§  64.606   Internet-based TRS provider and TRS program certification.

   (a) *** (1) Certified state program. Any state, through its office of
   the governor or other delegated executive office empowered to provide
   TRS, desiring to establish a state program under this section shall
   submit documentation to the Commission addressed to the Federal
   Communications Commission, Chief, Consumer and Governmental Affairs
   Bureau, TRS Certification Program, Washington, DC 20554, and captioned
   “TRS State Certification Application.” All documentation shall be
   submitted in narrative form, shall clearly describe the state program
   for implementing intrastate TRS, and the procedures and remedies for
   enforcing any requirements imposed by the state program. The Commission
   shall give public notice of state applications for certification.

   (2) Internet-based TRS provider. Any entity desiring to provide
   Internet-based TRS and to receive compensation from the Interstate TRS
   Fund, shall submit documentation to the Commission addressed to the
   Federal Communications Commission, Chief, Consumer and Governmental
   Affairs Bureau, TRS Certification Program, Washington, DC 20554, and
   captioned “Internet-based TRS Certification Application.” The
   documentation shall include, in narrative form:

   (i) A description of the forms of Internet-based TRS to be provided
   (i.e., VRS, IP Relay, and/or IP captioned telephone relay service);

   (ii) A detailed description of how the applicant will meet all
   non-waived mandatory minimum standards applicable to each form of TRS
   offered, including documentary and other evidence, and in the case of
   VRS, such documentary and other evidence shall demonstrate that the
   applicant leases, licenses or has acquired its own facilities and
   operates such facilities associated with TRS call centers and employs
   communications assistants, on a full or part-time basis, to staff such
   call centers at the date of the application. Such evidence shall
   include, but not be limited to:

   (A) In the case of VRS applicants or providers,

   (1) Operating five or fewer call centers within the United States, a
   copy of each deed or lease for each call center operated by the
   applicant within the United States;

   (2) Operating more than five call centers within the United States, a
   copy of each deed or lease for a representative sampling (taking into
   account size (by number of communications assistants) and location) of
   five call centers operated by the applicant within the United States,
   together with a list of all other call centers that they operate that
   includes the information required under § 64.604(c)(5)(iii)(N)(2);

   (3) Operating call centers outside of the United States, a copy of each
   deed or lease for each call center operated by the applicant outside of
   the United States;

   (4) A description of the technology and equipment used to support their
   call center functions—including, but not limited to, automatic call
   distribution, routing, call setup, mapping, call features, billing for
   compensation from the TRS Fund, and registration—and for each core
   function of each call center for which the applicant must provide a
   copy of technology and equipment proofs of purchase, leases or license
   agreements in accordance with paragraphs (a)(2)(ii)(A)(5) through (7)
   of this section, a statement whether such technology and equipment is
   owned, leased or licensed (and from whom if leased or licensed);

   (5) Operating five or fewer call centers within the United States, a
   copy of each proof of purchase, lease or license agreement for all
   technology and equipment used to support their call center functions
   for each call center operated by the applicant within the United
   States;

   (6) Operating more than five call centers within the United States, a
   copy of each proof of purchase, lease or license agreement for
   technology and equipment used to support their call center functions
   for a representative sampling (taking into account size (by number of
   communications assistants) and location) of five call centers operated
   by the applicant within the United States; a copy of each proof of
   purchase, lease or license agreement for technology and equipment used
   to support their call center functions for all call centers operated by
   the applicant within the United States must be retained by the
   applicant for three years from the date of the application, and
   submitted to the Commission upon request;

   (7) Operating call centers outside of the United States, a copy of each
   proof of purchase, lease or license agreement for all technology and
   equipment used to support their call center functions for each call
   center operated by the applicant outside of the United States; and

   (8) A complete copy of each lease or license agreement for automatic
   call distribution.

