Goto Section: 54.312 | 54.314 | Table of Contents
FCC 54.313
Revised as of October 2, 2015
Goto Year:2014 |
2016
§ 54.313 Annual reporting requirements for high-cost recipients.
(a) Any recipient of high-cost support shall provide the following, with the
information and data required by paragraphs (a)(1) through (7) of this
section separately broken out for both voice service and broadband service:
(1) A progress report on its five-year service quality improvement plan
pursuant to § 54.202(a), including maps detailing its progress towards
meeting its plan targets, an explanation of how much universal service
support was received and how it was used to improve service quality,
coverage, or capacity, and an explanation regarding any network improvement
targets that have not been fulfilled in the prior calendar year. The
information shall be submitted at the wire center level or census block as
appropriate;
(2) Detailed information on any outage in the prior calendar year, as that
term is defined in 47 CFR 4.5, of at least 30 minutes in duration for each
service area in which an eligible telecommunications carrier is designated
for any facilities it owns, operates, leases, or otherwise utilizes that
potentially affect
(i) At least ten percent of the end users served in a designated service
area; or
(ii) A 911 special facility, as defined in 47 CFR 4.5(e).
(iii) Specifically, the eligible telecommunications carrier's annual report
must include information detailing:
(A) The date and time of onset of the outage;
(B) A brief description of the outage and its resolution;
(C) The particular services affected;
(D) The geographic areas affected by the outage;
(E) Steps taken to prevent a similar situation in the future; and
(F) The number of customers affected.
(3) The number of requests for service from potential customers within the
recipient's service areas that were unfulfilled during the prior calendar
year. The carrier shall also detail how it attempted to provide service to
those potential customers;
(4) The number of complaints per 1,000 connections (fixed or mobile) in the
prior calendar year;
(5) Certification that it is complying with applicable service quality
standards and consumer protection rules;
(6) Certification that the carrier is able to function in emergency
situations as set forth in § 54.202(a)(2);
(7) The company's price offerings in a format as specified by the Wireline
Competition Bureau;
(8) The recipient's holding company, operating companies, affiliates, and
any branding (a “dba,” or “doing-business-as company” or brand designation),
as well as universal service identifiers for each such entity by Study Area
Codes, as that term is used by the Administrator. For purposes of this
paragraph, “affiliates” has the meaning set forth in section 3(2) of the
Communications Act of 1934, as amended;
(9) Beginning July 1, 2013. To the extent the recipient serves Tribal lands,
documents or information demonstrating that the ETC had discussions with
Tribal governments that, at a minimum, included:
(i) A needs assessment and deployment planning with a focus on Tribal
community anchor institutions;
(ii) Feasibility and sustainability planning;
(iii) Marketing services in a culturally sensitive manner;
(iv) Rights of way processes, land use permitting, facilities siting,
environmental and cultural preservation review processes; and
(v) Compliance with Tribal business and licensing requirements. Tribal
business and licensing requirements include business practice licenses that
Tribal and non-Tribal business entities, whether located on or off Tribal
lands, must obtain upon application to the relevant Tribal government office
or division to conduct any business or trade, or deliver any goods or
services to the Tribes, Tribal members, or Tribal lands. These include
certificates of public convenience and necessity, Tribal business licenses,
master licenses, and other related forms of Tribal government licensure.
(10) Beginning July 1, 2013. A letter certifying that the pricing of the
company's voice services is no more than two standard deviations above the
applicable national average urban rate for voice service, as specified in
the most recent public notice issued by the Wireline Competition Bureau and
Wireless Telecommunications Bureau; and
(11) Beginning July 1, 2013. The results of network performance tests
pursuant to the methodology and in the format determined by the Wireline
Competition Bureau, Wireless Telecommunications Bureau, and Office of
Engineering and Technology.
(12) A certification that the pricing of a service that meets the
Commission's broadband public interest obligations is no more than the
applicable benchmark to be announced annually in a public notice issued by
the Wireline Competition Bureau, or is no more than the non-promotional
price charged for a comparable fixed wireline service in urban areas in the
states or U.S. Territories where the eligible telecommunications carrier
receives support.
