Supporting Statement OMB 3060-0463 (revision re FCC 18-79)(Oct 2018) revised to address PRA comment TO OMB 2

3060-0463 November 2018

Telecommunications Relay Services and Speech-to-Speech Services for Individuals with Hearing and Speech Disabilities, CG Docket No. 03-123

SUPPORTING STATEMENT

A. Justification

Background:

1. The Commission is submitting this revised information collection to the Office of Management and Budget (OMB) to add information collection requirements adopted in the IP CTS Modernization Order¹ pursuant to section 225 of the Communications Act of 1934, as amended (the Act),² and to modify the estimates of existing burdens that were included in the June 2018 Paperwork Reduction Act (PRA) submission to the Office of Management and Budget (OMB).

This supporting statement also includes two updated information collection forms.³

1. The “TRS Fund State TRS Administrator Form” collects intrastate rate and minutes of use data from state telecommunications relay services (TRS)⁴ administrators;⁵ and

2. The “TRS Fund Provider Form” collects (i) intrastate rate and minutes of use data from state TRS providers,⁶ and (ii) cost and demand data from Internet-based TRS providers.⁷

Section 225 of the Act requires that: 

1. the Commission ensures that TRS is available, to the extent possible and in the most efficient manner, to persons with hearing or speech disabilities in the United States;⁸

2. the Commission promulgates regulations governing the provision of TRS by common carriers offering telephone voice transmission service;⁹ and

3. TRS offers persons with hearing and speech disabilities telephone transmission services that are “functionally equivalent” to voice telephone services.¹⁰

The Commission’s regulations governing the provision of TRS are codified in 47 CFR Part 64, Subpart F. These rules include operational, technical, and functional standards required of all TRS providers and procedures for the certification of state relay programs.

In 2000, the Commission released the 2000 Improved TRS Order,¹¹ which, among other things, amended the TRS rules by recognizing Speech-to-Speech (STS)¹² and Video Relay Service (VRS)¹³ as new forms of TRS, and directed the Interstate TRS Fund administrator (TRS Fund administrator) and Interstate TRS Advisory Council to develop recommendations on how the new forms of TRS should be compensated.

In 2001, the Commission released the 2001 TRS Cost Recovery MO&O and FNPRM,¹⁴ in which the Commission:

(1) directed the TRS Fund administrator to continue to use the average-cost-per-minute compensation methodology for the traditional TRS compensation rate;

2. required TRS providers to submit certain projected TRS-related cost and demand data to the TRS Fund administrator to be used to calculate the rate;¹⁵ and

(3) directed the TRS Fund administrator to expand its TRS Center Data Request as needed. This is a form on which providers itemize their actual and projected costs and demand data and include specific sections to capture STS and VRS costs and minutes of use.

In 2003, the Commission released the 2003 Second Improved TRS Order,¹⁶ which required that TRS providers offer certain local exchange carrier-based improved services and features where technologically feasible, several additional types of TRS calls, and other services and features through which consumers with varying needs, abilities, and preferences may access and use TRS. These mandatory minimum requirements included a speed dialing requirement which may entail voluntary recordkeeping for TRS providers to maintain a list of telephone numbers. 47 CFR § 64.604(a)(3)(vi)(B).

In 2007, the Commission released the Section 225/255 VoIP Report and Order¹⁷ extending the disability access requirements that apply to telecommunications service providers and equipment manufacturers under sections 225 and 255 of the Act to interconnected voice over Internet protocol (VoIP) service providers and equipment manufacturers. As a result, under rules implementing section 225 of the Act, interconnected VoIP service providers are required to publicize information about TRS and 711 abbreviated dialing access to TRS (“public access to information”).¹⁸

On November 19, 2007, the Commission released the 2007 Cost Recovery R&O and Declaratory Ruling,¹⁹ in which the Commission:

(1) adopted a new cost recovery methodology for interstate traditional TRS²⁰ and interstate STS based on the Multi-state Average Rate Structure (MARS) plan, under which interstate TRS compensation rates are determined by the weighted average of the states’ intrastate compensation rates, and which includes for STS additional compensation approved by the Commission for STS outreach;

(2) adopted a new cost recovery methodology for interstate captioned telephone service (CTS),²¹ and interstate and intrastate Internet Protocol captioned telephone service (IP CTS)²² based on the MARS plan;

(3) adopted a cost recovery methodology for IP Relay²³ based on price caps;

(4) adopted a cost recovery methodology for VRS that adopted tiered rates based on call volume;

(5) clarified the nature and extent that certain categories of costs are compensable from the TRS Fund; and

(6) addressed certain issues concerning the management and oversight of the TRS Fund, including prohibiting financial incentives offered to consumers to make relay calls and clarifying the role of the Interstate TRS Fund Advisory Council.

The 2007 Cost Recovery R&O and Declaratory Ruling requires that TRS providers submit to the TRS Fund administrator the following information annually, for intrastate traditional TRS, STS, and CTS:

1. the per-minute compensation rate(s);

2. whether the rate applies to session minutes or conversation minutes;²⁴

3. the number of intrastate session minutes; and

4. the number of intrastate conversation minutes.

Also, STS providers must file a report annually with the TRS Fund administrator and the Commission on their specific outreach efforts directly attributable to the additional compensation approved by the Commission for STS outreach.

On June 8, 2018, the Commission released the IP CTS Modernization Order, in which the Commission added two cost reporting requirements for IP CTS providers—one to be part of the annual cost data filings, and the other to be part of any audit or other requests for data.

1. In annual cost data filings and supplementary information provided to the TRS Fund administrator, IP CTS providers that contract for the supply of services used in the provision of TRS shall include information about payments under such contracts, classified according to the substantive cost categories specified by the administrator. To the extent that a third party’s provision of services covers more than one cost category, the resubmitted cost reports must provide an explanation of how the provider determined or calculated the portion of contractual payments attributable to each cost category. To the extent that the TRS Fund administrator reasonably deems necessary, providers shall submit additional detail on such contractor expenses, including but not limited to complete copies of such contracts and related correspondence or other records and information relevant to determining the nature of the services provided and the allocation of the costs of such services to cost categories. 47 CFR § 64.604(c)(5)(iii)(D)(1).

