FEDERAL COMMUNICATIONS COMMISSION COMMON CARRIER SERVICES FEE FILING GUIDE SECTION 8 FEES (PROCESSING FEES) FOR: * Enforcement and Hearings * Section 214 Applications * Telephone Equipment Registration * Tariff Filings * Accounting and Audits This is an unofficial compilation of the radio services and requests for FCC actions that are subject to fees. The public should consult the Commission's Rules as set out in Title 47 of the Code of Federal Regulations (CFR) for application filing requirements. Further information on fees may be obtained at Part I, Subpart G of the CFR or in the Commission's Official decision implementing the Congressional Schedule of Charges. This decision is published in the FCC Record or may be purchased from the Commission's current copy contractor. September 1998 Edition INTRODUCTION The authority to impose and collect fees and associated charges is contained in Title III, Section 3001 of the Omnibus Budget Reconciliation Act of 1989 (Public Law 101-39), Section 8, revising 47 U.S.C. 158, which directs the Commission to prescribe charges for certain types of services it provides to communications entities over which it has jurisdiction. This Fee Filing Guide is considered a reference guide to identify and describe all of the fee filing requirements for the Common Carrier Bureau. It is meant to be a handy reference of the services and requests for FCC actions that are subject to a fee. The guide consists of two parts, Parts A and B, as well as a breakdown of the types of applications, form numbers, fee amounts, payment type codes, and the mailing address for each service provided. It also contains a copy of FCC Form 159, FCC Remittance Advice Form, and instructions on its use. Part A provides instructions on how to pay a fee and identifies other processing services available to the requestor. Always read Part A before attempting to complete any of the forms required with your submission. Part B provides specific information pertaining to Common Carrier Bureau Section 8 (application) fees. In the future, additional parts will be added for fines, forfeitures, FOIA requests and other debts not covered in this edition. If further information is required that cannot be answered in this guide, please consult the Commission's Rules as set forth in Title 47, Part 1, Subpart G, Section 1.1101 of the Code of Federal Regulations (CFR). Additional copies of this guide may be obtained by calling (202) 418-FORM. All fees are subject to modification as required by Congress. PART A METHOD OF PAYMENT (DO NOT SEND CASH) Payment of fees may be made by check, bank draft, money order, credit card, or wire transfers. If paying by check, bank draft or money order, your remittance must be denominated in U.S. dollars, drawn on a U.S. financial institution and made payable to "FCC". Applicants located in foreign countries, should contact their local bank to determine what U.S. financial institution they are affiliated with that will allow a transfer of funds. No postdated, altered or third-party checks will be accepted. No checks will be accepted for processing if older than six months. Payment of fees, fines and other debts may also be made by Electronic Payment. There are two types of electronic payments available. The first type is designed specifically for larger corporations capable of CPU/CPU communication. Under this plan, the payor instructs his bank to wire funds directly to Mellon Bank. As with payment by the above method, the funds must be wired from a U.S. financial institution. The second type is designed for smaller businesses and individuals. Under this