§ 64.606   Internet-based TRS provider and TRS program certification.

   (a) Documentation—(1) Certified state program. Any state, through its office
   of the governor or other delegated executive office empowered to provide
   TRS, desiring to establish a state program under this section shall submit,
   not later than October 1, 1992, documentation to the Commission addressed to
   the  Federal Communications Commission, Chief, Consumer & Governmental
   Affairs  Bureau,  TRS Certification Program, Washington, DC 20554, and
   captioned “TRS State Certification Application.” All documentation shall be
   submitted in narrative form, shall clearly describe the state program for
   implementing intrastate TRS, and the procedures and remedies for enforcing
   any requirements imposed by the state program. The Commission shall give
   public notice of states filing for certification including notification in
   the Federal Register.

   (2)  Internet-based  TRS  provider.  Any  entity  desiring  to provide
   Internet-based TRS and to receive compensation from the Interstate TRS Fund,
   shall  submit documentation to the Commission addressed to the Federal
   Communications Commission, Chief, Consumer and Governmental Affairs Bureau,
   TRS   Certification  Program,  Washington,  DC  20554,  and  captioned
   “Internet-based TRS Certification Application.” The documentation shall
   include, in narrative form:

   (i) A description of the forms of Internet-based TRS to be provided (i.e.,
   VRS, IP Relay, and/or IP captioned telephone relay service);

   (ii) A detailed description of how the applicant will meet all non-waived
   mandatory  minimum  standards  applicable to each form of TRS offered,
   including documentary and other evidence, and in the case of VRS, such
   documentary and other evidence shall demonstrate that the applicant leases,
   licenses or has acquired its own facilities and operates such facilities
   associated with TRS call centers and employs communications assistants, on a
   full or part-time basis, to staff such call centers at the date of the
   application. Such evidence shall include, but not be limited to:

   (A) In the case of VRS applicants or providers,

   (1) Operating five or fewer call centers within the United States, a copy of
   each deed or lease for each call center operated by the applicant within the
   United States;

   (2) Operating more than five call centers within the United States, a copy
   of each deed or lease for a representative sampling (taking into account
   size (by number of communications assistants) and location) of five call
   centers operated by the applicant within the United States, together with a
   list  of  all  other  call centers that they operate that includes the
   information required under § 64.604(c)(5)(iii)(N)(2);

   (3) Operating call centers outside of the United States, a copy of each deed
   or lease for each call center operated by the applicant outside of the
   United States;

   (4) A description of the technology and equipment used to support their call
   center functions—including, but not limited to, automatic call distribution,
   routing, call setup, mapping, call features, billing for compensation from
   the TRS Fund, and registration—and for each core function of each call
   center  for  which the applicant must provide a copy of technology and
   equipment proofs of purchase, leases or license agreements in accordance
   with paragraphs (a)(2)(ii)(A)(5) through (7) of this section, a statement
   whether such technology and equipment is owned, leased or licensed (and from
   whom if leased or licensed);

   (5) Operating five or fewer call centers within the United States, a copy of
   each proof of purchase, lease or license agreement for all technology and
   equipment used to support their call center functions for each call center
   operated by the applicant within the United States;

   (6) Operating more than five call centers within the United States, a copy
   of each proof of purchase, lease or license agreement for technology and
   equipment used to support their call center functions for a representative
   sampling (taking into account size (by number of communications assistants)
   and location) of five call centers operated by the applicant within the
   United States; a copy of each proof of purchase, lease or license agreement
   for technology and equipment used to support their call center functions for
   all call centers operated by the applicant within the United States must be
   retained by the applicant for three years from the date of the application,
   and submitted to the Commission upon request;

   (7) Operating call centers outside of the United States, a copy of each
   proof  of  purchase, lease or license agreement for all technology and
   equipment used to support their call center functions for each call center
   operated by the applicant outside of the United States; and

   (8) A complete copy of each lease or license agreement for automatic call
   distribution.

