal Service, Report and Order, CC Docket No. 96-

45, FCC 97-157 (Order). In that Order, the Commission adopted rules

providing funding for discounts to eligible schools and libraries. The

Commission also adopted rules mandating that state commissions

designate common carriers as eligible telecommunications carriers for

service areas selected by state commissions in accordance with section

214(e). In a Public Notice, the Common Carrier Bureau announced

procedures states must follow in order to receive universal service

support. a. Submission of eligibility criteria. States must, either

upon their own motion or upon request, designate common carriers as

eligible telecommunications carriers for service areas designated by

the state commission in accordance with section 214(e). 47 CFR

54.201(b). States must also designate service areas for non-rural

carriers. 47 CFR 54.201(b). We request that states submit a list of

carriers designated as eligible telecommunications carriers and the

service areas such non-rural carriers are required to serve to the

Universal Service Administrator. We request that states also send

copies of the lists to the Universal Service Branch and the Office of

the Secretary at the Federal Communications Commission. This

information should be submitted as soon as possible after a state makes

a designation. (No. of respondents: 25; hours per response: 1 hour;

total annual burden: 25 hours). b. Self-certification as a rural

telephone company. Any local exchange carrier that seeks to be

classified as a rural telephone company must file a letter with the

Commission by April 30th of each year notifying the Commission that the

LEC certifies itself to be a rural telephone company and explaining how

the carrier meets at least one of the four criteria in 47 U.S.C.

Sec. 153(37). (No. of respondents: 840; hours per response: 1 hour;

total annual burden: 840 hours). c. Notification of change in status as

rural telephone company. If a local exchange carrier's status as a

rural telephone company changes so that it becomes ineligible for

certification as a rural carrier, that carrier must inform the

Commission and the Universal Service Administrator within one month of

the change in status. (No. of respondents: 210; hours per response: .5

hours; total annual burden: 105 hours).

All the requirements contained herein are necessary to implement

the congressional mandate for universal service. These reporting

requirements are necessary to verify that particular carriers and other

respondents are eligible to receive universal service support.

Obligation to respond: Required to obtain benefits.

OMB Control No.: 3060-0806.

Expiration Date: 06/30/2001.

Title: Universal Service: Schools and Libraries Universal Service

Program.

Form No.: FCC Forms 470 and 471.

Respondents: Business or other for-profit.

Estimated Annual Burden: 60,000 respondents; 11 hours per response

[[Page 39089]]

(avg.); 660,000 total annual burden hours for all collections.

Estimated Annual Reporting and Recordkeeping Cost Burden: $0.

Frequency of Response: On occasion.

Description: On May 8, 1997, the Commission adopted rules in CC

Docket No. 96-45 providing discounts on all telecommunications

services, Internet access, and internal connections for all eligible

schools and libraries. The following forms are used to implement these

requirements and obligations: a. FCC Form 470--Description of Services

Requested and Certification. Schools and libraries ordering

telecommunications services, Internet access, and internal connections

under the universal service discount program must submit a description

of the services desired to the Administrator. Schools and libraries may

use the same description they use to meet the requirement that they

generally place to solicit competitive bids. The Administrator will

then post a description of the services sought on a website for all

potential competing service providers to see and respond to as if they

were requests for proposals (RFPS). 47 CFR 54.504(b)(2), 47 CFR

54.504(b)(3). Pursuant to section 254(h) of the 1996 Telecommunications

Act, schools and libraries must certify under oath that: (1) The school

or library is an eligible entity under section 254(h)((4); (2) the

services requested will be used solely for educational purposes; (3)

the services will not be sold, resold, or transferred in consideration

for money or any other thing of value; and (4) if the services are

being purchased as part of an aggregated purchase with other entities,

the identifies of all co-purchasers and the portion of the services

being purchased by the school or library. 47 CFR 54.504(b)(2). For

schools ordering telecommunications services at the individual school

level (i.e., primarily non-public schools), the person ordering such

services should certify to the Administrator the percentage of students

eligible in that school for the national school lunch program (or other

comparable indicator of economic disadvantage ultimately selected by

the Commission). This requirement arises in the context of determining

which schools are eligible for the greater discounts being offered to

economically disadvantaged schools. For schools ordering

telecommunications services at the school district level, the person

ordering such services for the school district should certify to the

Administrator the number of studies in each of its schools eligible for

the national school lunch program (or other comparable indicator of

economic disadvantage). Schools and libraries must also certify that

they have developed a technology plan that has been approved by an

independent entity or the Administrator. The technology plan should

demonstrate that they will be able to deploy any necessary hardware,

software, and wiring, and to undertake any necessary teacher training

required to use the services ordered pursuant to the section 254(h)

discount effectively. 47 CFR 54.504(b)(2). (No. of respondents: 50,000;

hours per response: 6 hours; total annual burden: 300,000 hours). b.

FCC form 471--Services Ordered and Certification. Schools and libraries

that have ordered telecommunications services, Internet access, and

internal connections under the universal service discount program must

file FCC Form 471 with the Administrator. This form requires schools

and libraries to indicate whether funds are being requested for an

existing contract, a master contract or whether it wishes to terminate

service. FCC Form 471 requires schools and libraries to list all

services that have been ordered and the corresponding discount to which

it is entitled. The school or library must also estimate its funding

needs for the current funding year and for the following funding year.

