98-12971. Performance Measurements and Reporting Requirements for Operations Support Systems, Interconnection, and Operator Services and Directory Assistance  

  • [Federal Register Volume 63, Number 94 (Friday, May 15, 1998)]
    [Proposed Rules]
    [Pages 27021-27035]
    From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
    [FR Doc No: 98-12971]
    
    
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    FEDERAL COMMUNICATIONS COMMISSION
    
    47 CFR Chapter I
    
    [CC Docket No. 98-56, RM-9101, FCC 98-72]
    
    
    Performance Measurements and Reporting Requirements for 
    Operations Support Systems, Interconnection, and Operator Services and 
    Directory Assistance
    
    AGENCY: Federal Communications Commission.
    
    ACTION: Proposed rule.
    
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    SUMMARY: The Commission is issuing this Notice of Proposed Rulemaking 
    seeking comment on various proposed performance measurements and 
    reporting requirements relating to incumbent carriers' operations 
    support systems (OSS). The performance measurements and reporting 
    requirements proposed in the NPRM will complement existing state 
    proceedings and efforts by carriers, independent of regulatory 
    requirements, to incorporate performance measurements into their 
    interconnection agreements.
    
    DATES: Comments are due on or before June 1, 1998 and Reply Comments 
    are due on or before June 22, 1998. Written comments by the public on 
    the proposed information collections are due June 1, 1998. Written 
    comments must be submitted by the Office of Management and Budget (OMB) 
    on the proposed information collections on or before July 14, 1998.
    
    ADDRESSES: Comments and reply comments should be sent to Office of the 
    Secretary, Federal Communications Commission, 1919 M Street, N.W., Room 
    222, Washington, D.C. 20554, with a copy to Janice Myles of the Common 
    Carrier Bureau, 1919 M Street, N.W., Room 544, Washington, D.C. 20554. 
    Parties should also file one copy of any documents filed in this docket 
    with the Commission's copy contractor, International Transcription 
    Services, Inc., 1231 20th St., N.W., Washington, D.C. 20036. In 
    addition to filing comments with the Secretary, a copy of any comments 
    on the information collections contained herein should be submitted to 
    Judy Boley, Federal Communications Commission, Room 234, 1919 M Street, 
    N.W., Washington, D.C. 20554, or via the Internet to jboley@fcc.gov, 
    and to Timothy Fain, OMB Desk Officer, 10236 NEOB, 725--17th Street, 
    N.W., Washington, D.C. 20503 or via the Internet to fain__t@al.eop.gov.
    
    FOR FURTHER INFORMATION CONTACT: Radhika Karmarkar, Attorney, Common 
    Carrier Bureau, Policy and Program Planning Division, (202) 418-1580. 
    For additional information concerning the information collections 
    contained in this NPRM contact Judy Boley at (202) 418-0214, or via the 
    Internet at jboley@fcc.gov.
    
    SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Notice 
    of Proposed Rulemaking adopted April 16, 1998 and released April 17, 
    1998 (FCC 98-72). This NPRM contains proposed information collections 
    subject to the Paperwork Reduction Act of 1995 (PRA). It has been 
    submitted to the OMB for review under the PRA. The OMB, the general 
    public, and other Federal agencies are invited to comment on the 
    proposed information collections contained in this proceeding. The full 
    text of this Notice of Proposed Rulemaking is available for inspection 
    and copying during normal business hours in the FCC Reference Center, 
    1919 M St., N.W., Room 239, Washington, D.C. The complete text also may 
    be obtained through the World Wide Web, at http://www.fcc.gov/Bureaus/
    Common Carrier/Orders/fcc9872.wp, or may be purchased from the 
    Commission's copy contractor, International Transcription Service, 
    Inc., (202) 857-3800, 1231 20th St., N.W., Washington, D.C. 20036.
    
    Paperwork Reduction Act
    
        This NPRM contains a proposed information collection. The 
    Commission, as part of its continuing effort to reduce paperwork 
    burdens,
    
    [[Page 27022]]
    
    invites the general public and OMB to comment on the information 
    collections contained in this NPRM, as required by the Paperwork 
    Reduction Act of 1995, Public Law 104-13. Public and agency comments 
    are due at the same time as other comments on this NPRM; OMB 
    notification of action is due July 14, 1998. Comments should address: 
    (a) whether the proposed collection of information is necessary for the 
    proper performance of the functions of the Commission, including 
    whether the information shall have practical utility; (b) the accuracy 
    of the Commission's burden estimates; (c) ways to enhance the quality, 
    utility, and clarity of the information collected; and (d) ways to 
    minimize the burden of the collection of information on the 
    respondents, including the use of automated collection techniques or 
    other forms of information technology.
        OMB Approval Number: None.
        Title: Performance Measurements and Reporting Requirements for 
    Operations Support Systems, Interconnection, and Operator Services and 
    Directory Assistance.
        Form No.: N/A.
        Type of Review: New collection.
    
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                                                                                             Estimated              
                                                                              Number of       time per      Total   
                            Information collection                           respondents      pesponse      annual  
                                                                           (Approximately)    (annual)      burden  
                                                                                              (hours)      (hours)  
    ----------------------------------------------------------------------------------------------------------------
    Pre-Ordering: Average Response Time..................................             11            240        2,640
    Ordering/Provisioning: Order Completion Measurements.................             11            480        5,280
    Ordering/Provisioning: Coordinated Customer Conversions..............             11            240        2,640
    Ordering/Provisioning: Order Status Measurements.....................             11          1,200       13,200
    Ordering/Provisioning: Held Order Measurement........................             11            240        2,640
    Ordering/Provisioning: Installation Troubles Measurement.............             11            240        2,640
    Ordering/Provisioning: Order Quality Measurements....................             11            480        5,280
    Ordering/Provisioning: 911 Database Update and Accuracy..............             11            480        5,280
    Repair and Maintenance Measurements..................................             11            960       10,560
    Billing Measurements.................................................             11            480        5,280
    General Measurements: Systems Availability...........................             11            240        2,640
    General Measurements: Center Responsiveness..........................             11            240        2,640
    General Measurements: OS/DA..........................................             11            240        2,640
    Interconnection: Trunk Blockage Measurements.........................             11            480        5,280
    Interconnection: Collocation Measurements............................             11            720        7,920
    ----------------------------------------------------------------------------------------------------------------
    
        Frequency of Response: Monthly; On occasion.
        Total Annual Burden: 76,560 hours.
        Respondents: Business or other for profit.
        Estimated costs per respondent: $800,000.
        Needs and Uses: The NPRM seeks comment on certain performance 
    measurements and reporting requirements to implement the 
    interconnection requirements of the 1996 Act. The proposed measurements 
    are intended to permit a direct assessment of whether an incumbent 
    local exchange carrier is complying with its obligations under section 
    251 of the Communications Act of 1934, as amended.
    
    Synopsis of Notice of Proposed Rulemaking
    
    I. Introduction
    
        1. In this proceeding, we explore ways to advance a fundamental 
    goal of the Telecommunications Act of 1996--to increase consumer choice 
    by fostering competition in the provision of local telephone service. 
    The 1996 Act requires incumbent local telephone service providers to 
    open their markets to competition.
        2. Congress required incumbents to make available to new entrants 
    in a nondiscriminatory, and just and reasonable manner the services and 
    facilities the incumbents use to provide retail services to their own 
    customers. In order to take advantage of the service and facility 
    offerings that Congress requires incumbents to provide, new entrants 
    need access to the support functions that incumbents use to process 
    orders from their own customers.
        3. In this proceeding, we propose a methodology by which to analyze 
    whether new providers of local telephone service are able to access, 
    among other things, the support functions (that is, the functions 
    provided by computer systems, databases, and personnel) of incumbent 
    local telephone companies in a manner consistent with the 1996 Act's 
    nondiscrimination requirement. We seek comment, as explained below, on 
    certain proposed measurements and reports designed to illuminate the 
    performance of incumbent local telephone companies in providing access 
    to these vital support functions. Such performance measurements will 
    assist incumbents, new entrants, and regulators in evaluating an 
    incumbent's performance in meeting its statutory obligations. We do 
    not, however, propose specific performance standards or technical 
    standards. We also seek comment on ways to achieve the statutory goals, 
    while also minimizing the burden on all incumbent carriers, especially 
    small, rural, and midsized incumbent local telephone companies.
        4. We recognize that some state commissions have undertaken efforts 
    to develop performance measurements and reporting requirements for 
    these support functions. Other states have yet to begin such efforts, 
    but plan to do so. States have sought this Commission's help in 
    developing these measurements. The primary goal of this NPRM, 
    therefore, is to provide guidance, in the most efficient and 
    expeditious manner possible, to the states and the industry on a set of 
    performance measurements and reporting requirements that will help spur 
    the development of local competition. Accordingly, we propose, in the 
    first instance, to adopt model performance measures and reporting 
    requirements, as described in detail herein, that are not legally 
    binding. This approach will allow those states that have commenced 
    proceedings to incorporate the model performance measurements and 
    reporting requirements as they deem beneficial and aid those states 
    that have not begun work in this area. We expect to develop such model 
    performance measurements and reporting requirements as expeditiously as 
    possible once the record closes in this proceeding. The experience we 
    gain from the
    
    [[Page 27023]]
    
    development of these model performance measurements and reporting 
    requirements and their application by the states will, we believe, 
    provide a more informed and comprehensive record upon which to decide 
    whether to adopt national, legally binding rules. The adoption of 
    national rules may, however, prove to be unnecessary in light of the 
    states' and carriers' application of the model performance measurements 
    and reporting requirements that we intend to adopt in the first 
    instance. We emphasize our belief that the adoption of model 
    performance measurements and reporting requirements to serve as 
    guidelines for state commissions constitutes the most efficient and 
    effective role for the Commission in this area at this time.
    
    II. Background
    
    A. Procedural History
    
        5. On May 30, 1997, LCI International Telecom Corp. (LCI) and the 
    Competitive Telecommunications Association (CompTel) jointly filed a 
    petition asking the Commission to initiate a rulemaking proceeding 
    (``LCI/CompTel Petition'') concerning the requirements governing OSS, 
    interconnection, and other related activities established by the 
    Commission in its Local Competition First Report and Order, 61 FR 
    45476, August 29, 1996. On June 10, 1997, the Commission issued a 
    Public Notice seeking comment on the LCI/CompTel petition. A number of 
    parties, including both incumbent LECs and competing carriers, filed 
    comments and reply comments in response to this Public Notice.
        6. Among other things, petitioners ask the Commission to establish: 
    (1) performance measurements and reporting requirements for the 
    provision of operations support systems (OSS) functions; (2) default 
    performance standards or benchmarks that would apply when an incumbent 
    LEC fails, or refuses, to report on its performance; (3) technical 
    standards for OSS interfaces; and (4) remedial provisions that would 
    apply to non-compliant incumbent LECs. In their petition, LCI/CompTel 
    propose that the Commission rely on the Service Quality Measurements 
    adopted by the Local Competition Users Group (LCUG) as the basis for 
    establishing performance measurements, reporting requirements, and 
    default performance standards. On October 8, 1997, LCUG filed a revised 
    proposal that described in detail its proposed performance measurements 
    and default standards. A number of parties filed additional ex parte 
    comments, offering their own proposed measurements and addressing the 
    specific recommendations made by LCUG in its revised proposal.
    