   (B) For all applicants, a list of individuals or entities that hold at least
   a 10 percent equity interest in the applicant, have the power to vote 10
   percent or more of the securities of the applicant, or exercise de jure or
   de  facto control over the applicant, a description of the applicant's
   organizational structure, and the names of its executives, officers, members
   of its board of directors, general partners (in the case of a partnership),
   and managing members (in the case of a limited liability company);

   (C) For all applicants, a list of the number of applicant's full-time and
   part-time employees involved in TRS operations, including and divided by the
   following positions: executives and officers; video phone installers (in the
   case of VRS), communications assistants, and persons involved in marketing
   and sponsorship activities;

   (D) For all applicants, copies of employment agreements for all of the
   provider's employees directly involved in TRS operations, executives, and
   communications  assistants,  and a list of names of employees directly
   involved in TRS operations, need not be submitted with the application, but
   must  be  retained  by  the  applicant for five years from the date of
   application, and submitted to the Commission upon request; and

   (E) For all applicants, a list of all sponsorship arrangements relating to
   Internet-based TRS, including on that list a description of any associated
   written agreements; copies of all such arrangements and agreements must be
   retained by the applicant for three years from the date of the application,
   and submitted to the Commission upon request;

   (F) In the case of applicants to provide IP CTS or IP CTS providers, a
   description of measures taken by such applicants or providers to ensure that
   they do not and will not request or collect payment from the TRS Fund for
   service to consumers who do not satisfy the registration and certification
   requirements in § 64.604(c)(9), and an explanation of how these measures
   provide such assurance.

   (iii) A description of the provider's complaint procedures; and

   (iv) A statement that the provider will file annual compliance reports
   demonstrating continued compliance with these rules.

   (v) The chief executive officer (CEO), chief financial officer (CFO), or
   other senior executive of an applicant for Internet-based TRS certification
   under  this  section  with  first  hand  knowledge of the accuracy and
   completeness of the information provided, when submitting an application for
   certification  under paragraph (a)(2) of this section, must certify as
   follows:  I swear under penalty of perjury that I am ________(name and
   title), ________an officer of the above-named applicant, and that I have
   examined the foregoing submissions, and that all information required under
   the Commission's rules and orders has been provided and all statements of
   fact, as well as all documentation contained in this submission, are true,
   accurate, and complete.

   (3) Assessment of internet-based TRS provider certification application. In
   order to assess the merits of a certification application submitted by an
   Internet-based TRS provider, the Commission may conduct one or more on-site
   visits of the applicant's premises, to which the applicant must consent.

   (4) For the purposes of paragraphs (a)(2)(ii)(A)(4) and (a)(2)(ii)(A)(6) of
   this section, VRS CA Service Providers shall, in their description of the
   technology  and equipment used to support their call center functions,
   describe:

   (i) How they provide connectivity to the Neutral Video Communication Service
   Platform; and

   (ii) How they internally route calls to CAs and then back to the Neutral
   Video Communication Service Platform. VRS CA service providers need not
   describe ACD platform functionality if it is not used for these purposes.

   (b)(1)  Requirements  for  state  certification. After review of state
   documentation, the Commission shall certify, by letter, or order, the state
   program  if  the  Commission  determines  that the state certification
   documentation:

   (i) Establishes that the state program meets or exceeds all operational,
   technical, and functional minimum standards contained in § 64.604;

   (ii) Establishes that the state program makes available adequate procedures
   and remedies for enforcing the requirements of the state program, including
   that it makes available to TRS users informational materials on state and
   Commission complaint procedures sufficient for users to know the proper
   procedures for filing complaints; and

   (iii)  Where  a  state program exceeds the mandatory minimum standards
   contained in § 64.604, the state establishes that its program in no way
   conflicts with federal law.

   (2) Requirements for Internet-based TRS Provider FCC certification. After
   review of certification documentation, the Commission shall certify, by
   Public  Notice,  that  the Internet-based TRS provider is eligible for
   compensation from the Interstate TRS Fund if the Commission determines that
   the certification documentation:

   (i) Establishes that the provision of Internet-based TRS will meet or exceed
   all non-waived operational, technical, and functional minimum standards
   contained in § 64.604;

   (ii)  Establishes that the Internet-based TRS provider makes available
   adequate  procedures  and  remedies  for  ensuring compliance with the
   requirements of this section and the mandatory minimum standards contained
   in § 64.604, including that it makes available for TRS users informational
   materials on complaint procedures sufficient for users to know the proper
   procedures for filing complaints.