(b) In addition to the information and certifications in paragraph (a) of
this section:
(1) Any recipient of incremental Connect America Phase I support pursuant to
§ 54.312(b) and (c) shall provide:
(i) In its next annual report due after two years after filing a notice of
acceptance of funding pursuant to § 54.312(b) and (c), a certification that
the company has deployed to no fewer than two-thirds of the required number
of locations; and
(ii) In its next annual report due after three years after filing a notice
of acceptance of funding pursuant to § 54.312(b) and (c), a certification
that the company has deployed to all required locations and that it is
offering broadband service of at least 4 Mbps downstream and 1 Mbps
upstream, with latency sufficiently low to enable the use of real-time
communications, including Voice over Internet Protocol, and with usage
allowances, if any, associated with a specified price for a service offering
that are reasonably comparable to comparable offerings in urban areas.
(2) In addition to the information and certifications required in paragraph
(b)(1) of this section, any recipient of incremental Connect America Phase I
support pursuant to § 54.312(c) shall provide:
(i) In its annual reports due after one, two, and three years after filing a
notice of acceptance of funding pursuant to § 54.312(c), a certification
that, to the best of the recipient's knowledge, the locations in question
are not receiving support under the Broadband Initiatives Program or the
Broadband Technology Opportunities Program for projects that will provide
broadband with speeds of at least 4 Mbps/1 Mbps; and
(ii) In its annual reports due after one, two, and three years after filing
a notice of acceptance of funding pursuant to § 54.312(c), a statement of the
total amount of capital funding expended in the previous year in meeting
Connect America Phase I deployment obligations, accompanied by a list of
census blocks indicating where funding was spent.
(c) In addition to the information and certifications in paragraph (a) of
this section, price cap carriers that receive frozen high-cost support
pursuant to § 54.312(a) shall provide:
(1) By July 1, 2013. A certification that frozen high-cost support the
company received in 2012 was used consistent with the goal of achieving
universal availability of voice and broadband;
(2) By July 1, 2014. A certification that at least one-third of the
frozen-high cost support the company received in 2013 was used to build and
operate broadband-capable networks used to offer the provider's own retail
broadband service in areas substantially unserved by an unsubsidized
competitor;
(3) By July 1, 2015. A certification that at least two-thirds of the
frozen-high cost support the company received in 2014 was used to build and
operate broadband-capable networks used to offer the provider's own retail
broadband service in areas substantially unserved by an unsubsidized
competitor; and
(4) By July 1, 2016 and in subsequent years. A certification that all
frozen-high cost support the company received in the previous year was used
to build and operate broadband-capable networks used to offer the provider's
own retail broadband service in areas substantially unserved by an
unsubsidized competitor.
(d) In addition to the information and certifications in paragraph (a) of
this section, beginning July 1, 2013, price cap carriers receiving high-cost
support to offset reductions in access charges shall provide a certification
that the support received pursuant to § 54.304 in the prior calendar year was
used to build and operate broadband-capable networks used to offer
provider's own retail service in areas substantially unserved by an
unsubsidized competitor.
(e) In addition to the information and certifications in paragraph (a) of
this section, any price cap carrier that elects to receive Connect America
Phase II model-based support shall provide:
(1) On July 1, 2016 an initial service quality improvement plan that
includes a list of the geocoded locations already meeting the § 54.309 public
interest obligations at the end of calendar year 2015, and the total amount
of Phase II support, if any, the price cap carrier used for capital
expenditures in 2015.
(2) On July 1, 2017 and every year thereafter ending July 1, 2021, a
progress report on the company's service quality improvement plan, including
the following information:
(i) A certification that it is meeting the interim deployment milestones as
set forth;
(ii) The number, names, and addresses of community anchor institutions to
which the eligible telecommunications carrier newly began providing access
to broadband service in the preceding calendar year;
(iii) A list of the geocoded locations to which the eligible
telecommunications carrier newly deployed facilities capable of delivering
broadband meeting the § 54.309 public interest obligations with Connect
America support in the prior year. The final progress report filed on July
1, 2021 must include the total number and geocodes of all the supported
locations that a price cap carrier has built out to with service meeting the
§ 54.309 public interest obligations;
(iv) The total amount of Phase II support, if any, the price cap carrier
used for capital expenditures in the previous calendar year; and
(v) A certification that it bid on category one telecommunications and
Internet access services in response to all FCC Form 470 postings seeking
broadband service that meets the connectivity targets for the schools and
libraries universal service support program for eligible schools and
libraries (as described in § 54.501) located within any area in a census
block where the carrier is receiving Phase II model-based support, and that
such bids were at rates reasonably comparable to rates charged to eligible
schools and libraries in urban areas for comparable offerings.
