Chapter 4901:1-6 Retail Telecommunication Services

As used within this chapter, these terms denote the following:

(A) “Alternative operator services (AOS)” means any intrastate operator-assisted services, other than inmate operator service (IOS), in which the customer and the end user are totally separate entities. The AOS provider contracts with the customer to provide the AOS; however, the AOS provider does not directly contract with the end user to provide the services even though it is the end user who actually pays for the processing of the operator-assisted calls. AOS does not include coin-sent calls.

(B) “Basic local exchange service” means end user access to and usage of telephone company-provided services that enable a customer, over the primary line serving the customer’s premises, to originate or receive voice communications within a local service area, and that consist of the following:

(1) Local dial tone service.

(2) Touch tone dialing service.

(3) Access to and usage of 9-1-1 services, where such services are available.

(4) Access to operator services and directory assistance.

(5) Provision of a telephone directory and a listing in that directory.

(6) Per call, caller identification blocking services.

(7) Access to telecommunications relay service.

(8) Access to toll presubscription, interexchange or toll providers or both, and networks of other telephone companies.

Basic local exchange service also means carrier access to, and usage of, telephone company-provided facilities that enable end user customers originating or receiving voice grade, data, or image communications, over a local exchange telephone company network operated within a local service area, to access interexchange or other networks.

(C) “Commercial mobile radio service (CMRS)” is specifically limited to include mobile telephone, mobile cellular telephone, paging, personal communication services (PCS), and specialized mobile radio service (SMRS) providers when serving as a common carrier in Ohio. Fixed wireless service is not considered as CMRS.

(D) “Commission” means the public utilities commission of Ohio.

(E) “Competitive local exchange carrier (CLEC)” means, with respect to a service area, any facilities-based and nonfacilities-based local exchange carrier that was not an incumbent local exchange carrier on the date of enactment of the Telecommunications Act of 1996 (1996 Act) or is not an entity that, on or after such date of enactment, became a successor or assignee of an incumbent local exchange carrier.

(F) “Facilities-based CLEC” means, with respect to a service area, any local exchange carrier that uses facilities it owns, operates, manages or controls to provide basic local exchange services to consumers on a common carrier basis; and that was not an incumbent local exchange carrier on the date of the enactment of the 1996 act. Such carrier may partially or totally own, operate, manage or control such facilities. Carriers not included in such classification are carriers providing service(s) solely by resale of the incumbent local exchange carrier’s local exchange services.

(G) “Flat rate usage” means unlimited number of local calls at a fixed charge.

(H) “Incumbent local exchange carrier (ILEC)” means any facilities-based local exchange carrier that: (1) on the date of enactment of the 1996 act, provided basic local exchange service with respect to an area; and (2)(a) on such date of enactment, was deemed to be a member of the exchange carrier association pursuant to 47 C.F.R. 69.601(b); or (2)(b) is a person or entity that, on or after such date of enactment, became a successor or assignee of a member described in clause (2)(a).

(I) “Inmate operator services (IOS)” means any intrastate telecommunications service initiated from an inmate telephone, i.e., a telephone instrument set aside by authorities of a secured inmate facility for use by inmates.

(J) “Large ILEC” means any ILEC serving fifty thousand or more access lines within Ohio.

(K) “Local exchange carrier” means any facilities-based and nonfacilities-based ILEC and CLEC that provides basic local exchange services to consumers on a common carrier basis. Such term does not include an entity insofar as such entity is engaged in the provision of a commercial mobile radio service under section 47 U.S.C. 332(C), effective in accordance with paragraph (G) of rule 4901:1-6-02 of the Administrative Code, except to the extent that the federal communications commission finds that such service should be included in the definition of such term.

(L) “Local service” means any service in which calls made by an end user customer are not intraLATA or interLATA toll.

(M) “Long-run service incremental cost (LRSIC)” represents the forward-looking economic cost for a new or existing product that is equal to the per unit cost of increasing the volume of production from zero to a specified level, while holding all other product and service volumes constant. LRSIC does not include any allocation of forward-looking common overhead costs. Forward-looking common overhead costs are costs efficiently incurred for the benefit of a firm as a whole and are not avoided if individual services or categories of services are discontinued. Further, forward-looking joint costs, which are the forward-looking cost of resources necessary and used to provide a group or family of services shall be added to or included in the LRSIC of the products or services.

(N) “Nonresidential service” means a telecommunication service primarily used for business, professional, institutional or occupational use.

(O) “Operator services” means any intrastate operator-assisted services, other than IOS, in which the end user has a customer relationship with the provider, the provider contracts with the customer/end user to provide the services, and the customer/end user pays for the actual processing of the operator-assisted calls.

(P) “Providers of competitive telecommunication services” means a telephone company, as defined in division (A)(2) of section 4905.03 of the Revised Code, (including, but not limited to, interexchange service providers, interexchange switchless rebillers, interexchange resellers, and nonswitched data providers) that exclusively provides competitive tier two telecommunication services and that does not offer basic local exchange service as defined herein.

(Q) “Regulated services” means services under the jurisdiction of the commission.

(R) “Residential service” means a telecommunications service provided primarily for household use.

(S) “Small ILEC” means any ILEC serving less than fifty thousand access lines within Ohio.

(T) “Tariff” means a schedule of rates, tolls, rentals, charges, classifications, and rules applicable to services and equipment provided by a telephone company that has been filed or posted in such places or in such manner as the commission orders. Detariffed services are regulated telecommunications services that are not required to be filed in a telephone company’s tariffs.

(U) “Telecommunications relay service (TRS)” means intrastate transmission services that provide the ability for an individual who has a hearing or speech impairment to engage in a communication by wire or radio with a hearing individual in a manner that is functionally equivalent to the ability of an individual, who does not have a hearing or speech impairment, to communicate using voice communication services by wire or radio. TRS includes services that enable two-way communication between an individual who uses a telecommunications device for the deaf or other nonvoice terminal device and an individual who does not use such a device.

(V) “Telephone company” means a telephone company, for purposes of this chapter, shall have same meaning as defined in division (A)(2) of section 4905.03 of the Revised Code.

(W) “Toll service” means any service in which calls made by an end user customer are intraLATA or interLATA toll.

(X) “Traditional service territory” means the area in which an ILEC provided basic local exchange service on the date of enactment of the 1996 act.

Effective: 12/04/2008

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13, 4905.84

Rule Amplifies: 4901.13, 4927.03, 4905.84

Prior Effective Dates: 9/18/07, 4/8/03, 12/29/05

(A) The retail service rules set forth in this chapter, apply to incumbent local exchange carriers (ILEC) subscribing to a qualifying alternative regulation plan, competitive local exchange carriers (CLEC), and providers of competitive telecommunication services, unless otherwise specified in this chapter or commission order.

(B) The elective alternative regulation procedures set forth in Chapter 4901:1-4 of the Administrative Code offer electing ILECs the ability to opt into an off-the-shelf alternative regulation plan and thereby take advantage of the retail service flexibility afforded by these rules. Nothing herein forecloses an ILEC from proposing a company-designed alternative regulation plan. In the case of a company-designed alternative regulation plan, the commission will determine, in the context of an individual company proposal, whether a company-designed plan is a qualifying alternative regulation plan subject to the retail service flexibility set forth herein.

(C) Unless otherwise noted, a commercial mobile radio service provider is exempt from all retail service rules except rule 4901:1-6-15 of the Administrative Code.

(D) The commission may, upon its own motion or for good cause shown, waive any requirement, standard or rule set forth in this chapter.

(E) Any telephone company seeking a waiver(s) of rules contained in this chapter shall specify the period of time for which it seeks such a waiver(s), and a detailed justification in the form of a motion filed in accordance with rule 4901-1-12 of the Administrative Code.

(F) All waiver requests must be approved by the commission and will toll any automatic approval time frames set forth in rule 4901:1-6-08 of the Administrative Code.

(G) Each citation contained within this chapter that is made either to a section of the United States code or a regulation in the code of federal regulation is intended, and shall serve, to incorporate by reference the particular version of the cited matter that was effective on June 30, 2007.

Replaces: 4901:1-6-06

Effective: 09/18/2007

R.C. 119.032 review dates: 06/18/2007 and 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4901.13, 4927.03

Prior Effective Dates: 4/8/03

Nothing contained within this chapter, shall in any way preclude the commission or its staff from:

(A) Requiring a telephone company to furnish additional information.

(B) Initiating an investigation.

(C) Monitoring a telephone company’s compliance with any of the commission’s existing or future policies and procedures.

Replaces: part of 4901:1-6-07

Effective: 09/18/2007

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4901.13, 4927.03

Prior Effective Dates: 4/8/03

(A) Tier 1 definition

Tier 1 includes basic local exchange service as defined in section 4927.01 of the Revised Code, as well as those services that are not essential but nevertheless retain such a high level of public interest that these services still require regulatory oversight.

