1、95 Federal Communications Commission 53.3 Albany, NY . 64 San Jose, CA . 31 Sacramento, CA 36 Fresno, CA 68 San Antonio, TX . 37 Oklahoma City, OK . 55 Austin, TX 60 Salt Lake City, UT . 45 Tucson, AZ 71 Phase V10/1/9812/31/98 Toledo, OH 81 Youngstown, OH . 85 Ann Arbor, MI . 95 Fort Wayne, IN . 100
2、 Scranton, PA 78 Allentown, PA 82 Harrisburg, PA 83 Jersey City, NJ . 88 Wilmington, DE 89 Birmingham, AL . 67 Knoxville, KY . 79 Baton Rouge, LA 87 Charleston, SC 92 Sarasota, FL . 93 Mobile, AL 96 Columbia, SC 98 Tulsa, OK 70 Syracuse, NY 69 Springfield, MA . 86 Ventura, CA 72 Bakersfield, CA . 84
3、 Stockton, CA 94 Vallejo, CA 99 El Paso, TX . 74 Little Rock, AR 90 Wichita, KS . 97 New Haven, CT 91 Omaha, NE 75 Albuquerque, NM 76 Tacoma, WA 77 62 FR 18295, Apr. 15, 1997 PART 53SPECIAL PROVISIONS CONCERNING BELL OPERATING COMPANIES Subpart AGeneral Information Sec. 53.1 Basis and purpose. 53.3
4、Terms and definitions. Subpart BBell Operating Company Entry into InterLATA Services Subpart CSeparate Affiliate; Safeguards 53.201 Services for which a section 272 affil-iate is required. 53.203 Structural and transactional require-ments. 53.205 Fulfillment of certain requests. Re-served 53.207 Suc
5、cessor or assign. 53.209 Biennial audit. 53.211 Audit planning. 53.213 Audit analysis and evaluation. Subpart DManufacturing by Bell Operating Companies 53.301 Reserved Subpart EElectronic Publishing by Bell Operating Companies 53.401 Reserved Subpart FAlarm Monitoring Services 53.501 Reserved AUTHO
6、RITY: Sections 15, 7, 20105, 218, 251, 253, 27175, 48 Stat. 1070, as amended, 1077; 47 U.S.C. 15155, 157, 20105, 218, 251, 253, 27175, unless otherwise noted. SOURCE: 62 FR 2967, Jan. 21, 1997, unless otherwise noted. Subpart AGeneral Information 53.1 Basis and purpose. (a) Basis. The rules in this
7、part are issued pursuant to the Communica-tions Act of 1934, as amended. (b) Purpose. The purpose of the rules in this part is to implement sections 271 and 272 of the Communications Act of 1934, as amended, 47 U.S.C. 271 and 272. 53.3 Terms and definitions. Terms used in this part have the fol-lowi
8、ng meanings: Act. The Act means the Communica-tions Act of 1934, as amended. Affiliate. An affiliate is a person that (directly or indirectly) owns or con-trols, is owned or controlled by, or is under common ownership or control with, another person. For purposes of this part, the term own means to
9、own an equity interest (or the equiva-lent thereof) of more than 10 percent. AT and (2) Includes any successor or assign of any such company that provides wireline telephone exchange service; but (3) Does not include an affiliate of any such company, other than an affil-iate described in paragraphs
10、(1) or (2) of this definition. In-Region InterLATA service. In-region interLATA service is interLATA service that originates in any of a BOCs in-re-gion states, which are the states in which the BOC or any of its affiliates was authorized to provide wireline tele-phone exchange service pursuant to t
11、he reorganization plan approved under the AT or (2) Established or modified by a BOC after February 8, 1996 and approved by the Commission. Local Exchange Carrier (LEC). A LEC is any person that is engaged in the provision of telephone exchange service or exchange access. Such term does not include
12、a person insofar as such person is engaged in the provision of commer-cial mobile service under section 332(c) of the Act, except to the extent that the Commission finds that such service should be included in the definition of such term. Out-of-Region InterLATA service. Out- of-region interLATA ser
13、vice is interLATA service that originates out-side a BOCs in-region states. Section 272 affiliate. A section 272 affil-iate is a BOC affiliate that complies with the separate affiliate require-ments of section 272(b) of the Act and the regulations contained in this part. Subpart BBell Operating Com-
14、pany Entry Into InterLATA Services Subpart CSeparate Affiliate; Safeguards 53.201 Services for which a section 272 affiliate is required. For the purposes of applying section 272(a)(2) of the Act: (a) Previously authorized activities. When providing previously authorized VerDate Mar2010 13:48 Nov 09
15、, 2010 Jkt 220202 PO 00000 Frm 00106 Fmt 8010 Sfmt 8010 Y:SGML220202.XXX 220202erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-97 Federal Communications Commission 53.209 activities described in section 271(f) of the A
16、ct, a BOC shall comply with the following: (1) A BOC shall provide previously authorized interLATA information services and manufacturing activities through a section 272 affiliate no later than February 8, 1997. (2) A BOC shall provide previously authorized interLATA telecommuni-cations services in
17、 accordance with the terms and conditions of the orders en-tered by the United States District Court for the District of Columbia pur-suant to section VII or VIII(C) of the AT 70 FR 55302, Sept. 21, 2005 EFFECTIVE DATE NOTE: At 62 FR 2967, Jan. 21, 1997, 53.203 was added. Paragraphs (b) and (e) of t
