John A. Bohn is the assigned Commissioner and Richard Smith is the assigned Administrative Law Judge in this proceeding.
1. The Audit Report documents the need to more carefully review the background of registration applicants to identify unscrupulous individuals or companies, and to improve the Commission's ability to successfully collect fines and bring about restitutions.
2. The concerns identified in the Audit Report that the OIR seeks to address continue to exist even if the Commission has not recently undertaken enforcement actions.
3. The Audit Report does not specifically raise concerns about the adequacy of the Commission's CPCN application process, and none of the instances cited in the Audit Report involved a carrier that obtained authority through the CPCN application process.
4. The authorization granted pursuant to § 1013 through the simplified registration process established by D.97-06-107 is renamed a "registration license."
5. It is not clear that a renewal process would be any more effective at detecting or limiting wrongdoing than other tools already available to the Commission (e.g., the complaint process).
6. Requiring the procurement of a performance bond, as a precondition to registration, is consistent with the authority granted to the Commission pursuant to § 1013(f), and will facilitate the collection of fines, penalties, and restitution.
7. A performance bond requirement is established for all registrants, including prepaid telephone services debit card providers that are required to register pursuant to § 885(a), to facilitate the collection of fines, penalties and restitution.
8. DRA recommends that the Commission require registrants to obtain a bond large enough to cover surcharges due, fines owed, and to compensate customers in cases of fraud or bankruptcy of not less than $25,000.
9. Because the bond we require registration license holders to obtain is to facilitate the collection of fines, penalties and restitution to customers, the size of the bond should bear some relationship to the fines, penalties and restitution that may potentially be imposed.
10. The Commission establishes a minimum performance bond amount of $25,000, as recommended by DRA.
11. A registration license holder may not allow its performance bond to lapse during any period of its operation, and during all periods of operation a registration license holder must continue to possess the requisite legal, technical, and financial qualifications.
12. Revocation of a registration license is not a deterrent to an unscrupulous carrier engaged in fraudulent practices who may cease operations or file bankruptcy before the Commission is able to collect fines or bring about restitution.
13. The Application Form currently does not require registration applicants to disclose certain information that might well be pertinent to an applicant's fitness for a grant of operating authority.
14. The extent of CPSD's background check is limited to the questions contained in the Application Form.
15. Requiring registration applicants to provide additional information will enable the Commission to conduct more thorough fiscal and civil responsibility checks.
16. Requiring registration applicants to provide additional information during the registration process is consistent with the Audit Report recommendation for the Commission to conduct more stringent background reviews of individuals and companies applying for registration.
17. Information concerning prior or current investigations of an applicant or its principals by governmental agencies that applicant is aware of and information concerning settlement agreements entered into or voluntary payments made by an applicant or its principals to resolve action by regulatory agencies, attorneys general, or courts is relevant to determining an applicant's eligibility to use the registration process.
18. Requiring applicants to provide information concerning prior or current investigations of an applicant or its principals by governmental agencies that applicant is aware of and information concerning settlement agreements entered into or voluntary payments made by an applicant or its principals to resolve action by regulatory agencies, attorneys general, or courts will expand the scope of the background checks that CPSD conducts.
19. Requiring resumes from officers and directors of applicants will provide important information about an applicant's principals but should not discourage potential officers and directors from serving, and should not discourage registrants from seeking to offer services in California.
20. The proposal to require resumes, listing all employment, from officers and directors of registration applicants is adopted and the Application Form is revised accordingly.
21. To require the principals of registration applicants to undergo fingerprinting would be more onerous than what we currently require for CPCN applicants.
22. A showing of good standing will be required for applications to transfer registration licenses.
23. The purpose of the annual user fee is to finance the Commission's annual operating budget.
24. A minimum annual user fee for registration license holders will ensure that all registrants contribute a fair share toward the Commission's annual operating budget.
25. Carriers, including registrants, reporting no intrastate revenues pay no annual user fee, even though the Commission incurs ongoing costs to maintain records and databases, and to perform other regulatory activities that benefit those carriers.
1. Evidentiary hearings are not necessary.
2. Obtaining additional relevant data on registration applicants during the application process and establishing other requirements proposed in the OIR should reduce the likelihood that subsequent enforcement actions against a carrier will be necessary, and, when enforcement actions against a carrier are necessary, should improve the Commission's ability to collect fines, penalties and bring about restitution.