(1) The following services, to the extent offered by a telephone company, shall be afforded continued regulatory oversight:

(a) Tier 1 core services

(i) Basic local exchange service.

(ii) Basic caller identification (number delivery only services).

(b) Tier 1 noncore services

(i) Second and third local exchange service access lines.

(ii) Call waiting.

(iii) Call trace (*57)

(iv) Per line number identification blocking.

(v) Nonpublished number service.

(vi) N-1-1 access and usage, unless exempted.

(2) The commission may add any new services to this list for which the commission determines that a specific public interest exists.

(3) A local exchange carrier (LEC) that provides service to a nonresidential customer with four or more access lines will receive tier 2 treatment for all access lines in accordance with rule 4901:1-6-05 of the Administrative Code.

(B) Tier 1 regulatory framework

(1) All terms, conditions, and pricing of tier 1 services must be maintained in a complete, up-to-date tariff on file at the offices of the commission at all times.

(2) All incumbent local exchange carrier (ILEC) tier 1 core and competitive local exchange carrier (CLEC) tier 1 core services must show a maximum and actual rate in the tariff.

(3) The minimum rate, which must be no lower than the long run service incremental cost (LRSIC) plus a common cost allocation, need not appear in the tariff.

(4) The maximum rate for CLEC tier 1 core offerings will be established based on the marketplace. ILEC pricing for tier 1 core services will continue to be subject to the retail pricing constraints established in paragraph (C) of rule 4901:1-4-06 of the Administrative Code, and, where applicable, paragraph

(A) of rule 4901:1-4-11 of the Administrative Code.

(5) CLEC tier 1 noncore services shall be granted tier 2 treatment set forth in rule 4901:1-6-05 of the Administrative Code. ILEC pricing for tier 1 noncore services will be subject to the retail pricing constraints established in paragraph (C) of rule 4901:1-4-06 of the Administrative Code, and, where applicable, shall have tier 2 pricing flexibility as set forth in paragraph (A) of rule 4901:1-4-11 of the Administrative Code.

(6) The commission and staff will apply a test of reasonableness to the initial rate setting.

(7) New services, change in terms and conditions, and expansion of local calling area

(a) In order to introduce a new tier 1 service or for an expansion of a local calling area, a LEC must docket a zero-day tariff application (ZTA) with the commission.

(b) Changes in terms and conditions of an existing tier 1 service shall be filed through a thirty-day application for tariff amendment (ATA) filing.

(c) Changes in terms and conditions of a tier 1 service or for an expansion of a LEC’s local calling area requires a customer notice to be filed in accordance with rule 4901:1-6-16 of the Administrative Code.

(8) Cost studies

(a) To demonstrate the cost of service and minimum rate, a LEC may be required to submit a LRSIC study upon request by the commission’s staff.

(b) The rates of any LEC are subject to suspension and reversal should the commission find, after review of a cost study, that the service was priced below the LRSIC of such service.

(9) Rate changes for services with tier 1 pricing flexibility

(a) Rate changes within the approved range are subject to a zero-day notice-only filing under the company’s tariff filing docket.

(b) Increases within the approved range also require a customer notice in accordance with rule 4901:1-6-16 of the Administrative Code.

(10) Late payment and returned check charges Late payment and returned check charges for regulated services may be introduced or increased through a thirty-day ATA filing. A standard of reasonableness will be applied to the rates for such services including, but not limited to, a comparison with similar charges previously approved by the commission and similar charges assessed by nonregulated providers.

(11) Nonrecurring service charges Nonrecurring service charges (e.g., service establishment, service connection, and service change charges) for tier 1 services shall have the pricing flexibility of the tier 1 service that gives rise to the nonrecurring rate. Tier 1 nonrecurring service charges and statewide averaged cash deposit amounts may be introduced through a thirty-day ATA filing.

(12) Self-complaint cases To raise the ceiling of an approved rate range for a service with tier 1 pricing flexibility, a CLEC must file a self-complaint (SLF) application that includes commission-approved customer notice to affected customers in accordance with rule 4901:1-6-16 of the Administrative Code. Such applications are subject to a thirty-day automatic approval outlined in rule 4901:1-6-08 of the Administrative Code. Affected customers shall have fifteen days from the filing of the SLF to file objections to the application in the SLF docket.

(13) Per-call and per-line blocking A LEC must provide free per-call blocking to all customers. Per-line blocking shall be made available with no fee to nonpublished and nonlisted customers on an opt-in basis. Per-line blocking shall be made available on a subscription basis to all other customers. The charge for subscription per-line blocking for these customers shall not exceed the LEC’s rate for nonpublished service.

(14) Rates, terms, and conditions for intrastate carrier access, N-1-1 service, pole attachments and conduit occupancy, pay telephone services, toll presubscription, and telecommunications relay service are not affected by this rule and shall continue to be subject to the applicable laws, rules and orders of the commission and the federal communications commission.

Replaces: 4901:1-6-20 , 4901:1-6-22

Effective: 09/18/2007

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4901.13, 4927.03

Prior Effective Dates: 4/8/03

(A) Tier 2 definition

Tier 2 services include all regulated telecommunications services that are not subject to tier 1 regulatory treatment.

(B) Tier 2 regulatory framework

(1) Tier 2 service rates are not subject to any rate cap and may be priced at market-based rates.

(2) To demonstrate the cost of service, a telephone company may be required to submit a long run service incremental cost study upon request by the commission’s staff.

(C) New services New tier 2 services with the exception of those services set forth in paragraph (G) of this rule, are subject to a zero-day notice filed in the telephone company’s tariff filing (TRF) docket consistent with the TRF procedures in paragraph (C) of rule 4901:1-6-06 of the Administrative Code.

(D) Residential service packages

(1) All residential service packages or bundles are tier 2 service offerings.

(2) A local exchange carrier (LEC) which markets a bundle of services that are all residential regulated local services and are required to be tariffed must include such a bundle or package in its tariff.

(3) A LEC which packages any residential regulated local services with detariffed and/or unregulated services shall include in its tariff only the regulated components of a package or bundle of services, with the exception of those services detariffed in paragraph (G) of this rule. The LEC shall also include a rate for the regulated components of the package only if the components can be purchased as a discrete part of the whole package or bundle that is marketed to customers. The detariffed and unregulated service components of any package or bundle of services and any rate(s) associated with those components shall not be tariffed.

(4) Upon request, a LEC shall provide to the commission and the office of consumers’ counsel all current offers to residential consumers which bundle regulated local services with detariffed and/or unregulated services at a single packaged rate.

(E) Rate increases, change in terms and conditions and withdrawal

(1) Rate increases, change in terms and conditions and withdrawal of tier 2 services, except for those services set forth in paragraph (G) of this rule, are subject to a zero-day notice filing in the telephone company’s TRF docket consistent with paragraph (C) of rule 4901:1-6-06 of the Administrative Code.

(2) In applications for rate increases, change in terms and conditions of an existing tariffed tier 2 service, the telephone company must follow the customer notice provisions of rule 4901:1-6-16 of the Administrative Code.

(F) Classification of new service offerings All new services are tier 2 services unless otherwise determined by the commission.

(G) Detariffed tier 2 services

(1) All regulated nonresidential tier 2 services and all regulated toll services, unless otherwise determined by the commission, shall not be included in tariffs or contracts filed with the commission, but shall still be subject to commission oversight and regulation.

(2) Nonresidential tier 2 services and toll service rates may be priced at market-based rates.

(3) A telephone company shall fully disclose to customers and make available to commission staff upon request, information concerning its current rates, terms and conditions for all of its detariffed nonresidential tier 2 services and toll services. Such information shall be in an easy to understand format and provided in a timely manner.

(4) A telephone company may satisfy the obligation in paragraph (G)(3) of this rule by maintaining an internet web site which provides such information online in a timely and easily accessible manner. Such information shall be updated regularly and retained in accordance with Chapter 4901:1-5 of the Administrative Code. This rule does not relieve the telephone company from any obligations under the minimum telephone service standards of Chapter 4901:1-5 of the Administrative Code related to customer transactions and the disclosure of material service provisions at the initiation or a change in service.

(5) The telephone company must provide a customer notice consistent with rule 4901:1-6-16 of the Administrative Code, at least fifteen days in advance of rate increases, changes in terms and conditions and discontinuance of existing detariffed nonresidential tier 2 services and toll services. Such notice shall be provided to staff consistent with paragraph (B) of rule 4901:1-6-16 of the Administrative Code. In the case of residential toll service, a copy of such notice shall also be provided to the Ohio consumers’ counsel.