    B. Summary of Proposals
    
        7. In this NPRM, we tentatively conclude that we should propose 
    model performance measurements and reporting requirements for OSS 
    functions, interconnection, and access to operator services and 
    directory assistance. In Part III, we discuss the respective roles of 
    the Commission and the states with regard to the development and 
    implementation of model rules, as well as with respect to the 
    establishment of legally binding rules. In Part IV, we set forth 
    proposed performance measurements. In Part V, we discuss reporting 
    procedures, and in Part VI we propose methods to evaluate performance 
    measurements. As explained in Part VII, we conclude that we will not 
    address at this time several points raised in the LCI/CompTel petition, 
    such as the establishment of national performance standards, technical 
    standards, and enforcement mechanisms. In addition, we recognize that 
    the proposals set forth in this NPRM may disproportionately impact 
    small, rural, and midsized incumbent LECs. Consequently, in Part VIII 
    we also seek comment on the potential burdens that our proposed model 
    rules could impose on these incumbent LECs and we seek comment on 
    possible remedies.
    
    III. Role of Commission and States
    
        8. LCI and CompTel petitioned the Commission to initiate a 
    rulemaking to promulgate performance measurements and reporting 
    requirements. States as well have urged us to assist them in developing 
    these measurements. Indeed, NARUC passed a resolution seeking such 
    assistance. It states in pertinent part:
    
        Resolved: That the FCC be urged to move promptly to advance the 
    establishment of performance guidelines that can be used to evaluate 
    the provision of access to the components of OSS functions * * *.
    
    Individual states have also begun work in this area. For example, 
    California and New York have initiated proceedings to develop OSS 
    requirements, including performance measurements and reporting 
    requirements.
        9. The primary goal of this NPRM is to provide the requested 
    guidance to the states in the most efficient and expeditious manner 
    possible. Accordingly, we intend, in the first instance, to adopt a set 
    of model performance measurements and reporting requirements, based on 
    the detailed descriptions provided herein and subject to whatever 
    modifications we deem appropriate in light of comments received. These 
    model performance measurements and reporting requirements would not be 
    legally binding.
        10. We recognize that parties in this proceeding have offered 
    differing opinions concerning our jurisdiction to issue OSS rules. Some 
    have argued that the Eighth Circuit's decision in Iowa Utilities v. FCC 
    would preclude our authority to establish rules relating to OSS, while 
    others have argued, to the contrary, that portions of that decision 
    would validate our authority to issue such rules. We invite parties to 
    comment on this issue. Given that our primary goal is to provide 
    guidance to states through the adoption of model rules in the first 
    instance, however, we strongly encourage parties to focus on the 
    substance of the proposed performance measurements and reporting 
    requirements, rather than focusing exclusively on issues of 
    jurisdiction.
    
    IV. Proposed Performance Measurements and Reporting Requirements
    
    A. General Issues
    
        11. In this section, we propose performance measurements for each 
    of the five OSS functions, as well as for interconnection and OS/DA. 
    These measurements are intended to permit a direct assessment of 
    whether an incumbent LEC is complying with its obligations under 
    section 251.
        12. In the Local Competition First Report and Order, the Commission 
    determined that, because OSS includes the information necessary to 
    obtain other network elements or resold services, providing access to 
    OSS functions falls squarely within an incumbent LEC's duty under 
    section 251(c)(3) to provide unbundled network elements under terms and 
    conditions that are nondiscriminatory, just and reasonable, and its 
    duty under section 251(c)(4) to offer resale services without imposing 
    any limitations or conditions that are discriminatory or unreasonable. 
    Additionally, the Commission identified OSS itself as a network element 
    and stated that it consisted of five functions: (1) pre-ordering; (2) 
    ordering; (3) provisioning; (4) maintenance and repair; and (5) 
    billing. The Commission concluded that, as with all unbundled network 
    elements, an incumbent LEC must provide access to these five OSS 
    functions that is equivalent to what it provides itself, its own end-
    user customers, or other carriers.
    
    [[Page 27024]]
    
        13. As a practical matter, for those OSS functions provided to 
    competing carriers that are analogous to OSS functions that an 
    incumbent LEC provides itself in connection with retail service 
    offerings, the incumbent LEC must provide access to competing carriers 
    that is equivalent to the level of access that the incumbent LEC 
    provides itself in terms of quality, accuracy, and timeliness. Thus, 
    for example, for those functions that an incumbent LEC itself accesses 
    electronically, the incumbent LEC must provide electronic access for 
    competing carriers. In addition, competing carriers must have access to 
    OSS functions that allows them to make use of such functions in 
    ``substantially the same time and manner'' as the incumbent LEC. For 
    those OSS functions that have no direct retail analog, such as the 
    ordering and provisioning of unbundled network elements, an incumbent 
    LEC must provide access sufficient to allow an efficient competitor a 
    meaningful opportunity to compete.
        14. With respect to interconnection, the Commission concluded that 
    ``section 251(c)(2)(C) requires an incumbent LEC to provide 
    interconnection between its network and that of a requesting carrier at 
    a level of quality that is at least indistinguishable from that which 
    the incumbent provides itself, a subsidiary, an affiliate, or any other 
    party.'' Finally, incumbent LECs are obligated under section 251(c)(3) 
    to provide nondiscriminatory access to operator services and directory 
    assistance because they are network elements.
        15. The measurements we propose in this NPRM are designed to assist 
    in assessing an incumbent LEC's performance in providing OSS, 
    interconnection, and OS/DA to competing carriers. Various parties 
    presented proposals for performance measurements in this proceeding. We 
    conclude, however, that no single proposal optimally balances our goals 
    of detecting possible instances of discrimination while minimizing, to 
    the extent possible, burdens imposed on incumbent LECs. We therefore 
    propose a set of measurements that we believe provides an appropriate 
    balance of these goals.
        16. We recognize that reporting averages of performance 
    measurements alone, without further analysis, may not reveal whether 
    there are underlying differences in the way incumbent LECs treat their 
    own retail operations in relation to the way they treat competing 
    carriers. Consequently, we propose, as part of the model rules proposed 
    herein, the use of statistical tests to determine whether measured 
    differences in the average performance of incumbent LECs toward their 
    retail customers and toward competing carriers represent true 
    differences in behavior rather than random chance. Further, we 
    recognize that reporting on averages alone may mask potential forms of 
    discrimination. For example, an incumbent LEC may have the same average 
    completion interval in providing service to competing carriers as it 
    has in providing service to its retail customers, but the variation in 
    completion intervals in providing the service may differ greatly. It 
    may be the case, for instance, that the average completion interval is 
    four days for both competing carriers and retail customers, but half of 
    competing carriers' orders are completed in one day and half in seven 
    days, while all of retail customers' orders are completed in exactly 
    four days. For this reason, we seek comment below on the possible use 
    of statistical tests that capture differences in variances between two 
    samples as well as tests of differences in averages. We also seek 
    comment below on whether, as part of the model rules proposed herein, 
    the data underlying the performance measurement results should be made 
    available to competing carriers so that they can evaluate the incumbent 
    LECs' performance in other ways if they choose to do so.
        17. Before describing the individual performance measurements, 
    however, we seek comment on a number of general issues that pertain to 
    all performance measurements. These general issues concern: 1) the 
    appropriate balance between the burdens and benefits associated with 
    performance measurements and reporting requirements; 2) the appropriate 
    geographic level for reporting; 3) the scope of activities that 
    incumbent LECs should report; and 4) the relevant electronic interfaces 
    for purposes of reporting the measurements described below.
    1. Balance Between Burdens and Benefits
        18. Our goal in developing performance measurements, and the 
    associated level of detail, is to isolate the activities in which an 
    incumbent could discriminate when providing services and facilities to 
    competing carriers. We believe that persistent discrimination by an 
    incumbent LEC in any of the activities for which we have proposed 
    performance measurements potentially would undermine a competing 
    carrier's prospects for success in the local market. At the same time, 
    as we have noted previously, although we believe that performance 
    measurements and reporting requirements will help foster competition in 
    the local exchange market, compliance with performance measurements and 
    reporting requirements imposes certain burdens on incumbent LECs. In 
    developing our proposed performance measurements and reporting 
    requirements, we have sought to balance our goal of detecting possible 
    instances of discrimination with our goal of minimizing, to the extent 
    possible, burdens imposed on incumbent LECs. As a general matter, we 
    seek comment on whether our proposed measurements appropriately balance 
    these twin goals.
        19. Additionally, we ask parties to comment generally on the level 
    of detail contained in the proposed performance measurements. 
    Specifically, we seek comment on whether the performance measurements 
    we propose in this NPRM are sufficiently detailed to ensure the 
    collection of meaningful data, or whether greater detail or 
    disaggregation is necessary or whether lesser detail or disaggregation 
    would be sufficient.
    2. Geographic Level for Reporting
        20. We seek comment on the appropriate geographic level of 
    reporting. In particular, we seek comment on whether carriers should 
    report data for each performance measurement based on state boundaries, 
    LATAs, metropolitan statistical areas (MSAs), or some other relevant 
    geographic area. We also seek comment on whether a uniform geographic 
    level of reporting should apply to all performance measurements, or 
    whether it would be appropriate to require different levels of 
    reporting for separate measurements.
    3. Scope of Reporting
        21. We believe that, when an incumbent LEC reports the results of 
    the performance measurements, it must do so in a manner that permits a 
    competing carrier to compare the access the incumbent LEC provides to 
    the carrier and other competing carriers with the access the incumbent 
    LEC provides to itself or its affiliates. Accordingly, we tentatively 
    conclude that an incumbent LEC should report separately on its 
    performance as provided to: (1) its own retail customers; (2) any of 
    its affiliates that provide local exchange service; (3) competing 
    carriers in the aggregate; and (4) individual competing carriers. We 
    seek comment on these proposed levels of disaggregation and whether 
    they will permit competing carriers to detect discrimination.
    
