Chong Agenda Dec. Rulemaking; Advice Letters; Uniform Regulatory Framework; Telecommunications Industry Rules
Word Document PDF Document

TABLE OF CONTENTS

Of Appendix A

Telecommunications Industry Rules 1

Industry Rule 1. Additional Definitions 1

Industry Rule 2. Submitting Documents for Filing; Telephone Directories 3

Industry Rule 3. Notice to Affected Customers 3

Industry Rule 4. Contracts and Other Deviations 5

Industry Rule 5. Detariffed and Non-tariffed Service 5

Industry Rule 6. Advice Letter Contents 7

TABLE OF CONTENTS

Of Appendix A

(Continued)

Industry Rule 7. Advice Letter Review 7

Industry Rule 8. Procedures for Specific Types of Advice Letters 11

Industry Rule 9. Notification of DBAs 14

Telecommunications Industry Rules

Industry Rule 1. Additional Definitions

In addition to the definitions in General Rules 3 to 3.16, the following definitions apply to the defined terms, which appear with the initial letter capitalized when used in these Industry Rules.

1.1 Basic Service

"Basic Service" means the service elements, as specified in Decision 96-10-066 (Appendix B, Part 4) and as modified from time to time by the Commission, that a provider of local exchange service must offer to each residential customer who requests local exchange service from the provider.

1.2 Carrier of Last Resort

"Carrier of Last Resort" means a carrier that has specific duties regarding the provision of Basic Service and universal service, as specified in Decision 96-10-066 and as modified from time to time by the Commission.

1.3 Compliance Advice Letter

"Compliance Advice Letter" means an advice letter seeking approval of the Utility's proposed implementation of a specific requirement in a statute or Commission order.

1.4 Freezing of Service

"Freezing" or "Freezing of Service" means discontinuing a service's availability to customers, other than those customers receiving the service from the Utility as of the date that the Utility freezes the service.

1.5 GRC-LEC

"GRC-LEC" is a local exchange carrier that is regulated through cost-of-service regulation.

1.6 Industry Rule

"Industry Rule" means an Industry Rule in the Telecommunications Industry Rules, as set forth in General Order 96-B or its successor.

1.7 Market Trial; Technical Trial

"Market Trial" or "Technical Trial" means a New Service offered only for a specified limited duration for the purpose of testing or evaluating the service.

1.8 New Service

"New Service" means a service that is distinguished from any existing service offered by the Utility by virtue of the technology employed and/or features, functions, and means of access provided.

1.9 Promotional Offering; Promotional Platform

"Promotional Offering" means an existing service offered under tariffed terms temporarily deviating from the otherwise applicable tariff in order to promote the service. "Promotional Platform" means a tariffed description of service for which a GRC-LEC may make a Promotional Offering.

1.10 Resale Service

"Resale Service" means a tariffed service that a carrier offers to another carrier for resale.

1.11 Staff

"Staff" means the Communications Division (or its successor).

1.12 Telecommunications Advice Letter Coordinator

"Telecommunications Advice Letter Coordinator" means the person who processes documents submitted to the Communications Division for filing.

1.13 Transfer

"Transfer" means a Transfer of assets (including the entire customer base or an entire class of customers) and/or Transfer of control.

1.14 URF Carrier

"URF Carrier" is a public Utility that is regulated through the Commission's uniform regulatory framework, as established in Decision 06-08-030 and as modified from time to time by the Commission.

1.15 Utility

"Utility" means a public Utility that is a telephone corporation as defined in the Public Utilities Code.

1.16 Withdrawal of Service

"Withdrawal" or "Withdrawal of Service" means discontinuing a service's availability to all customers, including those customers receiving the service as of the date it is withdrawn.

Industry Rule 2. Submitting Documents for Filing; Telephone Directories

For instructions on filing an advice letter, a document pertaining to an advice letter (e.g., a protest, response, reply, substitute sheet, or supplement), or an information-only filing, go to the Commission's Internet site ( www.cpuc.ca.gov) and look for the Communications Division's link.

