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Consent Decree
I. Introduction
1. This Consent Decree is entered into by the Enforcement
Bureau of the Federal Communications Commission ("Bureau"),
OpTel, Inc. and OpTel (Texas) Telecom, Inc.
II. Background
2. OpTel (Texas) Telecom, Inc. is a wholly-owned subsidiary of
OpTel, Inc. (``OpTel''), a Texas-based telecommunications
company. OpTel specializes in providing cable television and
high speed internet access for multi-family housing communities.
OpTel currently provides cable television in a number of
metropolitan areas including Atlanta, Chicago, Denver, Dallas-
Fort Worth, Houston, Indianapolis, Miami, Fort Lauderdale,
Orlando, Phoenix, San Diego, San Francisco, Tampa and Greater
Washington, D.C. OpTel currently provides Internet access
services in Houston, Dallas-Fort Worth, and Denver. In addition,
OpTel (Texas) Telecom, Inc. was a regulated provider of local and
long-distance telephone services, but finally discontinued such
services during August of 2001. In addition, OpTel and certain
of its affiliates and subsidiaries, including OpTel (Texas)
Telecom, Inc., filed voluntary petitions for protection pursuant
to Chapter 11 of the United States Bankruptcy Code. On December
4, 2001, the court presiding over their bankruptcy cases
confirmed a plan of reorganization. OpTel, Inc. and certain of
its affiliates and subsidiaries, including OpTel (Texas) Telecom,
Inc., have effected, or are in the process of effecting, their
reorganization pursuant to such confirmed plan.
3. Section 52.15(f) of the Commission's rules requires U.S.
carriers receiving numbering resources from the North American
Numbering Plan Administrator (``NANPA''), a Pooling Administrator
or another telecommunications carrier, to report semiannually on
their actual and forecast number usage. These data are to be
reported on FCC Form 502, the North American Numbering Plan
Numbering Resource Utilization/Forecast (``NRUF'') Report.
Carriers and their affiliates and subsidiaries are assigned
Operating Company Numbers (``OCNs'') for which NRUF reports must
be filed.
4. Pursuant to section 52.15(f)(6), NRUF reports are due on or
before February 1 and on or before August 1 of each year.1 The
deadline for filing reports due on August 1, 2000 was extended to
September 15, 2000.2 The Bureau received information indicating
that OpTel (Texas) Telecom, Inc. failed to file the NRUF reports
due on September 15, 2000 for OCN numbers 4743, 4744, 4797, and
7758.
5. The Bureau initiated an investigation of OpTel (Texas)
Telecom, Inc.'s apparent failure to comply with the mandatory
reporting requirements of section 52.15(f). As a result of the
investigation, the Bureau issued a Notice of Apparent Liability
for Forfeiture (``NAL''). In the NAL, the Bureau made a
preliminary finding that OpTel (Texas) Telecom, Inc. apparently
had willfully violated section 52.15(f) and proposed a forfeiture
in the amount of $9,000 for this apparent violation.3
III. Definitions
6. For the purposes of this Consent Decree, the following
definitions shall apply:
(a) "Commission" means the Federal Communications Commission.
(b) "Bureau" means the Commission's Enforcement Bureau.
(c) "OpTel'' means OpTel, Inc. and its wholly owned subsidiary,
OpTel (Texas) Telecom, Inc.
(d) "Order" means the order of the Enforcement Bureau
adopting this Consent Decree.
(e) "Final Order" means the Order that is no longer subject
to administrative or judicial reconsideration, review,
appeal, or stay.
(f) ``Act'' means the Communications Act of 1934, as
amended, Title 47 of the United States Code.
(g) ``NAL'' means Notice of Apparent Liability for
Forfeiture.
IV. Agreement
7. OpTel agrees that the Bureau has jurisdiction over the
matters contained in this Consent Decree and the authority to
enter into and adopt this Consent Decree.
8. The Bureau and OpTel agree that this Consent Decree does not
constitute an adjudication on the merits or any finding on the
facts or law regarding any violations of the Act or the
Commission's rules committed by OpTel.
9. If in the future OpTel provides local or long-distance
telephone service or is otherwise required by the Commission's
rules to report on its actual or forecast number usage, OpTel
agrees to implement a comprehensive internal program, a summary
of which is attached hereto, to ensure OpTel's future compliance
with the Act and the Commission's rules.
10. OpTel agrees that it shall make a voluntary contribution to
the United States Treasury in the amount of $7,200 within 10
calendar days after the Bureau releases the Order adopting this
Consent Decree.