    [[Page 27025]]
    
    4. Relevant Electronic Interfaces
        22. As the Commission has previously noted, an incumbent LEC must 
    provide competing carriers the same electronic access to its OSS 
    functions as it provides itself in accessing its own internal systems 
    and databases. Because incumbent LECs access their systems 
    electronically for retail purposes, we tentatively conclude that 
    incumbent LECs need measure only the access they provide electronically 
    to competing carriers. Therefore, our proposals would only require 
    incumbent LECs to measure the performance of the electronic interfaces 
    that incumbent LECs offer to competing carriers for access to OSS.
        23. We recognize that most incumbent LECs provide several types of 
    electronic interfaces, such as a GUI-based interface and an EDI-based 
    interface. We seek comment on whether these incumbent LECs must provide 
    performance measurements for each type of electronic interface. We seek 
    comment on whether an incumbent LEC should measure performance for each 
    of its electronic interfaces or only some subset of the interfaces it 
    offers. To the extent that incumbent LECs report on performance for all 
    electronic interfaces, we tentatively conclude that they should 
    disaggregate the data by interface type when reporting each performance 
    measurement.
        24. As noted above, we have sought to balance our goal of detecting 
    possible instances of discrimination with our goal of minimizing, to 
    the extent possible, burdens imposed on incumbent LECs. Because we 
    intend to limit our proposed measurements to the performance of an 
    incumbent LEC's electronic interfaces, we expect that most of the 
    measurements proposed in this NPRM can be collected through electronic 
    coding or some other automatic logging procedure. We seek comment on 
    which, if any, of our proposed measurements may require more labor-
    intensive collection methods and whether, as a result, they would be 
    unduly burdensome.
    
    B. Proposed Measurements
    
    1. Pre-Ordering Measurements
        25. The pre-ordering function allows a competing carrier to gather 
    and confirm information necessary to place an accurate order for its 
    end user. We tentatively conclude that an incumbent LEC must measure 
    the average interval for providing access to pre-ordering information 
    to competing carriers, as well as to itself. The Average Response Time 
    measurement could, however, be based on all queries sent to the pre-
    ordering interface or some subset of these queries. We seek comment on 
    whether a sampling approach, such as the one adopted in the Bell 
    Atlantic/NYNEX Merger Order, would be a sufficient method for assessing 
    an incumbent LEC's nondiscriminatory provision of pre-ordering 
    information. In addition, we propose that an incumbent LEC disaggregate 
    the results for this measurement according to the pre-ordering sub-
    functions.
        26. We recognize that there may be instances where an incumbent LEC 
    does not provide access to certain pre-ordering sub-functions on a real 
    time basis, but rather via batch files (e.g., street address 
    verification). We seek comment on whether incumbent LECs should exclude 
    those pre-ordering sub-functions that are not provided on a real time 
    basis from this measurement, or whether there are alternative methods 
    to detect possible discriminatory access in such instances.
        27. In certain instances a competing carrier may be unable to 
    retrieve pre-ordering information for each query attempt. Instead, it 
    may receive a rejected query notice (also known as a failed attempt 
    notice). We seek comment on whether an incumbent LEC should measure the 
    speed by which it provides rejected query notices to competing carriers 
    as well as to itself. In addition, we seek comment on whether a 
    rejected query notice measurement must be provided as a separate 
    category for the pre-ordering function in general or, alternatively, 
    disaggregated separately for each pre-ordering sub-function. Finally, 
    we seek comment on whether incumbent LECs should measure the number of 
    rejected query notices as a percentage of the total number of pre-
    ordering queries.
    2. Ordering and Provisioning Measurements
        a. Disaggregation of data. 28. Before describing the proposed 
    ordering and provisioning measurements, this section discusses the 
    levels of disaggregation that we believe should apply to these 
    measurements, as well as to the repair and maintenance measurements 
    discussed in Part IV.B.3. We believe that some level of disaggregation 
    is necessary to ensure the collection of meaningful results. We note 
    that a number of parties have proposed various levels of 
    disaggregation. Although we make no tentative conclusions regarding the 
    appropriate levels of disaggregation for ordering and provisioning 
    measurements and repair and maintenance measurements, we seek comment 
    on the thirteen measurement categories. In order for competing carriers 
    to track more easily the treatment accorded to certain types of orders 
    throughout the ordering and provisioning process, we propose to use 
    these thirteen measurement categories for the order completion 
    measurements, the order status measurements, the held orders 
    measurement, and the installation troubles measurement. Similarly, in 
    order for competing carriers to observe more easily correlations 
    between the types of services or elements ordered and any subsequent 
    need for repair and maintenance, we propose to use the same thirteen 
    measurement categories for the various repair and maintenance 
    measurements, the Average Time to Restore measurement, the Frequency of 
    Troubles in a Thirty Day Period measurement, the Frequency of Repeat 
    Troubles in a Thirty Day Period measurement and the Percentage of 
    Customer Troubles Resolved within Estimated Time measurement.
        29. We seek comment on whether the thirteen proposed measurement 
    categories are appropriate. In particular, we seek comment on whether 
    these categories would disaggregate the data sufficiently to allow the 
    detection of discrimination. We also seek comment on whether fewer 
    levels of disaggregation would sufficiently detect instances of 
    discrimination, but would impose less reporting burden on incumbent 
    LECs.
        30. We propose that incumbent LECs first break down the orders by 
    separating resold services, unbundled network elements, and 
    interconnection trunks.
        For resold services, we propose to disaggregate the measurements 
    further according to the three broad categories of resold 
    telecommunications services: (1) Residential POTS; (2) business POTS; 
    and (3) special services. We believe that each particular service that 
    is available for resale can be categorized under one of these broader 
    service umbrellas. We propose, however, that each group should be 
    broken down by orders that require the dispatch of a service technician 
    and those that do not. We believe that this breakdown is important 
    because the need for field work has a significant impact on the amount 
    of time necessary to provision a resale order placed by a competing 
    carrier. We seek comment on the proposed levels of disaggregation for 
    resold services.
        31. For unbundled network elements, we propose that incumbent LECs 
    report separately the measurement results associated with ordering and 
    provisioning different types of network elements (i.e., unbundled 
    loops,
    
    [[Page 27026]]
    
    unbundled switching, and unbundled local transport). We believe that 
    disaggregation by type of network element is necessary because there 
    are varying degrees of order complexity and inter-carrier coordination 
    involved with different types of network elements, including 
    combinations of network elements, and that these variations will affect 
    the time required to provision a network element order. In addition, we 
    propose that orders for unbundled loops should be broken down by 
    whether the loops are provisioned with interim number portability. We 
    believe that the provisioning time for loops with interim number 
    portability may differ from those without. We seek comment on our 
    proposed levels of disaggregation for network element orders. We also 
    seek comment on whether the unbundled loop category should be further 
    disaggregated, as suggested by LCUG, between 2-wire unbundled loops, 
    which are generally used for POTS-type services, and all other loop 
    types, such as 4-wire unbundled loops and unbundled DS1 loops, which 
    may be more complex to provision.
        32. Finally, we propose to include interconnection trunks as a 
    separate measurement category. Although interconnection trunks are 
    physically indistinguishable from transport links, interconnection 
    trunks are unique because they are used for the transmission of traffic 
    between two networks, whereas transport links are used for the 
    transmission of traffic within the incumbent's network. As a result, 
    the process for ordering interconnection trunks, as well as the 
    mechanisms for provisioning those trunks, is likely to involve a higher 
    degree of order complexity, as well as greater inter-carrier 
    coordination, and, therefore, may require a separate reporting 
    category. We seek comment on the inclusion of interconnection trunks as 
    a separate measurement category.
        b. Order Completion Measurements.
        33. We tentatively conclude that incumbent LECs must measure the 
    Average Completion Interval and the Percentage of Due Dates Missed for 
    orders placed by their own retail customers and for orders placed by 
    competing carriers.
        34. The measurement for the Average Completion Interval seeks to 
    compare the average length of time it takes an incumbent LEC to 
    complete orders for competing carriers with the average length of time 
    it takes to complete comparable incumbent LEC retail orders. For 
    competing carriers' orders, we tentatively conclude that an incumbent 
    LEC must measure the interval from its receipt of a valid order 
    (``Order Submission Date and Time'') at its OSS interface until the 
    time it returns a completion notification to the competing carrier 
    (``Date and Time of Notice of Completion''). For its own orders, we 
    propose that an incumbent LEC measure the interval from when its 
    service representative enters an end user customer's order into its 
    order processing system (``Order Submission Date and Time'') to the 
    time it completes the order (``Completion Date and Time''). We seek 
    comment on whether our proposed measurement for the Average Completion 
    Interval is sufficient or whether greater or lesser detail is 
    necessary.
        35. The Percentage of Due Dates Missed measurement seeks to 
    determine whether the agreed-upon due dates for order completion are 
    equally reliable for orders placed by competing carriers and orders 
    placed by an incumbent LEC's end user customers. We tentatively 
    conclude that an incumbent LEC must calculate this percentage by 
    comparing the total number of orders not completed by the committed due 
    date and time during the specified reporting period to the total number 
    of orders scheduled to be completed during that reporting period. This 
    same measurement would apply to orders for an incumbent LEC's customers 
    and for orders submitted by competing carriers. We seek comment on 
    whether our proposed measurement for Percentage of Due Dates Missed is 
    appropriate or whether additional detail is necessary.
        36. With respect to both the Average Completion Interval and 
    Percentage of Due Dates Missed measurements, we tentatively conclude 
    that certain exclusions should apply. We tentatively conclude that 
    incumbent LECs should exclude orders canceled or supplemented by 
    competing carriers from these measurements. We seek comment on whether 
    additional exclusions are needed.
        c. Average time for coordinated customer conversions. 37. We 
    tentatively conclude that the incumbent LECs should measure the Average 
    Time for Coordinated Customer Conversions. Specifically, incumbent LECs 
    must measure the average time it takes to disconnect an unbundled loop 
    from the incumbent LEC's switch and cross connect it to a competing 
    carrier's equipment with and without number portability. This 
    performance measurement will assist in determining how long a customer 
    switching to a competing carrier is without local exchange service when 
    the competing carrier utilizes the incumbent LEC's unbundled loop, in 
    conjunction with its own switching equipment, to provide such service. 
    We believe that this measurement will assist in evaluating the 
    incumbent LEC's provisioning of unbundled loops and the impact on 
    competing carriers' customers.
        d. Order status measurements. 38. We have previously stated that a 
    competing carrier must receive information on the status of its orders 
    on the same basis as an incumbent LEC provides such notices to itself.
        39. We tentatively conclude that incumbent LECs must provide the 
    following order status measurements: (1) the Average Reject Notice 
    Interval; (2) the Average Firm Order Confirmation (FOC) Notice 
    Interval; (3) the Average Jeopardy Notice Interval; (4) the Percentage 
    of Orders in Jeopardy; and (5) the Average Completion Notice Interval. 
    We tentatively conclude that all incumbent LECs must also measure these 
    intervals for themselves, whether or not they have done so previously, 
    in order to provide a basis for comparison with the average intervals 
    for competing carriers. A comparison of these times can provide 
    information on whether the incumbent is providing nondiscriminatory 
    access to competing carriers. We seek comment on these tentative 
    conclusions. If an incumbent LEC does not currently provide itself with 
    a certain form of notice (e.g., a FOC), we seek comment on the 
    appropriate retail analog that should be measured. We also seek comment 
    on whether all of these order status measurements are necessary to 
    ensure that an incumbent LEC is providing nondiscriminatory access.
        40. The Average Reject Notice Interval seeks to measure the amount 
    of time it takes an incumbent LEC to notify the competing carrier that 
    an order has been rejected. An incumbent LEC typically sends an order 
    rejection notice for invalid orders, such as those that have syntax or 
    formatting errors in the order form. The Commission has previously 
    explained that ``[t]imely delivery of order rejection notices has a 
    direct impact on a new entrant's ability to service its customers, 
    because new entrants cannot correct errors and resubmit orders until 
    they are notified of their rejection * * *.'' We tentatively conclude 
    that an incumbent LEC must measure the time it takes to deliver such 
    notices by using the measurement. We propose that an incumbent LEC 
    measure this interval from the time it receives an order at its OSS 
    interface to the time the rejection notice leaves its gateway. We seek 
    comment on these tentative conclusions.
        41. The Average FOC Notice Interval seeks to measure the amount of 
    time it takes an incumbent LEC to send a
    