A Utility that issues a telephone directory must submit, concurrent with publication, two copies of each directory to the Telecommunications Advice Letter Coordinator, Communications Division, 505 Van Ness Ave., 3rd Floor, San Francisco, CA 94102-3298. However, a directory is not a tariff and will not be listed in the table of contents of the Utility's tariffs or given Cal. P.U.C. sheet numbers. GRC-LECs and URF Carriers must provide without charge copies of their current directories to public libraries in California.

Industry Rule 3. Notice to Affected Customers

No later than the date that is 30 days before the advice letter's requested effective date, or on the date that the Utility submits the advice letter to the Telecommunications Advice Letter Coordinator, whichever date is earlier, the Utility must give notice to each affected customer of the advice letter if it requests approval of a Transfer, Withdrawal of Service, or higher rates or charges or more restrictive terms or conditions.

However, no customer notice under this Industry Rule 3 or General Rule 4.2 is required of a Utility's Compliance Advice Letter that implements a prior Commission order approving the Utility's request for authorization of a Transfer, Withdrawal of Service, or higher rates or charges or more restrictive terms or conditions.

Whenever this customer notice is of an advice letter submitted or required to be submitted in Tier 3 (see Industry Rule 7.3), the notice must contain information regarding procedure for protests, as follows: "The proposed [insert Transfer, Withdrawal of Service, or higher rates or charges or more restrictive terms or conditions, as appropriate] is being submitted by Advice Letter ______ [insert advice letter number] for review and possible approval by the California Public Utilities Commission. The advice letter was filed with the Communications Division [insert date of filing]. Anyone may object to the advice letter by sending a written protest to: Telecommunications Advice Letter Coordinator, Communications Division, 505 Van Ness Ave., 3rd Floor, San Francisco, CA 94102-3298. The protest must state specifically the grounds on which it is based. The protest must be received by the Telecommunications Advice Letter Coordinator no later than 20 days after the date that the advice letter was filed. On or before the day that the protest is sent to the Telecommunications Advice Letter Coordinator, the protestant must send a copy of the protest to ________________ [insert name and address of person whom the Utility has designated in the advice letter to receive protests]. To obtain information about the Commission's procedures for advice letters and protests, go to the Commission's Internet site ( www.cpuc.ca.gov) and look for document links to General Order 96-B."

3.1 Customer Notice of Transfer

If a Utility requests approval of a Transfer, the notice must identify the new service provider, describe the changes (if any) in rates, charges, terms, or conditions of service, and state that customers have the right to select a new service provider.

3.2 Customer Notice of Withdrawal

If a Utility requests approval of a Withdrawal of Service, the notice must also describe the proposed Withdrawal. In the case of a Withdrawal from providing Basic Service, the notice must describe the arrangements the Utility has made to ensure continuity of service to affected customers. If the Utility resells Basic Service (or service element thereof), the arrangements must include notice to affected customers that they may choose another service provider or (if no other service provider is chosen) receive Basic Service from the underlying carrier or Carrier of Last Resort. If the Utility is proposing Withdrawal of Basic Service that it provides using its own facilities, the Utility must arrange for Transfer of its customers to another Utility. (See Industry Rules 3.1, 8.5, 8.6.)

3.3 Customer Notice of Higher Rates, More Restrictive Terms

A notice of higher rates or charges or more restrictive terms or conditions, must state the current and proposed rates, charges, terms, or conditions (as appropriate). If the Utility giving notice is a GRC-LEC, the notice must also state the reasons for the proposed change and the impact of any proposed change on the affected rate or charge, expressed in dollar and percentage terms.

Industry Rule 4. Contracts and Other Deviations

The Commission may authorize a Utility, on a case-by case basis, to provide service under a contract or other deviation that departs from rates, charges, terms, or conditions offered in the Utility's tariffs. A Utility that does not use tariffs to provide service other than Basic Service may provide such detariffed or non-tariffed service under a contract, without any additional authorization from the Commission.

Industry Rule 5. Detariffed and Non-tariffed Service

An URF Carrier may cancel by advice letter any retail tariff currently in effect except for the following: Basic Service; 911 or e-911 service; a provision, condition, or requirement imposed by the Commission in an enforcement, complaint, or merger proceeding; a provision relating to customer direct access to or choice of an interexchange carrier; a service (such as Resale Service) not within the scope of services for which the Commission granted full pricing flexibility in Decision 06-08-030; or a provision pertaining to a Utility's obligations under state or federal law (such as California public policy surcharges or Carrier of Last Resort obligations).