(3) On July 1, 2018, a certification that the recipient offered broadband
meeting the requisite public interest obligations specified in § 54.309 to
40% of its supported locations in the state on December 31, 2017.
(4) On July 1, 2019, a certification that the recipient offered broadband
meeting the requisite public interest obligations specified in § 54.309 to
60% of its supported locations in the state on December 31, 2018.
(5) On July 1, 2020, a certification that the recipient offered broadband
meeting the requisite public interest obligations specified in § 54.309 to
80% of its supported locations in the state on December 31, 2019.
(6) On July 1, 2021, a certification that the recipient offered broadband
meeting the requisite public interest obligations specified in § 54.309 to
100% of its supported locations in the state on December 31, 2020.
(f) In addition to the information and certifications in paragraph (a) of
this section, any rate-of-return carrier shall provide:
(1) Beginning July 1, 2015. A progress report on its five-year service
quality plan pursuant to § 54.202(a) that includes the following information:
(i) A letter certifying that it is taking reasonable steps to provide upon
reasonable request broadband service at actual speeds of at least 4 Mbps
downstream/1 Mbps upstream, with latency suitable for real-time
applications, including Voice over Internet Protocol, and usage capacity
that is reasonably comparable to comparable offerings in urban areas as
determined in an annual survey, and that requests for such service are met
within a reasonable amount of time;
(ii) The number, names, and addresses of community anchor institutions to
which the ETC newly began providing access to broadband service in the
preceding calendar year; and
(iii) For rate-of-return carrier recipients of high-cost support, a
certification that it bid on category one telecommunications and Internet
access services in response to all reasonable requests in posted FCC Form
470s seeking broadband service that meets the connectivity targets for the
schools and libraries universal service support program for eligible schools
and libraries (as described in § 54.501) within its service area, and that
such bids were at rates reasonably comparable to rates charged to eligible
schools and libraries in urban areas for comparable offerings.
(2) Privately held rate-of-return carriers only. A full and complete annual
report of the company's financial condition and operations as of the end of
the preceding fiscal year.
(i) Recipients of loans from the Rural Utility Service (RUS) shall provide
copies of their RUS Operating Report for Telecommunications Borrowers as
filed with the RUS. Such carriers must make their underlying audit and
related workpapers and financial information available upon request by the
Commission, USAC, or the relevant state commission, relevant authority in a
U.S. Territory, or Tribal government, as appropriate.
(ii) All privately held rate-of-return carriers that are not recipients of
loans from the RUS and whose financial statements are audited in the
ordinary course of business must provide either: A copy of their audited
financial statement; or a financial report in a format comparable to RUS
Operating Report for Telecommunications Borrowers, accompanied by a copy of
a management letter issued by the independent certified public accountant
that performed the company's financial audit. A carrier choosing the latter
option must make its audit and related workpapers and financial information
available upon request by the Commission, USAC, or the relevant state
commission, relevant authority in a U.S. Territory, or Tribal government, as
appropriate.
(iii) All other privately held rate-of-return carriers must provide either:
A copy of their financial statement which has been subject to review by an
independent certified public accountant; or a financial report in a format
comparable to RUS Operating Report for Telecommunications Borrowers, with
the underlying information subjected to a review by an independent certified
public accountant and accompanied by an officer certification that: The
carrier was not audited in the ordinary course of business for the preceding
fiscal year; and that the reported data are accurate. If the carrier elects
the second option, it must make the review and related workpapers and
financial information available upon request by the Commission, USAC, or the
relevant state commission, relevant authority in a U.S. Territory, or Tribal
government, as appropriate.
(g) Areas with No Terrestrial Backhaul. Carriers without access to
terrestrial backhaul that are compelled to rely exclusively on satellite
backhaul in their study area must certify annually that no terrestrial
backhaul options exist. Any such funding recipients must certify they offer
broadband service at actual speeds of at least 1 Mbps downstream and 256
kbps upstream within the supported area served by satellite middle-mile
facilities. To the extent that new terrestrial backhaul facilities are
constructed, or existing facilities improve sufficiently to meet the
relevant speed, latency and capacity requirements then in effect for
broadband service supported by the CAF, within twelve months of the new
backhaul facilities becoming commercially available, funding recipients must
provide the certifications required in paragraphs (e) or (f) of this section
in full. Carriers subject to this paragraph must comply with all other
requirements set forth in the remaining paragraphs of this section.