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    competing carrier a notice confirming the order. Competing carriers 
    rely on FOC notices to apprise their customers of due dates. We 
    tentatively conclude that an incumbent LEC must measure the time it 
    takes to deliver a FOC notice by using the measurement. We also 
    tentatively conclude that the incumbent LEC must measure this interval 
    from the time it received a valid order at its OSS interface from the 
    competing carrier to the time the FOC leaves its OSS interface and is 
    transmitted to the competing carrier. Because this interval measures 
    only valid orders, we tentatively conclude that incumbent LECs must 
    exclude rejected orders from this measurement. We seek comment on these 
    tentative conclusions.
        42. The Average Jeopardy Notice Interval attempts to determine how 
    far in advance a competing carrier receives notice that its customer's 
    order is in jeopardy of not being completed as scheduled, compared to 
    how far in advance an incumbent LEC's service representative receives 
    such notice. The Commission has previously explained that competing 
    carriers need timely order jeopardy notices to inform their customers 
    of the potential need to reschedule the time for service installation. 
    We tentatively conclude that incumbent LECs must measure the amount of 
    time between the originally scheduled order completion date and time 
    (as stated on the FOC) and the date and time a notice leaves the 
    incumbent LEC's interface informing the carrier that the order is in 
    jeopardy of missing the originally scheduled date. We seek comment on 
    this tentative conclusion.
        43. We also tentatively conclude that incumbent LECs must measure 
    the Percentage of Orders in Jeopardy. This measurement determines the 
    percentage of orders that the incumbent LEC identifies as being in 
    jeopardy of not being completed on time for any reason. This 
    information will enable a competing carrier to determine whether a 
    significantly higher percentage of its orders are placed in jeopardy 
    than an incumbent LEC's retail orders. Additionally, a competing 
    carrier should receive a jeopardy notification for each of its orders 
    that the incumbent LEC fails to complete on time. A competing carrier 
    can determine whether it is receiving this requisite advance notice by 
    comparing the Percentage of Orders in Jeopardy to the Percentage Due 
    Dates Missed measurement.
        44. Finally, the Average Completion Notice Interval measures the 
    amount of time it takes an incumbent LEC to send a competing carrier 
    notice that work on an order has been completed. We tentatively 
    conclude that an incumbent LEC must use the measurement and must 
    measure the interval by subtracting the date and time that it completed 
    the work from the date and time a valid completion notice leaves its 
    OSS interface. We seek comment on these tentative conclusions.
        e. Average interval for held orders. 45. We tentatively conclude 
    that incumbent LECs must measure the Average Interval for Held Orders. 
    This measurement seeks to capture the time required to complete held 
    orders, i.e., those orders pending at the end of the reporting period 
    whose committed due dates have passed. For example, if incumbent LECs 
    report on a monthly basis, a held order would be any order that is 
    overdue at the end of the month. By measuring those orders whose due 
    dates have passed, the Average Held Order measurement will capture 
    those orders not covered by the Average Completion Interval 
    measurement, which measures orders that are completed by the committed 
    due date. We believe that the Average Interval for Held Orders 
    measurement will enable a requesting carrier to determine whether the 
    average period that its orders are pending after the committed due date 
    is no longer than the average period for similar incumbent LEC pending 
    orders. We seek comment on the utility of measuring the average 
    interval for held orders and whether the measurement described below 
    accurately captures the necessary information.
        46. To arrive at the Average Interval for Held Orders, we 
    tentatively conclude that the incumbent LEC should first identify all 
    orders with a FOC listing a due date prior to the end of the reporting 
    period in question for which a valid completion notice has not yet been 
    issued. The held order interval for a particular order is the number of 
    calendar days between the completion date listed on that order's FOC 
    and the close of the reporting period. The Average Interval for Held 
    Orders is then calculated by dividing the total number of days since 
    the due date up to the reporting period close date by the number of 
    held orders. Incumbent LECs should measure the Average Interval for 
    Held Orders for both competing carrier orders and their own retail 
    customer orders. We propose that incumbent LECs exclude from this 
    measurement those orders cancelled by a competing carrier. We seek 
    comment on whether these exclusions will assist in producing meaningful 
    results and on whether additional exclusions are needed.
        f. Installation troubles. 47. We tentatively conclude that an 
    incumbent LEC must measure Percentage Troubles in Thirty Days for New 
    Orders. We believe that incumbent LECs must calculate the percentage of 
    new orders for which a competing carrier, or incumbent LEC customer 
    service representative, receives complaints that there is a problem 
    with the service within the first thirty days after completion of the 
    order. Trouble reports often indicate that a customer has not received 
    the exact service ordered, either because the carrier provided the 
    wrong type of service or a lower quality of service than expected. We 
    believe, therefore, that this measurement will provide information 
    about whether the incumbent LEC processed the order accurately. 
    Accordingly, we propose that incumbents LECs measure Percentage 
    Troubles in Thirty Days for New Orders as a substitute for LCUG's 
    proposed measurement of Percentage Orders Processed Accurately. We 
    believe that Percentage Troubles in Thirty Days for New Orders will 
    provide the information sought by LCUG, but will be a less burdensome 
    measurement than measuring order accuracy, which requires an incumbent 
    LEC to compare the original account profile and order sent by the 
    competing carrier to the account profile following completion of the 
    order. Nevertheless, we seek comment on using this measurement as a 
    substitute for order accuracy. We also seek comment on whether thirty 
    days is an appropriate cut-off for measuring trouble reports for new 
    orders.
        48. Although we make no tentative conclusions regarding the 
    specific measurement needed to measure Percentage Troubles in Thirty 
    Days for New Orders, we seek comment on the measurement. Specifically, 
    we seek comment on whether this measurement should be disaggregated in 
    the same way as the other ordering and provisioning measurements. It 
    may not be appropriate, for example, to include interconnection trunks 
    because any problems relating to such trunks will likely affect many 
    customers on the competing carrier's network, rather than one specific 
    customer. We seek comment on whether interconnection trunks, or any 
    other categories of disaggregation, should be eliminated for this 
    measurement.
        49. Finally, we seek comment on whether it is appropriate to 
    measure percentage troubles on a ``per order'' basis. We seek comment 
    on whether tracking troubles on a per order basis might mask a higher 
    number of troubles for larger orders. For example, an order of forty 
    new lines may have several problems and yet would be reported as having 
    only one trouble report. We therefore seek comment on whether a
    