2. In the course of an audit or otherwise upon demand, an IP CTS provider must make available any relevant documentation, including contracts with entities providing services or equipment directly related to the provision of IP CTS, to the Commission, the TRS Fund administrator, or any person authorized by the Commission or TRS Fund administrator to conduct an audit. 47 CFR § 64.604(c)(5)(iii)(D)(6).

The statutory authority can be found at section 225 of the Act, 47 U.S.C. § 225. The law was enacted on July 26, 1990, in Title IV of the Americans with Disabilities Act of 1990, Pub. L. No. 101-336, 104 Stat. 327.

2. The Commission requires that providers of IP Relay, VRS, and IP CTS offer the speed dialing feature so that users would be able to use TRS that is functionally equivalent to a telephone service which is mandated under Section 225 of the Act. Providers of IP Relay, VRS, and IP CTS are required to maintain a list of telephone numbers in order to fulfill the speed dialing requirement which is an integral component of a functionally equivalent telephone service. The Commission does not anticipate receiving this information from providers for its internal purposes.

The 2007 Cost Recovery R&O and Declaratory Ruling adopting new information collections was promulgated pursuant to section 225 of the Act. This data will assist the Commission and TRS Fund administrator in determining future compensation rates for traditional TRS, STS, and CTS. The information collections cover relay-related cost and demand data, including data related to minutes of use. Other aspects of this information collection make it possible for the Commission to address consumer complaints and assist the Commission and the TRS Fund administrator to monitor TRS provider compliance with the Commission’s rules to protect the TRS Fund from waste, fraud, and abuse.

This information collection includes personally identifiable information (PII).

(1) As required by OMB Memorandum M-03-22 (September 26, 2003), the FCC completed a Privacy Impact Assessment (PIA)²⁵ on June 28, 2007, that gives a full and complete explanation of how the FCC collects, stores, maintains, safeguards, and destroys the PII covered by these information collection requirements. The PIA may be reviewed at: https://www.fcc.gov/general/privacy-act-information#pia.

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(2) Furthermore, as required by the Privacy Act, 5 U.S.C. § 552a, the FCC also published a system of records notice (SORN), FCC/CGB-1, “Informal Complaints, Inquiries, and Requests for Dispute Assistance” in the Federal Register on August 15, 2014 (79 FR 48152), which became effective on September 24, 2014. I didn’t catch this in the last revision. Fn. 26 doesn’t make sense right here. I think it should be moved else and add the following sentence: The SORN may be reviewed at https://www.fcc.gov/general/privacy-act-information#systems.

3. The information collection requirements relating to speed dialing are mainly narratives which do not lend themselves to automation. The Commission, however, permits them to be submitted electronically. To the extent a provider voluntarily maintains a list of telephone numbers in order to fulfill the speed dialing requirement, the provider is free to employ any automated technique it wishes to reduce the burden. In regard to cost data, the Commission requires automated, electronic processes to be employed by respondents to collect and submit to the TRS Fund administrator minutes of use data in furtherance of this collection.²⁶

4. The information collection requirements do not duplicate any currently existing federal regulatory obligation.

5. The Commission believes that this information collection will not have a significant economic impact on a substantial number of small entities/businesses.

6. Providers may choose to maintain a list of telephone numbers in order to fulfill the speed dialing requirement. Eliminating the voluntary collection associated with that requirement would diminish the alternatives available to providers for meeting the requirement and may lead to greater costs to the TRS program. In addition, to the extent that providers satisfy the requirement in part through maintaining a list of telephone numbers, they are free to pursue other methods of satisfying the requirement that do not involve such recordkeeping.

Data collections are made from TRS providers, state relay program administrators, and Internet-based TRS providers; and STS providers file annual reports on their outreach efforts. If these information collections were not conducted, or conducted less frequently, the Commission’s and the TRS Fund administrator’s efforts to reevaluate compensation rates for TRS would be thwarted, the Commission would be unable to address consumer complaints, and the ability of the Commission and the TRS Fund administrator to monitor TRS provider compliance with the Commission’s rules to protect the TRS Fund from waste, fraud and abuse would be diminished, thus undermining the efficacy of those programs. For example, in the IP CTS Modernization Order, the Commission expressed concern that some of the expenses incurred by IP CTS providers have not been reported in sufficient detail to enable the Fund administrator to confirm their allowability and reasonableness; so the Commission adopted the additional data submission requirements discussed herein. The Commission believes that the burdens associated with all of these collections are minimal. Furthermore, without the collection, the providers may not be eligible for reimbursement from the TRS Fund, which could lead them to suspend operation of their important services.

7. No special circumstances exist that would cause this collection to be conducted in a manner inconsistent with the guidelines and requirements set forth in the Paperwork Reduction Act of 1995.

8. The Commission placed a 60-day notice in the Federal Register pursuant to 5 CFR § 1320.8(d). See 83 FR 44049, August 29, 2018, seeking comments from the public on the information collection requirements contained in this supporting statement. On October 29, 2018, Hamilton Relay, Inc. (Hamilton) filed comments arguing that earlier versions of the cost and demand reporting forms “were vague, employed unclear and inappropriate cost categories, and forced providers to exclude relevant information,” recommends that new forms should “follow the allowable cost pattern in Part 32 of the Commission’s rules to properly account for IP CTS provider costs,” and argues that any collection forms be “tailored to IP CTS and collect only the information necessary for the Commission to establish permanent rates for IP CTS” and be withdrawn if the Commission were to establish a price cap methodology.²⁷ IP CTS providers, including Hamilton, have successfully provided the cost and demand information in the past without it being burdensome as argued by Hamilton. The information requested in the forms is needed by the Commission to manage the cost of the TRS program and establish IP CTS rates. Even if the Commission were to adopt a price cap methodology, the Commission would still need the data if the Commission were to consider changing its rate setting methodology, and if a price cap methodology were to include resetting the base rate every few years, the Commission would need the cost and demand data to set new base rates. Hamilton has failed to explain with specificity how the forms were “vague, employed unclear and inappropriate cost categories, and excluded relevant information;” how the allowable costs for telephone companies in Part 32 of the Commission’s rules would be more appropriate for IP CTS than the allowable costs for other types of relay services; and how the collection of such information would be burdensome.