   (c)(1) State certification period. State certification shall remain in
   effect for five years. One year prior to expiration of certification, a
   state may apply for renewal of its certification by filing documentation as
   prescribed by paragraphs (a) and (b) of this section.

   (2) Internet-based TRS Provider FCC certification period. Certification
   granted  under  this section shall remain in effect for five years. An
   Internet-based TRS provider applying for renewal of its certification must
   file documentation with the Commission containing the information described
   in paragraph (a)(2) of this section at least 90 days prior to expiration of
   its certification.

   (d) Method of funding. Except as provided in § 64.604, the Commission shall
   not refuse to certify a state program based solely on the method such state
   will  implement for funding intrastate TRS, but funding mechanisms, if
   labeled, shall be labeled in a manner that promote national understanding of
   TRS and do not offend the public.

   (e)(1) Suspension or revocation of state certification. The Commission may
   suspend or revoke such certification if, after notice and opportunity for
   hearing, the Commission determines that such certification is no longer
   warranted. In a state whose program has been suspended or revoked, the
   Commission shall take such steps as may be necessary, consistent with this
   subpart, to ensure continuity of TRS. The Commission may, on its own motion,
   require a certified state program to submit documentation demonstrating
   ongoing compliance with the Commission's minimum standards if, for example,
   the  Commission  receives  evidence that a state program may not be in
   compliance with the minimum standards.

   (2)  Suspension  or  revocation  of  Internet-based  TRS  Provider FCC
   certification. The Commission may suspend or revoke the certification of an
   Internet-based TRS provider if, after notice and opportunity for hearing,
   the Commission determines that such certification is no longer warranted.
   The Commission may, on its own motion, require a certified Internet-based
   TRS provider to submit documentation demonstrating ongoing compliance with
   the Commission's minimum standards if, for example, the Commission receives
   evidence  that  a  certified Internet-based TRS provider may not be in
   compliance with the minimum standards.

   (f)  Notification  of  substantive  change. (1) States must notify the
   Commission of substantive changes in their TRS programs within 60 days of
   when they occur, and must certify that the state TRS program continues to
   meet federal minimum standards after implementing the substantive change.

   (2) VRS and IP Relay providers certified under this section must notify the
   Commission of substantive changes in their TRS programs, services, and
   features within 60 days of when such changes occur, and must certify that
   the interstate TRS provider continues to meet Federal minimum standards
   after  implementing  the substantive change. Substantive changes shall
   include, but not be limited to:

   (i) The use of new equipment or technologies to facilitate the manner in
   which relay services are provided;

   (ii) Providing services from a new facility not previously identified to the
   Commission or the Fund administrator; and

   (iii) Discontinuation of service from any facility.

   (g) Internet-based TRS providers certified under this section shall file
   with the Commission, on an annual basis, a report demonstrating that they
   are in compliance with § 64.604.

   (1) Such reports must update the information required in paragraph (a)(2) of
   this section and include updated documentation and a summary of the updates,
   or certify that there are no changes to the information and documentation
   submitted with the application for certification, application for renewal of
   certification, or the most recent annual report, as applicable.

   (2) The chief executive officer (CEO), chief financial officer (CFO), or
   other senior executive of an Internet-based TRS provider under this section
   with  first  hand  knowledge  of  the accuracy and completeness of the
   information provided, when submitting an annual report under paragraph (g)
   of this section, must, with each such submission, certify as follows:

   I swear under penalty of perjury that I am __________________ (name and
   title), an officer of the above-named reporting entity, and that I have
   examined the foregoing submissions, and that all information required under
   the Commission's rules and orders has been provided and all statements of
   fact, as well as all documentation contained in this submission, are true,
   accurate, and complete.

   (3) Each VRS provider shall include within its annual report a compliance
   plan describing the provider's policies, procedures, and practices for
   complying with the requirements of § 64.604(c)(13) of this subpart. Such
   compliance plan shall include, at a minimum:

   (i) Identification of any officer(s) or managerial employee(s) responsible
   for ensuring compliance with § 64.604(c)(13) of this subpart;

   (ii) A description of any compliance training provided to the provider's
   officers, employees, and contractors;

   (iii) Identification of any telephone numbers, Web site addresses, or other
   mechanisms available to employees for reporting abuses;

   (iv)  A description of any internal audit processes used to ensure the
   accuracy  and  completeness  of  minutes  submitted  to  the  TRS Fund
   administrator; and

   (v)  A  description of all policies and practices that the provider is
   following to prevent waste, fraud, and abuse of the TRS Fund. A provider
   that fails to file a compliance plan shall not be entitled to compensation
   for the provision of VRS during the period of noncompliance.

