[Federal Register Volume 63, Number 125 (Tuesday, June 30, 1998)]
[Rules and Regulations]
[Pages 35539-35541]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-17410]


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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 (<a href="/cdn-cgi/l/email-protection#2441504257644247470a434b52"><span class="__cf_email__" data-cfemail="2144554752614742420f464e57">[email protected]</span></a>) 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


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