3. In light of the Audit Report findings, it is unreasonable to refrain from revising the registration process at this time merely because there may have been few recent enforcement proceedings.
4. It is reasonable and prudent to take steps now to reduce the likelihood for the need of future enforcement actions, and to increase the likelihood of successfully collecting fines or compelling restitution once an enforcement action is initiated.
5. Because § 1013(a) provides that a telephone corporation operating in California must either have a CPCN or be registered, it is not appropriate to refer to the authority granted to registrants as a "CPCN."
6. The term "registration license" should minimize any potential confusion between it and a CPCN.
7. A "registration license" is defined as the interexchange authority granted pursuant to § 1013 through the simplified registration process established by D.97-06-107 (previously referred to as a "CPCN"), and the interexchange authority granted pursuant to § 1013 through the simplified registration process established by D.97-06-107, as modified by this Decision. The terms "registration license holder," "registration licensee," or "registrant" are used interchangeably, and refer to an entity (i.e., a prepaid debit card provider required by § 885 to register, or an interexchange carrier) that obtained or obtains interexchange authority pursuant to § 1013 through the simplified registration process established by D.97-06-107 that does not hold interexchange authority pursuant to § 1001 obtained through the Commission's application process.
8. An entity with interexchange authority pursuant to § 1001 obtained through the Commission's regular application process, even if the entity is also registered through the simplified registration process pursuant to § 1013, is not a registration license holder, registration licensee, or registrant that is subject to the requirements of this Decision.
9. To require registrants with no history of questionable behavior and noncontroversial applications to periodically renew their registration license undermines the objective of the simplified registration process and imposes on registrants a recurring obligation that is not borne by CPCN holders.
10. Applications to transfer registration licenses should continue to be filed as Tier 2 Advice Letters, pursuant to GO 96-B.
11. Registrants that are granted a new or transferred license should provide the Director of the Communications Division a written acceptance of the license before exercising the authority granted by that license.
12. There is no basis for changing the determinations reached in D.97-06-107 concerning the implementation of § 1013(e).
13. Pursuant to § 1013(f), the Commission may require all registrants, including prepaid telephone services debit card providers that are required to register pursuant to § 885(a), to obtain and maintain a performance bond to facilitate the collection of fines, penalties and restitution.
14. Requiring the procurement of a performance bond may deter some unscrupulous companies from registering in the first place, and will help protect consumers and the Commission by ensuring that funds will be available to cover at least some portion of any fines, penalties, or restitution that may be imposed.
15. The requirement to obtain and maintain a performance bond should apply to prepaid telephone services debit card providers that are required to register pursuant to § 885(a) to improve the Commission's ability to collect fines and restitution from prepaid telephone services debit card providers.
16. Requiring registrants to post a bond to facilitate the collection of fines, penalties and restitution is appropriate due to the inherent difficultly in collecting fines or restitution from companies that engage in fraudulent or inappropriate practices and cease operations or file for bankruptcy before the Commission is able to collect fines or bring about restitution.
17. It is reasonable to base the amount of the performance bond on a registrant's reported annual intrastate revenues and to establish a minimum bond amount of $25,000.
18. Registrants should be required to obtain a performance bond equal to or greater than 10 percent of intrastate revenues reported on the Commission's User Fee Statement during the preceding calendar year or $25,000, whichever is greater.
19. New registration license applicants applying for the first time which have not previously reported revenues or submitted surcharges to the Commission should be required to obtain a performance bond in the amount of $25,000 for the first year. In the affidavit included in its application, the registration applicant should be required to attest to the amount of the bond that will be obtained and that the required performance bond will be executed within five business days after the effective date of the issuance of a registration license.
20. In all cases, the performance bond should be a continuous bond (i.e., there is no termination date on the bond) issued by a corporate surety company authorized to transact surety business in California, and the Commission should be listed as the obligee on the bond.
21. Each registration license holder should be required to submit an Information-Only advice letter to the Director of the Communications Division containing a copy of the registration license holder's executed performance bond annually not later than March 31. A new registration applicant should submit an Information-Only advice letter to the Director of the Communications Division containing a copy of the registration license holder's executed bond within five business days after the effective date of the issuance of a registration license.
22. Within 90 days after the effective date of this Decision, each existing registration license holder should be required to submit an Information-Only advice letter to the Director of the Communications Division containing a copy of the registration license holder's executed performance bond.