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    ``per circuit'' basis for resale orders and ``per element'' basis for 
    unbundled network element orders might be more useful than a ``per 
    order'' basis.
        g. Ordering quality measurements.
    1. Order Flow Through
        50. An incumbent LEC's internal ordering system permits its retail 
    service representatives to submit retail customer orders 
    electronically, directly into the ordering system. This is known as 
    ``flow through.'' Similarly, a competing carrier's orders ``flow 
    through'' if they are transmitted electronically (i.e., with no manual 
    intervention) through the gateway into the incumbent LEC's ordering 
    systems. Order Flow Through applies solely to the OSS ordering 
    function, not the OSS provisioning function. In other words, Order Flow 
    Through measures only how the competing carrier's order is transmitted 
    to the incumbent's back office ordering system, not how the incumbent 
    ultimately completes that order. Electronically processed service 
    orders are more likely to be completed and less prone to human error 
    than orders that require some degree of human intervention.
        51. We tentatively conclude that incumbent LECs should measure the 
    percentage of competing carriers' orders that flow through 
    electronically to the incumbent LEC's ordering systems. The Percentage 
    Order Flow Through measurement seeks to calculate the percentage of 
    orders that an incumbent LEC processes electronically through its 
    gateway and accepts into its back office systems without manual 
    intervention (i.e., without additional human intervention once the 
    order is submitted into the system). This measurement only applies to 
    valid orders, that is, orders that have not been rejected for some 
    reason. A separate measurement for rejected orders is in paragraph 53.
        52. We tentatively conclude that the Order Flow Through measurement 
    must be disaggregated by the following categories: (1) resale POTS; (2) 
    resale specials; (3) network elements; and (4) combinations of network 
    elements. We note that the proposed categories for the Order Flow 
    Through measurement are less detailed than the categories proposed for 
    the other measurements relating to the ordering process (e.g., order 
    completion and order status measurements). We believe this distinction 
    is justified because the Order Flow Through measurement focuses solely 
    on the OSS ordering function, whereas the other proposed measurements 
    (i.e., those regarding order completion and order status) also focus on 
    the OSS provisioning function. In the provisioning context, there may 
    be substantial differences in the time required to provide various 
    types of unbundled network elements and services. For example, the time 
    required to complete certain orders may vary based on whether an order 
    requires a dispatch, or merely a billing change. In the order flow 
    through context, such issues are irrelevant. The method of ordering 
    resold services and network elements is not likely to vary between 
    residential and business customers. We seek comment on the proposed 
    levels of disaggregation for the Order Flow Through measurement and 
    whether further disaggregation is necessary.
    2. Order Rejections
        53. We tentatively conclude that incumbent LECs must report on the 
    Percentage of Rejected Orders. We also tentatively conclude that this 
    measurement must be reported to the same level of disaggregation as the 
    Order Flow Through measurement. The Percentage of Rejected Orders 
    measurement, would determine the percentage of total orders received 
    electronically that are rejected.
        54. In addition to the above measurement, we seek comment on 
    whether incumbent LECs should report on the average number of times an 
    order must be resubmitted before it is finally accepted as a valid 
    order. The Average Submissions per Order measurement would require 
    incumbent LECs to measure the number of orders accepted for 
    provisioning and the number of orders rejected during the reporting 
    period in order to calculate the total number of order submissions in 
    the reporting period. The total number of order submissions would then 
    be divided by the total number of orders accepted for provisioning in 
    the reporting period.
        h. 911 Database update and accuracy. 55. One of the OSS databases 
    used in ordering and provisioning services and facilities to competing 
    carriers is the 911/E911 database. We seek comment on whether incumbent 
    LECs should measure the provision of 911 and E911 emergency services to 
    competing carriers. The accuracy of 911 and E911 database updates was 
    identified as an important issue in the Ameritech Michigan 271 Order, 
    62 FR 44969, August 25, 1997. We seek comment on whether federal 
    reporting requirements are necessary to monitor possible 
    discrimination, or whether the states' existing oversight functions of 
    911 and E911 database services adequately monitor carrier-to-carrier 
    discrimination.
        56. We also seek comment on what particular measurements would be 
    useful if we were to adopt reporting requirements in this area. In 
    particular, we seek comment on the utility of measuring the percentage 
    of accurate updates for incumbent LEC and competing carrier customers. 
    Such a measurement might assist a competing carrier in determining 
    whether there is discriminatory treatment in updating these databases.
        57. We also seek comment on the utility of measuring the timeliness 
    of updates to the 911 and E911 databases. We seek comment on whether 
    incumbent LECs should measure the percentage of missed due dates by 
    establishing due dates, or specific time frames, for updating 
    databases. Alternatively, we seek comment on whether incumbent LECs 
    should measure the mean time to update the 911 and E911 databases.
    3. Repair and Maintenance Measurements
        58. We tentatively conclude that incumbent LECs must provide the 
    following repair and maintenance measurements: (1) Average Time to 
    Restore; (2) Frequency of Repeat Troubles in Thirty Days; (3) Frequency 
    of Troubles in a Thirty Day Period; and (4) Percentage of Customer 
    Troubles Resolved within the Estimated Time. Incumbent LECs must 
    calculate these measurements for themselves and for competing carriers. 
    We seek comment on whether these four measurements are sufficient to 
    assess whether incumbent LECs provide repair and maintenance in a 
    nondiscriminatory manner, or whether this assessment could be done with 
    fewer measurements. In addition, we seek comment on whether incumbent 
    LECs should disaggregate the repair and maintenance measurements in the 
    manner described with respect to the ordering and provisioning 
    measurements.
        59. The Average Time to Restore measurement allows a competing 
    carrier to gauge whether its customers' services are repaired in the 
    same time frame as that of the incumbent LEC's customers. The Average 
    Time to Restore measures the time from when a service problem is 
    reported to the incumbent LEC (i.e., when a ``trouble ticket'' is 
    logged) to the time when the incumbent LEC returns a trouble ticket 
    resolution notification to the competing carrier.
        60. The Frequency of Troubles in a Thirty Day Period measurement 
    reports the percentage of access lines that receive trouble tickets in 
    a thirty day period. This measurement permits a competing carrier to 
    determine on an
    
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    ongoing basis whether its customers experience more frequent incidents 
    of trouble than the incumbent LEC's end users. Disparity in this 
    measurement may indicate differences in the underlying quality of the 
    network components supplied by the incumbent LEC. We seek comment on 
    whether thirty days is an appropriate time frame.
        61. The Frequency of Repeat Troubles in a Thirty Day Period 
    measurement calculates the percentage of trouble tickets that are 
    repeat trouble tickets. Any differences in this measurement may 
    indicate that the incumbent LEC provides inferior maintenance support 
    in the initial resolution of troubles or, in the alternative, that the 
    incumbent LEC supplies network components of an inferior quality. The 
    Frequency of Repeat Troubles in a Thirty Day Period measurement is 
    calculated by dividing the number of repeat troubles generated in a 
    thirty day period by the total number of trouble tickets received in 
    the same thirty day period. Again, we seek comment on whether thirty 
    days is an appropriate time frame.
        62. The Percentage of Customer Troubles Resolved Within the 
    Estimated Time measures whether the estimated times for repairs the 
    incumbent LEC reports to competing carriers are as reliable as the 
    estimated times the incumbent LEC provides to its end user customers. 
    Recognizing that troubles on interconnection trunks may not be customer 
    specific, we seek comment on the utility of requiring incumbent LECs to 
    report on the Percentage of Customer Troubles Resolved Within the 
    Estimated Time with respect to interconnection trunks.
        63. We note that LCUG has proposed measurement categories for the 
    Average Time to Restore measurement based on the disposition and cause 
    of the trouble. We seek comment on whether most carriers use the 
    disposition and cause categories proposed by LCUG, and whether such a 
    breakdown would be useful for the repair and maintenance measurements. 
    We also seek comment on whether such a breakdown would place undue 
    burdens on incumbent LECs.
        64. We tentatively conclude that incumbent LECs should exclude the 
    following types of trouble reports from the measurements described 
    above: (1) trouble tickets that are cancelled by the competing carrier; 
    (2) incumbent LEC trouble reports associated with the internal or 
    administrative use of local service; and (3) instances where the 
    customer requests a ticket be ``held open'' for monitoring. With 
    respect to the Frequency of Repeat Troubles measurement, we tentatively 
    conclude that incumbent LECs should exclude subsequent trouble reports 
    on maintenance tickets that have not been reported as resolved or 
    closed. We seek comment on whether these exclusions will assist in 
    producing meaningful results and whether additional exclusions are 
    needed.
    4. Billing Measurements
        65. As noted above, an incumbent LEC must provide nondiscriminatory 
    access to billing, as one of the five OSS functions identified by the 
    Commission in the Local Competition First Report and Order. A competing 
    carrier is dependent on an incumbent LEC to obtain billing information, 
    regardless of whether it uses unbundled network elements or resold 
    services. Two types of billing information a competing carrier must 
    obtain from an incumbent LEC are: (1) customer usage records (i.e., 
    those records detailing each end user's use of the incumbent's 
    services); and (2) billing invoices, which establish the amount the 
    competing carrier owes the incumbent LEC for use of its services or 
    facilities.
        66. We tentatively conclude that a competing carrier can determine 
    whether it is obtaining nondiscriminatory access to these two sets of 
    billing records by obtaining performance measurements on the Average 
    Time to Provide Usage Records and the Average Time to Deliver Invoices. 
    The first measurement (Average Time to Provide Usage Records) seeks to 
    capture the average time it takes an incumbent LEC to provide customer 
    usage records. We tentatively conclude that incumbent LECs should use 
    the measurements for the Average Time to Provide Usage Records in 
    calculating the intervals for competing carriers and for their own 
    retail use. For competing carriers, an incumbent LEC must compare the 
    date and time it records usage data with the date and time it transmits 
    the records from its OSS gateway to the competing carrier. For its own 
    retail use, we propose that an incumbent LEC measure the elapsed time 
    between the date and time of recording the usage record to the date and 
    time it reformats the record on an Electronic Message Record (EMR), or 
    an equivalent, format. We seek comment on these measurements. 
    Additionally, we understand that files and billing for local usage, 
    exchange access usage, and alternately billed usage are separated in 
    the actual billing process, and we seek comment on whether incumbent 
    LECs should disaggregate the Average Time to Provide Usage Records into 
    these three groups.
        67. The second measurement (Average Time to Deliver Invoices) seeks 
    to measure the average time it takes an incumbent LEC to transmit a 
    billing invoice to a competing carrier for charges related to resale 
    and/or network elements. We tentatively conclude that incumbent LECs 
    should calculate the Average Time to Deliver Invoices. For competing 
    carriers, an incumbent LEC must compare the date and time it transmits 
    the invoices to the competing carrier to the date and time the billing 
    cycle closes. For an incumbent LEC's own retail use, LCUG has proposed 
    that an incumbent LEC compare the date and time the customer's bills 
    are produced in electronic format (whether or not they are distributed) 
    to the date and time the billing cycle closes. We seek comment on this 
    proposal for retail use and on our tentative conclusion regarding the 
    appropriate measurement for competing carriers. We also seek comment on 
    whether incumbent LECs should report separately for wholesale bill 
    invoices and unbundled element bill invoices for competing carriers. 
    Finally, we seek comment on whether any other measurements for billing 
    are appropriate.
    5. General Measurements
        a. Systems Availability. 68. We tentatively conclude that an 
    incumbent LEC must measure the percentage of time its electronic 
    interfaces for each OSS function are actually operational as compared 
    to the scheduled availability. We propose that an incumbent LEC 
    calculate this measurement by comparing the total time it provides 
    access to a particular interface during the reporting period to the 
    total time the interface was scheduled to be available during the 
    reporting period. We also propose that an incumbent LEC compare the 
    total time its own systems are available to its service representatives 
    to the amount of time that those systems should have been available 
    during the reporting period. We believe that this measurement will 
    assist in determining whether the incumbent LEC provides 
    nondiscriminatory access to its electronic interfaces. We believe that 
    both prolonged outages and frequent unavailability of electronic access 
    to an incumbent LEC's OSS interfaces may significantly and adversely 
    affect a competing carrier's ability to provide service to end users. 
    We tentatively conclude that this measurement must be disaggregated by 
    interface type, such as EDI and GUI, as well as by each separate OSS 
    function provided by the incumbent LEC to competing carriers (e.g., 
    pre-ordering, ordering,
    