plan, the lockbox bank is given authority to withdraw funds from the customer's bank account. Authorization can be transmitted by PC or by calling a toll-free number. To obtain more information about electronic payments and how it works, please contact the Billings & Collections Branch at (202) 418-1995. Wire transfer may also be used when paying for fines, forfeitures, FOIAs or other debts due the Commission. To obtain more information about using wire transfer, please contact the Billings & Collections Branch at (202) 418-1995. Nonfeeable Applications All nonfeeable applications should be filed directly with the Secretary's Office, Room 222, 1919 M Street, N.W., Washington, D.C. 20554. Please check the appropriate block and provide the proper documentation, as required, to certify that your application is fee exempt. CFR 47, Part 1, Section 1.1114 of the Commission rules explains who qualifies as fee exempt. FCC FORM 159 - FCC Remittance Advice Form The FCC Form 159, "Remittance Advice" is a multi-purpose form that is to accompany any payment to the Federal Communications Commission. (e.g., Regulatory Fees, Processing Fees, Fines, Forfeitures, Freedom of Information Act (FOIA) Billings or any other debt due to the FCC.) The information on this form is collected and stored in a database to ensure credit of full payment of monies due, to expedite any refunds due and to service public inquiries. Managing Director Decisions All requests for refunds, waivers, reinstatements, fee determinations, etc., are handled by the Office of the Managing Director. Each request is referred to the Office of General Counsel for review and legal determination. The Office of the Managing Director will notify the requestor of the Managing Director's Decision. These decisions are published monthly in the Federal Record and in FCC Docket 86-285. All such requests should be submitted in writing to: Managing Director Federal Communications Commission 1919 M Street, N.W., Room 852 Washington, D.C. 20554 Refund Process The refund process usually takes four (4) weeks depending upon the complexity of the request. Once a refund request has been approved, it is forwarded to the U.S. Treasury in San Francisco, California where a check is issued to the maker of the check. For further information on return or refund of charges, refer to CFR 47, Part 1, Section 1.1113 of the Commission's rules. Waivers, Deferrals and Fee Determinations All waiver requests filed in Washington, D.C. must accompany the required filing fee for the service requested. Instructions for filing waiver requests for services provided by our Gettysburg, PA office are found in Part B of the Wireless Telecommunications Bureau Fee Filing Guide. All requests for Deferrals and Fee Determinations are filed with the Managing Director in the Washington, D.C. Office (see mailing address above). Mailing Instructions Parties hand-delivering applications or filings may receive dated receipt copies by presenting copies of the applications or filings to the acceptance clerk at time of delivery. Receipts will be provided for mail- in applications or filings if an extra copy of the application or filing is provided along with a self- addressed stamped envelope. Only one piece of paper per application will be stamped for receipt purposes. A "stamp and receipt" copy should be placed on top of the original package and CLEARLY identified as a return copy. When delivering feeable applications by hand or by courier, use the following address: Federal Communications Commission c/o Mellon Bank Three Mellon Bank Center 525 William Penn Way 27th Floor, Room 