23. A registration license holder may not allow its performance bond to lapse during any period of its operation, and during all periods of operation a registration license holder should continue to possess the requisite legal, technical, and financial qualifications.
24. A registration license holder should be deemed delinquent if it is more than ninety days late in submitting to the Director of the Communications Division an Information-Only advice letter containing a copy of its executed bond.
25. The Communications Division should be authorized grant requests for additional time for registration license holders to submit a copy of the executed bond if the license holder makes a written request to the Communications Division before license holder is deemed delinquent. A registration license holder should be required to provide an explanation in its request for additional time that demonstrates good cause for the additional time needed to comply with the requirement to submit to the Commission a copy of the executed bond.
26. The Communications Division should prepare for Commission consideration a resolution revoking the registration license of any registration license holder that is more than 120 days late in providing the Director of the Communications Division a copy of its executed performance bond and that has not been granted an extension of time by the Communications Division.
27. Registration license applicants should be required to provide additional information, and undergo expanded fiscal and civil responsibility checks.
28. Registration license applicants should be required to disclose other types of monetary forfeitures to resolve any action by any regulatory body, agency, or attorney general, or court, in addition to information concerning settlement agreements entered into or voluntary payments made by an applicant or its principals.
29. The Application Form should be revised as follows:
Question No. 7 (Question No. 8 on the revised Application Form):
"Neither applicant, any of its affiliates, officers, directors, partners, agents, or owners (directly or indirectly) of more than 10% of applicant, or anyone acting in a management capacity for applicant: (a) held one of these positions with a company that filed for bankruptcy; (b) been personally found liable, or held one of these positions with a company that has been found liable, for fraud, dishonesty, failure to disclose, or misrepresentations to consumers or others; (c) been convicted of a felony; (d) been (to his/her knowledge) the subject of a criminal referral by judge or public agency; (e) had a telecommunications license or operating authority denied, suspended, revoked, or limited in any jurisdiction; (f) personally entered into a settlement, or held one of these positions with a company that has entered into settlement of criminal or civil claims involving violations of sections 17000 et seq., 17200 et seq., or 17500 et seq. of the California Business & Professions Code, or of any other statute, regulation, or decisional law relating to fraud, dishonesty, failure to disclose, or misrepresentations to consumers or others; (g) been found to have violated any statute, law, or rule pertaining to public utilities or other regulated industries; or (h) entered into any settlement agreements or made any voluntary payments or agreed to any other type of monetary forfeitures in resolution of any action by any regulatory body, agency, or attorney general.
If your answer to this question is anything other than an unqualified `True,' please attach documentation and describe any such bankruptcies, findings, judgments, convictions, referrals, denials, suspensions, revocations, limitations, settlements, voluntary payments or any other type of monetary forfeitures."
Question No. 8 (Question No. 9 on the revised Application Form):
"To the best of applicant's knowledge, neither applicant, any affiliate, officer, director, partner, nor owner of more than 10% of applicant, or any person acting in such capacity whether or not formally appointed, is being or has been investigated by the Federal Communications Commission or any law enforcement or regulatory agency for failure to comply with any law, rule or order.
If your answer to this question is anything other than an unqualified `True, please attach documentation and describe all such investigations, whether pending, settled voluntarily or resolved in another manner."
30. Requiring resumes from officers and directors of registration applicants will provide important information about an applicant's principals but should not discourage potential officers and directors from serving, and should not discourage registrants from seeking to offer services in California.
31. Applicants for registration licenses should be required to state when the applicant expects to begin providing service in California.
32. Applicants seeking to transfer registration licenses should be required to verify compliance with Commission reporting, fee, and surcharge transmittal requirements.
33. It is reasonable to increase the application fee for new and transferred registration licenses to $250 until we have more experience with the revised rules adopted in this Decision. Increasing the application fee to $250 for new and transferred registration licenses will not be a substantial burden on registration applicants and will help offset the costs of processing registration license applications.
34. It is reasonable to establish a minimum annual user fee of $100 for registration license holders to help fund Commission regulatory activities.
35. R.09-07-009 should be closed.
36. This order should be effective immediately.
IT IS ORDERED that:
1. The simplified registration process set forth in Decision 97-06-107 is revised as specified in the Ordering Paragraphs below.
2. The authorization granted through the simplified registration process pursuant to § 1013 is renamed a "registration license."
3. Registrants that are granted a new or transferred registration license must provide the Director of the Communications Division a written acceptance of the registration license before exercising the authority granted by that license.
