§ 61.38   Supporting information to be submitted with letters of transmittal.

   (a) Scope. This section applies to dominant carriers whose gross annual
   revenues exceed $500,000 for the most recent 12 month period of operations
   or are estimated to exceed $500,000 for a representative 12 month period.
   Incumbent Local Exchange Carriers serving 50,000 or fewer access lines in a
   given study area that are described as subset 3 carriers in § 69.602 of this
   chapter may submit Access Tariff filings for that study area pursuant to
   either this section or § 61.39. However, the Commission may require any
   issuing carrier to submit such information as may be necessary for a review
   of a tariff filing. This section (other than the preceding sentence of this
   paragraph) shall not apply to tariff filings proposing rates for services
   identified in § 61.42 (d), (e), and (g).

   (b) Explanation and data supporting either changes or new tariff offerings.
   The material to be submitted for a tariff change which affects rates or
   charges or for a tariff offering a new service, must include an explanation
   of the changed or new matter, the reasons for the filing, the basis of
   ratemaking employed, and economic information to support the changed or new
   matter.

   (1) For a tariff change the issuing carrier must submit the following,
   including complete explanations of the bases for the estimates.

   (i) A cost of service study for all elements for the most recent 12 month
   period;

   (ii) A study containing a projection of costs for a representative 12 month
   period;

   (iii) Estimates of the effect of the changed matter on the traffic and
   revenues from the service to which the changed matter applies, the issuing
   carrier's other service classifications, and the carrier's overall traffic
   and revenues. These estimates must include the projected effects on the
   traffic and revenues for the same representative 12 month period used in
   (b)(1)(ii) above.

   (2) For a tariff filing offering a new service, the issuing carrier must
   submit the following, including complete explanations of the bases for the
   estimates.

   (i) A study containing a projection of costs for a representative 12 month
   period; and

   (ii) Estimates of the effect of the new matter on the traffic and revenues
   from the service to which the new matter applies, the issuing carrier's
   other service classifications, and the issuing carrier's overall traffic and
   revenues. These estimates must include the projected effects on the traffic
   and revenues for the same representative 12 month period used in paragraph
   (b)(2)(i) of this section.

   (3) [Reserved]

   (4) For a tariff that introduces a system of density pricing zones, as
   described in § 69.123 of this chapter, the issuing carrier must, before
   filing its tariff, submit a density pricing zone plan including, inter alia,
   documentation sufficient to establish that the system of zones reasonably
   reflects  cost-related  characteristics,  such as the density of total
   interstate traffic in central offices located in the respective zones, and
   receive approval of its proposed plan.

   (c) Working papers and statistical data. (1) Concurrently with the filing of
   any tariff change or tariff filing for a service not previously offered, the
   issuing carrier must file the working papers containing the information
   underlying the data supplied in response to paragraph (b) of this section,
   and  a  clear  explanation  of  how  the working papers relate to that
   information.

   (2) All statistical studies must be submitted and supported in the form
   prescribed in § 1.363 of this chapter.

   (d) Form and content of additional material to be submitted with certain
   rate increases. In the circumstances set out in paragraphs (d)(1) and (2) of
   this section, the issuing carrier must submit all additional cost, marketing
   and other data underlying the working papers to justify a proposed rate
   increase. The issuing carrier must submit this information in suitable form
   to serve as the carrier's direct case in the event the rate increase is set
   by the Commission for investigation.

   (1) Rate increases affecting single services or tariffed items.

   (i) A rate increase in any service or tariffed item which results in more
   than $1 million in additional annual revenues, calculated on the basis of
   existing quantities in service, without regard to the percentage increase in
   such revenues; or

   (ii) A single rate increase in any service or tariffed item, or successive
   rate  increases in the same service or tariffed item within a 12 month
   period, either of which results in:

   (A) At least a 10 percent increase in annual revenues from that service or
   tariffed item, and

   (B) At least $100,000 in additional annual revenues, both calculated on the
   basis of existing quantities in service.

   (2) Rate increases affecting more than one service or tariffed item.

   (i)  A general rate increase in more than one service or tariffed item
   occurring at one time, which results in more than $1 million in additional
   revenues calculated on the basis of existing quantities in service, without
   regard to the percentage increase in such revenues; or

   (ii) A general rate increase in more than one service or tariffed item
   occurring at one time, or successive general rate increases in the same
   services or tariffed items occurring within a 12 month period, either of
   which results in:

   (A) At least a 10 percent increase in annual revenues from those services or
   tariffed items, and

   (B) At least $100,000 in additional annual revenues, both calculated on the
   basis of existing quantities in service.

   (e)  Submission of explanation and data by connecting carriers. If the
   changed or new matter is being filed by the issuing carrier at the request
   of  a connecting carrier, the connecting carrier must provide the data
   required by paragraphs (b) and (c) of this section on the date the issuing
   carrier files the tariff matter with the Commission.

   (f) Copies of explanation and data to customers. Concurrently with the
   filing of any rate for special construction (or special assembly equipment
   and arrangements) developed on the basis of estimated costs, the issuing
   carrier must transmit to the customer a copy of the explanation and data
   required by paragraphs (b) and (c) of this section.

   (g)  On  each page of cost support material submitted pursuant to this
   section, the issuing carrier shall indicate the transmittal number under
   which that page was submitted.

   [ 76 FR 43211 , July 20, 2011]

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