153-2713 Pittsburgh, Pennsylvania 15259-0001 (Attention: Wholesale Lockbox Shift Supervisor) The above address is for hand or courier delivery only. DO NOT use it for mailing applications. When using the above address, enclose the application package in an inner envelope marked with the correct Post Office Box number. Questions If you have any questions regarding your application and/or fee, you may call the FCC Consumer Assistance Office at (202) 418-0220. PART B: SECTION 8 FEES I. DEFINITIONS OF COMMON CARRIER SERVICES COMMON CARRIER SERVICES THE FEDERAL COMMUNICATIONS COMMISSION (FCC) REGULATES INTERSTATE AND FOREIGN COMMUNICATIONS SERVICES PROVIDED BY COMMON CARRIERS. THESE SERVICES INCLUDE VOICE, RECORD, DATA, VIDEO, AND FACSIMILE TRANSMISSIONS. THE COMMUNICATIONS ACT REQUIRES COMMON CARRIERS TO FURNISH THEIR SERVICES ON REQUEST AND AT JUST, REASONABLE AND NON-DISCRIMINATORY RATES. THE FCC IS AUTHORIZED TO PROMOTE THE PUBLIC INTEREST IN THESE CHARGES AND PRACTICES OF COMMON CARRIERS BY TITLES I THROUGH III OF THE ACT. IT DOES SO THROUGH TARIFF REVIEW AND PRESCRIPTIONS, FACILITY AUTHORIZATIONS, ACCOUNTING RULES, COMPLAINT INVESTIGATIONS AND OTHER PROCEEDINGS. THE AGENCY ALSO ALLOCATES RADIO SPECTRUM AND ORBITAL SLOTS FOR VARIOUS TYPES OF COMMON CARRIER SERVICES. ENFORCEMENT AND HEARINGS A HEARING IS AN ADMINISTRATIVE PROCEEDING INITIATED WHEN AN APPLICATION FOR A NEW SERVICE, FOR MAJOR OR MINOR CHANGES IN AUTHORIZED FACILITIES OR FOR RENEWAL OF AN AUTHORIZED FACILITY IS DESIGNATED FOR A COMPARATIVE HEARING BEFORE AN ADMINISTRATIVE JUDGE. A FORMAL COMPLAINT IS AN ALLEGATION OF A VIOLATION OF THE COMMUNICATIONS ACT AND/OR A COMMISSION ORDER OR REGULATION. SECTION 214 APPLICATIONS SECTION 214 OF THE COMMUNICATIONS ACT REQUIRES COMMON CARRIERS TO OBTAIN A CERTIFICATE THAT THE PUBLIC CONVENIENCE AND NECESSITY REQUIRE OR WILL REQUIRE CONSTRUCTION AND/OR OPERATION OF A LINE OF COMMUNICATION, OR THE DISCONTINUANCE, REDUCTION OR IMPAIRMENT OF SERVICE. TELEPHONE EQUIPMENT REGISTRATION ALL TERMINAL EQUIPMENT AND CIRCUITRY CONNECTED DIRECTLY TO THE TELEPHONE NETWORK MUST BE REGISTERED WITH THE COMMISSION UNDER PART 68 OF THE COMMISSION'S RULES. TARIFF FILINGS SECTION 201 OF THE COMMUNICATIONS ACT DIRECTS THE COMMISSION TO DETERMINE WHETHER THE CHARGES AND PRACTICES OF COMMON CARRIERS ARE JUST AND REASONABLE. AS PART OF THIS PROCESS, CERTAIN CARRIERS ARE REQUIRED TO SUBMIT TO THE COMMISSION AND MAKE AVAILABLE TO THE PUBLIC TARIFFS DETAILING THESE CHARGES AND PRACTICES. THESE TARIFFS CONTAIN SUCH INFORMATION AND ARE FORMATTED IN A MANNER DETERMINED BY THE COMMISSION THROUGH REGULATION AND AS SPECIFIED IN PART 61 OF THE COMMISSION'S RULES. SPECIAL PERMISSION APPLICATIONS CONTAIN REQUESTS FOR A WAIVER OF ANY PORTION OF PART 61. ACCOUNTING AND AUDITS THE COMMISSION CONDUCTS A PROGRAM OF COMPREHENSIVE AND SELECTIVE AUDITS AND INVESTIGATIONS OF CARRIERS' FINANCIAL AND OPERATING PRACTICES, PROCEDURES, AND RECORDS. IT IS ALSO CHARGED WITH RECOMMENDING ANNUAL DEPRECIATION RATES APPLICABLE TO ALL CLASSES OF TELECOMMUNICATIONS PLANT OF DOMESTIC AND OVERSEAS COMMON CARRIERS. VARIOUS FINANCIAL FILINGS ARE REQUIRED OF CARRIERS SO THAT THE COMMISSION CAN MONITOR COMPLIANCE WITH ITS RULES AND ENSURE THAT THE PUBLIC PAYS JUST AND REASONABLE RATES FOR REGULATED TELECOMMUNICATIONS SERVICES. II. SECTION 8 FEE SCHEDULE AND FILING GUIDE 1. All Common Carrier Services a. Hearing1 Comparative New or Modifications) Written $8,640.00 BHZ Federal Communications Commission Request & Common Carrier Hearing FCC 159 P.O. Box 358120 Pittsburgh, PA 15251-5120 b. Developmental Authority Same charge as regular authority