   (B) For all applicants, a list of individuals or entities that hold at
   least a 10 percent equity interest in the applicant, have the power to
   vote 10 percent or more of the securities of the applicant, or exercise
   de jure or de facto control over the applicant, a description of the
   applicant's organizational structure, and the names of its executives,
   officers, members of its board of directors, general partners (in the
   case of a partnership), and managing members (in the case of a limited
   liability company);

   (C) For all applicants, a list of the number of applicant's full-time
   and part-time employees involved in TRS operations, including and
   divided by the following positions: executives and officers; video
   phone installers (in the case of VRS), communications assistants, and
   persons involved in marketing and sponsorship activities;

   (D) For all applicants, copies of employment agreements for all of the
   provider's employees directly involved in TRS operations, executives,
   and communications assistants, and a list of names of employees
   directly involved in TRS operations, need not be submitted with the
   application, but must be retained by the applicant for five years from
   the date of application, and submitted to the Commission upon request;
   and

   (E) For all applicants, a list of all sponsorship arrangements relating
   to Internet-based TRS, including on that list a description of any
   associated written agreements; copies of all such arrangements and
   agreements must be retained by the applicant for three years from the
   date of the application, and submitted to the Commission upon request;

   (F) In the case of applicants to provide IP CTS or IP CTS providers, a
   description of measures taken by such applicants or providers to ensure
   that they do not and will not request or collect payment from the TRS
   Fund for service to consumers who do not satisfy the registration and
   certification requirements in § 64.604(c)(9), and an explanation of how
   these measures provide such assurance.

   (iii) A description of the provider's complaint procedures; and

   (iv) A statement that the provider will file annual compliance reports
   demonstrating continued compliance with these rules.

   (v) The chief executive officer (CEO), chief financial officer (CFO),
   or other senior executive of an applicant for Internet-based TRS
   certification under this section with first hand knowledge of the
   accuracy and completeness of the information provided, when submitting
   an application for certification under paragraph (a)(2) of this
   section, must certify as follows: I swear under penalty of perjury that
   I am ________(name and title), ________an officer of the above-named
   applicant, and that I have examined the foregoing submissions, and that
   all information required under the Commission's rules and orders has
   been provided and all statements of fact, as well as all documentation
   contained in this submission, are true, accurate, and complete.

   (3) Assessment of internet-based TRS provider certification
   application. In order to assess the merits of a certification
   application submitted by an Internet-based TRS provider, the Commission
   may conduct one or more on-site visits of the applicant's premises, to
   which the applicant must consent.

   (4) At-home VRS call handling. An applicant for initial VRS
   certification that desires to provide at-home VRS call handling shall
   include a detailed plan describing how the VRS provider will ensure
   compliance with the requirements of § 64.604(b)(8).

   (b)(1) Requirements for state certification. After review of state
   documentation, the Commission shall certify, by letter, or order, the
   state program if the Commission determines that the state certification
   documentation:

   (i) Establishes that the state program meets or exceeds all
   operational, technical, and functional minimum standards contained in
   § 64.604;

   (ii) Establishes that the state program makes available adequate
   procedures and remedies for enforcing the requirements of the state
   program, including that it makes available to TRS users informational
   materials on state and Commission complaint procedures sufficient for
   users to know the proper procedures for filing complaints; and

   (iii) Where a state program exceeds the mandatory minimum standards
   contained in § 64.604, the state establishes that its program in no way
   conflicts with federal law.

   (2) Requirements for Internet-based TRS Provider FCC certification.
   After review of certification documentation, the Commission shall
   certify, by Public Notice, that the Internet-based TRS provider is
   eligible for compensation from the Interstate TRS Fund if the
   Commission determines that the certification documentation:

   (i) Establishes that the provision of Internet-based TRS will meet or
   exceed all non-waived operational, technical, and functional minimum
   standards contained in § 64.604;

   (ii) Establishes that the Internet-based TRS provider makes available
   adequate procedures and remedies for ensuring compliance with the
   requirements of this section and the mandatory minimum standards
   contained in § 64.604, including that it makes available for TRS users
   informational materials on complaint procedures sufficient for users to
   know the proper procedures for filing complaints.

   (c)(1) State certification period. State certification shall remain in
   effect for five years. One year prior to expiration of certification, a
   state may apply for renewal of its certification by filing
   documentation as prescribed by paragraphs (a) and (b) of this section.

   (2) Internet-based TRS Provider FCC certification period. Certification
   granted under this section shall remain in effect for five years. An
   Internet-based TRS provider applying for renewal of its certification
   must file documentation with the Commission containing the information
   described in paragraph (a)(2) of this section at least 90 days prior to
   expiration of its certification.