(H) Discounts for persons with communication disabilities and telecommunication relay service

(1) Upon written application and certification of their disabled status, by a residential disabled customer or a disabled member of a customer’s household, all telephone companies offering message toll service (MTS) must provide one of the following discounts:

(a) A forty per cent discount off the intrastate, interexchange, customer-dialed, station-to-station calls occurring between eight a.m. and four fifty-nine p.m. Monday to Friday; a sixty per cent discount off the intrastate, interexchange, customer-dialed, station-to-station calls occurring between five p.m. and ten fifty-nine p.m. Sunday to Friday, and New Year’s day, Independence day, Labor day, Thanksgiving, and Christmas; and a seventy per cent discount off the intrastate, interexchange, customer-dialed, station-to-station calls occurring between eleven p.m. and seven fifty-nine a.m. any day; and eight a.m. and four fifty-nine p.m. Sunday, and all day Saturday.

(b) No less than a straight seventy per cent discount off the basic MTS, current price list day rates shall be made available on a twenty-four hour a day basis.

(c) For MTS which is offered similar to the mileage-banded rate structure established in the commission’s April 9, 1985 opinion and order in Case No. 84-944-TP-COI, with the traditional day, evening, and night/weekend discounts: the “evening” discount off the intrastate, interexchange, customer-dialed, station-to-station calls placed during the “day” period Monday to Friday; and the “night/weekend” discount off the intrastate, interexchange, customer-dialed, station-to-station calls placed during the “evening” period Sunday to Friday, New Year’s day, Independence day, Labor day, Thanksgiving, and Christmas. Furthermore, the “night/weekend” discount plus an additional discount equivalent to no less than ten per cent of the company’s current, price list, “day” rates for basic MTS shall be made available for intrastate, interexchange, customer-dialed, station-to-station calls placed during the “night/weekend” period any day, the “day” period Sunday, and all day Saturday.

(2) Certification of disabled status can be evidenced by either a certificate from a physician, health care official, state agency, or diploma from an accredited educational institution for the disabled.

(3) The aforementioned discounts are also applicable to all MTS calls placed through the telecommunications relay service. The discounts shall not apply to sponsor charges associated with calls placed to pay-per-call services, such as 900, 976, 900-like calls. Additionally, certified disabled individuals who utilize telebraille devices are eligible to receive free access to local and intrastate long distance directory assistance. Lines maintained by nonprofit organizations and governmental agencies, are also eligible to receive a discount off of their MTS rates upon written application and verification that such lines are maintained for the benefit of the disabled.

Replaces: 4901:1-6-21

Effective: 09/18/2007

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4901.13, 4927.03

Prior Effective Dates: 4/8/03

(A) Telecommunications application form

(1) A telephone company shall use a telecommunications application form for all telephone-related applications and zero-day notice filings. This form may change from time to time without further commission entry. Staff will maintain a current, updated copy to provide to applicants. A copy of the form will be posted on the commission’s web site.

(2) The applicant shall complete the telecommunications application form in its entirety and supply all required attachments and affidavits.

(3) Failure to utilize the current telecommunications application form for any type of new filing, as well as failure to include the required attachments, may result in immediate dismissal of the new application. The commission, the legal director, the deputy legal director, or an attorney examiner has the authority to issue the entry dismissing an application under this rule.

(4) All amendments, motions, and other supplemental pleadings to an open case under these rules need not use the telecommunications application form, but must clearly state the case number such filings are in reference to.

(B) General tariff content requirements

(1) All tariffs must include both the appropriate issued (the date the tariff was filed with the commission) and effective (the date the service(s) will be offered) dates. All tariffs shall include, at a minimum, the following elements:

(a) A title page and a table of contents.

(b) A description of all services offered and an identification of any tier 1 services along with all terms and conditions associated with the provision of each service.

(c) If the telephone company filing the tariff is also a local exchange carrier (LEC), a description of the actual serving area and a description of the calling area in which an end user may complete a call without incurring a toll charge. Any change to a LEC’s serving area and calling area must be reflected in the tariff on file with the commission.

(d) A complete list of rates, relative to the provision of each service and promotion, except where services are offered on an individual contractual basis and except where services are offered as a package in combination with nonregulated and/or detariffed services pursuant to paragraph (D)(3) of rule 4901:1-6-05 of the Administrative Code..

(e) All telephone companies are subject to the commission’s rules for minimum telephone service standards (MTSS) found in Chapter 4901:1-5 of the Administrative Code. Telephone company tariffs should inform customers that they have certain rights and responsibilities under the MTSS and that these safeguards can be found in the appendix to rule 4901:1-5-03 of the Administrative Code.

(f) For tariffs filed requiring prior commission approval, each final tariff sheet must exhibit the commission authority by designating the case number in which the tariff was approved, the automatic date of effectiveness or commission order date, the effective date of the tariff sheet, the name of the telephone company, and the name of an officer of the telephone company. This information should be included in a header, a footer, or a combination thereof.

(g) For tariffs filed pursuant to a zero-day notice filing, each final tariff sheet should include the effective date of the tariff sheet, the name of the telephone company, and the name of an officer of the telephone company. This information should be included in a header, a footer or a combination thereof.

(C) Tariff filing (TRF)_docket

(1) TRF dockets are designated for the filing of final tariffs and filings subject to a zero-day notice procedure and are maintained by the commission for each telephone company.

(2) A TRF docket number will be assigned by the docketing division when a telephone company seeks to obtain initial certification.

(3) For applications in which new or revised tariff pages are involved, such tariff page(s) must be filed in final form in the TRF and the appropriate application purpose code, where applicable. For filings subject to a zero-day notice procedure, such notice shall include an application form, description of filing request, final tariff pages, and, if applicable, a customer notice. For nonautomatic applications and those applications subject to an automatic approval process (other than the zero-day notice process), final tariff pages must be filed within ten calendar days after the approval date. The effective date on the tariffs shall be a date no sooner than the date the final tariffs are filed with the commission.

Replaces: 4901:1-6-03, part of 4901:1-6-07, part of 4901:1-6-18

Effective: 09/18/2007

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4901.13, 4927.03

Prior Effective Dates: 4/8/03

(A) Nothing contained within this chapter shall in any way preclude the commission, legal director, deputy legal director, or attorney examiner from imposing a full or partial suspension of any process herein or tariff approved pursuant to this chapter. Under this rule, a telephone company may be required to discontinue provision of the affected service(s), or under partial suspension, cease offering the affected service(s) to new customers, or take other actions with regard to the affected service(s) as the commission may require.

(B) A pending application under full or partial suspension will be automatically approved sixty days from the date of suspension if all issues are resolved. If all issues are not resolved by the sixtieth day, the application will be either dismissed by entry or suspended a second time. Any such second suspension shall be accompanied by notice to the applicant explaining the rationale for the additional suspension. Applications under a second suspension cannot be approved without a commission entry or order.

(1) Under this paragraph, an application under full suspension is entirely precluded from taking effect.

(2) Under this paragraph, an application under partial suspension is permitted to take effect, in part or in its entirety, under the proposed terms and conditions, subject to further review by the commission. The applicant is put on notice that the commission, subsequent to further review, may modify the rates and/or terms and conditions affected by the application.

(C) A full or partial suspension may also be imposed, after an application has been approved under the automatic approval process or is subject to a zero-day notice filing, if an ex post facto determination is made that the tariff may not be in the public interest, or is in violation of commission rules and regulations.

Replaces: 4901:1-6-04

Effective: 09/18/2007

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4901.13, 4927.03

Prior Effective Dates: 4/8/03

Many filings pursuant to the rules adopted in this chapter will be handled through an automatic process. With the exception of zero-day notices, an automatic time frame will begin on the day after a filing is made with the commission’s docketing division. Furthermore, under an automatic process, if the commission does not take action before the expiration of the filing’s applicable time frame, the filing shall become effective on the following day, or later date if the company so chooses.

(A) Automatic timeframes

A filing subject to the ninety-day, sixty-day, thirty-day or fourteen-day automatic approval procedure will, absent suspension or other commission action, be approved via the automatic process, and become effective on the ninety-first, sixty-first, thirty-first, or fifteenth day, respectively, after the initial filing is made with the commission.

(B) Zero-day notice

A filing subject to the zero-day notice procedure will be effective on the same day the filing is made with the commission. Zero-day notices are not considered as commission-approved unless otherwise noted in this chapter.

Replaces: 4901:1-6-05

Effective: 09/18/2007

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4901.13, 4927.03

Prior Effective Dates: 4/8/03

This rule applies to all ILECs whether the ILEC is subject to a qualifying alternative regulation plan or not.

(A) Within the ILEC’s traditional service territory, the ILEC has an obligation to provide a stand-alone basic local exchange service and must offer a flat-rate usage service offering according to the approved ILEC tariff.

(B) In order to operate outside of its traditional service territory, a large ILEC or its holding company is required to certify a separate competitive local exchange carrier (CLEC) affiliate. A CLEC affiliate of an ILEC may be certified within or outside of that ILEC’s traditional service territory in accordance with rule 4901:1-6-10 of the Administrative Code. Such CLEC affiliate may offer tier 1 and/or tier 2 services.