9. The Commission does not anticipate providing any payment or gift to respondents.

10. For many years, the Commission has been receiving projected cost and demand data submitted by the TRS providers, in order to help set annual interstate relay compensation rates. This data may be confidential proprietary information protected from disclosure under the Freedom of Information Act (FOIA) and the Commission’s rules implementing FOIA. The Commission is not requesting the TRS provider respondents to submit any other confidential information. Thus, the Commission has experience in protecting the confidentiality of such information, as appropriate.

In addition, if the Commission requests information from any respondents which the respondents believe is confidential, respondents may request confidential treatment of such information pursuant to 47 CFR § 0.459. Moreover, the Commission requires the TRS Fund administrator to keep all data and information received from contributors, TRS providers, and state TRS administrators confidential.²⁸ The 2007 Cost Recovery R&O and Declaratory Ruling also states that the Commission or TRS Fund administrator will ask each state and TRS provider to indicate what information should be considered confidential, and that the specifics of such information will not be released.²⁹

Furthermore, assurances of confidentiality are being provided to respondents that are likely to file informal complaints against TRS providers. These assurances include the safeguards used in the SORN for OMB Control Number 3060-0874, which states that respondents are made aware of the fact that their complaint information may be released to law enforcement officials and other parties as mandated by law (i.e., court-ordered subpoenas).³⁰ Such information is contained in Commission databases, which are covered under the Commission’s SORN, FCC/CGB-1, “Informal Complaints, Inquiries, and Requests for Dispute Assistance.” The PII covered by this system of records notice is used by Commission personnel to handle and to process informal complaints from individuals and groups. The Commission will not share this information with other federal agencies except under the routine uses listed in the SORN.

The PIA, which the FCC completed on June 28, 2007, gives a full and complete explanation of how the FCC collects, stores, maintains, safeguards, and destroys PII, as required by OMB regulations and the Privacy Act, 5 U.S.C. § 552a.³¹ The PIA may be viewed at: https://www.fcc.gov/general/privacy-act-information#pia.

11. There are no questions of a sensitive nature with respect to the information collected.

12. Estimates of the burden hours to comply with the collection of information are as follows:

1. Section 64.604(a)(3) – Speed Dialing Requirement

Annual Number of Respondents: 15 respondents³²

The Commission estimates approximately 15 TRS providers (respondents) voluntarily will maintain a list of telephone numbers for this feature, and further that this process will require each such provider approximately 5 hours per year to complete.

Annual Number of Responses: 15 responses

15 respondents x 1 list/respondent/year = 15 lists (responses)

Annual Number of Burden Hours: 75 hours

15 responses x 5 hours/response to maintain lists = 75 hours

Annual In-House Costs: $3,321

The Commission assumes that respondents use in-house personnel whose pay is comparable to a GS-12/5 ($44.28) to maintain a list of telephone numbers.

15 responses x 5 hours/response x $44.28/hour = $3,321

2. Section 64.604(c)(5)(iii)(D) – Data Collection from State TRS Providers

Annual Number of Respondents: 2³³

In the 2007 Cost Recovery R&O and Declaratory Ruling, the Commission established reporting requirements associated with TRS cost recovery methodologies for compensation from the TRS Fund.

TRS providers must submit to the TRS Fund administrator the following information annually, for intrastate traditional TRS, STS, and CTS:

(1) the per-minute compensation rate(s);

(2) whether the rate applies to session minutes or conversation minutes;

(3) the number of intrastate session minutes; and

(4) the number of intrastate conversation minutes.

The Commission estimates that for the 2 respondents, collectively up to three reports will be necessary, per state or territory, to reflect rate data and information for respondents’ traditional TRS, STS, and CTS services. This process will be done annually.

Annual Number of Responses: 168 responses

56 states and territories x 3 reports (traditional TRS/STS/CTS) = 168 responses³⁴

Annual Number of Burden Hours: 1,680 hours

The Commission estimates that each state or territory will spend, on average, 10 hours, including 9 hours to complete the gathering and calculating of information and 1 hour to submit annually to the TRS Fund administrator historical and projected cost and demand data on the TRS Fund Annual State Rate Data Request Form.

168 responses x 10 hours/response = 1,680 hours

Annual In-House Costs: $88,468.80

The Commission assumes that respondents will use in-house personnel whose pay is comparable to a mid-to-senior level federal employee (GS-13/5), therefore, the Commission estimates respondents’ costs to be about $52.66 per hour to comply with the requirement:

168 responses x 10 hours/response x $52.66/hour = $88,468.80

3. Section 64.604(c)(5)(iii)(D) – Data Collection from State Relay Program Administrators

Annual Number of Respondents: 56

In the 2007 Cost Recovery R&O and Declaratory Ruling, the Commission established reporting requirements associated with TRS cost recovery methodologies for compensation from the TRS Fund.

State relay program administrators must submit to the TRS Fund administrator the following information annually on the TRS Fund State TRS Administrator Form, for intrastate traditional TRS, STS, and CTS:

(1) the per-minute compensation rate(s);

(2) whether the rate applies to session minutes or conversation minutes;

(3) the number of intrastate session minutes; and

(4) the number of intrastate conversation minutes.

The Commission estimates that there will be 56 respondents (i.e., the states and territories with TRS programs). The Commission estimates that for each of the 56 respondents, three reports will be submitted to reflect rate data and information for the respondent’s traditional TRS, STS, and CTS programs. This process is done annually.

Annual Number of Responses: 168 responses

56 states and territories x 3 reports (traditional TRS/STS/CTS) = 168 responses

Annual Number of Burden Hours: 1,680 hours

The Commission estimates that the respondents will require approximately 10 hours to submit the data and information for each response.

168 responses x 10 hours/response = 1,680 hours

Annual In-House Costs: $88,468.80

The Commission assumes that respondents will use in-house personnel whose pay is comparable to a mid-to-senior level federal employee (GS-13/5); therefore, the Commission estimates respondents’ costs to be about $52.66 per hour to comply with the requirement:

168 responses x 10 hours/response x $52.66/hour = $88,468.80

4. Section 64.604(c)(5)(iii)(D) – Data Collection from Internet-Based TRS Providers

Annual Number of Respondents: 15³⁵

In the 2007 Cost Recovery R&O and Declaratory Ruling, the Commission established reporting requirements associated with TRS cost recovery methodologies for compensation from the TRS Fund. Internet-based TRS providers must gather and calculate information and submit to the TRS Fund administrator historical and projected cost and demand data annually on the TRS Fund Provider Form. In the IP CTS Modernization Order, the Commission expanded the annual cost data filings for IP CTS providers to include information about payments under contracts, in situations where the providers contract for the supply of services used in the provision of TRS.