The Commission otherwise will consider granting exceptions from the general requirement (see General Rule 8.2.1) that a Utility serve its California customers under its filed tariffs. Such exceptions, allowing the Utility to provide detariffed service, may be granted to a specific Utility or type of Utility, or for specific services offered by the Utility or type of Utility. Industry Rules 5.1 to 5.5, which will be updated as necessary, list the currently authorized exceptions and certain requirements that apply to service not provided under tariff.

5.1 URF Carrier

Subject to Industry Rule 5, an URF Carrier may request to detariff in whole or in part. The URF Carrier seeking to detariff a service not excluded under Industry Rule 5 must submit a Tier 2 advice letter. The advice letter must identify the service that the URF Carrier proposes to detariff and must attest that the service is not one of the services excepted from detariffing under Industry Rule 5.

After the Commission has authorized an URF Carrier to detariff in whole or in part, the URF Carrier may make available to the public New Service offerings on a detariffed basis to the extent consistent with the Commission's authorization. When an URF Carrier makes available to the public a New Service on a detariffed basis, the URF Carrier must file an information-only filing that describes the New Service and attests that the New Service is not one of the services excepted from detariffing under Industry Rule 5. (See General Rules 6.1, 6.2; Industry Rule 2.) The information-only filing must be submitted to the Commission no later than the date on which the New Service is made available to the public.

5.2 Publication of Rates, Charges, Terms, and Conditions (URF Carriers)

For any service available to the public but not provided under tariff, the carrier providing the service must at all times and without charge publish, at a site on the Internet, the applicable rates, charges, terms, and conditions. The carrier must also publish at its Internet site an archive of its canceled rates, charges, terms, and conditions, going back three years or to the date of detariffing, whichever is more recent. The carrier must comply with these publication requirements regardless of whether the service was detariffed at or after certification, or was ever provided under tariffs.

5.3 Notice to Customers (URF Carriers)

For any service available to the public but not provided under tariff, the carrier providing the service must notify each affected customer of a higher rate or charge, or more restrictive term or condition, or Withdrawal of Service, or Transfer of ownership or customer base. The carrier must give this notice at least 30 days before the date when the change will occur.

A carrier may satisfy a notice requirement in this Industry Rule by one or a combination of the following means: bill inserts; notices printed on bills; or separate notices sent by first-class mail (or by e-mail to a customer who receives bills from the carrier by e-mail). Notice by first-class mail is complete when the document is deposited in the mail, and notice by e-mail is complete upon successful transmission.

5.4 Market Trial; Technical Trial

A Market Trial or Technical Trial must be submitted as an information-only filing, and must follow guidelines set forth in Resolution T-14944 (June 17, 1992) or Resolution T-16099 (December 16, 1997). Such an information-only filing will be treated as confidential pursuant to General Rule 9.

5.5 Commercial Mobile Radio Service Provider

A commercial mobile radio service provider may not file tariffs with the Commission but shall make available to the public schedules showing its rates, charges, terms, and conditions of service.

Industry Rule 6. Advice Letter Contents

An advice letter must include (1) a copy of the notice to affected customers, if such notice is required by Industry Rule 3, and (2) the following statement: "Anyone may object to this advice letter, which was filed on [insert date of filing], by sending a written protest to: Telecommunications Advice Letter Coordinator, Communications Division, 505 Van Ness Ave., 3rd Floor, San Francisco, CA 94102-3298. The protest must state specifically the grounds on which it is based. The protest must be received by the Telecommunications Advice Letter Coordinator no later than 20 days after the date that the advice letter was filed. On or before the day that the protest is sent to the Telecommunications Advice Letter Coordinator, the protestant must send a copy of the protest to _____________ [insert name and address of person whom the Utility has designated in the advice letter to receive protests]. To obtain information about the Commission's procedures for advice letters and protests, go to the Commission's Internet site ( www.cpuc.ca.gov) and look for document links to General Order 96-B."