(C) A small ILEC or its holding company may elect to operate outside of its traditional service territory either as the out-of-territory ILEC or as a separate CLEC affiliate. A small ILEC operating outside of its service territory as the ILEC is required to maintain books and records in sufficient detail to be able to segregate revenues, expenses and investments between its incumbent jurisdictional operations and its competitive ventures. A small ILEC seeking to operate in exchanges outside of its service territory shall add new exchanges to its tariff through a thirty-day ATA filing. Such out-of-territory operations by the small ILEC will have the regulatory flexibility and carrier obligations of a CLEC operating pursuant to Chapters 4901:1-6 and 4901:1-7 of the Administrative Code.

(D) A small ILEC may seek a waiver of the requirements contained in paragraph (E) (3) of this rule based upon a demonstration of its unique circumstances. A small ILEC must demonstrate that its operations will be conducted in such a manner so as to ensure that the current customers are protected from any negative impact of the company’s venture outside of its current territory. Further, a waiver of any of the requirements of paragraph (E)(3) of this rule pertaining to a small ILEC’s competitive operations shall be subject to the conditions set forth in the commission’s approval of such waiver and associated financial arrangements consistent with sections 4905.40 and 4905.41 of the Revised Code.

(E) Affiliate transactions

(1) A CLEC affiliate established by an ILEC must comply with the affiliate transaction requirements in this rule The term affiliate means a person that (directly or indirectly) owns or controls, is owned or controlled by, or is under common ownership or control with, another person. For purposes of these rules, the term own means to own an equity interest (or the equivalent thereof) of more than ten per cent.

(2) Safeguards

(a) ILECs establishing separate CLECs shall maintain books, records, and accounts that are separate from the books, records, and accounts of its affiliates.

(b) Shared employees shall appropriately record and charge their time based on fully distributed costs. “Employees” are all full-time or part-time employees of an ILEC or its affiliates, as well as consultants, independent contractors, or any other persons performing various duties or obligations on behalf of or for the ILEC or its affiliates.

(c) “Fully distributed costs” are the sum of direct costs plus an appropriate share of indirect costs. The costs should be traceable to the books of the applicable corporate entity.

(d) The ILEC and affiliates shall maintain all underlying affiliate transaction information for a minimum of three years.

(e) The affiliate may contract with the ILEC for the provision of services and facilities within the ILEC traditional service territory to be used by the affiliate to compete outside the ILEC traditional service territory, pursuant to Section 251(c) of the 1996 Telecommunications Act. Such transaction must be reduced to writing and must be filed with the commission for approval pursuant to Section 252(e) of the 1996 Telecommunications Act.

(3) Financial arrangements

(a) Any indebtedness incurred by an affiliate shall be without recourse to the ILEC.

(b) An ILEC shall not enter into any agreement with terms under which the ILEC is obligated to commit funds to maintain the financial viability of an affiliate.

(c) An ILEC shall not make any investment in an affiliate under any circumstances in which the ILEC would be liable for the debts and/or liabilities of the affiliate incurred as a result of actions or omissions of an affiliate.

(d) An ILEC shall not issue any security for the purpose of financing the acquisition, ownership, or operation of an affiliate.

(e) An ILEC shall not assume any obligation or liability as a guarantor, endorser, surety, or otherwise in respect to any security of an affiliate.

(f) An ILEC shall not pledge, mortgage, or use as collateral, any assets of the ILEC for the benefit of an affiliate.

Replaces: 4901:1-6-08

Effective: 09/18/2007

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4901.13, 4927.03

Prior Effective Dates: 4/8/03

(A) Any telephone company desiring to offer telecommunication services, other than commercial mobile radio service, in the state of Ohio shall file an application for certification (ACE) with the commission using the telecommunications application form. The form which is available from the commission’s web site, serves to identify the specific types of telecommunication services the applicant wishes to offer, and to verify the applicant’s commitment to comply with all applicable commission rules and regulations. The telecommunications application form must be signed by an officer of the applicant, must be notarized, and must identify any agents or employees authorized to make filings on behalf of the applicant before the commission.

(B) An applicant’s ACE application must include a complete tariff in conformance with paragraph (B)(1) of rule 4901:1-6-06 of the Administrative Code. An ACE application filed without a completed telecommunications application form, as well as a completed tariff, and all exhibits in paragraphs (D) and (E) of this rule, as applicable, may be subject to immediate dismissal pursuant to paragraph (A)(3) of rule 4901:1-6-06 of the Administrative Code.

(C) The commission’s docketing division will assign a tariff filing (TRF) docket number, and the applicant will be informed of that number within fourteen days of filing so that the applicant may finalize its tariff and price lists prior to the automatic approval date of the ACE. Failure to file all necessary tariff revisions requested by staff prior to the thirtieth day from initial filing of the ACE application will result in suspension or dismissal of the application. Final tariffs must be filed in the ACE case as well as in the applicant’s TRF docket no later than ten days after the automatic approval date, and posted on its website, if applicable.

(D) Minimum requirements to be filed by all applicants seeking certification as a telephone company include:

(1) Certificate of good standing and certificate to operate as an out-of-state entity issued by the Ohio secretary of state and, if applicable, fictitious name authorization.

(2) Full address and telephone number, and if available, e-mail address and web site.

(3) Verification of compliance with any applicable affiliate transaction requirements.

(4) Verification that the applicant will maintain accounting records pursuant to generally accepted accounting principles.

(5) Documentation attesting to the applicant’s satisfactory technical expertise relative to the proposed service offering(s).

(6) Documentation indicating the applicant’s satisfactory corporate structure, managerial expertise, and ownership.

(7) Information pertaining to any similar operations provided by the applicant in other states.

(8) Evidence of notice to the Ohio department of taxation, public utilities tax division, of its intent to provide service.

(9) Any waivers sought by the applicant, submitted pursuant to rule 4901:1-6-02 of the Administrative Code.

(10) Documentation attesting to the applicant’s financial viability including, at a minimum, an actual and pro forma income statement and balance sheet.

(E) Additional requirements to be submitted by a competitive local exchange carrier (CLEC) seeking certification:

(1) Proposed end user tariffs, including a full description of proposed services and operations as well as all relevant terms and conditions for all tier 1 and tier 2 services except detariffed tier 2 services. If tariffs are not required, a list of the types of services the company plans to offer should be provided. Tariffs may incorporate by reference the exchanges of an incumbent local exchange carrier (ILEC) if the applicant is proposing to mirror the ILEC’s serving and/or local calling areas in its entirety. If an applicant is a facilities-based CLEC it must provide a carrier-to-carrier tariff, which at a minimum includes an access tariff.

(2) A list of the ILEC exchanges which the applicant intends to serve. If the applicant is not mirroring the entire ILEC serving and/or local calling areas, the CLEC shall specifically define their service and local calling areas in commission-approved tariffs.

(3) A notarized affidavit signed by an authorized employee and accompanied by the bona fide request for interconnection letter sent to the ILEC which verifies that the applicant has entered into negotiations to establish an interconnection and/or transport and termination agreements with, at a minimum, the ILEC serving the geographic area(s) where the applicant will be providing its services. If the agreements(s) have already been filed with the commission for approval, the specific case numbers should be stated. To the extent the agreements have not been filed, the applicant should state the estimated timeframe for such filing. An applicant which intends to provide service to customers by solely reselling the retail services of an underlying facilities-based CLEC is exempt from this requirement. A CLEC shall not start providing service before it files with the commission, for the commission’s approval, an interconnection and/or transport and termination agreement with the ILEC and/or a resale agreement with another CLEC as required pursuant to this rule.

(F) Scope of operating authority

(1) The commission shall grant providers of competitive telecommunication services (CTS) statewide operating authority provided the company meets the associated requirements.

(2) The commission shall grant operating authority on an exchange basis to all companies seeking certification as a CLEC.

(3) A notice to amend a CLEC certificate to add additional exchanges, subsequent to certification, shall be filed as a zero-day notice to amend certificate (AAC). A CLEC must include with its AAC notice filing an affidavit signed by an authorized employee verifying that the CLEC has an interconnection and/or transport and termination traffic agreement with the ILEC serving the exchange area into which the CLEC intends to expand and identifying the specific case numbers in which the agreements were filed.

(G) Nothing precludes the staff of the commission from requiring additional information consistent with this chapter.

(H) Certificate timeline

(1) Interested entities who can show good cause why such application should not be granted must file with the commission a written statement detailing the reasons, as well as a motion to intervene, within fifteen calendar days after the application is docketed. The applicant shall respond to any motion to intervene within seven calendar days after the filing and service of the motion.

