§  61.38   Supporting information to be submitted with letters of
transmittal.

   (a) Scope. This section applies to dominant carriers whose gross annual
   revenues exceed $500,000 for the most recent 12 month period of
   operations or are estimated to exceed $500,000 for a representative 12
   month period. Incumbent Local Exchange Carriers serving 50,000 or fewer
   access lines in a given study area that are described as subset 3
   carriers in § 69.602 of this chapter may submit Access Tariff filings
   for that study area pursuant to either this section or § 61.39.
   However, the Commission may require any issuing carrier to submit such
   information as may be necessary for a review of a tariff filing. This
   section (other than the preceding sentence of this paragraph) shall not
   apply to tariff filings proposing rates for services identified in
   § 61.42 (d), (e), and (g).

   (b) Explanation and data supporting either changes or new tariff
   offerings. The material to be submitted for a tariff change which
   affects rates or charges or for a tariff offering a new service, must
   include an explanation of the changed or new matter, the reasons for
   the filing, the basis of ratemaking employed, and economic information
   to support the changed or new matter.

   (1) For a tariff change the issuing carrier must submit the following,
   including complete explanations of the bases for the estimates.

   (i) A cost of service study for all elements for the most recent 12
   month period;

   (ii) A study containing a projection of costs for a representative 12
   month period;

   (iii) Estimates of the effect of the changed matter on the traffic and
   revenues from the service to which the changed matter applies, the
   issuing carrier's other service classifications, and the carrier's
   overall traffic and revenues. These estimates must include the
   projected effects on the traffic and revenues for the same
   representative 12 month period used in (b)(1)(ii) above.

   (2) For a tariff filing offering a new service, the issuing carrier
   must submit the following, including complete explanations of the bases
   for the estimates.

   (i) A study containing a projection of costs for a representative 12
   month period; and

   (ii) Estimates of the effect of the new matter on the traffic and
   revenues from the service to which the new matter applies, the issuing
   carrier's other service classifications, and the issuing carrier's
   overall traffic and revenues. These estimates must include the
   projected effects on the traffic and revenues for the same
   representative 12 month period used in paragraph (b)(2)(i) of this
   section.

   (3) [Reserved]

   (4) For a tariff that introduces a system of density pricing zones, as
   described in § 69.123 of this chapter, the issuing carrier must, before
   filing its tariff, submit a density pricing zone plan including, inter
   alia, documentation sufficient to establish that the system of zones
   reasonably reflects cost-related characteristics, such as the density
   of total interstate traffic in central offices located in the
   respective zones, and receive approval of its proposed plan.

   (c) Working papers and statistical data. (1) Concurrently with the
   filing of any tariff change or tariff filing for a service not
   previously offered, the issuing carrier must file the working papers
   containing the information underlying the data supplied in response to
   paragraph (b) of this section, and a clear explanation of how the
   working papers relate to that information.

   (2) All statistical studies must be submitted and supported in the form
   prescribed in § 1.363 of this chapter.

   (d) Form and content of additional material to be submitted with
   certain rate increases. In the circumstances set out in paragraphs
   (d)(1) and (2) of this section, the issuing carrier must submit all
   additional cost, marketing and other data underlying the working papers
   to justify a proposed rate increase. The issuing carrier must submit
   this information in suitable form to serve as the carrier's direct case
   in the event the rate increase is set by the Commission for
   investigation.

   (1) Rate increases affecting single services or tariffed items.

   (i) A rate increase in any service or tariffed item which results in
   more than $1 million in additional annual revenues, calculated on the
   basis of existing quantities in service, without regard to the
   percentage increase in such revenues; or

   (ii) A single rate increase in any service or tariffed item, or
   successive rate increases in the same service or tariffed item within a
   12 month period, either of which results in:

   (A) At least a 10 percent increase in annual revenues from that service
   or tariffed item, and

   (B) At least $100,000 in additional annual revenues, both calculated on
   the basis of existing quantities in service.

   (2) Rate increases affecting more than one service or tariffed item.

   (i) A general rate increase in more than one service or tariffed item
   occurring at one time, which results in more than $1 million in
   additional revenues calculated on the basis of existing quantities in
   service, without regard to the percentage increase in such revenues; or

   (ii) A general rate increase in more than one service or tariffed item
   occurring at one time, or successive general rate increases in the same
   services or tariffed items occurring within a 12 month period, either
   of which results in:

   (A) At least a 10 percent increase in annual revenues from those
   services or tariffed items, and

   (B) At least $100,000 in additional annual revenues, both calculated on
   the basis of existing quantities in service.

   (e) Submission of explanation and data by connecting carriers. If the
   changed or new matter is being filed by the issuing carrier at the
   request of a connecting carrier, the connecting carrier must provide
   the data required by paragraphs (b) and (c) of this section on the date
   the issuing carrier files the tariff matter with the Commission.

   (f) Copies of explanation and data to customers. Concurrently with the
   filing of any rate for special construction (or special assembly
   equipment and arrangements) developed on the basis of estimated costs,
   the issuing carrier must transmit to the customer a copy of the
   explanation and data required by paragraphs (b) and (c) of this
   section.

   (g) On each page of cost support material submitted pursuant to this
   section, the issuing carrier shall indicate the transmittal number
   under which that page was submitted.

   [ 76 FR 43211 , July 20, 2011]

   Effective Date Note:   At  76 FR 43211 , July 20, 2011, § 61.38 was
   revised. This section contains information collection and recordkeeping
   requirements and will not become effective until approval has been
   given by the Office of Management and Budget.