Industry Rule 7. Advice Letter Review

A Utility submitting an advice letter must designate the appropriate tier, based on the content of the advice letter. An erroneous designation is not binding on Staff. A Tier 1 or Tier 2 advice letter is subject to disposition under General Rule 7.6.1; a Tier 3 advice letter is subject to disposition under General Rule 7.6.2.

7.1 Matters Appropriate to a Tier 1 Advice Letter
(Effective Pending Disposition)

By submitting an advice letter in Tier 1, a Utility represents that the advice letter is properly filed in Tier 1, and that the Utility has complied with the applicable customer notice requirements, as set forth in Industry Rules 3 to 3.3 and as referenced in this Industry Rule 7.1. Pursuant to General Rule 4.2, the Utility must document its compliance with applicable customer notice requirements; if an advice letter accepted for filing is found not to have been noticed in compliance with these requirements, Staff will reject the advice letter without prejudice. The following matters may be filed under Tier 1:

7.2 Matters Appropriate to a Tier 2 Advice Letter
(Effective After Staff Approval)

By submitting an advice letter in Tier 2, a Utility represents that the advice letter is properly filed in Tier 2, and that the Utility has complied with the applicable customer notice requirements, as set forth in Industry Rules 3 to 3.3 and as referenced in this Industry Rule 7.2. Pursuant to General Rule 4.2, the Utility must document its compliance with applicable customer notice requirements; if an advice letter accepted for filing is found not to have been noticed in compliance with these requirements, Staff will reject the advice letter without prejudice. The following matters must be filed under Tier 2:

7.3 Matters Appropriate to a Tier 3 Advice Letter
(Effective After Commission Approval)

By submitting an advice letter in Tier 3, a Utility represents that the advice letter is properly filed in Tier 3, and that the Utility has complied with the applicable customer notice requirements, as set forth in Industry Rules 3 to 3.3 and as referenced in this Industry Rule 7.3. Pursuant to General Rule 4.2, the Utility must document its compliance with applicable customer notice requirements; if an advice letter accepted for filing is found not to have been noticed in compliance with these requirements, Staff will reject the advice letter without prejudice. The following matters must be filed under Tier 3:

7.4 Matters Requiring Review in a Formal Proceeding

Staff will reject without prejudice an advice letter that requests relief or raises issues requiring an evidentiary hearing or otherwise requiring review in an application, petition for modification, or other formal proceeding. (See General Rules 5.2, 5.3.) Matters requiring such review include, but are not limited to:

Industry Rule 8. Procedures for Specific Types of Advice Letters, Information-only Filings, and Formal Proceedings

8.1 Negotiated Interconnection Agreements

Promptly upon execution of an interconnection agreement arrived at through negotiation pursuant to Section 252 of the Telecommunications Act of 1996 (47 USC § 252), the agreement must be submitted by advice letter for Commission approval. The advice letter will be subject to review and disposition within the timeframes provided for such advice letters by Resolution ALJ-181 (October 5, 2000), as may be modified by the Commission from time to time, and in conformity with federal law.

8.2 Contracts for Tariffed Services

Contracts for tariffed services must be submitted to the Commission under this Industry Rule. Except for negotiated interconnection agreements, a contract that involves only detariffed or non-tariffed services is not subject to Commission approval and is not to be submitted for filing.

8.2.1 Deadline for Submittal; Effective Date

Within 15 business days after the execution of a contract for a tariffed service, the contract must be submitted by advice letter for Commission approval. A Utility that violates the deadline for submittal is liable to such sanctions as the Commission may impose, including but not limited to the penalties set forth in Decision 91-07-010 and the Public Utilities Code, as appropriate. Violation of the deadline does not, in itself, invalidate a contract. In the case of a contract properly submitted for review and disposition by Tier 1 advice letter, the contract may be made effective on the date of execution.

8.2.2 Availability of Contract Rates

The rate or charge under a contract then in effect must be made available to any similarly situated customer that is willing to enter into a contract with the same terms and conditions of service.

8.2.3 Required Clauses (GRC-LEC)

A contract by a GRC-LEC for a tariffed service must contain the following clauses: "This contract at all times is subject to such modifications as the California Public Utilities Commission may direct from time to time in the exercise of its jurisdiction. This contract does not become effective unless and until approved by the California Public Utilities Commission."