(2) Absent full or partial suspension, applications seeking certification as a telephone company will be approved in accordance with the thirty-day automatic approval process described in rule 4901:1-6-08 of the Administrative Code.

(I) Conditions of approval It is the applicant’s responsibility to satisfy the commission that the requirements of section 4905.24 of the Revised Code, have been met. Section 4905.24 of the Revised Code, conditions the approval of multiple entities providing service upon a finding by the commission that such operations are proper and necessary for the public convenience. For a provider of basic local exchange service, such determination shall include a review of the applicant’s financial, managerial, and technical ability to provide the proposed service.

(J) Hearing

A hearing to review the application for certification may be ordered.

(K) Revocation of certificate

Nothing contained within these rules precludes the commission from revoking the certification of a CLEC or CTS provider upon a demonstration that the company has engaged in a pattern of conduct in violation of Ohio law. This includes the failure to comply with the rules and regulations of the commission, including the failure to file the requisite annual reports and the failure to pay all corresponding assessments.

Replaces: 4901:1-6-09

Effective: 09/18/2007

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4901.13, 4927.03

Prior Effective Dates: 4/8/03

(A) A local exchange carrier (LEC) seeking to abandon its entire operations, including its tariff and certificate of public convenience and necessity, shall not abandon the service(s) it provides under a certificate without filing an abandonment application and obtaining commission approval.

(1) With the exception set forth in paragraph (A)(9) of this rule, abandonment applications shall be filed at least ninety days prior to the effective date that the LEC will cease providing service. The application shall include copies of any notices provided pursuant to paragraphs (A)(2) to (A)(4) of this rule, as well as the list pursuant to paragraph (A)(11) of this rule.

(2) At least ninety days prior to abandoning operations, a LEC shall provide written notice of its intent to cease providing service to each incumbent local exchange carrier (ILEC) in whose certified territory the LEC operates.

(3) At least ninety days prior to abandoning operations, a LEC shall provide written notice of its intent to abandon service to its customers. At a minimum, the notice should provide the proposed effective date of the abandonment, instructions to the customers on how they may obtain replacement service(s), and identify the commission’s toll-free and TTY-TDD telephone numbers.

(4) The LEC shall also provide notice of its abandonment on each billing statement rendered to customers beginning at least ninety days prior to the effective date of the abandonment and continue to provide such notice on all subsequent billing statements until the service is abandoned.

(5) A LEC abandoning operations shall return all deposits, including applicable interest, to its customers no later than ninety days after filing its abandonment application unless a court of competent jurisdiction orders otherwise.

(6) If the commission does not act upon the application within ninety days of the filing date, a CLEC’s application will be approved in accordance with the ninety-day automatic approval process described in rule 4901:1-6-08 of the Administrative Code.

(7) An ILEC abandonment application is not subject to an automatic approval process under this chapter.

(8) An abandoning LEC may not discontinue services provided to any customer or telephone company until the abandonment application has been approved by the commission.

(9) An abandoning CLEC with no customers shall file an abandonment application at least thirty days prior to the effective date that the CLEC will discontinue service. Customer notice is not required with such applications. If the commission does not act upon the application within thirty days of the filing date, a CLEC’s application will be approved in accordance with the thirty-day automatic process described in rule 4901:1-6-08 of the Administrative Code.

(10) No telephone company may discontinue services provided to an abandoning LEC until the abandonment application has been approved by the commission.

(11) The LEC shall provide a list of its assigned area code prefix(es) or thousands block(s) including any proposed dates or timelines, due to its abandonment proceedings, wherein the LEC’s area code prefix(es) or thousands block(s) would be reassigned to another carrier and/or returned to the North American numbering plan administrator or pooling administrator.

(B) A provider of competitive telecommunication services (CTS), except for commercial mobile radio service providers, seeking to abandon the company’s entire operations, including the company’s tariff and certificate of public convenience and necessity, shall not abandon the service(s) it provides under a certificate without filing an abandonment application and obtaining commission approval.

(1) Abandonment applications shall be filed at least fourteen days prior to the effective date that the provider of CTS will cease providing regulated services. The application shall include copies of any notices provided pursuant to paragraph (B)(2) of this rule, as well as the list pursuant to paragraph (B)(7) of this rule.

(2) At least fourteen days prior to abandoning operations, a provider of CTS shall provide written notice to its customers of its intent to abandon service. At a minimum, the notice should provide the proposed effective date of the abandonment, instructions to the customers on how they may obtain replacement service(s), and the commission’s toll-free and TTY-TDD telephone numbers.

(3) A provider of CTS abandoning service shall return all deposits, including applicable interest, to its customers no later than fourteen days after filing its abandonment application.

(4) If the commission does not act upon the application within fourteen days of the filing date, the application shall be deemed automatically approved on the fourteenth day, and effective no sooner than the fifteenth day.

(5) An abandoning provider of CTS may not discontinue services provided to any customer or telephone company until the abandonment application has been approved by the commission.

(6) No LEC may discontinue services provided to any provider of CTS that has an abandonment application filed with the commission until the abandonment application has been approved by the commission.

(7) Where applicable, a provider of CTS shall provide a list of its assigned area code prefix(es) or thousands block(s) including any proposed dates or timelines, due to its abandonment proceedings, wherein the provider’s area code prefix(es) or thousands block(s) would be reassigned to another carrier and/or returned to the North American numbering plan administrator or pooling administrator.

Replaces: 4901:1-6-10

Effective: 09/18/2007

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4901.13, 4927.03

Prior Effective Dates: 4/8/03

(A) A local exchange carrier (LEC) shall not discontinue a specific tier 1 service or services within exchange(s) without filing an application to withdraw (ATW) such service or services.

(1) ATW applications shall be filed at least thirty days prior to the effective date that the LEC will cease providing a specific tier 1 service. The application shall include copies of any notices provided pursuant to paragraphs (A)(2) to (A)(4), and (A)(11) of this rule, where applicable, as well as the list pursuant to paragraph (A)(13) of this rule, where applicable.

(2) At least thirty days prior to discontinuing a specific tier 1 service, a LEC shall provide written notice of its intent to cease providing service to each incumbent local exchange (ILEC) in whose certified territory the LEC operates.

(3) At least thirty days prior to discontinuing a specific tier 1 service, a LEC shall provide written notice of its intent to discontinue a specific service to its customers. At a minimum, the notice should provide the proposed effective date of the service withdrawal, instructions to the customers on how they may obtain replacement service(s), and the commission’s toll-free and TTY-TDD telephone numbers.

(4) The LEC shall also provide notice of its tier 1 service withdrawal on each billing statement rendered to customers beginning at least thirty days prior to the effective date of the discontinuance and continue to provide such notice on all subsequent billing statements until the tier 1 service is withdrawn.

(5) A LEC withdrawing a specific tier 1 service shall return all deposits associated with the tier 1 service, including applicable interest, to its customers no later than thirty days after filing its ATW application.

(6) If the commission does not act upon the ATW application within thirty days of the filing date, the application will be approved in accordance with the thirty-day automatic approval process described in rule 4901:1-6-08 of the Administrative Code.

(7) An ILEC is not permitted to withdraw basic local exchange service. An ILEC ATW application, for the withdrawal of tier 1 services other than basic local exchange service, is not subject to an automatic approval process under this chapter.

(8) No LEC may discontinue services provided to any customer until the ATW application has been approved by the commission.

(9) For purposes of this rule, grandfathering of a tier 1 service offering means discontinuing the offering of a service to new retail customers or existing retail customers. Grandfathered tier 1 services shall continue to be available to those retail customers that subscribe to said service before the service was grandfathered until said retail customers choose to discontinue the service, relocate, or until the specified sunset date of the grandfathered service, whichever is earlier.

(10) An ILEC is not permitted to grandfather basic local exchange service but may seek to grandfather other tier 1 services.

(11) If a LEC chooses to grandfather a tier 1 service with a specified sunset date, the LEC shall file an ATW and provide notice to its affected customers at least thirty days prior to the sunset date that the service will be withdrawn pursuant to paragraph (A)(1) of rule 4901:1-6-12 of the Administrative Code.

(12) A LEC that proposes to grandfather a tier 1 service without a specified sunset date shall file a zero-day tariff amendment (ZTA) and provide customer notice, pursuant to rule 4901:1-6-16 of the Administrative Code for ZTA filings, to its affected customers if grandfathering a tier 1 service immediately impacts such customers. When the impact to customers of grandfathering a tier 1 service is not immediate but occurs at the time the customer takes an action (e.g., a move or change of service), then, at that time, the LEC should verbally inform the customer that such action by the customer will result in the loss of the grandfathered service. Should a LEC subsequently choose to sunset a grandfathered service, the LEC is required to file an ATW application.