Annual Number of Responses: 16

The Commission estimates that one respondent will provide 2 responses, and that the other respondents will provide one response each.

Annual Number of Burden Hours: 1,120

The Commission estimates that each TRS provider will spend, on average, 70 hours, including 60 hours to complete the gathering and calculating of information and 10 hours to submit annually to the TRS Fund administrator historical and projected cost and demand data on the TRS Fund Annual Provider Information Form.

16 responses x 70 hours/response = 1,120 hours

The Commission assumes that respondents will use in-house personnel whose pay is comparable to a mid-to-senior level federal employee (GS-13/5); therefore, the Commission estimates respondents’ costs to be about $52.66 per hour to comply with these requirements:

Annual In-House Costs: $58,979.20

16 responses x 70 hours/response x $52.66/hour = $58,979.20

5. Section 64.604(c)(5)(iii)(D)(1) – Audit of Internet-Based TRS Providers

Annual Number of Respondents: 15³⁶

In the 2007 Cost Recovery R&O and Declaratory Ruling, the Commission established that TRS providers must submit to audits by the TRS Fund administrator annually, or as deemed appropriate. In the IP CTS Modernization Order, the Commission expanded the information to be included in audits to include documentation, such as copies of contracts with entities providing services or equipment used for the provision of IP CTS.

Annual Number of Responses: 15

The Commission estimates that the TRS Fund administrator will audit all 15 Internet-based TRS providers each year.

Annual Number of Burden Hours: 1,200

The Commission estimates that each TRS provider will spend on average 80 hours per service responding to auditor requests for information.

15 responses x 80 hours/response = 1,200 hours

The Commission assumes that respondents will use in-house personnel whose pay is comparable to a mid-to-senior level federal employee (GS-13/5); therefore, the Commission estimates respondents’ costs to be about $52.66 per hour to comply with these requirements:

Annual In-House Costs: $63,192.00

15 responses x 80 hours/response x $52.66/hour = $63,192.00

6. STS Annual Reports on Outreach Efforts

In the 2007 Cost Recovery R&O and Declaratory Ruling, the Commission also established reporting requirements for STS providers (respondents). Respondents must file a report annually with the TRS Fund administrator and the Commission on their specific outreach efforts directly attributable to the additional compensation approved by the Commission for STS outreach.

Annual Number of Respondents: 2³⁷

Currently, there are 2 STS providers. Therefore, the Commission estimates that 2 respondents will be required to submit a report annually on specific outreach efforts.

Annual Number of Responses: 2 responses

2 respondents x 1 report/year = 2 responses

Annual Number of Burden Hours: 30 hours

The Commission estimates that each respondent will require approximately 15 hours to submit the report:

2 responses x 15 hours/response = 30 hours

Annual In-House Costs: $1,579.80

The Commission assumes that respondents will use in-house personnel whose pay is comparable to a mid-to-senior level federal employee (GS-13/5). Therefore, the Commission estimates respondents’ costs to be about $52.66 per hour to comply with the requirement:

2 responses x 15 hours/response x $52.66/hour = $1,579.80

7. Section 64.604(c)(3) – Public Access to Information

Annual Number of Respondents: 3,500

The Commission estimates 3,500 telecommunications service and VoIP providers and equipment manufacturers are subject to sections 225 and 255 of the Act.

Respondents, through publication in their directories, periodic billing inserts, placement of TRS instructions in telephone directories, through directory assistance services, and incorporation of TTY numbers in telephone directories, shall assure that callers in their service areas are aware of the availability and use of all forms of TRS and the availability of 711 abbreviated dialing access to TRS.

The Commission estimates that the required actions will take place on an occasional basis, and respondents will expend approximately 1 hour in the aggregate per year in planning and complying with these requirements.

Annual Number of Responses: 3,500 responses

3,500 respondents x 1 response/respondent = 3,500 responses

Annual Number of Burden Hours: 3,500 hours

3,500 responses x 1 hour/response = 3,500 hours

Annual In-House Costs: $184,310

The Commission assumes that respondents will use in-house personnel whose pay is comparable to a mid-to-senior level federal employee (GS-13/5), therefore, the Commission estimates respondents’ costs to be about $52.66 per hour to comply with the requirement:

3,500 responses x 1 hour/response x $52.66/hour = $184,310

8. Section 64.604(a)(7) – Registration of VRS Users for Calling from International Points to the U.S.

Annual Number of Respondents: 1,505³⁸

Section 64.604(a)(7) of the Commission’s rules requires that in order for VRS providers to be compensated from the TRS Fund for U.S. residents making VRS calls from international points to the U.S., the providers must preregister the users before they leave the country. This preregistration permits the user to make VRS calls from international points to the U.S. for up to a maximum of 4 weeks. Providers must collect information from the users in order to preregister them. The Commission estimates that each of 5 VRS providers will preregister an average of 300 users annually for this purpose, and that each registration will take approximately one-half (0.5) hour.

Annual Number of Responses: 3,000

The responses will be provided by: (a) the VRS providers preregistering their users, and (b) the users participating in the preregistration.

(300 responses/provider x 5 providers) + (1 response/user x 1,500 users) = 3,000 responses

Annual Number of Burden Hours: 1,500

(300 responses/provider x 5 providers x 0.5 hour) + (1 response/user x 1,500 users x 0.5 hour) = 1,500 hours

The Commission estimates that provider respondents will utilize in-house personnel whose pay is comparable to mid-level federal employee (GS-9/5) to register users. The Commission estimates the respondents’ costs to be about $30.54 per hour to complete. There will be no cost to users to register.