in service unless otherwise indicated. c. Formal Complaints Filing Fee2 Written $155.00 CIZ Federal Communications Commission Request & Common Carrier Enforcement FCC 159 P.O. Box 358120 Pittsburgh, PA 15251-5120 2. Domestic 214 Applications3 a. Domestic Cable Construction Written $780.00 CUT Federal Communications Commission Request & Common Carrier Domestic Services FCC 159 P.O. Box 358145 Pittsburgh, PA 15251-5145 b. Other Written $780.00 CUT Federal Communications Commission Request & Common Carrier Network Services FCC 159 P.O. Box 358145 Pittsburgh, PA 15251-5145 3. Telephone Equipment Registration FCC 730 & $200.00 CJQ Federal Communications Commission FCC 159 Common Carrier Network Services P.O. Box 358145 Pittsburgh, PA 15251-5145 4 . Tariff Filings a. Filing Fees4 Written $630.00 CQK Federal Communications Commission Request & Tariff Filings FCC 159 P.O. Box 358150 Pittsburgh, PA 15251-5150 b. Special Permission Filing4 (per filing) Written $630.00 CQK Federal Communications Commission (waiver of any rule in Part Request & Tariff Filings 61 of the Commission's rules) FCC 159 P.O. Box 358150 Pittsburgh, PA 15251-5150 c. Waiver of Part 69 Tariff Rules Written $630.00 CQK Federal Communications Commission Request & Tariff Filings FCC 159 P.O. Box 358150 Pittsburgh, PA 15251-5150 5. Accounting and Audits a. Field Audit N/A $79,610.00 BMA Carriers will be billed b. Review of Attest Audit N/A $43,455.00 BLA Carriers will be billed c. Review of Depreciation Update Study (single state) Written $26,440.00 BKA Federal Communications Commission Study & Accounting and Audits FCC 159 P.O. Box 358140 Pittsburgh, PA 15251-5140 (i) Each Additional State Same as $870.00 CVA Federal Communications Commission 5c Accounting and Audits P.O. Box 358140 Pittsburgh, PA 15251-5140 d. Interpretation of Accounting Rules (per request) Written $3,690.00 BCA Federal Communications Commission Request & Accounting and Audits FCC 159 P.O. Box 358140 Pittsburgh, PA 15251-5140 e. Petition for Waiver (per petition) Written $5,960.00 BEA Federal Communications Commission (waiver of Part 69 tariff rules Request & Accounting and Audits and Part 32 accounting rules, FCC 159 P. O. Box 358140 Part 36 separation rules, Pittsburgh, PA 15251-5140 Part 43 reporting requirements Part 64 allocation of costs rules Part 65 rate of return & rate base rules ENDNOTES TO SECTION 8 FEE FILING CHART 1 THE HEARING FEE MUST ACCOMPANY THE NOTICE OF APPEARANCE UNLESS PAYMENT IS EXEMPTED IN ACCORDANCE WITH SECTION 1.1114(C) OF THE COMMISSION'S RULES. 2 EXCEPT IN UNUSUAL CIRCUMSTANCES, A FORMAL COMPLAINT AGAINST MULTIPLE COMMON CARRIERS IS CONSIDERED TO BE A SERIES OF SEPARATE COMPLAINTS DIRECTED AGAINST INDIVIDUAL DEFENDANTS OR RESPONDENTS, EVEN IF JOINTLY CAPTIONED. THEREFORE, SEPARATE FILING FEES ARE REQUIRED FOR EACH NAMED DEFENDANT OR RESPONDENT. 3 EACH SUCH REQUEST, REGARDLESS OF THE NUMBER OF COMMUNICATIONS CHANNELS REQUESTED, WILL REQUIRE ONE FEE. WHERE A COMMON CARRIER MUST FILE A SECTION 214 APPLICATION AND ANOTHER APPLICATION FOR A RADIO LICENSE THAT IS ALSO CHARGEABLE UNDER SECTION 8 OF THE COMMUNICATIONS ACT, BOTH SUCH CHARGES WILL BE REQUIRED. A FEE IS NOT REQUIRED FOR REQUESTS FOR REDUCTION OR DISCONTINUANCE OF SERVICE, NOR FOR SECTION 214 APPLICATIONS SUBMITTED PURELY FOR MODIFICATION PURPOSES. 4 ISSUING CARRIERS WILL SUBMIT ONLY THE ORIGINAL OF THE TRANSMITTAL OR APPLICATION LETTER (WITHOUT ATTACHMENTS) AND THE $630 FEE TO THE MELLON BANK LOCKBOX LOCATION IN PITTSBURGH, PA. FILING REQUIREMENTS FOR THE REMAINDER OF THEIR SUBMISSIONS ARE DESCRIBED IN SUBSECTIONS 61.32 AND 61.153 OF THE COMMISSION RULES.