8.2.4 Cost Justification (GRC-LEC)

An advice letter by a GRC-LEC requesting approval of a contract must show that each rate or charge set in the contract is at or above cost. Cost data provided in support of the contract may be submitted under seal together with a request for confidential treatment. (See General Rule 9.)

8.3 New Service

An advice letter requesting approval of a New Service must attest that the proposed service would:

An advice letter by a GRC-LEC requesting approval of a New Service must show that the rate or charge set for the New Service is at or above cost. Cost data provided in support of the New Service may be submitted under seal together with a request for confidential treatment. (See General Rule 9.)

8.4 Change to Tariffed Rate, Charge, Term, or Condition

An advice letter requesting approval of a change to a tariffed rate, charge, term, or condition, if the change is required to be submitted for review and disposition by Tier 3 advice letter, must demonstrate that the rate, charge, term, or condition, as proposed to be changed, would be just and reasonable. If Staff determines that a change requested by an advice letter to a rate, charge, term, or condition requires a hearing or otherwise requires review in a formal proceeding, Staff will reject the advice letter without prejudice. (See General Rule 5.3.)

8.5 Withdrawing Basic Service

Prior to a Utility's Withdrawal, in whole or part, from offering Basic Service (or any service element thereof) within its service area, the Utility must file an application, as appropriate (see Industry Rule 7.4(1)), requesting the Commission's authorization. The application must conform to the Commission's Mass Migration Guidelines, as specified in Decision 06-10-021 and as modified from time to time by the Commission. The request must state the date and method by which the Utility notified affected customers of the proposed Withdrawal (see Industry Rules 3 and 3.2), and must describe the arrangements the Utility has made to ensure continuity of service to affected customers. If the Utility resells Basic Service (or any service element thereof), the arrangements must include notice to affected customers that they may choose another service provider or (if no other service provider is chosen) receive Basic Service from the underlying carrier or Carrier of Last Resort. If the Utility uses its own facilities to provide Basic Service, the arrangements must include notice to affected customers of the Utility's plans for Transfer of the customers to another carrier. (See Industry Rules 3.1, 8.6.)

8.6 Transfer

8.6.1 Transfer of GRC-LEC or URF Carrier (Incumbent Local Exchange Carrier)

Commission approval for the Transfer of a GRC-LEC, or an URF Carrier that is an incumbent local exchange carrier, must be requested by application jointly submitted by the transferor and proposed transferee. See Rule 3.6 of the Commission's Rules of Practice and Procedure.

8.6.2 Transfer of Interexchange or Competitive Local Carrier

Commission approval for the Transfer of an interexchange carrier or competitive local carrier must be requested by advice letter submitted by the proposed transferee. If the proposed transferee does not have authority from the Commission to operate as a Utility, the transferee must either (1) register to operate as an interexchange carrier (using the registration form available at the Commission's Internet site), or (2) file an application to operate as a competitive local carrier and in the application request approval of the Transfer. The application must include a financial statement, which may be submitted under seal together with a request for confidential treatment (see General Rule 9), demonstrating that the transferee has sufficient assets to operate through the transition period.

8.6.3 Transfer of Commercial Mobile Radio Service Provider

The transferee of a commercial mobile radio service provider must submit an information-only filing setting forth changes in the provider's registration information.

8.7 Promotional Offering

A GRC-LEC may not submit an advice letter requesting approval of a Promotional Offering unless and until the Utility has received approval for its Promotional Platform.

Industry Rule 9. Notification of DBAs

If a Utility does business under a name other than the name under which it was granted operating authority by the Commission ("doing business as" or "DBA"), the Utility must list, as part of its preliminary statement (see General Rule 8.5.3), each name under which the Utility does business. The Utility must update this list, as necessary, by submitting an advice letter (see Industry Rule 7.1(1)). If a detariffed Utility does business under a name other than the name under which it was granted operating authority by the Commission, the Utility must inform the Commission by submitting an information-only filing with a list of all names under which the Utility does business. The detariffed Utility must update this list, as necessary, by information-only filing.

(END OF APPENDIX A)

Top Of Page