11. In express reliance upon the representations contained
herein, the Bureau agrees to terminate its investigation into the
matters discussed in paragraphs 3-5, above, and to cancel the NAL
issued to OpTel in connection with that investigation.
12. The Bureau agrees not to institute on its own motion any new
proceeding, formal or informal, of any kind against OpTel for
apparent violations of section 52.15(f) of the Commission's rules
arising from the matters discussed in paragraphs 3-5, above, for
behavior during the time period preceding the date of this
consent decree.
13. In the event that OpTel is found by the Commission or its
delegated authority to have engaged in a violation of section
52.15(f) subsequent to the release of the Order adopting this
Consent Decree, OpTel agrees that the conduct described in
paragraphs 3-5, above, may be considered by the Commission or its
delegated authority in determining an appropriate sanction.
14. OpTel waives any and all rights it may have to seek
administrative or judicial reconsideration, review, appeal or
stay, or to otherwise challenge or contest the validity of this
Consent Decree and the Order adopting this Consent Decree,
provided the Order is limited to adopting the Consent Decree
without change, addition, or modification.
15. OpTel and the Bureau agree that the effectiveness of this
Consent Decree is expressly contingent upon issuance of the
Order, provided the Order adopts the Consent Decree without
change, addition, or modification.
16. OpTel and the Bureau agree that in the event that this
Consent Decree is rendered invalid by any court of competent
jurisdiction, it shall become null and void and may not be used
in any manner in any legal proceeding.
17. OpTel and the Bureau agree that if OpTel, the Commission, or
the United States on behalf of the Commission, brings a judicial
action to enforce the terms of the Order adopting this Consent
Decree, neither OpTel nor the Commission shall contest the
validity of the Consent Decree or Order, and OpTel and the
Commission shall waive any statutory right to a trial de novo
with respect to any matter upon which the Order is based
(provided in each case that the Order is limited to adopting the
Consent Decree without change, addition, or modification), and
shall consent to a judgment incorporating the terms of this
Consent Decree.
18. OpTel agrees to waive any claims it may otherwise have under
the Equal Access to Justice Act, Title 5 U.S.C. § 504 and 47
C.F.R. § 1.1501 et seq., relating to the matters discussed in
paragraphs 3-5, above.
19. OpTel agrees that any violation of the Order adopting this
Consent Decree shall constitute a separate violation and subject
OpTel to appropriate administrative sanctions.
20. OpTel and the Bureau agree to be bound by the terms and
conditions stated herein.
21. OpTel and the Bureau agree that this Consent Decree may be
signed in counterparts.
ENFORCEMENT BUREAU
FEDERAL COMMUNICATIONS COMMISSION
By: ________________________________ ____________
David H. Solomon Date
Chief, Enforcement Bureau
OPTEL, INC.
OPTEL (TEXAS) TELECOM, INC.
By: ________________________________ ____________
David Curtin Date
Vice President SUMMARY OF COMPLIANCE PROGRAM
OF
OPTEL (TEXAS) TELECOM, INC.
OpTel (Texas) Telecom, Inc. (''OpTel'') will establish the
OpTel Number Utilization and Forecast Data Reporting Compliance
Program (the ``Program'') to ensure compliance with 47 C.F.R. §
52.15. The program will consist of the following:
1. Oversight by Compliance Coordinator
a. The Program will be administered within OpTel's
Engineering Department by a designated Compliance
Coordinator supported by the Legal Department.
b. The Compliance Coordinator, with the support of the
Legal Department, will be available to provide advice and
assistance in matters related to compliance with § 52.15.
2. Creation of FCC Reporting and Licensing Record
a. OpTel will create a record of all of its § 52.15
reporting obligations.
b. The Compliance Coordinator will establish and maintain
the record and shall regularly review this record to ensure
the accuracy of said information and timely data reporting.
3. Communication of Compliance Program
a. Awareness of § 52.15 requirements will be fostered by
implementing a program for communicating to company
individuals and departments that may be involved in the
reporting of number utilization and forecast data.
b. The Compliance Coordinator will ensure that all new
employees in appropriate areas are fully knowledgeable of
the Program and all § 52.15 requirement.
c. The Compliance Coordinator will ensure that changes in
FCC policy or the law are distributed and explained to
appropriate personnel.
_________________________
1 47 C.F.R. § 52.15(f)(6).
2 The extension for the August 1, 2000 report was implemented by
the Commission in Number Resource Optimization, CC Docket No. 99-
200, 15 FCC Rcd 17005 (2000).
3 OpTel Texas Telecom, Inc., 16 FCC Rcd 8655 (EB 2001).