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    provisioning, repair and maintenance, and billing). We seek comment on 
    our tentative conclusions regarding systems availability measurements.
        b. Center Responsiveness. 69. We tentatively conclude that an 
    incumbent LEC must measure the average time to answer calls from 
    competing carriers to an incumbent LEC's wholesale service center. We 
    propose that an incumbent LEC calculate this measurement by tracking 
    the time elapsed from when the service center's call management system 
    is prompted by an incoming call from a competing carrier until the call 
    is answered by an incumbent LEC's service representative. We seek 
    comment on our tentative conclusion to require a measurement for center 
    responsiveness.
        c. Operator services and directory assistance. 70. We tentatively 
    conclude that an incumbent LEC must measure the average time it takes 
    its own end user customers and those of competing carriers to access 
    the incumbent LEC's operator services and directory assistance 
    databases or operators. We seek comment on this specific measurement.
        71. Incumbent LECs appear to be able to provide separate 
    measurement results for competing carriers that use dedicated trunks to 
    access the incumbent LEC's OS/DA database or operators. Therefore, we 
    tentatively conclude that incumbent LECs must provide separate 
    measurement results in such instances. We seek comment, however, on 
    whether, for purposes of disaggregation, an incumbent LEC is able to 
    differentiate between OS/DA calls from its own end user customers and 
    customers of competing carriers if all such calls are carried over the 
    same OS/DA trunk groups.
    6. Interconnection Measurements
        72. As previously noted, section 251(c)(2) of the Act requires 
    incumbent LECs to provide interconnection to competing carriers at the 
    same level of quality as used in their own networks. We tentatively 
    conclude that incumbent LECs must measure the quality of 
    interconnection through three different means. As discussed above, we 
    tentatively conclude that incumbent LECs must report separately for 
    interconnection trunks when disaggregating the ordering and 
    provisioning measurements, as well as the repair and maintenance 
    measurements. We also tentatively conclude, as discussed below, that 
    incumbent LECs must report on two sets of interconnection measurements, 
    one for trunk blockage and one for collocation. These two sets of 
    measurements are intended to reveal the quality of interconnection 
    provided to competing carriers.
        a. Trunk Blockage. 73. We tentatively conclude that incumbent LECs 
    must measure trunk blockage, i.e., blockage on final trunk groups 
    within their networks. Blockage on these final trunk groups prevents 
    end user calls from reaching their final destination. The inability of 
    a competing carrier's end users to complete or receive calls has a 
    direct impact on the customer's perception of the competing carrier's 
    quality of service.
        74. We believe that competing carriers' traffic can be blocked at 
    two critical points: (1) interconnection trunk groups (e.g., those 
    trunk groups connecting the incumbent LEC's end offices, access 
    tandems, or local tandems with a competing carrier's network); or (2) 
    common trunk groups located within the incumbent LEC's network behind 
    the point of interconnection (e.g., trunks connecting the incumbent's 
    tandem switch with other points in the incumbent LEC's network). We 
    therefore tentatively conclude that an incumbent LEC measure on 
    blockage on both sets of trunk groups. We seek comment on these 
    tentative conclusions.
        75. We seek comment on certain general issues associated with 
    measuring trunk blockage. We recognize that inferior service is 
    generally indicated by repeated blockage on the same final trunk 
    groups. We therefore seek comment on whether incumbent LECs should 
    measure whether there is repeated blockage over the same trunk groups 
    for an ongoing period, such as three consecutive months. We also seek 
    comment on whether incumbent LECs should report on blockage exceeding a 
    certain blocking standard for both interconnection and common trunk 
    group measurements. In the Bell Atlantic/NYNEX Merger Order, for 
    example, the Commission required Bell Atlantic to report on blockage 
    exceeding a blocking standard of B.01 for interconnection trunks and 
    B.005 for common trunks. We seek comment on whether incumbent LECs 
    should measure blockage exceeding these standards.
        76. We also seek comment on methods by which parties may evaluate 
    whether incumbent LECs are providing interconnection in compliance with 
    their statutory obligations under section 251(c)(2). With respect to 
    interconnection trunks, we seek comment on the utility of comparing 
    blockage on interconnection trunks and blockage on the incumbent LEC's 
    interoffice trunk groups carrying its retail customers' traffic. In the 
    Ameritech Michigan 271 proceeding, Ameritech provided data on trunk 
    blockage rates for both groups. The Commission determined that a higher 
    percentage of interconnection trunking groups experienced blockage than 
    did Ameritech's interoffice trunking groups serving its retail 
    customers, suggesting that Ameritech's interconnection facilities did 
    not meet the same service standards as those used within its own 
    network. We seek comment on the value of using a comparison similar to 
    that used in the Ameritech Michigan 271 Order for gauging whether 
    interconnection trunks are provided in a nondiscriminatory manner. We 
    also seek comment on which set of interoffice trunk groups incumbent 
    LECs should monitor.
        77. A competing carrier's ability to provide service to its 
    customers may also be affected by blockage on common trunks located 
    within the incumbent LEC's network behind the point of interconnection. 
    We tentatively conclude that it is necessary to measure common trunk 
    blockage and seek comment on appropriate methods to make such 
    measurements. Specifically, we seek comment on whether incumbent LECs 
    should use the common trunk data report established in BellCore Special 
    Report SR STS-000317, ``Common Trunk Transport Group Performance 
    Data,'' Issue 2, September 1990. While we recognize that this report 
    was intended to provide information about common trunk blockage to 
    interexchange carriers (IXCs), we seek comment on whether this report 
    can provide useful information for competing carriers as well. We also 
    seek comment on whether incumbent LECs generally use this common trunk 
    data report and whether all the measurements in the report are 
    applicable to competing carriers. Additionally, we seek comment on the 
    utility of requiring incumbent LECs to report on blockage on common 
    trunks within their networks that connect to a point of 
    interconnection, as well as on interoffice common trunks that are not 
    connected to a point of interconnection. We seek comment on an 
    incumbent LEC's ability to separately measure and report on blockage 
    over these two types of common trunks (i.e., those trunk groups that 
    connect to a point of interconnection and those that do not) and 
    whether information about these two types of trunk groups will assist a 
    competing carrier in determining whether it is receiving 
    nondiscriminatory interconnection.
        78. Finally, we seek comment on whether an incumbent LEC must
    
    [[Page 27031]]
    
    measure call completion rates to demonstrate that it is satisfying the 
    statutory requirements of section 251(c)(2). In measuring call 
    completion rates, an incumbent LEC would compare the percentage of 
    calls completed by incumbent LEC customers to competing carrier 
    customers, relative to the percentage of calls completed by incumbent 
    LEC customers to other incumbent LEC customers. In the Ameritech 
    Michigan 271 Order, the Commission noted that data regarding the rate 
    of call completion would be useful in assessing the quality of 
    interconnection. We seek comment on the utility of using this 
    measurement to gauge the quality of interconnection provided by an 
    incumbent LEC and on the benefits of using the call completion 
    measurement in addition to, or instead of, the trunk blockage 
    measurement. We also seek comment on the additional costs or burdens 
    that such a measurement would impose on incumbent LECs.
        b. Collocation. 79. We tentatively conclude that incumbent LECs 
    must measure certain aspects of providing collocation arrangements. 
    Section 251(c)(6) and our rules require incumbent LECs to provide 
    physical and virtual collocation as a means of interconnection or 
    access to unbundled network elements. Consequently, we tentatively 
    conclude that incumbent LECs must provide measurements concerning their 
    provision of collocation facilities to competing carriers, including 
    the response time for initial requests for collocation. We also 
    tentatively conclude that this measurement must be disaggregrated 
    between virtual and physical collocation arrangements. The provision of 
    collocation arrangements involves several steps: (1) the initial query 
    by a competing carrier regarding space for collocation, and the 
    incumbent LEC's response to that query; (2) the actual ordering of the 
    collocation arrangement by the competing carrier; and (3) the 
    completion of that arrangement by the incumbent LEC. We tentatively 
    conclude that incumbent LECs must provide the following measurements: 
    (1) Average Time to Respond to a Collocation Request; (2) Average Time 
    to Provide a Collocation Arrangement; and (3) Percentage of Due Dates 
    Missed with respect to the provision of collocation arrangements. We 
    seek comment on the utility of these proposed measurements.
        80. We tentatively conclude that the Average Time to Respond to a 
    Collocation Request must be determined by computing the elapsed time 
    from the incumbent LEC's receipt of a request for collocation by a 
    competing carrier to the time the incumbent LEC responds to such a 
    request. The Average Time to Provide a Collocation Arrangement must be 
    calculated from the time that the competing carrier submits an order 
    for a collocation arrangement to the time that the arrangement is made 
    available to the competing carrier. Finally, an incumbent LEC must 
    calculate the Percentage of Due Dates Missed by comparing the number of 
    times it missed a committed date for providing collocation facilities 
    to the total number of confirmed due dates for collocation arrangements 
    during the reporting period. We also tentatively conclude that 
    incumbent LECs must disaggregate these measurements by virtual and 
    physical collocation arrangements. We seek comment on these tentative 
    conclusions.
    
    V. Reporting Procedures
    
        81. We also propose model procedures to assist states considering 
    how performance measurements should be reported. These model reporting 
    procedures are intended to facilitate access by competing carriers and 
    states to the measurements produced by the incumbent LECs so that 
    carriers and states can determine whether incumbent LECs are satisfying 
    their statutory obligations pursuant to section 251. This section 
    discusses proposals regarding: (1) who should receive the reports; (2) 
    the frequency of reports; and (3) auditing procedures.
    
    A. Receipt of Reports
    
        82. We seek comment on who should receive these reports from the 
    incumbent LECs on a regular basis. We believe that the main purpose of 
    these performance reports is to permit competing carriers to determine 
    whether they are obtaining access consistent with the requirements of 
    section 251. We tentatively conclude, therefore, that only those 
    carriers that already obtain services or facilities from the incumbent 
    LEC through an interconnection agreement, or under a statement of 
    generally available terms, should have the opportunity to receive 
    reports. Commenters that believe that other groups of carriers, such as 
    those considering whether to enter the market, should also receive 
    reports should explain why the benefits of their receiving reports 
    outweigh the costs to incumbent LECs.
        83. In order to minimize unnecessary costs or burdens for incumbent 
    LECs, we further conclude that an incumbent LEC should provide reports 
    to an individual competing carrier only after receiving a request from 
    the competing carrier for such reports.
        84. States may also have an interest in reviewing performance 
    reports. With respect to whether state officials should receive a copy 
    of the reports that we propose in this NPRM, we tentatively conclude 
    that individual states can best assess whether they wish to receive the 
    reports. While this Commission may not need to review reports on a 
    regular basis, we note that the Commission could obtain the reports 
    upon request.
        85. Finally, we seek comment on whether reports should be filed 
    with a central clearinghouse so that state commissions, other competing 
    carriers, or the general public can review an incumbent LEC's 
    performance in different states. We seek comment on the benefits and 
    costs involved in developing such a clearinghouse. We also seek comment 
    on what entity should act as a clearinghouse, e.g., a coalition of 
    regulators (such as NARUC) or another organization.
        86. We recognize that parties may be concerned about disclosing 
    confidential measurement results if results particular to an incumbent 
    LEC or to an individual competing carrier are reported broadly. We seek 
    comment on the need to keep individual competing carrier information 
    confidential and on whether only aggregate measurement results be made 
    available to other competing carriers or to the general public.
        87. With respect to incumbent LEC measurement results, we believe 
    that individual competing carriers must have access to incumbent LEC 
    results so that they can make a meaningful comparison with their own 
    data. We seek comment, however, on whether incumbent LEC measurement 
    results should be protected from disclosure to non-requesting competing 
    carriers or to the general public. If regulatory agencies request 
    incumbent LEC and competing carrier measurement results, we ask parties 
    to comment on whether protective measures are necessary and to propose 
    appropriate mechanisms to keep those results confidential. Similarly, 
    we ask parties to comment on whether competing carriers that receive 
    incumbent LEC measurement results should be required to limit their use 
    and disclosure of those results and to propose appropriate mechanisms 
    for guarding against improper use.
    