   (d) Method of funding. Except as provided in § 64.604, the Commission
   shall not refuse to certify a state program based solely on the method
   such state will implement for funding intrastate TRS, but funding
   mechanisms, if labeled, shall be labeled in a manner that promote
   national understanding of TRS and do not offend the public.

   (e)(1) Suspension or revocation of state certification. The Commission
   may suspend or revoke such certification if, after notice and
   opportunity for hearing, the Commission determines that such
   certification is no longer warranted. In a state whose program has been
   suspended or revoked, the Commission shall take such steps as may be
   necessary, consistent with this subpart, to ensure continuity of TRS.
   The Commission may, on its own motion, require a certified state
   program to submit documentation demonstrating ongoing compliance with
   the Commission's minimum standards if, for example, the Commission
   receives evidence that a state program may not be in compliance with
   the minimum standards.

   (2) Suspension or revocation of Internet-based TRS Provider FCC
   certification. The Commission may suspend or revoke the certification
   of an Internet-based TRS provider if, after notice and opportunity for
   hearing, the Commission determines that such certification is no longer
   warranted. The Commission may, on its own motion, require a certified
   Internet-based TRS provider to submit documentation demonstrating
   ongoing compliance with the Commission's minimum standards if, for
   example, the Commission receives evidence that a certified
   Internet-based TRS provider may not be in compliance with the minimum
   standards.

   (f) Notification of substantive change. (1) States must notify the
   Commission of substantive changes in their TRS programs within 60 days
   of when they occur, and must certify that the state TRS program
   continues to meet federal minimum standards after implementing the
   substantive change.

   (2) VRS and IP Relay providers certified under this section must notify
   the Commission of substantive changes in their TRS programs, services,
   and features within 60 days of when such changes occur, and must
   certify that the interstate TRS provider continues to meet Federal
   minimum standards after implementing the substantive change.
   Substantive changes shall include, but not be limited to:

   (i) The use of new equipment or technologies to facilitate the manner
   in which relay services are provided;

   (ii) Providing services from a new facility not previously identified
   to the Commission or the Fund administrator; and

   (iii) Discontinuation of service from any facility.

   (g) Internet-based TRS providers certified under this section shall
   file with the Commission, on an annual basis, a report demonstrating
   that they are in compliance with § 64.604.

   (1) Such reports must update the information required in paragraph
   (a)(2) of this section and include updated documentation and a summary
   of the updates, or certify that there are no changes to the information
   and documentation submitted with the application for certification,
   application for renewal of certification, or the most recent annual
   report, as applicable.

   (2) The chief executive officer (CEO), chief financial officer (CFO),
   or other senior executive of an Internet-based TRS provider under this
   section with first hand knowledge of the accuracy and completeness of
   the information provided, when submitting an annual report under
   paragraph (g) of this section, must, with each such submission, certify
   as follows:

   I swear under penalty of perjury that I am __________________ (name and
   title), an officer of the above-named reporting entity, and that I have
   examined the foregoing submissions, and that all information required
   under the Commission's rules and orders has been provided and all
   statements of fact, as well as all documentation contained in this
   submission, are true, accurate, and complete.

   (3) Each VRS provider shall include within its annual report a
   compliance plan describing the provider's policies, procedures, and
   practices for complying with the requirements of § 64.604(c)(13) of this
   subpart. Such compliance plan shall include, at a minimum:

   (i) Identification of any officer(s) or managerial employee(s)
   responsible for ensuring compliance with § 64.604(c)(13) of this
   subpart;

   (ii) A description of any compliance training provided to the
   provider's officers, employees, and contractors;

   (iii) Identification of any telephone numbers, Web site addresses, or
   other mechanisms available to employees for reporting abuses;

   (iv) A description of any internal audit processes used to ensure the
   accuracy and completeness of minutes submitted to the TRS Fund
   administrator; and

   (v) A description of all policies and practices that the provider is
   following to prevent waste, fraud, and abuse of the TRS Fund. A
   provider that fails to file a compliance plan shall not be entitled to
   compensation for the provision of VRS during the period of
   noncompliance.