(13) Where applicable, the LEC shall provide a list of its assigned area code prefix(es) or thousand block(s) including any proposed dates or timelines, due to its ATW proceeding, wherein the LEC’s area code prefix(es) or thousand block(s) would be reassigned to another carrier and/or returned to the North American numbering plan administrator or pooling administrator.

Replaces: 4901:1-6-11, part of 4901:1-6-12

Effective: 09/18/2007

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4901.13, 4927.03

Prior Effective Dates: 4/8/03

A telephone company seeking bankruptcy protection from any jurisdiction under Chapter 7 or 11 of the United States bankruptcy code shall notify the commission by serving notice of the bankruptcy filing on the chief of the telecommunications section of the utilities department. The notification shall include a copy of any and all notices or pleadings filed in the bankruptcy court, specifically setting forth the date and type of bankruptcy, the name and address of the bankruptcy court, the name and address of the bankruptcy attorney, and the name and address of a person at the company who can provide additional information regarding Ohio customers.

R.C. 119.032 review dates: 06/18/2007 and 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4901.13, 4927.03

Prior Effective Dates: 4/8/03

(A) Procedures for notifying the commission of certain changes in operations by providers of competitive telecommunication services.

(1) All providers of competitive telecommunication services, except local exchange carriers (LEC) and commercial mobile radio service providers, shall file the telecommunications application form and required attachments when notifying the commission of a change in operations (CIO):

(a) For a change in ownership which is transparent to end users.

(b) For an application to transfer a certificate and/or conduct a sale or lease of property, plant, customer base, or business which may affect the operating authority of a party(ies) to the transaction.

(c) For an application by two or more non-LEC providers to merge pursuant to section 4905.242 or 4905.49 of the Revised Code.

(d) For an application to change the name of a non-LEC provider.

(2) A CIO application is subject to a zero-day notice filing process as described in rule 4901:1-6-08 of the Administrative Code.

(3) Customer notification

Unless the changes in operations identified by this rule are completely transparent to its customers, the telephone company must give notice to each affected customer (e.g., direct mail, bill insert, or bill notation) in accordance with rule 4901-1-6-16 of the Administrative Code, and file a copy of its notice with the commission concurrent with the filing of the application at the commission. In the alternative, a telephone company subject to the notification procedures set forth in 47 C.F.R. 63.71, effective in accordance with paragraph (G) of rule 4901:1-6-02 of the Administrative Code, may submit evidence of a customer notice already provided for the purpose of informing subscribers of a change in operations consistent with the requirements of the federal communications commission.

(B) LEC procedures for notifying the commission of changes in operations.

(1) A LEC shall file an application notifying the commission of the following changes in its operations:

(a) ACO – A change in ownership pursuant to sections 4905.402 and 4905.04 to 4905.06 of the Revised Code.

(b) ATC – An application to transfer a certificate to a preselected transferee pursuant to section 4905.48 of the Revised Code.

(c) ATR – An application to conduct a transaction involving one or more LECs for the purchase, sale, or lease of property, plant, or business which may affect the operating authority of a party to the transaction pursuant to section 4905.48 of the Revised Code.

(d) AMT – An application by two or more LECs to merge pursuant to section 4905.242 or 4905.49 of the Revised Code.

(e) ACN – An application to change the name of a LEC.

(2) Time frames

All applications filed pursuant to this rule are subject to thirty-day automatic approval process unless suspended by the commission.

(3) Notifications

Unless the changes in operations identified by this rule are completely transparent to its customers, the LEC must give notice to each affected customer (e.g., direct mail, bill insert, or bill notation) and file a copy of its notice with the commission concurrent with the filing of the application at the commission. In the alternative, a telephone company subject to the notification procedures set forth in 47 C.F.R. 63.71, effective in accordance with paragraph (G) of rule 4901:1-6-02 of the Administrative Code, may submit evidence of a customer notice already provided for the purpose of informing subscribers of a change in operations consistent with the requirements of the federal communications commission.

(C) A competitive local exchange carrier and a provider of competitive telecommunication services may issue stocks, bonds, notes, and other evidences of indebtedness pursuant to sections 4905.40 and 4905.41 of the Revised Code, without notifying or requesting approval from the commission.

Replaces: part of 4901:1-6-09, part of 4901:1-6-14

Effective: 09/18/2007

R.C. 119.032 review dates: 06/18/2007 and 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4901.13, 4927.03

Prior Effective Dates: 4/8/03

(A) Registration

Facilities-based CMRS providers are required to file a zero-day notice in a radio common carrier (RCC) filing with the commission utilizing the telecommunications application form adopted herein that provides:

(1) The company’s name.

(2) The company’s address.

(3) A contact person.

(4) A service description.

(5) Evidence of registration with the Ohio secretary of state.

(6) Evidence of notice to the Ohio department of taxation, public utilities tax division, of its intent to provide service.

(B) Change in operations

Any changes in a facilities-based CMRS provider’s operations (i.e., mergers, abandonment, transfers, name changes, and changes in ownership) require a zero-day notice to the commission for identification purposes utilizing an up-to-date version of the commission’s telecommunications application form providing the necessary RCC case designation code.

(C) Assessment report

CMRS providers are required to submit, at the time and in the manner prescribed by the commission, an annual assessment report and to pay the prescribed annual assessment for the maintenance of the commission. A copy of the form is available on the commission’s web site or from the commission’s fiscal division.

(D) 9-1-1 and universal service funding

The commission may take whatever actions it deems appropriate with respect to CMRS providers as it relates to 9-1-1 and universal service funding, consistent with state and federal law and the Telecommunications Act of 1996.

Replaces: 4901:1-6-16

Effective: 09/18/2007

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4901.13, 4927.03

Prior Effective Dates: 4/8/03

(A) Customer notice is required for the following circumstances:

(1) Change in a carrier’s name.

(2) Changes in terms and conditions of an existing service.

(3) Increase in rate(s).

(4) Expansion of local calling area.

(B) Notice shall be provided to affected end users either by bill insert, bill message, direct mail, or, if the customer consents, by electronic mail, or as otherwise agreed to within a LEC’s contract with a nonresidential customer. Agreement by the customer to electronic billing satisfies customer consent requirements with respect to customer notice that would otherwise be provided as part of the customers’ regular billing. Notice shall be provided to the chief of telecommunications of the utilities department and the chief of the reliability and service analysis division of the service monitoring and enforcement department no later than the date it is provided to customers. All notices sent to end user customers must include:

(1) For customer inquiries, company’s customer service toll-free telephone number and web site (if web site exists).

(2) Name of service offering being changed.

(3) Effective date of change.

(C) Notices for rate or service changes, where applicable, must contain in addition to paragraph (B) of this rule:

(1) Current rate.

(2) New rate.

(3) Distinction of rate increase between residential and nonresidential customers (if the rate change is different for the two classes).

(4) Description of service terms if they change.

(5) For self-complaint (SLF) applications, a competitive local exchange carrier (CLEC) shall also include language stating that the increase is pending commission approval and that affected customers have a right to file an objection with the commission within fifteen days of the filing of the SLF application.

(6) For change in operation applications filed pursuant to rule 4901:1-6-14 of the be directly impacted by the application and what customer action, if any, is necessary as a result of such application.

(D) All customer notices must be sent to affected customers at least fifteen days prior to filing the application or a zero-day notice with the commission. Applicants must include with the application or notice, at the time of filing, the actual customer notice and a notarized affidavit verifying that this customer notice has been provided to affected customers. The time frames provided pursuant to this paragraph apply to all customer notices unless specific rules provide otherwise.

(E) In the event that the commission staff determines that a notice provided to customers is not consistent with commission rules, the commission staff may require the company to re-notice customers.

Replaces: 4901:1-6-17

Effective: 09/18/2007

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4901.13, 4927.03

Prior Effective Dates: 4/8/03

(A) A local exchange carrier may not enter into customer contracts for residential tier 1 services. All telephone companies are required to file nonresidential tier 1 and, with the exception of toll services, residential tier 2 customer contracts with the commission pursuant to division (E) of section 4905.31 of the Revised Code, and the terms of the contract shall be made available to all similarly situated customers on a nondiscriminatory basis.

(B) Each telephone company filing contracts will be assigned, upon filing the first contract on a yearly basis, a contract filing (CTR) docket number that will remain open and represent the exclusive repository for customer contract filings for that company for that year. A new CTR docket will be opened each year utilizing the same case number except for the year denoted. Each telephone company subject to this provision is required to file all customer contracts involving regulated services in their respective CTR docket no later than fifteen days after execution.

(C) Customer contracts are effective upon execution and are subject to a zero-day filing in the company’s CTR docket. Pursuant to rule 4901:1-6-07 of the Administrative Code, customer contracts are subject to suspension in the event that the commission determines that the contract may not be in the public interest or is in violation of commission rules or regulations.