    B. Frequency of Reports
    
        88. We also seek comment on how frequently incumbent LECs should 
    file performance reports with competing carriers once requested by 
    those carriers. Specifically, we seek comment
    
    [[Page 27032]]
    
    on the costs and benefits of requiring monthly reporting, as opposed to 
    reporting on a less frequent basis, such as quarterly. We also seek 
    comment on how quickly an incumbent LEC should provide a performance 
    report after it is requested.
    
    C. Auditing Requirements
    
        89. As part of a performance monitoring mechanism, several 
    competing carriers proposed that competing carriers be given a 
    reasonable opportunity to conduct audits of performance reports. These 
    commenters have stated that periodic auditing of the performance 
    reports is necessary to ensure that incumbent LECs are using 
    appropriate methodologies and are accurately reporting the required 
    measurements. We believe, however, that some audits may be unnecessary 
    or unduly burdensome for the incumbent LEC. We therefore seek comment 
    on the need to conduct such audits as part of a model performance 
    monitoring scheme. We also seek comment on the types of audits that 
    might impose undue burdens. Finally, we seek comment on mechanisms that 
    will permit competing carriers to conduct audits, when necessary, while 
    protecting incumbent LECs from unduly burdensome or unnecessary audits. 
    In addressing this issue, we ask parties to comment on who should pay 
    for the costs of the audit.
        90. In addition to audits, LCUG also proposed that an incumbent LEC 
    should make available, at a competing carrier's request, the raw data 
    underlying a report at the same time it provides the performance report 
    to that competing carrier.
        The raw data is that data captured by the incumbent LEC, such as 
    the individual stop and start times, that are used to produce the 
    measurement results. The competing carrier could use this data to 
    validate the incumbent LEC's performance measurements or to perform 
    additional statistical tests to determine whether there is a 
    statistically significant difference in the way in which an incumbent 
    LEC provisions itself compared with the way in which it provisions 
    competing carriers. We seek comment on whether model reporting 
    procedures should include providing access to raw data at this initial 
    stage, rather than in the context of an audit. We recognize that there 
    may be additional burdens or costs to the incumbent LEC in providing 
    the raw data to a competing carrier and that incumbent LECs may wish to 
    keep data regarding services and facilities they provide to themselves 
    confidential. We seek comment on the types and magnitudes of these 
    burdens or costs. To the extent that commenters support regular 
    provision of the raw data, they should explain why the advantages of 
    obtaining such data outweigh these costs.
        91. Finally, we seek comment on how long the incumbent LEC should 
    retain the underlying data. One party proposed that an incumbent LEC 
    retain the data for two years. We seek comment on whether this is an 
    appropriate period for retention, or whether such a requirement is 
    excessive if a competing carrier is also permitted to obtain the raw 
    data on a regular basis along with the report.
    
    VI. Evaluation of Performance Measurements
    
        92. We believe that performance measurements and reporting 
    requirements are necessary to ensure that incumbent LECs provide 
    interconnection and access to OSS functions and OS/DA in compliance 
    with the statutory requirements of section 251 of the Communications 
    Act. As a practical matter, we expect that various parties will use the 
    information contained in performance measurements as bases for 
    determining whether an incumbent LEC is in compliance with the 
    applicable statutory standards. For example, competing carriers may 
    review the measurements to determine whether the incumbent LEC is 
    providing access in a nondiscriminatory manner. In making this 
    determination, parties will inevitably evaluate the results of these 
    measurements using some preestablished set of criteria in order to 
    determine whether the statutory requirements have been satisfied.
        93. Although few parties raised the issue in the initial round of 
    comments, several carriers have recently raised questions about how 
    regulators and competing carriers can use the data generated by 
    performance measurements to evaluate whether an incumbent LEC has 
    adhered to its statutory obligations. We seek comment on whether we 
    should recommend use of a uniform evaluation process that relies on 
    objective criteria. We seek comment on whether such an approach will 
    inject more consistency and predictability into determining whether an 
    incumbent is meeting its statutory obligations. We believe that 
    bringing more consistency and predictability to the evaluation process 
    is supported by the pro-competitive goals of the 1996 Act and would 
    benefit both incumbent LECs and competing carriers.
        94. Incumbent LECs must comply with various statutory requirements 
    in their provision of interconnection and access to OSS functions and 
    operator services and directory assistance. We believe that a number of 
    methods for evaluating performance measurements could be used to make 
    an objective determination as to whether an incumbent LEC is meeting 
    these statutory requirements. In particular, the few parties that have 
    addressed this issue have proposed using statistical analysis or 
    performance benchmarks as evaluation methodologies.
        95. Statistical analysis can help reveal the likelihood that 
    reported differences in a LEC's performance toward its retail customers 
    and competitive carriers are due to underlying differences in behavior 
    rather than random chance. We seek comment on whether specifying a 
    preferred statistical methodology would assist in evaluating an 
    incumbent LEC's performance, and on whether a uniform statistical 
    methodology would assist in comparing the performance of incumbent LECs 
    across regions. We seek comment on which statistical tests, if any, the 
    Commission should recommend. We believe that simple statistical tests 
    that are widely understood and generally accepted would most likely be 
    perceived as fair and would lead to the least disagreement concerning 
    the interpretation of the statistical results. We seek comment on the 
    use of conventional statistical tests of the equality of means to 
    determine whether observed differences in various performance 
    measurements between an incumbent LEC's own retail customers and 
    competing carriers are likely to reflect actual differences in 
    performance. We also seek comment on whether tests of the equality of 
    variances or of the equality of the proportions of each sample that 
    exceed a given value would be useful. We seek comment on whether any 
    assumptions associated with the statistical methods described above 
    might not be met by the performance measurement data, and on what the 
    appropriate statistical methodology would be in such instances. We 
    request comment on the desirability of using other, more complex forms 
    of statistical analysis, and on whether additional data collection 
    would be necessary to allow use of these techniques.
        96. In an ex parte submission AT&T proposed using three criteria to 
    determine incumbent LEC compliance with nondiscrimination obligations, 
    including the maximum number of comparisons failing the statistical 
    test for nondiscrimination, the maximum number of repeating 
    measurements failing the test, and that no extreme
    
    [[Page 27033]]
    
    differences occur between the results for the incumbent LEC and those 
    for the competing carrier. BellSouth in another proceeding has argued 
    that the appropriate standard is that monthly results for the competing 
    carrier should lie within three standard deviations of the average of 
    the incumbent LEC's monthly performance, and that the results for one 
    of the entities should not be higher than those for the other for three 
    consecutive months. We request comment on AT&T's and BellSouth's 
    proposed approaches to the use of statistical tests in evaluating 
    performance data. We note that, even if statistically significant 
    differences appear between results for the incumbent LEC and the 
    competing carrier, these differences may be too small to have any 
    practical competitive consequence and may not justify a legal 
    conclusion that the incumbent LEC has discriminated against the 
    competing carrier. Consequently we seek comment on whether threshold 
    values of the absolute difference, or the percentage difference, in 
    averages of performance measures should be used in addition to measures 
    of statistical significance. We request comment on whether the form in 
    which an incumbent LEC makes the data available to other parties and to 
    regulators, for instance whether the data should be continuous or in 
    intervals, should be specified, and on whether the data should be 
    provided in a computer file rather than on paper.
    
    VII. Other Issues Raised by Petitioners
    
        97. In developing model rules, we tentatively conclude that it is 
    not appropriate at this time to undertake certain additional actions 
    requested by petitioners. These additional actions include establishing 
    performance standards, technical standards for OSS interfaces, and 
    remedial measures for non-compliant incumbent LECs.
    
    VIII. Small and Midsized LECS
    
        98. We seek comment on whether the proposed model performance 
    measurements and reporting requirements will impose particular costs or 
    burdens on small, rural, or midsized incumbent LECs. We also seek 
    comment on how the proposed model rules should be modified to take into 
    account any particular concerns of these LECs. For example, certain 
    incumbent LECs may believe that the proposed guidelines should be 
    tailored to meet circumstances relating to the areas in which small, 
    rural or midsized LECs are located.
    
    IX. Procedural Matters
    
    A. Ex Parte Presentations
    
        99. This matter shall be treated as a ``permit-but-disclose'' 
    proceeding in accordance with the Commission's ex parte rules. Persons 
    making oral ex parte presentations are reminded that memoranda 
    summarizing the presentations must contain summaries of the substance 
    of the presentations and not merely a listing of the subjects 
    discussed. More than a one or two sentence description of the views and 
    arguments presented is generally required. Other rules pertaining to 
    oral and written presentations are set forth in section 1.1206(b) as 
    well.
    
    B. Initial Paperwork Reduction Act Analysis
    
        100. This Notice contains either a proposed information collection. 
    As part of its continuing effort to reduce paperwork burdens, we invite 
    the general public and the Office of Management and Budget (OMB) to 
    take this opportunity to comment on the information collections 
    contained in this Notice, as required by the Paperwork Reduction Act of 
    1995, Public Law 104-13. Public and agency comments are due at the same 
    time as other comments on this Notice; OMB comments are due 60 days 
    from date of publication of this Notice in the Federal Register. 
    Comments should address: (a) whether the proposed collection of 
    information is necessary for the proper performance of the functions of 
    the Commission, including whether the information shall have practical 
    utility; (b) the accuracy of the Commission's burden estimates; (c) 
    ways to enhance the quality, utility, and clarity of the information 
    collected; and (d) ways to minimize the burden of the collection of 
    information on the respondents, including the use of automated 
    collection techniques or other forms of information technology.
    