4. Registration license holders must obtain a performance bond equal to or greater than 10 percent of intrastate revenues reported on the Commission's User Fee Statement during the preceding calendar year or $25,000, whichever is greater. The performance bond must be a continuous bond (i.e., there is no termination date on the bond) issued by a corporate surety company authorized to transact surety business in California, and the Commission must be listed as the obligee on the bond. Within 90 days after the effective date of this Decision, all registration license holders must submit an Information-Only advice letter to the Director of the Communications Division containing a copy of the registration license holder's executed performance bond.
5. New registration license applicants applying for the first time which have not previously reported revenues or submitted surcharges to the Commission must obtain a performance bond in the amount of $25,000 for the first year. In the affidavit included in its application, the registration applicant must attest to the amount of the bond that will be obtained and that the required performance bond will be executed within five business days after the effective date of the issuance of a registration license. The performance bond must be a continuous bond (i.e., there is no termination date on the bond) issued by a corporate surety company authorized to transact surety business in California, and the Commission must be listed as the obligee on the bond.
6. Each registration license holder must submit an Information-Only advice letter to the Director of the Communications Division containing a copy of the registration license holder's executed performance bond at least annually not later than March 31. Within five business days after the effective date of the issuance of a registration license, a new registration holder must submit an Information-Only advice letter to the Director of the Communications Division a copy of the registration license holder's executed bond.
7. A registration license holder must not allow its performance bond to lapse during any period of its operation. During all periods of operation a registration license holder must continue to possess the requisite legal, technical, and financial qualifications.
8. The Communications Division is authorized grant to requests for additional time for registration license holders to submit a copy of the executed bond if the license holder makes a written request to the Communications Division before license holder is deemed delinquent. A registration license holder must provide an explanation in its request for additional time that demonstrates good cause for the additional time needed to comply with the requirement to submit to the Commission a copy of the executed bond.
9. The Communications Division must prepare for Commission consideration a resolution revoking the registration license of any registration license holder that is more than 120 days late in providing the Director of the Communications Division a copy of its executed performance bond and that has not been granted an extension of time by the Communications Division.
10. Applicants for registration licenses must submit, as part of the application, resumes, listing all employment, from officers and directors of registration applicants.
11. Applicants for registration licenses must state when the applicant expects to begin providing service in California.
12. The revised Application Form and instructions in Attachment B to this Decision are adopted.
13. Applicants seeking to transfer registration licenses must verify compliance with all Commission reporting, fee, and surcharge transmittals.
14. The application fee for new and transferred registration licenses is set at $250.
15. A minimum annual user fee for registration license holders is established and set at $100. Registration license holders must pay an annual user fee based on the Commission-established rate in effect at the time (currently 0.18% of gross intrastate revenue) or $100, whichever is greater.
16. Rulemaking 09-07-009 is closed.
This order is effective today.
Dated September 2, 2010, at San Francisco, California.
MICHAEL R. PEEVEY
President
DIAN M. GRUENEICH
JOHN A. BOHN
TIMOTHY ALAN SIMON
NANCY E. RYAN
Commissioners
Current Application for Registration License
Form of Application for Registration
BEFORE THE PUBLIC UTILITIES COMMISSION OF THE STATE OF CALIFORNIA
1 Application of |
|
A. | |
for Registration as an Interexchange Carrier | |
Telephone Corporation Pursuant to the | |
Provisions of Public Utilities Code Section 1013. | |
(Insert the full legal name of applicant in blank above; see instruction 1; attach fictitious names, if any) | |
Street address: | |
Telephone: ( ) Fax Nr.: ( ) E-Mail: |
2 Applicant is: |
A corporation (attach good standing certificate) |
· |
(Check only one; |
A limited partnership (attach good standing certificate) |
· |
see instruction 2.) |
A limited partnership (attach good standing certificate) |
· |
A limited liability company (attach good standing certificate) |
· | |
A general partnership |
· | |
A sole proprietor |
· | |
A trust |
· | |
Other (describe) |
· | |
Attach name, street address, and telephone number of applicant's registered agent for service of process |
||