Annual In-House Costs: $22,905

(300 responses/provider x 5 providers x 0.5 hour x $30.54/hour) + (1 response/user x 1,500 users x 0.5 hour x $0/hour) = $22,905

9. Section 64.604(c)(1) – Complaint Log Summaries

Annual Number of Respondents: 7³⁹

Section 64.604(c)(1) of the Commission’s rules requires each state and interstate TRS provider to maintain a log of consumer complaints and file a summary of the complaint log with the Commission. This process will be done annually and will require approximately 8 hours to complete.

Annual Number of Responses: 10

There is 1 respondent that provides 3 forms of TRS, 1 respondent that provides 2 forms of TRS, and 5 respondents that provide 1 form of TRS.

(1 respondent x 3 responses) + (1 respondent x 2 responses) + (5 respondents x 1 response) = 10 responses

Annual Number of Burden Hours: 80

10 responses x 8 hours/consumer complaint log = 80 hours

The Commission estimates that respondents will utilize in-house personnel whose pay is comparable to a senior level federal employee (GS-15/5) to maintain consumer complaint log submissions. The Commission estimates the respondents’ costs to be about $73.20 per hour to complete.

Annual In-House Costs: $5,856

80 hours x $73.20/hour = $5,856

10. Section 64.604(c)(2) – Contact Information

Annual Number of Respondents: 5⁴⁰

Section 64.604(c)(2) of the Commission’s rules requires each state and interstate TRS provider to submit contact information to the Commission. This process will be done once when the provider commences operations and each time there is a change in contact information. The Commission estimates that an average of 5 providers will be submitting new or revised contact information annually, and it will require approximately 1 hour to complete.

Annual Number of Responses: 5

5 respondents x 1 response/respondent = 5 responses

Annual Number of Burden Hours: 5

5 responses x 1 hour/response = 5 hours

The Commission estimates that respondents will utilize in-house personnel whose pay is comparable to a senior level federal employee (GS-15/5) to submit contact information. The Commission estimates the respondents’ costs to be about $73.20 per hour to complete.

Annual In-House Costs: $366

5 responses x 1 hour/response x $73.20/hour = $366

11. Section 64.604(c)(5)(iii)(D)(3) – Submission of Speed-of-Answer Compliance Data

Annual Number of Respondents: 10⁴¹

Section 64.604(c)(5)(iii)(D)(3) of the rules requires providers to submit speed-of-answer data for IP CTS.⁴² The Commission estimates that 10 IP CTS providers will each require approximately 5 hours to complete the compilation and submission of speed-of-answer data on a monthly basis.

Annual Number of Responses: 120

10 respondents x 1 response/month x 12 months = 120 responses

Annual Burden Hours: 600

10 respondents x 1 response/month x 12 months x 5 hours/month = 600 hours

The Commission estimates that respondents will utilize in-house personnel whose pay is comparable to a senior level federal employee (GS-15/5) to prepare speed-of-answer compliance reports. The Commission estimates the respondents’ costs to be about $73.20 per hour to complete.

Annual In-House Costs: $43,920

600 hours x $73.20/hour = $43,920

12. Section 64.604(c)(5)(iii)(G) – Notification to the TRS Fund Administrator

Section 64.604(c)(5)(iii)(G) of the rules requires each TRS provider to submit to the TRS Fund administrator a notification of its intent to participate in the TRS Fund 30 days prior to submitting reports of TRS interstate minutes of use. This is a one-time requirement for new TRS providers. The Commission estimates that up to 5 new IP CTS providers will each require approximately 1 hour to complete this notification.

Annualized Number of Respondents: 2 (rounded)⁴³

5 new IP CTS providers/3 years = 1.66 (2 respondents rounded)

Annualized Number of Responses: 2

5 new IP CTS providers x 1 response/3 years = 1.66 (2 responses rounded)

Annualized Burden Hours: 2 (rounded)

5 new IP CTS providers x 1 response/3 years x 1 hour/response = 1.66 (2 hours rounded)

The Commission estimates that respondents will utilize in-house personnel whose pay is comparable to a mid-to-senior level federal employee (GS-13/5) to prepare the notification. The Commission estimates the respondents’ costs to be about $52.66 per hour to complete.

Annualized In-House Costs: $87.77

5 new IP CTS providers x 1 response/3 years x 1 hour/response x $52.66/hour = $87.77

13. Section 64.604(c)(6)(i)-(iv) – Referral of Complaints Concerning Intrastate TRS to the States

Section 64.604(c)(6)(i)-(iv) of the rules provides procedures for the Commission to refer informal complaints concerning intrastate TRS to the states. OMB Control Number 3060-0874 already covers the burdens placed on consumers who file complaints with the Commission. As a result, this supporting statement for OMB Control Number 3060-0463 covers only the burdens placed on the states to address these complaints.

Annual Number of Respondents: 10⁴⁴

The Commission estimates that, for present and future purposes, approximately 10 complaints concerning intrastate TRS will be referred to the states annually and that each complaint will be referred to a different state. The Commission further estimates that each state will require approximately 5 hours to address the complaint.⁴⁵

Annual Number of Responses: 10

10 respondents x 1 response = 10 responses

Annual Burden Hours: 50

10 respondents x 1 response x 5 hours = 50 hours

The Commission estimates that respondents will utilize in-house personnel whose pay is comparable to a mid-to-senior level federal employee (GS-13/5) to address the complaint. The Commission estimates the respondents’ costs to be about $52.66 per hour to complete.

Annual In-House Costs: $2,633

10 respondents x 1 response x 5 hours x $52.66/hour = $2,633

14. Section 64.604(c)(6)(v)(A)-(B) – Informal Complaints Alleging Violations of the TRS Rules

Section 64.604(c)(6)(v)(A)-(B) of the rules provides procedures for consumers to file informal complaints alleging violations of the TRS rules and for TRS providers to respond to these complaints. OMB Control Number 3060-0874 already covers the burdens placed on consumers who file complaints with the Commission. As a result, this supporting statement for OMB Control Number 3060-0463 covers only the burdens placed on the TRS providers to respond to these complaints.

Annual Number of Respondents: 15⁴⁶

The Commission estimates that approximately 260 informal complaints are filed with the Commission each year, and that each TRS provider uses in-house staff to respond to these complaints.

Annual Number of Responses: 260

The Commission estimates, for present and future purposes, that the average burden for TRS providers to prepare and submit a response to each informal complaint is 3 hours.