(D) All docketed customer contracts must clearly identify the service or services to be provided by the contract and must disclose all terms and conditions of the service offering. Customer contracts must not reference some agreement or attachment which is not a part of the contract. Further, the case caption must clearly identify the service or services to be provided by the contract. Prior to docketing a copy of the executed customer contract, the telephone company may redact any customer identifying information such as the customer’s name, the names of any employees of the customer, and the customer’s business address, service location and telephone number pursuant to the provisions of case number 96-389-TP-AEC et. al. A telephone company must make a copy of the executed unredacted contract available to commission staff upon request.

(E) All contracts that do not follow tariff provisions in their entirety must disclose all terms and conditions of service and must be inclusive (for example, if the tariff does not contain termination liability, but the contract does, then the contract must be filed). Contracts that do follow tariff provisions in their entirety do not require separate contract filings.

(F) For companies that enter into multiple contracts of similar offerings to similarly situated customers, companies may employ an alternate method to meet the filing requirements set forth in paragraph (C) of this rule by filing a summary matrix of its contracts on a zero-day notice in its CTR docket. The summary matrix will contain the following information: the contract identification number; type of service; length of contract in months; and tariff reference, if applicable. Customer identifying information may be redacted from the summary matrix consistent with paragraph (D) of this rule. An unredacted version of the summary matrix shall be provided to the chief of the telecommunications division, utilities department.

(G) The contract must not foreclose the customer from disclosing the terms and conditions of the contract.

(H) All contract filings must contain a notarized affidavit attesting that the total price of the contract (including all contracted services whether regulated or unregulated) exceeds the total incremental cost of all regulated contracted services.

(I) Telephone companies are required to submit long run incremental service cost (LRSIC) studies to staff for any specific customer contract upon demand.

(J) The customer contract associated with a submitted LRSIC study is subject to suspension, after the fact, should the commission find the company is providing service below the total incremental cost of all regulated services in the contract.

(K) Commission authorization of contracts pursuant to the zero-day notice procedure does not constitute a determination of reasonableness. The filing of customer contracts is not intended to indicate that the commission has approved or sanctioned any terms or provisions contained therein. Signatories to such contracts shall be free to pursue whatever legal remedies they may have should a dispute arise.

Replaces: 4901:1-6-19

Effective: 09/18/2007

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4901.13, 4927.03

Prior Effective Dates: 4/8/03

(A) This rule applies to all telephone companies, including all incumbent local exchange carriers (ILEC) whether an ILEC is subject to a qualifying alternative regulation plan or not.

(B) Alternative operator service (AOS) and inmate operator service (IOS) are subject to the rate restrictions set forth in this rule, but otherwise shall be subject to the same regulatory treatment as applies to tier two services for purposes of this chapter.

(C) AOS parameters

(1) Except as exempted by paragraph (C)(2) of this rule, all AOS services shall be provided under the following parameters:

(a) The maximum amount of any operator assistance charge or call set up fee that may be applied by an AOS provider to any intrastate AOS call shall not exceed two dollars and seventy-five cents per call. The maximum rate of any usage sensitive charge that may be applied by an AOS provider to any intrastate AOS call shall not exceed forty-five cents per minute of use.

(b) Notice of any change in AOS rates, whether upward or downward, must be filed by the AOS provider with the commission in the form of a new pricing list, in accordance with commission-established tariff filing rules for tier two services.

(c) Upon request of the end user or billed party, and at no additional charge, the AOS provider must quote the actual intrastate price list rates for all components of the call to the end user. For live and automated operator-assisted calls, each AOS provider must brand its calls by having its operator identify the name of the AOS provider to the end user or billed party prior to the processing of the calls. After such notification and rate disclosure (if requested), the AOS provider must allow the end user or billed party an opportunity to decide not to utilize the AOS provider’s service and reject the call without incurring any charges.

(d) AOS providers may not charge end users for uncompleted calls.

(e) Each AOS provider must post conspicuous notice on the telephone instrument through which the end user is placing the call utilizing the following format and language:

Operator services provided to this telephone by: (certified name of the AOS provider).

For information or to lodge a complaint call toll free: (a toll-free number to reach the AOS provider).

(f) Each AOS provider must include in its contract with each of its customers language requiring that the customer permit the AOS provider to take whatever steps are necessary to ensure that the AOS provider is in compliance with all of the established requirements and restrictions pertaining to AOS.

(g) AOS providers may not charge end users surcharges in addition to the AOS service charges set forth in their commission-approved tariff which, in turn, must comply with the per-minute and per-call rate caps set forth in paragraph (C)(1)(a) of this rule. This restriction means that no surcharges, including, but not limited to, bill rendering charges, nonsubscriber charges, property imposed fees (PIFs), and any additional charge which an AOS customer may request the AOS provider to bill an end user may be levied by the AOS provider on the end user. Any surcharges imposed by an AOS customer are to be billed separately by the AOS customer.

(h) AOS providers may not assess end users backhauling charges regardless of the precise route the AOS providers must take in order to transport the calls.

(i) Each AOS provider must provide to end users, through the end user’s telephone instrument, access to all telecommunications service providers.

(j) Upon request, each AOS provider must provide, as directed by the commission or its staff, information concerning its operations, including but not limited to, customer lists and call records.

(2) AOS providers shall be exempt, on a per call basis, from paragraphs (C)(1)(a), (C)(1)(c) and (C)(1)(g) of this rule where the following service parameters are met:

(a) The AOS provider identifies itself at the beginning of the call before the end user incurs any charges.

(b) The AOS provider discloses to the end user who is charged for the call, at the beginning of the call before the end user incurs any charges, a quotation of the total cost of the call, including a breakdown of all charges imposed by the AOS provider and the applicability of any taxes.

(c) The AOS provider allows the end user to terminate at no charge before the call is connected.

(d) The AOS provider retains an audio-recorded verification of the end user’s acceptance of the quoted rates and charges of the call. Such verification, which must be provided to the commission or its staff upon request, shall at a minimum consist of an audio recording that preserves evidence of those portions of the call during which:

(i) The AOS provider discloses its rate charges to the end user in accordance with paragraph (C)(2)(b) of this rule.

(ii) The end user both identifies himself or herself and also affirmatively accepts the quoted rates and charges for the call before the call is completed and any charges are incurred. Such end user identification and acceptance may be accomplished on AOS calls when an end user enters his or her credit card or calling card number.

(D) IOS parameters

(1) The maximum rate of any usage sensitive charge that may be applied by an IOS provider to any intrastate IOS call shall not exceed thirty-six cents per minute of use. The maximum amount of any operator assistance charge or call set up fee that may be applied by an IOS provider to any intrastate IOS call shall not exceed two dollars and seventy-five cents

(2) Notice of any change in IOS rates, whether upward or downward, must be filed by the IOS provider with the commission in the form of a new pricing list, in accordance with commission-established tariff filing rules for tier two services.

(3) All IOS providers must furnish, on all intrastate IOS calls, at the beginning of the call before the end user incurs any charges, immediate and full rate disclosures that quote the actual intrastate price lists rates for all components of the call. However, IOS providers may allow end users an opportunity to affirmatively decline receiving the required rate quote.

(4) IOS providers may not charge end users surcharges in addition to the IOS service charges set forth in their commission-approved tariff which, in turn, must comply with the per-minute and per-call rate caps set forth in paragraph (D)(1) of this rule. This restriction means that no surcharges, including, but not limited to, bill rendering charges, nonsubscriber charges, PIFs, and any additional charge which an IOS customer may request the IOS provider to bill an end user, may be levied by the IOS provider on the end user. Any surcharges imposed by an IOS customer are to be levied separately by the IOS customer.

(5) IOS providers may not charge for uncompleted calls.

(6) Each IOS provider must include in its contract with each of its customers language requiring that the customer permit the IOS provider to take whatever steps are necessary to ensure that the IOS provider is in compliance with all of the established requirements and restrictions pertaining to IOS.

(7) Upon request, each IOS provider must provide, as directed by the commission or its staff, information concerning its operations.

(8) On all intrastate IOS calls, the IOS provider must allow the end user to terminate at no charge before the call is connected.

Replaces: 4901:1-6-23

Effective: 09/18/2007

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4901.13, 4927.03

Prior Effective Dates: 4/8/03, 12/29/05

Rescinded eff 9-18-07

This rule applies to all incumbent local exchange carriers (ILECs) whether the ILEC is subject to a qualifying alternative regulation plan or not.

(A) Commission maintained telephone exchange boundary maps shall be the official source/documentation of ILEC boundaries.

(B) Whenever an ILEC proposes to change the boundary of an exchange area, the ILEC shall file an application seeking to change the boundary. Whenever the exchange area involves the exchange area of two or more ILECs, the application shall be filed jointly by the companies involved.