Attach list of the names, titles, and street addresses of all officers and directors, general partners, trustees, members, or other persons authorized to conduct the business of applicant at a similar level |
||
Attach list of all affiliated entities (see instruction 2) |
3 Legal domicile |
California |
· |
of applicant is: |
Other (identify): |
· |
(Check only one; see instruction 3.) |
4 Applicant will |
Switchless reseller |
· |
operate as: |
Facilities-based carrier |
· |
(Check only one; see instruction 4.) |
5 Applicant will |
Statewide |
· |
provide service: |
In specific portions only (attach description and map) |
· |
(Check only one; see instruction 5.) |
6 Applicant will |
True |
· |
provide: voice and data telecommuni -cations only |
Not true |
· |
(Check only one; see instruction 6.) |
7 No affiliate, |
True |
· |
officer, director, general partner, or |
Not true |
· |
person owning more than 10% of applicant, or anyone acting in such a capacity whether or not formally appointed, held one of these positions with an IEC that filed for bankruptcy or has been found either criminally or civilly liable by a court of appropriate |
||
jurisdiction for a violation of _ 17000 et seq. of the California Business and Professions Code or for any actions which involved misrepresentations to consumers, and to the best of applicant's knowledge, is not currently under investigation for similar violations. (Check only one; see instruction 2.) |
8 To the best of applicant's knowledge, neither |
True Not true |
· · |
applicant, any affiliate, officer, director, partner, nor owner of more than 10% of applicant, or any person acting in such capacity whether or not formally appointed, has been sanctioned by the Federal Communications Commission or any state regulatory agency for failure to comply with any regulatory statute, rule or order. |
9 Applicant has |
True (attach documentation) |
· |
a minimum of |
Not true |
· |
(a) $25,000 in the case of a switchless reseller OR (b) $100,000 in the case of |
||
a facilities based applicant, in each case reasonably liquid and available to meet the |
||
firm's first-year expenses, including deposits required by local exchange carriers |
||
or interexchange carriers or (c) has profitable interstate operations to generate |
||
the required cash flow. (Check only one; see instruction 7.) |
10 Applicant has |
True |
· |
the required |
Not true |
· |
expertise to operate as an interexchange carrier of the type indicated in the application. |
11 Applicant is |
True |
· |
eligible for an |
Not true |
· |
exemption from tariffing requirements as set out in Commission Decision 98-08-031 and seeks such an exemption. (Check only one; see instruction 8.) |
I hereby declare under penalty of perjury under the laws of the State of California that the forgoing information, and all attachments, are true, correct, and complete to the best of my knowledge and belief after due inquiry, and that I am authorized to make this application on behalf of the applicant named above.
Signed:
Name |
|||
Title |
|||
Dated |
|||
Street |
|||
Address |
|||
Telephone |
|||
Fax |
Principal Place of Business (if different from address on page 1).
Street Address
City
State
Zip
Phone No.
(End of Attachment A)
Redlined Application for Registration License showing revisions (new or revised text is shown in underline and deleted text is shown in strikethrough font)
Form of Application for Registration License
BEFORE THE PUBLIC UTILITIES COMMISSION OF THE STATE OF CALIFORNIA
1 Application of |
|
A. | |
for Registration as an Interexchange Carrier | |
Telephone Corporation Pursuant to the | |
Provisions of Public Utilities Code Section 1013. | |
(Insert the full legal name of applicant in blank above; see instruction 1 | |
Street address: | |
Telephone: ( ) Fax No.: ( ) E-Mail: | |
1.A. List all fictitious business names under which applicant has done business in the last five years: | |
2 Applicant is: (Check only one; see instruction 2.) |
A corporation (attach good standing certificate) |
· |
A limited partnership (attach good standing certificate) |
· | |
A limited partnership (attach good standing certificate) |
· | |
A limited liability company (attach good standing certificate) |
· | |
A general partnership |
· | |
A sole proprietor |
· | |
A trust |
· | |
Other (describe) |
· | |
Attach name, street address, and telephone number of applicant's registered agent for service of process. | ||
Attach list of the names, titles, and street addresses of all officers and directors, general partners, trustees, members, or other persons authorized to conduct the business of applicant at a similar level. | ||
Attach resumes listing all employment for each officer and director. | ||
Attach list of all affiliated entities (see instruction 2) |
3 Legal domicile |
California |
· |
of applicant is: |
Other (identify): |
· |
(Check only one; see instruction 3.) |
4 Applicant will |
Switchless reseller |
· |
operate as: |
Facilities-based carrier |
· |
(Check only one; see instruction 4.) |
5 Applicant will |
Statewide |
· |
provide service: |
In specific portions only (attach description and map) |
· |
(Check only one; see instruction 5.) |
6 Applicant expects to begin offering service in California on: |
________________________________( date) |
7 Applicant will |
True |
· |
provide: voice and data |
Not true |
· |
telecommunications only (Check only one; see instruction 6.) |