18、his section contain information collection requirements and will not become effective until approval has been given by the Office of Management and Budget. 53.205 Fulfillment of certain re-quests. Reserved 53.207 Successor or assign. If a BOC transfers to an affiliated en-tity ownership of any netwo
19、rk ele-ments that must be provided on an unbundled basis pursuant to section 251(c)(3) of the Act, such entity will be deemed to be an assign of the BOC under section 3(4) of the Act with re-spect to such transferred network ele-ments. A BOC affiliate shall not be deemed a successor or assign of a B
20、OC solely because it obtains network elements from the BOC pursuant to section 251(c)(3) of the Act. 62 FR 2967, Jan. 21, 1997; 63 FR 34604, June 25, 1998 53.209 Biennial audit. (a) A Bell operating company re-quired to operate a separate affiliate under section 272 of the Act shall ob-tain and pay
21、for a Federal/State joint audit every two years conducted by an independent auditor to determine whether the Bell operating company has complied with the rules promul-gated under section 272 and particu-larly the audit requirements listed in paragraph (b) of this section. (b) The independent audit s
22、hall deter-mine: (1) Whether the separate affiliate re-quired under section 272 of the Act has: (i) Operated independently of the Bell operating company; (ii) Maintained books, records, and accounts in the manner prescribed by the Commission that are separate from the books, records and accounts mai
23、n-tained by the Bell operating company; VerDate Mar2010 13:48 Nov 09, 2010 Jkt 220202 PO 00000 Frm 00107 Fmt 8010 Sfmt 8010 Y:SGML220202.XXX 220202erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-98 47 CFR Ch. I (10110
24、Edition) 53.211 (iii) Officers, directors and employees that are separate from those of the Bell operating company; (iv) Not obtained credit under any ar-rangement that would permit a cred-itor, upon default, to have recourse to the assets of the Bell operating com-pany; and (v) Conducted all transa
25、ctions with the Bell operating company on an arms length basis with the trans-actions reduced to writing and avail-able for public inspection. (2) Whether or not the Bell operating company has: (i) Discriminated between the sepa-rate affiliate and any other entity in the provision or procurement of
26、goods, services, facilities, and information, or the establishment of standards; (ii) Accounted for all transactions with the separate affiliate in accord-ance with the accounting principles and rules approved by the Commission. (3) Whether or not the Bell operating company and an affiliate subject
27、to section 251(c) of the Act: (i) Have fulfilled requests from unaf-filiated entities for telephone exchange service and exchange access within a period no longer than the period in which it provides such telephone ex-change service and exchange access to itself or its affiliates; (ii) Have made ava
28、ilable facilities, services, or information concerning its provision of exchange access to other providers of interLATA services on the same terms and conditions as it has to its affiliate required under section 272 that operates in the same market; (iii) Have charged its separate affil-iate under s
29、ection 272, or imputed to itself (if using the access for its provi-sion of its own services), an amount for access to its telephone exchange serv-ice and exchange access that is no less than the amount charged to any unaf-filiated interexchange carriers for such service; and (iv) Have provided any
30、interLATA or intraLATA facilities or services to its interLATA affiliate and made available such services or facilities to all car-riers at the same rates and on the same terms and conditions, and allocated the associated costs appropriately. (c) An independent audit shall be per-formed on the first
31、 full year of oper-ations of the separate affiliate required under section 272 of the Act, and bien-nially thereafter. (d) The Chief, Enforcement Bureau, shall work with the regulatory agen-cies in the states having jurisdiction over the Bell operating companys local telephone services, to attempt t
32、o form a Federal/State joint audit team with the responsibility for overseeing the planning of the audit as specified in 53.211 and the analysis and evaluation of the audit as specified in 53.213. The Federal/State joint audit team may di-rect the independent auditor to take any actions necessary to
33、 ensure com-pliance with the audit requirements listed in paragraph (b) of this section. If the state regulatory agencies having jurisdiction choose not to participate in the Federal/State joint audit team, the Chief, Enforcement Bureau, shall establish an FCC audit team to oversee and direct the in