   (4)  If,  at any time, the Commission determines that a VRS provider's
   compliance plan currently on file is inadequate to prevent waste, fraud, and
   abuse of the TRS Fund, the Commission shall so notify the provider, shall
   explain the reasons the plan is inadequate, and shall direct the provider to
   correct  the  identified defects and submit an amended compliance plan
   reflecting such correction within a specified time period not to exceed 60
   days. A provider that fails to comply with such directive shall not be
   entitled to compensation for the provision of VRS during the period of
   noncompliance. A submitted compliance plan shall not be prima facie evidence
   of the plan's adequacy; nor shall it be evidence that the provider has
   fulfilled its obligations under § 64.604(c)(13) of this subpart.

   (h) Unauthorized service interruptions. (1) Each certified VRS provider must
   provide  Internet-based  TRS  without  unauthorized  voluntary service
   interruptions.

   (2) A VRS provider seeking to voluntarily interrupt service for a period of
   30 minutes or more in duration must first obtain Commission authorization by
   submitting a written request to the Commission's Consumer and Governmental
   Affairs  Bureau  (CGB)  at  least 60 days prior to any planned service
   interruption, with detailed information of:

   (i) Its justification for such interruption;

   (ii) Its plan to notify customers about the impending interruption; and

   (iii) Its plans for resuming service, so as to minimize the impact of such
   disruption on consumers through a smooth transition of temporary service to
   another provider, and restoration of its service at the completion of such
   interruption. CGB will grant or deny such a request and provide a response
   to the provider at least 35 days prior to the proposed interruption, in
   order  to  afford  an adequate period of notification to consumers. In
   evaluating such a request, CGB will consider such factors as the length of
   time of the proposed interruption, the reason for such interruption, the
   frequency with which such requests have been made by the provider in the
   past,  the  potential impact of the interruption on consumers, and the
   provider's plans for a smooth service restoration.

   (3) In the event of an unforeseen service interruption due to circumstances
   beyond an Internet-based TRS service provider's control, or in the event of
   a VRS provider's voluntary service interruption of less than 30 minutes in
   duration, the provider must submit a written notification to CGB within two
   business days of the commencement of the service interruption, with an
   explanation  of  when and how the provider has restored service or the
   provider's plan to do so imminently. In the event the provider has not
   restored service at the time such report is filed, the provider must submit
   a second report within two business days of the restoration of service with
   an  explanation of when and how the provider has restored service. The
   provider also must provide notification of service outages covered by this
   paragraph to consumers on an accessible Web site, and that notification of
   service status must be updated in a timely manner.

   (4) A VRS provider that fails to obtain prior Commission authorization for a
   voluntary service interruption or fails to provide written notification
   after a voluntary service interruption of less than 30 minutes in duration,
   or an Internet-based TRS provider that fails to provide written notification
   after  the  commencement  of an unforeseen service interruption due to
   circumstances  beyond  the  provider's control in accordance with this
   subsection, may be subject to revocation of certification, suspension of
   payment from the TRS Fund, or other enforcement action by the Commission, as
   appropriate.

   [ 70 FR 76215 , Dec. 23, 2005. Redesignated at  73 FR 21259 , Apr. 21, 2008;  76 FR 24402 , May 2, 2011;  76 FR 47474 , 47477, Aug. 5, 2011;  76 FR 67073 , Oct.
   31, ;77 2011 FR 33662 , June 7, 2012;  78 FR 40608 , July 5, 2013;  78 FR 53694 ,
   Aug. 30, 2013]

   Effective Date Note: At  78 FR 53694 , Aug. 30, 2013, § 64.606 was amended by
   adding  paragraph  (a)(2)(ii)(F).  This paragraph contains information
   collection and recordkeeping requirements and will not become effective
   until approval has been given by the Office of Management and Budget.

   return arrow Back to Top