8 Neither applicant, any of its affiliates, officers, directors, |
True |
· |
Not true |
· | |
partners, agents, or owners (directly or indirectly) of more than 10% of applicant, or anyone acting in a management capacity for applicant: (a) held one of these positions with a company that filed for bankruptcy; (b) been personally found liable, or held one of these positions with a company that has been found liable, for fraud, dishonesty, failure to disclose, or misrepresentations to consumers or others; (c) been convicted of a felony; (d) been (to his/her knowledge) the subject of a criminal referral by judge or public agency; (e) had a telecommunications license or operating authority denied, suspended, revoked, or limited in any jurisdiction; (f) personally entered into a settlement, or held one of these positions with a company that has entered into settlement of criminal or civil claims involving violations of sections 17000 et seq., 17200 et seq., or 17500 et seq. of the California Business & Professions Code, or of any other statute, regulation, or decisional law relating to fraud, dishonesty, failure to disclose, or misrepresentations to consumers or others; (g) been found to have violated any statute, law, or rule pertaining to public utilities or other regulated industries; or (h) entered into any settlement agreements or made any voluntary payments or agreed to any other type of monetary forfeitures in resolution of any action by any regulatory body, agency, or attorney general. (Check only one; see instruction 2.) If your answer to this question is anything other than an unqualified `True', please attach documentation and describe any such bankruptcies, findings, judgments, convictions, referrals, denials, suspensions, revocations, limitations, settlements, voluntary payments or any other type of monetary forfeitures. |
9 To the best of applicant's knowledge, |
True Not true |
· · |
neither applicant, any affiliate, officer, director, partner, nor owner of more than 10% of applicant, or any person acting in such capacity whether or not formally appointed, is being or has been If your answer to this question is anything other than an unqualified 'True,' please attach documentation and describe all such investigations, whether pending, settled voluntarily or resolved in another manner. |
12 Applicant has the required expertise to |
True |
· |
Not true |
· | |
operate as an interexchange carrier of the type indicated in the application. |
13 Applicant is eligible for an exemption from |
True |
· |
Not true |
· | |
tariffing requirements as set out in Commission Decision 98-08-031 and seeks such an exemption. (Check only one; see instruction 8.) |
I hereby declare under penalty of perjury under the laws of the State of California that the forgoing information, and all attachments, are true, correct, and complete to the best of my knowledge and belief after due inquiry, and that I am authorized to make this application on behalf of the applicant named above.
Signed:
Name |
|||
Title |
|||
Dated |
|||
Street |
|||
Address |
|||
Telephone |
|||
Fax |
Principal Place of Business (if different from address on page 1).
Street Address
City
State
Zip
Phone No.
Instructions:
1. Enter the legal name of applicant exactly as it appears on its articles or certificate of corporation or similar charter document.
2. Good standing certificates are available from the office of the Secretary of State of the State of California and should be dated of a date not more than 60 days prior to the date of filing the application. An original certificate must be attached to the manually signed copy of the application. An affiliated entity is any entity under common control with applicant. Common control exists if the same individuals or entities have the direct or indirect power to determine the action of applicant and such entity through the right to vote shares, by contract or agreement, or otherwise. Note whether any such entity is a reporting company for purposes of the Securities Exchange Act of 1934, as amended. Attach current resumes, listing all employment, for all officers and directors of applicant.
3. For individuals, domicile is the place of legal residence; for entities, it is the state of incorporation or organization.
4. A switchless reseller only uses the switch of another carrier; a facilities based carrier uses its own switch as well as the facilities of another carrier. Only facilities which meet the requirements for exemption from the California Environmental Quality Act (CEQA) pursuant to Commission Rule of Practice and Procedure 17.1(h)(1)(A)(1.) 2.4 may be included in a CPCN registration. All other facilities will require a formal application.
5. If service is to be provided to less than the entire State of California, specify the exact area for which authority is requested.
6. Enter the date that applicant expects to begin offering service in California.
7. Applicants which will provide services other than ordinary voice and data communications may not use the registration system.
8. All registrants are required to obtain a performance bond, pursuant to Public Utilities Code § 1013(f). Applicant must provide the Executive Director a copy of its executed bond within five business days after the effective date of the issuance of a registration license.
