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FCC's Local Competition Enforcement Policy
Local competition is at the heart of the enforcement focus
at the FCC. The Enforcement Bureau is a critical part of the agency's plan to
preserve and promote the competitive gains that have been made under the
Telecommunications Act of 1996 and the FCC's implementing regulations. Most
of the necessary pro-competitive ``rules of the road'' are now in place and
competition is accelerating. As a result, focus is shifting to enforcement
and dispute resolution rather than rulemaking. To preserve fair competition,
and the resulting benefits to consumers, all players must follow the law.
Companies must understand that they cannot gain an advantage through unfair
market practices. With the enhanced focus on enforcement at the FCC,
companies now know that, if they violate communications law, there will be
significant consequences. In this way, the competitive marketplace envisioned
by Congress will work, and the benefits of that competition will flow to consumers.
Following its motto, ``firm, fast, flexible and fair,'' the new
Enforcement Bureau is serving as a model for how FCC efforts can promote
growth and competition in communications industries, to the overall benefit of
American consumers. The Enforcement Bureau is committed to acting quickly and
concisely, managing its case docket aggressively, and working with industry to
resolve disputes rapidly and fairly. Because there will be swift, clear
answers to pending disputes, companies in the communications industry will
have a better understanding of their legal obligations. This is essential to
conducting business, particularly in the rapidly evolving communications marketplace.
FCC's Local Competition Enforcement Structure
Essentially, the Enforcement Bureau functions in two main
ways in the area of local competition enforcement. One involves FCC-initiated
investigations into whether a particular company, or class of companies, is
violating the Communications Act or the FCC's rules. The second involves
resolving disputes between industry participants either through mediation and
settlement, or formal complaints leading to published FCC decisions.
FCC-Initiated Investigations
Pursuant to Section 403 of the Communications Act, the FCC
has broad authority to initiate investigations regarding compliance with the
statute or FCC rules. The Commission has discretion to determine whether and
what it will investigate, as well as the manner and time period of the
investigation. In conducting investigations, the Enforcement Bureau often
writes a letter of inquiry to the company in question seeking information
regarding compliance. This may be in the form of interrogatories that must be
answered under oath. It may also include a request for documents. Such a
letter is an information-gathering tool. It is not an ``indictment'' and does
not reflect a judgment by the staff that any violation has in fact occurred.
Upon completion of the information-gathering process, the
Commission exercises its discretion on how to proceed. In some circumstances,
the response to the inquiry may lead the Enforcement Bureau to conclude that
enforcement action is not warranted. If the facts indicate a potential
violation of law, the agency may initiate enforcement action. Often this
takes the form of a notice of apparent liability for forfeiture. In extreme
cases, the Enforcement Bureau may recommend to the Commission that it initiate
hearing proceedings to revoke a license or authorization.
The Bureau's
Investigations and Hearings Division,
led by
Division Chief
Hilary DeNigro,
has staff devoted to local competition
enforcement matters. In addition, in appropriate cases, the staff in the
Bureau's
Regional and Field Offices
throughout the country may assist the Investigations and Hearings Division
with local competition enforcement investigations.
Dispute Resolution
The second major local competition enforcement function
involves resolving disputes between industry participants. Under Section 208
of the Communications Act, any person may file a formal complaint with the FCC
against a common carrier (wireline, wireless, or international) alleging that
the carrier has violated the Communications Act or the FCC's rules. The FCC
is charged with adjudicating such formal complaints and determining whether
the conduct is unlawful. In appropriate cases, the agency may award monetary
damages. The Commission may also award permanent injunctive relief if
necessary. The Bureau's
Market Disputes Resolution Division,
led by
Division Chief Alex Starr,
handles formal complaints filed under Section 208.
FCC Local Telephone Competition Enforcement Actions
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