Annual Burden Hours: 780

260 responses x 3 hours = 780 hours

The Commission estimates that respondents will utilize in-house personnel whose pay is comparable to a mid-to-senior level federal employee (GS-14/5) to prepare the response. The Commission estimates the respondents’ costs to be about $62.23 per hour to complete.

Annual In-House Costs: $48,539.40

260 responses x 3 hours x $62.23/hour = $48,539.40

15. Section 64.604(c)(6)(v)(C)-(I) – Formal Complaints Alleging Violations of the TRS Rules

Section 64.604(c)(6)(v)(C)-(I) of the rules provides procedures for filing formal complaints alleging violations of the TRS rules and for TRS providers to respond to these complaints. The Commission estimates that 1 complaint, 1 answer, and 1 reply to answer will be filed involving 1 complainant and 1 defendant annually, and that both parties will be represented by outside counsel.⁴⁷

Annual Number of Respondents: 2

1 complainant + 1 defendant⁴⁸ = 2 respondents

Annual Number of Responses: 3

1 formal complaint (complainant) + 1 answer (defendant) + 1 reply to answer (complainant) = 3 responses

The Commission estimates that the complainant will require 10 hours total to consult with outside counsel, who will prepare the complaint and reply to answer, and that the defendant will require 10 hours to consult with outside counsel, who will prepare the answer.

Annual Burden Hours: 20

Complainant’s 10 hours + defendant’s 10 hours = 20 hours

The complainant will consult directly with outside counsel and thus will have no in-house costs. The Commission estimates that defendants will utilize in-house personnel whose pay is comparable to a senior level federal employee (GS-15/5), to consult with outside counsel. The Commission estimates the respondents’ costs to be about $73.20 per hour.

Annual In-House Costs: $732

1 response (defendant) x 10 hours x $73.20/hour = $732

16. Section 64.604(c)(7) – Contract Provisions for Transfer of TRS Customer Information

Section 64.604(c)(7) of the rules requires that contracts between state TRS administrators and the TRS vendor provide for the transfer of TRS customer profile data from the outgoing TRS vendor to the incoming TRS vendor. The Commission estimates that no more than an average of 10 TRS contracts between state TRS administrators and state TRS providers will be written or renewed each year. The Commission further estimates that the state relay administrators and state TRS providers will each require approximately 1 hour to complete this provision within the contract.

Annual Number of Respondents: 12⁴⁹

10 state relay administrators + 2 state relay providers = 12 respondents

Annual Number of Responses: 20

(10 state relay administrators x 1 response/respondent) + (2 state relay providers x 5 responses/respondent) = 20 responses

Annual Burden Hours: 20

20 responses x 1 hour = 20 hours

The Commission estimates that respondents will utilize in-house personnel whose pay is comparable to a senior level federal employee (GS-15/5) to prepare the contract provision. The Commission estimates the respondents’ costs to be about $73.20 per hour to complete.

Annual In-House Costs: $1,464

20 responses x 1 hour x $73.20/hour = $1,464

CUMULATIVE TOTAL FOR INFORMATION COLLECTION REQUIREMENTS

	Collection	Number of Respondents	Number of Responses	Burden Hours	In-House Costs
A	Speed Dialing Requirement	15	15	75	$3,321
B	Data Collection from State TRS Providers	Included in A	168	1,680	$88,468.80
C	Data Collection from State Relay Program Administrators	56	168	1,680	$88,468.80
D	Data Collection from Internet-Based TRS Providers	Included in A	16	1,120	$58,979.20
E	Audit of Internet-Based TRS Providers	Included in A	15	1,200	$63,192.00
F	STS Annual Reports on Outreach Efforts	Included in A	2	30	$1,579.80
G	Public Access to Information	3,500	3,500	3,500	$184,310
H	Registration of VRS Users for Calling from International Points to the U.S.	1,500 (plus 5 included in A)	3,000	1,500	$22,905
I	Complaint Log Summaries	Included in A	10	80	$5,856
J	Contact Information	Included in A	5	5	$366
K	Submission of Speed-of-Answer Compliance Data	Included in A	120	600	$43,920
L	Notification to the TRS Fund Administrator	Included in A	2	2	$87.77
M	Referral of Complaints Concerning Intrastate TRS to the States	Included in C	10	50	$2,633
N	Informal Complaints Alleging Violations of the TRS Rules	Included in A	260	780	$48,539.40
O	Formal Complaints Alleging Violations of the TRS Rules	1 (plus1 included in A)	3	20	$732
P	Contract Provisions for Transfer of TRS Customer Information	Included in A and C	20	20	$1,464
	CUMULATIVE TOTALS	5,072	7,314	12,342	$614,822.77

13. The Commission does not anticipate any outside capital or start-up cost burdens associated with this collection, and does not anticipate outside annual cost burdens, with the exception of the three categories discussed below.

(i) In regard to speed dialing, the only potential outside cost burden to respondents could be for software related to the maintaining of telephone number lists. The Commission believes, however, that such software either would be a standard component of office computer “suites,” or should be readily available off the shelf. Therefore, the Commission estimates that up to 15 TRS providers will purchase such software at up to $120 per provider, for an aggregate cost of $1,800. Because the Commission expects that such software would be capitalized and estimates that it will have a useful life of 3 years and be purchased every 3 years, the Commission estimates the annualized cost to be:

(15 providers x $120 / provider) / 3 = $600

(ii) Internet-based TRS providers will incur some costs to prepare for and participate in audits.  However, providers will be reimbursed indirectly when they receive compensation from the Interstate TRS Fund for providing Internet-based TRS service.

15 providers x $0 / annual audit = $0

(iii) With regard to STS outreach, each of the two STS providers may utilize the assistance of outside counsel. The Commission estimates that outside legal counsel will require 2 hours to prepare and submit the report and will charge $300.00 per hour for legal services.

2 reports x 2 hours x $300.00/hour outside legal fee = $1,200.00

(iv) For formal complaints, the Commission estimates that one complainant will retain outside counsel to file one formal complaint and a reply to answer, and that one defendant will retain outside counsel to file one answer to the complaint.