(h) Additional voice rate data. (1) All incumbent local exchange carrier
recipients of high-cost support must report all of their rates for
residential local service for all portions of their service area, as well as
state fees as defined pursuant to § 54.318(e), to the extent the sum of those
rates and fees are below the rate floor as defined in § 54.318, and the
number of lines for each rate specified. Carriers shall report lines and
rates in effect as of June 1.
(2) In addition to the annual filing, local exchange carriers may file
updates of their rates for residential local service, as well as state fees
as defined pursuant to § 54.318(e), on January 2 of each year. If a local
exchange carrier reduces its rates and the sum of the reduced rates and
state fees are below the rate floor as defined in § 54.318, the local
exchange carrier shall file such an update. For the update, carriers shall
report lines and rates in effect as of December 1.
(i) All reports pursuant to this section shall be filed with the Office of
the Secretary of the Commission clearly referencing WC Docket No. 14-58,
with the Administrator, and with the relevant state commissions or relevant
authority in a U.S. Territory, or Tribal governments, as appropriate.
(j) Filing deadlines. (1) In order for a recipient of high-cost support to
continue to receive support for the following calendar year, or retain its
eligible telecommunications carrier designation, it must submit the annual
reporting information required by this section annually by July 1 of each
year. Eligible telecommunications carriers that file their reports after the
July 1 deadline shall receive a reduction in support pursuant to the
following schedule:
(i) An eligible telecommunications carrier that files after the July 1
deadline, but by July 8, will have its support reduced in an amount
equivalent to seven days in support;
(ii) An eligible telecommunications carrier that files on or after July 9
will have its support reduced on a pro-rata daily basis equivalent to the
period of non-compliance, plus the minimum seven-day reduction.
(2) Grace period. An eligible telecommunications carrier that submits the
annual reporting information required by this section after July 1 but
before July 5 will not receive a reduction in support if the eligible
telecommunications carrier and its holding company, operating companies, and
affiliates as reported pursuant to paragraph (a)(8) of this section have not
missed the July 1 deadline in any prior year.
(k) This section does not apply to recipients that solely receive support
from the Phase I Mobility Fund.
[ 76 FR 73873 , Nov. 29, 2011, as amended at 77 FR 14302 , Mar. 9, 2012; 77 FR 30914 , May 24, 2012; 78 FR 22201 , Apr. 15, 2013; 78 FR 29656 , May 21, 2013;
78 FR 3843 , Jan. 17, 2013; 78 FR 38233 , June 26, 2013; 79 FR 11336 , Feb. 28,
2014; 79 FR 39189 , July 9, 2014; 80 FR 4477 , Jan. 27, 2015;]
Effective Date Notes: 1. At 77 FR 14302 , Mar. 9, 2012, § 54.313 was amended
by revising paragraphs (a)(9) introductory text and (f)(2). These paragraphs
contain information collection and recordkeeping requirements and will not
become effective until approval has been given by the Office of Management
and Budget.
2. At 79 FR 11336 , Feb. 28, 2014, § 54.313 was amended by revising paragraphs
(e)(1), (e)(2) and (e)(3) introductory text. These paragraphs contain
information collection and recordkeeping requirements and will not become
effective until approval has been given by the Office of Management and
Budget.
3. At 80 FR 4476 , Jan. 27, 2015, § 54.313 was amended by adding paragraph
(a)(12) and revising paragraph (e). These paragraphs contain information
collection and record keeping requirements and will not become effective
until approval has been given by the Office of Management and Budget.
4. At 80 FR 5987 , Feb. 4, 2015, § 54.313 was amended by revising paragraphs
(e)(2)(iii) and (iv), adding paragraph (e)(2)(v), revising paragraphs
(f)(1)(i) and (ii), and revising paragraph (f)(1)(iii). These paragraphs
contain information collection and recordkeeping requirements and will not
become effective until approval have been given by the Office of Management
and Budget.
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Goto Section: 54.312 | 54.314
Goto Year: 2014 |
2016
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