47 CFR 54.504(b)(2). (No. of respondents: 60,000; hours per response: 6

hours; total annual burden: 360,000). All schools and libraries

planning to order services eligible for universal service discounts

must file FCC Forms 470 and 471. The purpose of this information is to

help determine which schools are eligible for the greater discounts.

Schools and libraries must certify to the Administrator that they have

developed an approved technology plan via form 470. Copies of the forms

may be obtained via email from: www.neca.org>. Obligation to respond:

Required to obtain benefits.

OMB Control No.: 3060-0804.

Expiration Date: 07/31/2001.

Title: Universal Service--Health Care Providers Universal Service

Program.

Form No.: FCC Forms 465, 466, 467, and 468.

Respondents: Business or other for-profit.

Estimated Annual Burden: 18,400 respondents; 6.6 hours per response

(avg.); 121,500 total annual burden hours for all collections.

Estimated Annual Reporting and Recordkeeping Cost Burden: $0.

Frequency of Response: On occasion.

Description: FCC Form 465--Description of Services Requested and

Certification. All health care providers requesting services eligible

for universal service support must file a Description of Services and

Certification Form with the Administrator. Filing this form is the

first step a health care provider must take to participate in the

universal service program. The Administrator will then post a

description of the services sought on a website for all potential

competing service providers to see and respond to as if they were

requests for proposals (RFPs). (No. of respondents: 12,000; hours per

response: 2.5; total annual burden: 30,000 hours). FCC Form 466--

Services Ordered and Certification. All health care providers ordering

services that are eligible for universal service support must file a

Services Ordered and Certification Form with the Administrator. 47 CFR

Section 54.603(b)(4). FCC Form 466, Services Ordered and Certification

will be used to ensure health care providers have selected the most

cost-effective method of providing the requested services as set forth

in 47 CFR Section 54.603(b)(4). FCC Form 466 is also the means by which

an applicant informs the Administrator that it has entered a contract

with a telecommunications service provider for services that are

supported under the universal services support program. The

administrator must receive this form before it can commit universal

service funds to support the services for which the applicant has

contracted. (No. of respondents: 15,000; hours per response: 1.5 hours;

total annual burden: 22,500 hours). FCC Form 467, Receipt of Service

Confirmation. All health care providers that are receiving supported

telecommunications service must file this form with the Administrator.

The data in the report will be used to ensure that health care

providers are receiving the services they have contracted for with

telecommunications service providers so that universal service support

may be appropriate to the telecommunications service provider pursuant

to 47 CFR Section 54.611. (No. of respondents: 12,000; hours per

response: 1.5 hours; total annual burden: 18,000 hours). FCC Form 468,

Telecommunications Service Providers Support. All health care providers

ordering services eligible for universal service support must file this

form. The data in the report will be used to ensure that health care

providers have calculated the amount of universal service support as

set forth in 47 CFR Section 54.609(b). Telecommunications carriers must

complete Form 468 by indicating the rural and urban rates for the

service they have provided and the amount of the discount for which

they must be reimbursed, and return it to the

[[Page 39090]]

health care provider. The health care provider must attach it to Form

466 and file both forms with the administrator. (No. of respondents:

3400; hours per response: 1.5 hours; total annual burden: 51,000 hours

(assuming 10 submissions per respondent)). These forms are used to

administer the health care providers universal service program. The

information is used primarily to determine eligibility. Copies of the

forms may be obtained via e-mail from: www.neca.org>. Obligation to

respond: Required to obtain benefit.

OMB Control No.: 3060-0355.

Expiration Date: 07/31/2001.

Title: Rate of Return Reports.

Form No.: FCC Forms 492, 492A.

Respondents: Business or other for-profit.

Estimated Annual Burden: 107 respondents; 8 hours per response

(avg.); 856 total annual burden hours for all collections.

Estimated Annual Reporting and Recordkeeping Cost Burden: $0.

Frequency of Response: On occasion; annually.

Description: Filing of FCC Form 492 and FCC Form 492A is required

by Sections 65.600 of the FCC Rules. Filing of the FCC Form 492 on an

annual basis is required from each local exchange carrier or group of

affiliated carriers which is not subject to Sections 61.41 through

61.49 of the Commission's Rules and which has filed individual access

tariffs during the enforcement period. Each local exchange carrier or

group of affiliated carriers subject to the previously stated sections

shall file the FCC Form 492A report with the Commission for the

calendar year. These carriers are also required to file within 15

months after the end of each calendar year a report reflecting any

corrections or modifications. The forms are necessary to enable the

Commission to monitor the access tariffs and price cap earnings, and to

enforce rate of return prescriptions. A copy of each report must be

retained in the principal office of the respondent and shall be filed

in such manner as to be readily available for reference and inspection.

The date is used by staff members for enforcement purposes and by the

public in analyzing the industry. The reports are also used by the

Commission in the tariff review process and provide both the Commission

and the carriers with an early warning system if rate adjustments are

necessary to correct significant targeting errors. FCC Forms 492 and

492A are being revised to incorporate the new OMB expiration date and

to make other adjustments. A public notice will be issued when the

forms are available for public use. Obligation to respond: Mandatory.

Public reporting burden for the collections of information is as

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

aspect of the collections of information, including suggestions for

reducing the burden to Performance Evaluation and Records Management,

Washington, D.C. 20554.

Federal Communications Commission.

Magalie Roman Salas,

Secretary.

[FR Doc. 98-19365 Filed 7-20-98; 8:45 am]

BILLING CODE 6712-01-P