Public Information Collections Approved by Office of Management and Budget

FEDERAL COMMUNICATIONS COMMISSION

Public Information Collections Approved by Office of Management

and Budget

March 9, 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, Pub. L. 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.: 3060-0411.

Expiration Date: 02/28/2001.

Title: Procedures for Formal Complaints Filed Against Common

Carriers.

Form No.: FCC Form 485.

Respondents: Business or other for-profit, states, individuals or

households, not-for-profit institutions, federal government.

Estimated Annual Burden: 5345 respondents; 2.06 hours per response

(avg.); 11,026 total annual burden hours.

Estimated Annual Reporting and Recordkeeping Cost Burden: $57,000.

Frequency of Response: On occasion; One-time requirement.

Description: Sections 206 to 209 of the Communications Act of 1934,

as amended, provide the statutory framework for our current rules for

resolving formal complaints filed against common carriers. Section

208(a) authorizes complaints by any person ``complaining of anything

done or omitted to be done by any common carrier'' subject to the

provisions of the Act. Section 208(a) specifically states that ``it

shall be the duty of the Commission to investigate the matters

complained of in such manner and by such means as it shall deem

proper.'' In 1988, Congress added subsection 208(b) to require that any

complaint filed with the Commission concerning the lawfulness of a

common carrier's charges, practices, classifications or regulations

must be resolved by the Commission in a final, appealable order within

12 months from the date filed, or 15 months from the date filed if

``the investigation raises questions of fact of * * * extraordinary

complexity.'' Except in very rare circumstances, formal complaints are

decided on the basis of a paper record. The Telecommunications Act of

1996 added and, in some cases, amended key complaint provisions that,

because of their resolution deadlines, necessitate substantial

modification of our current rules and policies for processing formal

complaints filed against common carriers pursuant to Section 208 of the

Act.

a. Service. Pursuant to amended rule 47 CFR 1.735, the complainant

must personally serve the complaint on the defendant, as well as serve

copies of the complaint with the Mellon Bank, the Secretary of the

Commission, and the responsible Bureau or Bureaus. Parties must serve

all pleadings subsequent to the complaint by (1) hand delivery; (2)

overnight delivery; or (3) facsimile transmission followed by mail

delivery. (No. of respondents: 760; hours per response: 1 hour; total

annual burden: 760 hours).

b. Pleading Content Requirements. See 47 CFR 1.734 for

specifications for pleadings, briefs and other documents. Pursuant to

amended rules 47 CFR 1.721, 1.724, 1.726, documents on which a party

intends to rely must be attached to the complaint, answer, and reply,

including an inventory of all such documents, with an explanation of

how the party decided that each particular document was relevant to the

issues in dispute. Parties are required to attach copies of documents

rather than identify them, and to explain why and how each document is

relevant to the matters in dispute. Pursuant to amended rules 47 CFR

1.721, 1.724, 1.726, and 1.727, the complaint, answer, reply and any

motions seeking dispositive orders must contain proposed findings of

fact, conclusions of law, and supporting legal analysis. See 47 CFR

1.720 for general pleading requirements. See also 47 CFR 1.736 for

complaints filed pursuant to Section 276 of the Telecommunications Act.

Pursuant to amended rule 47 CFR 1.721, the complaint must contain a

verification of payment of the filing fee, a certificate of service, a

certification that the complainant has discussed the possibility of

settlement with the defendant, including a statement that the

complainant mailed a certified letter outlining the allegations that

form the basis of the complaint it anticipated filing with the

Commission to the defendant carrier that invited a response within a

reasonable period of time and a brief summary of all additional steps

taken to resolve the dispute prior to the filing of the formal

complaint, and, if damages are claimed, either a computation of damages

or an explanation why a computation of damages cannot be submitted.

Pursuant

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to amended rule 47 CFR 1.724, the answer must contain certification

that the defendant discussed the possibility of settlement with the

complainant prior to the filing of the formal complaint. Pursuant to

amended rule 47 CFR 1.727, motions to compel must contain certification

that attempts to settle the discovery dispute were made prior to filing

the motion. Pursuant to amended rule 47 CFR 1.725, parties are

prohibited from filing cross-complaints or counterclaims. A defendant

to a formal complaint may, however, file claims arising out of the same

set of facts as such complaint as a separate formal complaint. See 47

CFR 1.723 for requirements for joinder of complaints and causes of

action. Any document purporting to be a formal complaint which does not

state cause of action will be dismissed. Any other pleading filed in a

formal complaint proceeding not in conformity with the requirements of

the applicable Commission rules will be deemed defective. See 47 CFR

1.728. (No. of respondents: 760; hours per response: 3.0 hours; total

annual burden: 2,280 hours).