    C. Initial Regulatory Flexibility Certification
    
        101. As required by the Regulatory Flexibility Act (RFA), the 
    Commission has prepared the present Initial Regulatory Flexibility 
    Analysis (IRFA) of the possible significant economic impact on small 
    entities by the policies and rules proposed in the Notice of Proposed 
    Rulemaking (NPRM) on Performance Measurements and Reporting 
    Requirements for Operations Support Systems, Interconnection, and 
    Operator Services and Directory Assistance. Written public comments are 
    requested on the IRFA. Comments must be identified as responses to the 
    IRFA and must be filed by the deadlines for comments on the NPRM 
    provided below in Part IX. D. The Commission will send a copy of the 
    NPRM, including the IRFA, to the Chief Counsel for Advocacy of the 
    Small Business Administration. In addition, the NPRM on Performance 
    Measurements and Reporting Requirements for Operations Support Systems, 
    Interconnection, and Operator Services and Directory Assistance and 
    IRFA (or summaries thereof) will be provided in the Federal Register.
        102. Need for and Objectives of the Proposed Rule. We are issuing 
    the NPRM specifically seeking comment on and presenting tentative 
    conclusions on proposed performance measurements and reporting 
    requirements intended to measure whether an incumbent LEC is providing 
    nondiscriminatory access to operations support services (OSS), 
    interconnection, and operator services and directory assistance (OS/
    DA). We also seek comment on the use of performance standards and other 
    methods to evaluate whether an incumbent LEC is complying with its 
    statutory obligations under section 251. Finally, although we do not 
    set forth proposals in this area, we seek comment on issues related to 
    OSS interface standards and remedial provisions. Based on the comments 
    received in the NPRM, we may issue new rules.
        103. Legal Basis. The legal basis for any action that may be taken 
    pursuant to the NPRM is contained in sections 1, 2, 4, 201, 202, 222, 
    251, and 303(r) of the Communications Act of 1934, as amended, 47 
    U.S.C. 151, 152, 154, 201, 202, 222, 251, and 303(r).
        104. Description and Estimates of the Number of Small Entities 
    Affected by the Notice of Proposed Rulemaking. The RFA directs agencies 
    to provide a description of and, where feasible, an estimate of the 
    number of small entities that will be affected by our rules. The RFA 
    generally defines the term ``small entity'' as having the same meaning 
    as the terms ``small business,'' ``small organization,'' and ``small 
    governmental jurisdiction.'' For the purposes of this order, the RFA 
    defines a ``small business'' to be the same as a ``small business 
    concern'' under the Small Business Act, 15 U.S.C. 632, unless the 
    Commission has developed one or more definitions that are appropriate 
    to its activities. Under the Small Business Act, a ``small business 
    concern'' is one that: (1) is independently owned and operated; (2) is 
    not dominant in its field of operation; and (3) meets any additional 
    criteria established by the Small Business Administration (SBA). The 
    SBA has defined a small business
    
    [[Page 27034]]
    
    for Standard Industrial Classification (SIC) category 4813 (Telephone 
    Communications, Except Radiotelephone) to be an entity that has no more 
    than 1,500 employees.
        105. Although affected incumbent local exchange carriers (ILECs) 
    may have no more than 1,500 employees, we do not believe that such 
    entities should be considered small entities within the meaning of the 
    RFA because they either are dominant in their field of operations or 
    are not independently owned and operated, and are therefore by 
    definition not ``small entities'' or ``small business concerns'' under 
    the RFA. Accordingly, our use of the terms ``small entities'' and 
    ``small businesses'' does not encompass small incumbent LECs. Out of an 
    abundance of caution, however, for regulatory flexibility analysis 
    purposes, we will separately consider small ILECs within this analysis 
    and use the term ``small incumbent LECs'' to refer to any incumbent 
    LECs that arguably might be defined by SBA as ``small business 
    concerns.''
        106. Total Number of Telephone Companies Affected. The United 
    States Bureau of the Census (the Census Bureau) reports that at the end 
    of 1992, there were 3,497 firms engaged in providing telephone 
    services, as defined therein, for at least one year. This number 
    contains a variety of different categories of carriers, including local 
    exchange carriers, interexchange carriers, competitive access 
    providers, cellular carriers, mobile service carriers, operator service 
    providers, pay telephone operators, PCS providers, covered SMR 
    providers, and resellers. It seems certain that some of those 3,497 
    telephone service firms may not qualify as small entities because they 
    are not ``independently owned and operated.'' For example, a PCS 
    provider that is affiliated with an interexchange carrier having more 
    than 1,500 employees would not meet the definition of a small business. 
    It seems reasonable to conclude, therefore, that fewer than 3,497 
    telephone service firms are either small entities or small incumbent 
    LECs that may be affected by this order.
        107. Local Exchange Carriers. Neither the Commission nor the SBA 
    has developed a definition of small providers of local exchange 
    services. The closest applicable definition under the SBA's rules is 
    for telephone communications companies other than radiotelephone 
    (wireless) companies. The most reliable source of information regarding 
    the number of LECs nationwide of which we are aware appears to be the 
    data that we collect annually in connection with the Telecommunications 
    Relay Service (TRS). According to our most recent data, 1,371 companies 
    reported that they were engaged in the provision of local exchange 
    services. Although it seems certain that some of these carriers are not 
    independently owned and operated, or have more than 1,500 employees, or 
    are dominant we are unable at this time to estimate with greater 
    precision the number of LECs that would qualify as small business 
    concerns under the SBA's definition. Consequently, we estimate that 
    fewer than 1,371 small providers of local exchange service are small 
    entities or small ILECs that may be affected by this order.
        108. Description of Projected Reporting, Recordkeeping and Other 
    Compliance Requirements. We are seeking comment on requiring all 
    incumbent LECs to report on all the measurements. These proposed 
    measurements seek to measure access provided by an incumbent LEC to all 
    five OSS functions, as well as to interconnection and OS/DA. We also 
    seek comment on how often incumbent LECs should provide these 
    measurements, whether and for how long they should retain the 
    measurement data, and whether the incumbent LEC should perform any 
    statistical analysis of the measurement data. Finally we seek comment 
    on reporting procedures, including: (1) whether an incumbent LEC must 
    report separately on performance to itself, any local exchange 
    affiliate, competing carriers in aggregate, and individual competing 
    carriers; (2) whether an incumbent LEC should only provide performance 
    monitoring reports to an individual competing carrier after receiving a 
    request from the competing carrier for such reports on a regular basis; 
    (3) how frequently an incumbent LEC should provide performance 
    monitoring reports; (4) whether to accord confidential treatment to 
    individual competing carrier information and incumbent LEC retail 
    information; (5) whether an incumbent LEC should make available upon 
    the request of a competing carrier or regulator raw data underlying a 
    report; and (6) whether competing carriers should be entitled to ask 
    for and obtain audits of the data underlying performance reports.
        109. Steps Taken to Minimize Significant Economic Impact on Small 
    Entities and Significant Alternatives Considered. In Part VIII of the 
    NPRM, we seek comment on the expenses involved with the proposed 
    reporting requirements and the particular burdens they would impose on 
    small, rural, or midsized LECs, if any. In Part VIII, we also seek 
    comment on possible alternatives to these proposed measurements and 
    reporting requirements. We note that certain incumbent LECs might 
    propose ways in which the Commission should tailor its proposals to 
    meet circumstances relating to the areas in which small, rural or 
    midsized LECs are located.
        110. Federal Rules that May Duplicate, Overlap, or Conflict with 
    the Proposed Rule. None.
    D. Comment Filing Procedures
        111. To file formally in this proceeding, you must file an original 
    and four copies of all comments, reply comments, and supporting 
    comments. Please note, however, that comments and reply comments may be 
    filed electronically. If you want each Commissioner to receive a 
    personal copy of your comments, you must file an original and nine 
    copies.
        112. Comments and reply comments must include a short and concise 
    summary of the substantive arguments raised in the pleading. Comments 
    and reply comments must also comply with section 1.49 and all other 
    applicable sections of the Commission's rules. We also direct all 
    interested parties to include the name of the filing party and the date 
    of the filing on each page of their comments and reply comments. All 
    parties are encouraged to utilize a table of contents, regardless of 
    the length of their submission.
        113. Parties are also asked to submit comments and reply comments 
    on diskette. Such diskette submissions would be in addition to and not 
    a substitute for the formal filing requirements addressed above. 
    Parties submitting diskettes should submit them to Janice Myles of the 
    Common Carrier Bureau, 1919 M Street, N.W., Room 544, Washington, D.C., 
    20554. Such a submission should be on a 3.5 inch diskette formatted in 
    an IBM compatible form using MS DOS 5.0 and WordPerfect 5.1 software. 
    The diskette should be submitted in ``read only'' mode. The diskette 
    should be clearly labeled with the party's name, proceeding, type of 
    pleading (comment or reply comments) and date of submission. The 
    diskette should be accompanied by a cover letter.
        114. You may also file informal comments or an exact copy of your 
    formal comments electronically via the Internet. To file electronic 
    comments in this proceeding, you may use the electronic filing 
    interface available on the FCC's World Wide Web site at http://
    dettifoss.fcc.gov:8080/cgi-bin/ws.exe/beta/ecfs/upload.hts>.
    
    [[Page 27035]]
    
        Only one copy of electronically-filed comments must be submitted. 
    Further information on the process of submitting comments 
    electronically is available at that location and at http://
    www.fcc.gov/e-file/>.
    
    X. Ordering Clauses
    
        115. Accordingly, it is ordered that, pursuant to sections 1, 2, 4, 
    201, 202, 222, 251, and 303(r) of the Communications Act of 1934, as 
    amended, 47 U.S.C. Secs. 151, 152, 154, 201, 202, 222, 251, and 303(r), 
    a notice of proposed rulemaking is adopted
        116. It is further ordered that the Commission's Office of Public 
    Affairs, Reference Operations Division, SHALL SEND a copy of this 
    Notice of proposed rulemaking, including the Initial Regulatory 
    Flexibility Certification, to the Chief Counsel for Advocacy of the 
    Small Business Administration, in accordance with the Regulatory 
    Flexibility Act, see 5 U.S.C. 605(b).
    
    Federal Communications Commission.
    Magalie Roman Salas,
    Secretary.
    [FR Doc. 98-12971 Filed 5-14-98; 8:45 am]
    BILLING CODE 6712-01-P
    
    
    

Document Information

Published:
05/15/1998
Department:
Federal Communications Commission
Entry Type:
Proposed Rule
Action:
Proposed rule.
Document Number:
98-12971
Dates:
Comments are due on or before June 1, 1998 and Reply Comments are due on or before June 22, 1998. Written comments by the public on the proposed information collections are due June 1, 1998. Written comments must be submitted by the Office of Management and Budget (OMB) on the proposed information collections on or before July 14, 1998.
Pages:
27021-27035 (15 pages)
Docket Numbers:
CC Docket No. 98-56, RM-9101, FCC 98-72
PDF File:
98-12971.pdf
CFR: (1)
47 CFR None