((1 complaint x 10 hours) + (1 reply x 5 hours)) x $300/hour) +

(1 answer x 15 hours x $300/hour) = $9,000

TOTAL ANNUAL COST

Total Start-Up Costs: $0

Total Operation, Maintenance, and Purchase of Service Costs: $10,800/year

14. The Commission believes that the cost to the Federal Government will be due to the collecting, processing, and analysis of the following:

1. Audit of Internet-Based TRS Providers:

(a) The Commission will use employees at the GS-15/Step 5 level to review and analyze each audit report.

(b) The Commission estimates the time to review and analyze each audit report to be approximately 20 hours.

(c) On average, the Commission estimates that it will receive approximately 15 audit reports annually:⁵⁰

15 submission x 10 hours/submission x $73.20/hour = $10,980

2. Reports on outreach efforts submitted by STS providers:

(1) The Commission will use staff attorneys at the GS-14/Step 5 level to collect, process and analyze the reports on outreach efforts submitted by STS providers.

(2) The Commission estimates the time to process each submission to be approximately 3 hours.

(3) On average, the Commission estimates that it will receive approximately 2 submissions⁵¹ annually:

2 submissions x 3 hours/submission x $62.23/hour = $373.38

3. TRS provider submission of complaint log summaries:

(a) The Commission will use mid-to-senior level employees at the GS-13/Step 5 level to collect, process and analyze the complaint log summaries.

(b) The Commission estimates the time to process each submission to be approximately 1 hour.

(c) On average, the Commission estimates that it will receive approximately 10 submissions annually:⁵²

10 submissions x 1 hour/submission x $52.66/hour = $526.60

4. TRS provider submission of contact information updates:

(a) The Commission will use mid-to-senior level employees at the GS-12/Step 5 level to collect and process the contact information.

(b) The Commission estimates the time to process each submission to be approximately 30 minutes (0.5 hour).

(c) On average, the Commission estimates that it will receive approximately 5 submissions annually:⁵³

5 submissions x 0.5 hour/submission x $44.28/hour = $110.70

5. Referral of complaints concerning intrastate TRS to the states:

(a) The Commission will use mid-to-senior level employees at the GS-13/Step 5 level to analyze the complaints and refer them to the states.

(b) The Commission estimates the time to process and refer each complaint to be approximately 2 hours.

(c) On average, the Commission estimates that it will receive approximately 10 complaints requiring referral annually:⁵⁴

10 submissions x 2 hours/submission x $52.66/hour = $1,053.20

6. Processing of informal complaints:

(a) The Commission will use mid-to-senior level employees at the GS-13/Step 5 level to process and analyze informal complaints.

(b) The Commission estimates the time to process and analyze each complaint to be approximately 3 hours.

(c) On average, the Commission estimates that it will receive approximately 260 informal complaints requiring processing annually:⁵⁵

260 submissions x 3 hours/submission x $52.66/hour = $41,074.80

7. Processing of formal complaints:

(a) The Commission will use attorneys at the GS-15/Step 5 level to process and analyze formal complaints.

(b) The Commission estimates the time to process and analyze each formal complaint to be approximately 30 hours.

(c) On average, the Commission estimates that it will receive approximately 1 formal complaint requiring processing annually:⁵⁶

1 submission x 30 hours/submission x $73.20/hour = $2,196

Total cost to the Federal Government: $56,314.68

$10,980.00 + $373.38 + $526.60 + $110.70 + $1,053.20 + $41,074.80 + $2,196 = $56,314.68

15. Due to new information collection requirements in the IP CTS Modernization Order, the Commission makes the following program changes: the annual number of responses has increased by +15, from 7,299 to 7,314 annual number of responses; and the annual burdens hours has increased by +1,520 annual burden hours, from 10,822 to 12,342.

There are no adjustments to this collection.

16. There are no plans to publish the result of the collection of information.

17. The Commission is not seeking approval not to display the expiration date for OMB approval of this information. The rate and minutes of use data and the cost and demand data is being collected through use of the TRS Fund State TRS Administrator Form and the TRS Fund Provider Form. Each of these forms will display the expiration date for OMB approval. The remainder of the information collection does not include the use of forms or a form number.

18. There are no exceptions to the certification statement.

B. Collections of Information Employing Statistical Methods

The Commission does not anticipate that the collections of information will employ statistical methods.

1 Misuse of Internet Protocol Captioned Telephone Service; Telecommunications Relay Services and Speech-to-Speech Services for Individuals with Hearing and Speech Disabilities, Report and Order, Declaratory Ruling, Further Notice of Proposed Rulemaking, and Notice of Inquiry, FCC 18-79, released June 8, 2018 (IP CTS Modernization Order).

2 47 U.S.C. § 225.

3 The two information collection forms were approved by OMB in January 2018 under OMB Control Number 3060-1249 emergency submission and transferred to this OMB Control Number 3060-0463 in July 2018.

4 TRS is a telephone transmission service that allows “an individual who is deaf, hard of hearing, deaf-blind, or who has a speech disability to engage in communications by wire or radio with one or more individuals, in a manner that is functionally equivalent to the ability of a hearing individual who does not have a speech disability to communicate using voice communication services by wire or radio.” 47 U.S.C. § 225(a)(3). TRS facilities are staffed by communications assistants (CAs) who relay conversations between individuals who are deaf, hard of hearing, deaf-blind, or who have a speech disability and other individuals.

5 The burden hours associated with this form are included in 12.C, infra.

6 The burden hours associated with this form are included in 12.B, infra.

7 The burden hours associated with this form are included in 12.D, infra.

8 47 U.S.C. § 225(b)(1).

9 47 U.S.C. § 225(c), (d).

10 47 U.S.C. § 225(a)(3).

11 Telecommunications Relay Services and Speech-to-Speech Services for Individuals with Hearing and Speech Disabilities, Report and Order and Further Notice of Proposed Rulemaking, 15 FCC Rcd 5140 (2000) (2000 Improved TRS Order).

12 STS is a form of TRS “that allows individuals with speech disabilities to communicate with voice telephone users through the use of specially trained CAs who understand the speech patterns of persons with speech disabilities and can repeat the words spoken by that person.” 47 CFR § 64.601(a)(33).

13 VRS is a form of TRS “that allows people with hearing or speech disabilities who use sign language to communicate with voice telephone users through video equipment. The video link allows the CA to view and interpret the party’s signed conversation and relay the conversation back and forth with a voice caller.” 47 CFR § 64.601(a)(43).