(C) Such application is subject to the fourteen-day automatic approval procedure set forth in paragraph (A) of rule 4901:1-6-08 of the Administrative Code. An ILEC application submitted for approval shall include:

(1) A description of the change being made to the boundary. The company shall work with staff to ensure that the commission’s maps reflect accurately the boundary changes, using the company’s latest technology and the telephone boundary quadrangle maps as found on the commission’s website as a basis for the boundary change.

(2) The reasons for making the change, and one of the following:

(a) A statement explaining the effect of the change, if any, on existing subscribers.

(b) A statement attesting that the change does not adversely affect the service being furnished to any existing subscriber.

(c) A statement attesting that each existing subscriber whose service is adversely affected has consented to the change.

(D) Any borderline boundary dispute between ILECs or between an ILEC and a customer shall be subject to the complaint procedures under section 4905.26 of the Revised Code.

Replaces: 4901:1-3-03

Effective: 12/27/2008

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4905.04, 4905.05, 4905.06

Prior Effective Dates: 1/20/63, 7/6/91, 3/1/03

(A) All telephone companies are exempted from filing with the commission, pursuant to the provisions of the second paragraph of section 4905.16 of the Revised Code, a copy of any contract, agreement, note, bond, or other arrangement entered into with any telephone management, service, or operating company.

(B) This rule does not relieve any telephone company doing business in the state of Ohio of any duty or obligation imposed by law, nor does it relieve any such telephone company from making any filing directed by an existing order of the commission.

Replaces: 4901:1-3-06

Effective: 12/27/2008

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4905.16

Prior Effective Dates: 1/20/63, 7/6/91

The following rules and regulations are established for certain line extensions as maximum construction charges applicable thereto for permanent facilities on public rights-of-way outside the base-rate area of an exchange in connection with the furnishing of local exchange telephone service.

(A) Where a local exchange carrier (LEC) constructs permanent facilities on public rights-of-way in order to furnish service to an applicant or applicants in the territory where no facilities are available, the maximum construction charges applicable shall be determined in the following manner, regardless of the actual route to be followed by such construction:

(1) Where only one applicant is to be furnished service, the length of construction required to reach the point of entrance of the applicant’s private property, measured along the public right-of-way either from the nearest existing distributing plant of the LEC or the nearest point to which the LEC plans to extend its facilities under an approved construction program, whichever is closer, shall be determined by the LEC.

For the length thus determined, the applicant may be required to pay construction charges in excess of the cost one-half mile of standard pole line in place. A credit against the cost of excess construction charges may be given where an applicant performs the labor of digging holes, or trimming or removing trees in the right-of-way in accordance with the LEC’s specifications.

(2) Where more than one applicant is to be furnished service along the same route, the length of construction required to reach the point of entrance on each applicant’s private property, measured along the public right-of-way either from the nearest existing distributing plant of the LEC or from the nearest point to which the LEC plans to extend its facilities under an approved construction program, whichever is closer, shall be determined. For the length thus determined, the applicants as a group may be required to pay construction charges in excess of the cost of one-half mile of standard pole line in place, multiplied by the number of applicants.

(3) If the LEC elects to attach its facilities to poles of other utility companies in lieu of providing standard pole line construction, the LEC will place one-half mile of circuit for each subscriber without construction charges. For placing facilities in excess of one-half mile on other utility companies’ poles, the excess construction charges to be applied shall not exceed the lesser of the actual cost of the attachments to the other companies’ poles beyond one-half mile of circuit for each subscriber, or those which would have been applied if standard pole line construction had been provided by the LEC.

(B) The total amount of construction charges to be paid by the applicants as a group shall be apportioned among them in such manner as the group may determine. The necessary construction need not be started, however, until satisfactory arrangements have been made for the payment of such construction charges. In the event the applicants fail to agree upon an apportionment of construction charges within sixty days of the LEC’s quotation of charges, then the LEC may suggest prorated distribution of charges, based on relative distances of extension of pole lines among the applicants involved. If this suggestion is unacceptable to all applicants, then the LEC may handle each applicant separately, in accordance with paragraphs (A)(1) and (A)(3) of this rule.

(C) In case the LEC has on file other applications for service, from applicants located along the route to be used to serve the applicants referred to in paragraphs (A)(1) or (A)(2) of this rule, the LEC shall combine the construction projects for the current applicants and the applicants who previously applied for service in accordance with and subject to paragraphs (A)(1) and (B) of this rule, if such action will serve to reduce the amount of construction charges to be paid by either of such groups.

(D) If the application of paragraphs (A) to (C) of this rule would result in unusual hardship to a LEC, the commission may by order, upon written application and proper showing, authorize such LEC to apply construction charges in excess of those provided by paragraphs (A) to (C) of this rule.

(E) The LECs in the state of Ohio desiring to establish construction charges as provided in this rule shall forthwith amend their tariffs to comply at least with the rules stated in paragraphs (A) to (C) of this rule.

Replaces: 4901:1-3-09

Effective: 12/27/2008

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4905.04, 4905.05, 4905.06

Prior Effective Dates: 7/6/91

Upon request, each telephone company operating within the state of Ohio shall submit to the director of the utilities department of the commission or the director’s designee, a copy of any reports filed with the federal communications commission pursuant to 47 C.F.R. 43 as effective in paragraph (G) of rule 4901:1-6-02 of the Administrative Code.

Replaces: 4901:1-3-11

Effective: 12/27/2008

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13

Rule Amplifies: 4905.06

Prior Effective Dates: 1/1/88, 7/6/91, 3/1/03

(A) This rule is limited to the commission’s administration and enforcement of the assessment for the intrastate telecommunications relay service (TRS) in accordance with section 4905.84 of the Revised Code.

(B) For the purpose of funding the TRS, the commission shall collect an assessment to pay for the costs incurred by the TRS provider for providing the service in Ohio, from each service provider that is required under federal law to provide its customers access to TRS, including telephone companies, commercial mobile radio service (CMRS) providers, and providers of advanced services or internet protocol-enabled services that are competitive with or functionally equivalent to voice-grade, end user access lines. Advanced services and internet protocol-enabled services have the meanings ascribed to them by federal law, including federal regulation.

(C) Each service provider indentified in paragraph (B) of this rule shall be assessed according to a schedule established by the commission.

(D) The commission staff shall allocate the assessment proportionately among the appropriate service providers using a competitively neutral formula. To determine the assessment amount owed by each provider the commission staff shall use the number of voice-grade, end user access lines, or their equivalent, as reflected in each provider’s most recent federal communications commission (FCC) form 477 submitted to the commission staff. All local exchange carriers shall submit their FCC form 477 to the commission staff in accordance with rule 4901:1-7-27 of the Administrative Code. All other providers subject to the TRS assessment shall submit to the commission staff, on a semi-annual basis and at the same time it is filed with the FCC, the Ohio-specific relevant parts of their most recent FCC form 477 which contains the number of the voice-grade, end user access lines or their equivalent. All providers that do not submit FCC form 477 to the FCC, shall submit to the commission staff, on a semi-annual basis, a completed form, as prescribed by the commission staff, which contains the number of the provider’s retail customer access lines or their equivalent.

(E) Sixty days prior to the date each service provider is required to make its assessment payment in accordance with paragraph (C) of this rule, the commission staff shall notify each service provider of its proportionate share of the costs to compensate the TRS provider.

(F) The commission staff shall annually reconcile the funds collected with the actual costs of providing TRS when it issues the assessment in accordance with paragraph (E) of this rule and shall either proportionately charge the service providers for any amounts not sufficient to cover the actual costs or proportionately credit amounts collected in excess of the actual costs.

(G) In accordance with division (C) of section 4905.84 of the Revised Code, each service provider that pays the assessment shall be permitted to recover the cost of the assessment. The method of the recovery may include, but is not limited to, a customer billing surcharge. Any telephone company, other than a CMRS provider, that proposes a customer billing surcharge or a change in the surcharge shall file a zero-day tariff application (ZTA) with the commission, in accordance with the application process rule 4901:1-6-06 of the Administrative Code. The ZTA will be subject to the approval time frames found in paragraph (B) of rule 4901:1-6-08 of the Administrative Code. Each regulated provider imposing a surcharge on its customers must provide notice to its customers a minimum of fifteen days prior to the effective date of the surcharge in accordance with paragraph (D) of rule 4901:1-6-16 of the Administrative Code.

(H) In accordance with division (D) of section 4905.84 of the Revised Code, the commission shall take such measures as it considers necessary to protect the confidentiality of information provided pursuant to paragraph (D) of this rule.

(I) The commission may direct the attorney general to bring an action for immediate injunction or other appropriate relief to enforce commission orders and to secure immediate compliance with this rule.

Effective: 12/04/2008

R.C. 119.032 review dates: 05/31/2012

Promulgated Under: 111.15

Statutory Authority: 4901.13, 4905.84

Rule Amplifies: 4901.13, 4927.03, 4905.84