34、dependent auditor to take any actions necessary to ensure compliance with the audit require-ments in paragraph (b) of this section. 62 FR 2926, Jan. 21, 1997, as amended at 67 FR 13226, Mar. 21, 2002 53.211 Audit planning. (a) Before selecting an independent auditor, the Bell operating company shall
35、 submit preliminary audit require-ments, including the proposed scope of the audit and the extent of compliance and substantive testing, to the Federal/ State joint audit team organized pur-suant to 53.209(d); (b) The Federal/State joint audit team shall review the preliminary audit requirements to
36、determine whether it is adequate to meet the audit requirements in 53.209 (b). The Federal/State joint audit shall have 30 days to review the audit requirements and determine any modifications that shall be incorporated into the final audit requirements. (c) After the audit requirements have been ap
37、proved by the Federal/State joint audit team, the Bell operating company shall engage within 30 days an independent auditor to conduct the biennial audit. In making its selection, the Bell operating company shall not engage any independent auditor who has been instrumental during the past VerDate Ma
38、r2010 13:48 Nov 09, 2010 Jkt 220202 PO 00000 Frm 00108 Fmt 8010 Sfmt 8010 Y:SGML220202.XXX 220202erowe on DSK5CLS3C1PROD with CFRProvided by IHSNot for ResaleNo reproduction or networking permitted without license from IHS-,-,-99 Federal Communications Commission Pt. 54 two years in designing any of
39、 the ac-counting or reporting systems under review in the biennial audit. (d) The independent auditor selected by the Bell operating company to con-duct the audit shall develop a detailed audit program based on the final audit requirements and submit it to the Fed-eral/State joint audit team. The Fe
40、d-eral/State joint audit team shall have 30 days to review the audit program and determine any modifications that shall be incorporated into the final audit program. (e) During the course of the biennial audit, the independent auditor, among other things, shall: (1) Inform the Federal/State joint au
41、dit team of any revisions to the final audit program or to the scope of the audit. (2) Notify the Federal/State joint audit team of any meetings with the Bell operating company or its separate affiliate in which audit findings are discussed. (3) Submit to the Chief, Enforcement Bureau, any accountin
42、g or rule inter-pretations necessary to complete the audit. 62 FR 2926, Jan. 21, 1997, as amended at 67 FR 13226, Mar. 21, 2002 53.213 Audit analysis and evaluation. (a) Within 60 dates after the end of the audit period, but prior to dis-cussing the audit findings with the Bell operating company or
43、the separate af-filiate, the independent auditor shall submit a draft of the audit report to the Federal/State joint audit team. (1) The Federal/State joint audit team shall have 45 days to review the audit findings and audit workpapers, and offer its recommendations con-cerning the conduct of the a
44、udit or the audit findings to the independent audi-tor. Exceptions of the Federal/State joint audit team to the finding and conclusions of the independent auditor that remain unresolved shall be in-cluded in the final audit report. (2) Within 15 days after receiving the Federal/State joint audit tea
45、ms rec-ommendations and making appropriate revisions to the audit report, the inde-pendent auditor shall submit the audit report to the Bell operating company for its response to the audit findings and send a copy to the Federal/State joint audit team. The independent auditor may request additional
46、time to perform additional audit work as rec-ommended by the Federal/State joint audit team. (b) Within 30 days after receiving the audit report, the Bell operating com-pany will respond to the audit findings and send a copy of its response to the Federal/State joint audit team. The Bell operating c
47、ompanys response shall be included as part of the final audit report along with any reply that the independent auditor wishes to make to the response. (c) Within 10 days after receiving the response of the Bell operating com-pany, the independent auditor shall make available for public inspection th
48、e final audit report by filing it with the Commission and the state regu-latory agencies participating on the joint audit team. (d) Interested parties may file com-ments with the Commission within 60 days after the audit report is made available for public inspection. 62 FR 2927, Jan. 21, 1997 Subpa
49、rt DManufacturing by Bell Operating Companies 53.301 Reserved Subpart EElectronic Publishing by Bell Operating Companies 53.401 Reserved Subpart FAlarm Monitoring Services 53.501 Reserved PART 54UNIVERSAL SERVICE Subpart AGeneral Information Sec. 54.1 Basis and purpose. 54.5 Terms and definitions. 54.7 Intended use of federal universal serv-ice support. 54.8 Prohibition on participation: suspen-sion a