9. Attach audited balance sheet for the most recent fiscal year and an unaudited balance sheet as of the most recent fiscal quarter, a bank statement as of the month prior to the date of filing the application, or a third-party undertaking to provide the required amounts on behalf of applicant. If the balance sheet shows current liabilities in excess of current assets or negative equity, explain how applicant will be able to maintain sufficient liquidity for its first year of operations.
10. All NDIECs exempt from tariffing requirement must comply with the Consumer Protection Rules adopted in Decision 98-08-031.
11. Material changes in the entries for this application , such as discontinuing operation or bankruptcy, or change of name (DBA), change of address, telephone, fax number or E-mail address should be reported by a simple letter (for non-tariffed carriers) and by advice letter (quadruplicate) for tariffed carriers, referencing your CPCN number.
(End of Attachment B)
Revised Application for Registration License
Application for Registration License
BEFORE THE PUBLIC UTILITIES COMMISSION OF THE STATE OF CALIFORNIA
1 Application of |
|
A. | |
for Registration as an Interexchange Carrier | |
Telephone Corporation Pursuant to the | |
Provisions of Public Utilities Code Section 1013. | |
(Insert the full legal name of applicant in blank above; see instruction 1) | |
Street address: | |
Telephone: ( ) Fax No.: ( ) E-Mail: | |
1.A. List all fictitious business names under which applicant has done business in the last five years: | |
2 Applicant is: (Check only one; see instruction 2.) |
A corporation (attach good standing certificate) |
· |
A limited partnership (attach good standing certificate) |
· | |
A limited partnership (attach good standing certificate) |
· | |
A limited liability company (attach good standing certificate) |
· | |
A general partnership |
· | |
A sole proprietor |
· | |
A trust |
· | |
Other (describe) |
· | |
Attach name, street address, and telephone number of applicant's registered agent for service of process. | ||
Attach list of the names, titles, and street addresses of all officers and directors, general partners, trustees, members, or other persons authorized to conduct the business of applicant at a similar level. | ||
Attach resumes listing all employment for each officer and director. | ||
Attach list of all affiliated entities (see instruction 2) |
3 Legal domicile |
California |
· |
of applicant is: |
Other (identify): |
· |
(Check only one; see instruction 3.) |
4 Applicant will |
Switchless reseller |
· |
operate as: |
Facilities-based carrier |
· |
(Check only one; see instruction 4.) |
5 Applicant will |
Statewide |
· |
provide service: |
In specific portions only (attach description and map) |
· |
(Check only one; see instruction 5.) |
6 Applicant expects to begin offering service in California on: |
________________________________( date) |
7 Applicant will |
True |
· |
provide: voice and data |
Not true |
· |
telecommunications only (Check only one; see instruction 6.) |
8 Neither applicant, any of its affiliates, officers, directors, |
True |
· |
Not true |
· | |
partners, agents, or owners (directly or indirectly) of more than 10% of applicant, or anyone acting in a management capacity for applicant: (a) held one of these positions with a company that filed for bankruptcy; (b) been personally found liable, or held one of these positions with a company that has been found liable, for fraud, dishonesty, failure to disclose, or misrepresentations to consumers or others; (c) been convicted of a felony; (d) been (to his/her knowledge) the subject of a criminal referral by judge or public agency; (e) had a telecommunications license or operating authority denied, suspended, revoked, or limited in any jurisdiction; (f) personally entered into a settlement, or held one of these positions with a company that has entered into settlement of criminal or civil claims involving violations of sections 17000 et seq., 17200 et seq., or 17500 et seq. of the California Business & Professions Code, or of any other statute, regulation, or decisional law relating to fraud, dishonesty, failure to disclose, or misrepresentations to consumers or others; (g) been found to have violated any statute, law, or rule pertaining to public utilities or other regulated industries; or (h) entered into any settlement agreements or made any voluntary payments or agreed to any other type of monetary forfeitures in resolution of any action by any regulatory body, agency, or attorney general. (Check only one; see instruction 2.) If your answer to this question is anything other than an unqualified `True', please attach documentation and describe any such bankruptcies, findings, judgments, convictions, referrals, denials, suspensions, revocations, limitations, settlements, voluntary payments or any other type of monetary forfeitures. |
9 To the best of applicant's knowledge, |
True Not true |
· · |
neither applicant, any affiliate, officer, director, partner, nor owner of more than 10% of applicant, or any person acting in such capacity whether or not formally appointed, is being or has been investigated by the Federal Communications Commission or any law enforcement or regulatory agency for failure to comply with any law, rule or order. (Check only one; see instruction 2.) If your answer to this question is anything other than an unqualified `True,' please attach documentation and describe all such investigations, whether pending, settled voluntarily or resolved in another manner. |