   (4) If, at any time, the Commission determines that a VRS provider's
   compliance plan currently on file is inadequate to prevent waste,
   fraud, and abuse of the TRS Fund, the Commission shall so notify the
   provider, shall explain the reasons the plan is inadequate, and shall
   direct the provider to correct the identified defects and submit an
   amended compliance plan reflecting such correction within a specified
   time period not to exceed 60 days. A provider that fails to comply with
   such directive shall not be entitled to compensation for the provision
   of VRS during the period of noncompliance. A submitted compliance plan
   shall not be prima facie evidence of the plan's adequacy; nor shall it
   be evidence that the provider has fulfilled its obligations under
   § 64.604(c)(13) of this subpart.

   (5) If a VRS provider is authorized to provide at-home call handling,
   its annual compliance report shall include the following information:

   (i) The total number of CAs handling VRS calls from home workstations
   over the preceding year;

   (ii) The number of 911 calls handled by the provider's home
   workstations;

   (iii) The total number of complaints, if any, submitted to the provider
   regarding its at-home call handling program or calls handled by at-home
   CAs; and

   (iv) A description of any substantive changes in the VRS provider's
   currently effective at-home call-handling compliance plan.

   (h) Unauthorized service interruptions. (1) Each certified VRS provider
   must provide Internet-based TRS without unauthorized voluntary service
   interruptions.

   (2) A VRS provider seeking to voluntarily interrupt service for a
   period of 30 minutes or more in duration must first obtain Commission
   authorization by submitting a written request to the Commission's
   Consumer and Governmental Affairs Bureau (CGB) at least 60 days prior
   to any planned service interruption, with detailed information of:

   (i) Its justification for such interruption;

   (ii) Its plan to notify customers about the impending interruption; and

   (iii) Its plans for resuming service, so as to minimize the impact of
   such disruption on consumers through a smooth transition of temporary
   service to another provider, and restoration of its service at the
   completion of such interruption. CGB will grant or deny such a request
   and provide a response to the provider at least 35 days prior to the
   proposed interruption, in order to afford an adequate period of
   notification to consumers. In evaluating such a request, CGB will
   consider such factors as the length of time of the proposed
   interruption, the reason for such interruption, the frequency with
   which such requests have been made by the provider in the past, the
   potential impact of the interruption on consumers, and the provider's
   plans for a smooth service restoration.

   (3) In the event of an unforeseen service interruption due to
   circumstances beyond an Internet-based TRS service provider's control,
   or in the event of a VRS provider's voluntary service interruption of
   less than 30 minutes in duration, the provider must submit a written
   notification to CGB within two business days of the commencement of the
   service interruption, with an explanation of when and how the provider
   has restored service or the provider's plan to do so imminently. In the
   event the provider has not restored service at the time such report is
   filed, the provider must submit a second report within two business
   days of the restoration of service with an explanation of when and how
   the provider has restored service. The provider also must provide
   notification of service outages covered by this paragraph to consumers
   on an accessible Web site, and that notification of service status must
   be updated in a timely manner.

   (4) A VRS provider that fails to obtain prior Commission authorization
   for a voluntary service interruption or fails to provide written
   notification after a voluntary service interruption of less than 30
   minutes in duration, or an Internet-based TRS provider that fails to
   provide written notification after the commencement of an unforeseen
   service interruption due to circumstances beyond the provider's control
   in accordance with this subsection, may be subject to revocation of
   certification, suspension of payment from the TRS Fund, or other
   enforcement action by the Commission, as appropriate.

   [ 70 FR 76215 , Dec. 23, 2005. Redesignated at  73 FR 21259 , Apr. 21,
   2008;  76 FR 24402 , May 2, 2011;  76 FR 47474 , 47477, Aug. 5, 2011;  76 FR 67073 , Oct. 31, ;77 2011 FR 33662 , June 7, 2012;  78 FR 40608 , July 5,
   2013;  78 FR 53694 , Aug. 30, 2013;  82 FR 39683 , Aug. 22, 2017;  85 FR 27313 , May 8, 2020;  86 FR 10846 , Feb. 23, 2021]