c. Discovery. Pursuant to rule 47 CFR 1.729 complainants must file

and serve any requests for interrogatories, up to a limit of 10,

concurrently with their complaints, defendants must file and serve any

requests for interrogatories, up to a limit of 10, prior to or

concurrently with their answer, and complainants must file and serve

any requests for interrogatories that are directed solely at facts

underlying affirmative defenses asserted by the defendant in its

answer, up to a limit of 5, within 3 calendar days of service of the

defendant's answer. Individuals who are provided access to proprietary

information shall sign a notarized statement affirmatively stating that

the individual has personally reviewed the Commission's rules and

understands the limitations they impose on the signing party. Parties

must maintain a log recording the number of copies made of all

proprietary materials and the persons to whom the copies have been

provided. Upon termination of a formal complaint proceeding, all

originals and reproduction of any proprietary materials disclosed in

that proceeding, along with the log recording persons who received

copies of such materials, shall be provided to the producing party. See

47 CFR 1.731. (No. of respondents: 760; hours per response: 2.25 hours;

total annual burden: 1,425 hours).

d. Scanning. Pursuant to amended rule 47 CFR 1.729, the Commission

may impose a scanning or other electronic formatting requirement for

submission of large numbers of documents in certain cases. (No. of

respondents: 38; hours per response: 5 hours; total annual burden: 190

hours).

e. Damages. Damages must be specifically requested. See 47 CFR

1.722. Pursuant to amended rule 47 CFR 1.722, where the Commission has

ordered parties to attempt to negotiate a damages amount according to

an approved damages formula, the parties must submit to the Commission,

within thirty days, the written results of such negotiations. The

written statement shall contain one of the following: (1) The parties'

agreement as to the amount of damages; (2) a statement that the parties

are continuing to negotiate in good faith and a request for an

extension of time to continue such negotiations; or (3) the bases for

the continuing dispute and the reasons why no agreement can be reached.

(No. of respondents: 380; hours per response: 1 hour per filing; total

annual burden: 380 hours).

f. Briefs. Pursuant to amended rule 47 CFR 1.732, briefs may be

prohibited or limited. Where permitted, briefs must contain all claims

and defenses that the party wants the Commission to address. Each brief

must attach all documents on which it relies and explain how each

attachment is relevant to the issues. Brief length has been shortened

to 25 pages for initial briefs and 10 pages for reply briefs. See also

47 CFR 1.734 for specifications for briefs and other documents. (No. of

respondents: 760; hours per response: 3 hours; total annual burden:

2280 hours).

g. Designation of Agent for Service. Pursuant to amended rule 47

CFR 1.47(h), the Commission will maintain a directory of agents

designated by carriers to receive service of process. The directory

will list, for both the carrier and its agent(s), names, addresses,

telephone or voice-mail numbers, facsimile numbers, and Internet e-mail

addresses if available. In addition, the carrier shall list any other

names by which it is known or under which it does business. If the

carrier is an affiliated company, the carrier must also list its

parent, holding, or management company. Parties are required to notify

the Commission within one week of any changes in their designated

agents. Parties will be required to designate their service agent(s) to

the Commission by filing the required information with the Formal

Complaints and Investigations Branch of the Common Carrier Bureau. (No.

of respondents: 4965; hours per response: .25 hours; total annual

burden: 1,241.25 hours).

h. Joint Statement of Stipulated Facts and Status Conferences.

Pursuant to amended rule 47 CFR 1.732(h), parties must file a joint

statement of stipulated facts, disputed facts and key legal issues at

least two business days prior to the initial status conference.

Pursuant to amended rule 47 CFR 1.733(b), parties must file a joint

statement of proposals agreed to and disputes remaining as the result

of a meet and confer conference at least two business days prior to the

scheduled initial status conference. Pursuant to amended rule 47 CFR

1.733(f), following every status conference, parties must file a joint

proposed order, including alternative proposed orders where the parties

are unable to agree, memorializing the oral rulings made during the

status conference or file a transcript of either the audio recording or

stenographic transcription of the oral rulings made during the status

conference. (No. of respondents: 760; hours per response: 2 hours;

total annual burden: 1520 hours).

i. Filing of Copies of Proposed Orders on Disks. Pursuant to

amended rule 1.734(d) all proposed orders must be submitted both as

hard copies and on computer disk formatted to be compatible with the

Commission's computer system and using the Commission's current

wordprocessing software. Each disk should be clearly labelled with the

submitting party's name, proceeding, type of pleading, and date of

submission. Each disk should be accompanied by a cover letter. This

requirement may be waived upon a showing of good cause. (No. of

respondents: 760; hours per response: .5 hours; total annual burden:

380 hours).

j. FCC 485--Intake Form. Pursuant to 47 CFR 1.721(a)(12), the

complainant must submit a completed intake form with any formal

complaint to indicate that the complaint satisfies the procedural and

substantive requirements under the Act and our rules. The completed

intake form must also identify all relevant statutory provisions, any

relevant procedural history of the case, and, in the case of a Section

271(d)(6)(B) complaint, whether the complainant desires to waive the

90-day resolution deadline. (No. of respondents: 380; hours per

response: .5 hours per filing; total annual burden: 190 hours). A

public notice will be issued to announce the availability of FCC Form

485. The information has been and is currently being used by the

Commission to determine the sufficiency of the complaint and to resolve

the merits of the dispute between the parties. Obligation to respond:

Required to obtain or retain benefits. Public reporting burden for the

collections of information is as noted above. Send

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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. 98-6654 Filed 3-13-98; 8:45 am]

BILLING CODE 6712-01-P