14 See Telecommunications Services for Individuals with Hearing and Speech Disabilities; Recommended TRS Cost Recovery Guidelines; Request by Hamilton Telephone Company for Clarification and Temporary Waivers, Memorandum Opinion and Order and Further Notice of Proposed Rulemaking, 16 FCC Rcd 22948 (2001) (2001 TRS Cost Recovery MO&O and FNPRM).

15 These costs and demand data are “total TRS minutes of use, total interstate TRS minutes of use, [and] total TRS investment [as well as] other historical or projected information reasonably requested by the administrator for purposes of computing payments and revenue requirements.” 47 CFR § 64.604(c)(5)(iii)(D)(1).

16 Telecommunication Relay Services and Speech-to-Speech Services for Individuals with Hearing and Speech Disabilities; Americans with Disabilities Act of 1990, Second Report and Order, Order on Reconsideration, and Notice of Proposed Rulemaking, 18 FCC Rcd 12379 (2003) (2003 Second Improved TRS Order).

17 IP-Enabled Services; Implementation of Sections 255 and 251(a)(2) of the Communications Act of 1934, as Enacted by The Telecommunications Act of 1996: Access to Telecommunications Service, Telecommunications Equipment and Customer Premises Equipment by Persons with Disabilities; Telecommunications Relay Services and Speech-to-Speech Services for Individuals with Hearing and Speech Disabilities; and the Use of N11 Codes and Other Abbreviated Dialing Arrangements, Report and Order, 22 FCC Rcd 11275 (2007) (Sections 225/255 VoIP Report and Order).

18 See 47 CFR § 64.604(c)(3).

19 Telecommunications Relay Services and Speech-to-Speech Services for Individuals with Hearing and Speech Disabilities, Report and Order and Declaratory Ruling, 22 FCC Rcd 20140 (2007), Erratum, 22 FCC Rcd 21842 (CGB 2007) (2007 Cost Recovery R&O and Declaratory Ruling).

20 References to traditional TRS include Spanish-to-Spanish traditional TRS.

21 CTS is a form of TRS generally used by someone who has the ability to speak and some residual hearing. It uses a special telephone that has a text display, so that on a standard telephone line, the user can both listen to what is said over the telephone (to the extent possible) and simultaneously read captions of what the other person is saying.

22 IP CTS is a type of captioned telephone service where the captions are delivered to the user via the Internet, rather than a standard telephone line. See Telecommunications Relay Services and Speech-to-Speech Services for Individuals with Hearing and Speech Disabilities; Internet-Based Captioned Telephone Service, Declaratory Ruling, 22 FCC Rcd 379 (2007).

23 IP (Internet Protocol) Relay is a text-based form of TRS where the connection to the CA is made via the Internet, rather than the public switched telephone network (PSTN), using a personal computer or other Web-enabled device.

24 Conversation minutes are a subset of session minutes.

25 The Commission is in the process of updating the PIA to incorporate various revisions to it as a result of revisions to the SORN.

26 47 CFR § 64.604(c)(5)(iii)(D)(4).

27 Comments of Hamilton Relay, Inc. (Oct. 30, 2018) at 2,

28 See 47 CFR § 64.604(c)(5)(iii)(I).

29 2007 Cost Recovery R&O and Declaratory Ruling, 22 FCC Rcd at 20154, para. 28.

30 See OMB Control Number 3060-0874 (Consumer Complaint Portal: General Complaints, Obscenity or Indecency Complaints, Complaints under the Telephone Consumer Protection Act, Slamming Complaints, RDAs and Communications Accessibility Complaints) (May 2017).

31 As stated above, the Commission is in the process of updating the PIA to incorporate various revisions to it as a result of revisions to the SORN.

32 The total of 15 respondents includes one provider that is currently providing IP CTS and IP Relay, four other providers of IP CTS, five providers of VRS, and up to as many as five new providers of IP CTS. The provider which provides IP CTS and IP Relay and one of the other IP CTS providers are the only two providers of intrastate TRS, that is, traditional TRS, STS and CTS. Thus, the 15 respondents comprise all of the TRS providers. Because the speed-dialing requirement applies to “all TRS providers,” the number of respondents equals 15. Also, as noted in several footnotes below, the respondents in many of the following sections are some or all of these 15 respondents.

33 These 2 respondents, affected by the reporting requirements for TRS providers, are already included in the total number of 15 respondents under A. Because each state or territory has assigned the TRS contract to one of the two respondents, each respondent files reports for multiple states and territories.

34 Because each state and territory contracts with only 1 provider, each respondent is responsible for only some of the states. Between the 2 respondents, there are 3 reports for each of 56 states and territories, for a total of 168 responses.

35 These are the same 15 respondents reported in A, supra.

36 These are the same 15 respondents reported in A, supra.

37 These 2 respondents are already included in the total number of 15 respondents reported in A, supra.

38 The estimated 1,505 respondents include 1,500 VRS users, plus the five respondents that provide VRS that are included in the 15 respondents reported in A, supra.

39 The seven respondents that provide traditional TRS, STS, IP Relay, and VRS are included in the 15 respondents reported in A, supra. OMB Control Number 3060-1053 covers the collection of this information from one-line and two-line CTS providers and IP CTS providers.

40 These are a subset of the 15 respondents reported in A, supra.

41 These are a subset of the 15 respondents reported in A, supra.

42 OMB Control Number 3060-1145 covers the collection of this information from VRS and IP Relay providers.

43 These are a subset of the 15 respondents reported in A, supra.

44 These are a subset of the 56 respondents reported in C, supra.

45 The burden hours associated with TRS provider responses to the complaints referred to the states are included in N, infra.

46 These are the same 15 respondents reported in A, supra.

47 The cumulative number of respondents for this requirement is 2.

48 The defendant is already included in the 15 respondents reported in A, supra.

49 The 10 state relay administrators are a subset of the 56 state relay administrators reported in C, supra. The 2 state relay providers are a subset of the 15 providers reported in A, supra.

50 See supra item 12.E.

51 See supra item 12.F.

52 See supra item 12.I.

53 See supra item 12.J.

54 See supra item 12.M.

55 See supra item 12.N.

56 See supra item 12.O.

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