10 Applicant will obtain |
True (attach documentation) |
· |
a continuous bond, issued |
Not true |
· |
by a corporate surety company authorized to transact surety business in California, in the amount of $25,000 that will be in effect during all periods of operation, and lists the California Public Utilities Commission as the obligee. Applicant will submit an Information-Only advice letter to the Director of the Communications Division containing a copy of the Applicant's executed bond within five business days after the effective date of the issuance of a registration license. |
||
(Check only one; see instruction 8.) |
11 Applicant has a |
True (attach documentation) |
· |
minimum of (a) $25,000 in |
Not true |
· |
the case of a switchless reseller OR (b) $100,000 in the case of a facilities based |
||
applicant, in each case reasonably liquid and available to meet the firm's first-year |
||
expenses, including deposits required by local exchange carriers or interexchange |
||
carriers or (c) has profitable interstate operations to generate the required cash flow. |
||
(Check only one; see instruction 9.) |
12 Applicant has the required expertise to |
True |
· |
Not true |
· | |
operate as an interexchange carrier of the type indicated in the application. |
13 Applicant is eligible for an exemption from |
True |
· |
Not true |
· | |
tariffing requirements as set out in Commission Decision 98-08-031 and seeks such an exemption. (Check only one; see instruction 8.) |
I hereby declare under penalty of perjury under the laws of the State of California that the forgoing information, and all attachments, are true, correct, and complete to the best of my knowledge and belief after due inquiry, and that I am authorized to make this application on behalf of the applicant named above.
Signed:
Name |
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Title |
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Dated |
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Street |
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Address |
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Telephone |
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Fax |
Principal Place of Business (if different from address on page 1).
Street Address
City
State
Zip
Phone No.
Instructions:
1. Enter the legal name of applicant exactly as it appears on its articles or certificate of corporation or similar charter document.
2. Good standing certificates are available from the office of the Secretary of State of the State of California and should be dated of a date not more than 60 days prior to the date of filing the application. An original certificate must be attached to the manually signed copy of the application. An affiliated entity is any entity under common control with applicant. Common control exists if the same individuals or entities have the direct or indirect power to determine the action of applicant and such entity through the right to vote shares, by contract or agreement, or otherwise. Note whether any such entity is a reporting company for purposes of the Securities Exchange Act of 1934, as amended. Attach current resumes, listing all employment, for all officers and directors of applicant.
3. For individuals, domicile is the place of legal residence; for entities, it is the state of incorporation or organization.
4. A switchless reseller only uses the switch of another carrier; a facilities based carrier uses its own switch as well as the facilities of another carrier. Only facilities which meet the requirements for exemption from the California Environmental Quality Act (CEQA) pursuant to Commission Rule of Practice and Procedure 2.4 may be included in a CPCN registration. All other facilities will require a formal application.
5. If service is to be provided to less than the entire State of California, specify the exact area for which authority is requested.
6. Enter the date that applicant expects to begin offering service in California.
7. Applicants which will provide services other than ordinary voice and data communications may not use the registration system.
8. All registrants are required to obtain a performance bond, pursuant to Public Utilities Code § 1013(f). Applicant must provide the Executive Director a copy of its executed bond within five business days after the effective date of the issuance of a registration license.
9. Attach audited balance sheet for the most recent fiscal year and an unaudited balance sheet as of the most recent fiscal quarter, a bank statement as of the month prior to the date of filing the application, or a third-party undertaking to provide the required amounts on behalf of applicant. If the balance sheet shows current liabilities in excess of current assets or negative equity, explain how applicant will be able to maintain sufficient liquidity for its first year of operations.
10. All NDIECs exempt from tariffing requirement must comply with the Consumer Protection Rules adopted in Decision 98-08-031.
11. Material changes in the entries for this application , such as discontinuing operation or bankruptcy, or change of name (DBA), change of address, telephone, fax number or E-mail address should be reported by a simple letter (for non-tariffed carriers) and by advice letter (quadruplicate) for tariffed carriers, referencing your CPCN number.
(End of Attachment C)