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Before the
Federal Communications Commission
Washington, D.C. 20554
In the Matter of. )
) File No. EB-04-IH-0465
)
Comcast Corporation ) Acct. No. 200532080124
)
Compliance with Rules Regarding ) FRN: 0006329247
Thousands-block Number Pooling )
ORDER
Adopted: February 14, 2005 Released:
February 15, 2005
By the Chief, Enforcement Bureau:
1. In this Order, we adopt a Consent Decree terminating an
investigation into possible violations by Comcast
Corporation (``Comcast'') of sections 52.15 and 52.20(c) of
the Commission's rules,1 with respect to thousands-block
number pooling in certain rate centers.2
2. The Enforcement Bureau (``Bureau'') and Comcast have
negotiated the terms of a Consent Decree that would
terminate the Bureau's investigation. A copy of the Consent
Decree is attached hereto and incorporated by reference.
3. We have reviewed the terms of the Consent Decree and
evaluated the facts before us. We believe that the public
interest would be served by approving the Consent Decree and
terminating the investigation.
4. Based on the record before us we conclude that there
are no substantial or material questions of fact with
respect to this matter as to whether Comcast possesses the
basic qualifications, including those related to character,
to hold or obtain any Commission license or authorization.
5. Accordingly, IT IS ORDERED, pursuant to section 4(i) of
the Communications Act of 1934, as amended, 47 U.S.C.
§ 154(i), and the authority delegated by section 0.111 and
0.311 of the Commission's rules, 47 C.F.R. §§ 0.111, 0.311,
that the attached Consent Decree IS ADOPTED.
6. IT IS FURTHER ORDERED that the above captioned
investigation IS TERMINATED.
FEDERAL COMMUNICATIONS COMMISSION
David H. Solomon
Chief, Enforcement Bureau Before the
Federal Communications Commission
Washington, D.C. 20554
In the Matter of. )
) File No. EB-04-IH-0465
)
Comcast Corporation ) Acct. No. 200532080124
)
Compliance with Rules Regarding ) FRN: 0006329247
Thousands-block Number Pooling )
CONSENT DECREE
I. INTRODUCTION
1. The Enforcement Bureau (the ``Bureau'') of the Federal
Communications Commission (the ``FCC'' or the ``Commission'') and
Comcast Corporation (``Comcast''), by their authorized
representatives, hereby enter into this Consent Decree for the
purpose of terminating the Bureau's Investigation into whether
Comcast complied with sections 52.15 and 52.20(c) of the
Commission's rules,3 with respect to thousands-block number
pooling in certain rate centers.4
II. DEFINITIONS
2. For the Purposes of this Consent Decree, the following
definitions shall apply:
(a) ``Adopting Order'' means an Order of the Bureau
adopting the terms and conditions of this Consent Decree
without change, addition or modification.
(b) ``Comcast'' or the ``Company'' means Comcast
Corporation, and any affiliate, d/b/a, predecessor-in-
interest, parent companies and any direct or indirect
subsidiaries of such parent companies, or other affiliated
companies or businesses, and their successors and assigns.
(c) ``Bureau'' means the Enforcement Bureau of the Federal
Communications Commission.
(d) ``Communications Act'' or ``Act'' means the
Communications Act of 1934, as amended, 47 U.S.C. § 151 et
seq.
(e) ``Effective Date'' means the date on which the Bureau
releases the Adopting Order.
(f) The ``FCC'' or the ``Commission'' means the Federal
Communications Commission.
(g) ``Investigation'' means the investigation commenced by
the Bureau's Letter of Inquiry dated September 29, 2004,
regarding whether Comcast complied with Sections 52.15 and
52.20(c) of the Commission's rules.
(h) ``Parties'' means Comcast and the Bureau.
III. BACKGROUND
3. Section 52.20(b) of the Commission's rules provides
that all carriers, except those exempted by the Commission, must
participate in thousands-block number pooling where the
Commission implements such a system, and in accordance with a
Commission-established framework and schedule.5 The entity
responsible for administering the thousands-block number pool is
the Pooling Administrator.6 Section 52.15 of the Commission's
rules provides, inter alia, that in areas where thousands-block
numbering pooling has been implemented, telecommunications
carriers that are required to participate must submit to the
North American Numbering Plan Administrator (``NANPA'') semi-
annual forecasts of their yearly numbering resource requirements
at the thousands-block level for each rate center.7
4. Section 52.20(c)(1) of the Commission's rules requires
all service providers that are required to participate in
thousands-block number pooling to donate thousands-blocks with
ten percent or less contamination to the thousands-block number
pool for the rate center within which the numbering resources are
assigned.8 Notwithstanding the contamination level of the block,
the Commission allows service providers to retain at least one
thousands-block per rate center as an initial or footprint block,
as well as enough thousands-blocks to meet their six-month
projection forecasts for the rate center.9 The Commission
otherwise allows service providers to maintain an inventory of
telephone numbers to meet their needs for six months.10
5. On September 29, 2004, the Enforcement Bureau issued a
Letter of Inquiry (``LOI'') to Comcast concerning Comcast's
compliance with thousands-block number pooling regulations, and
requested that Comcast provide certain documents and other
information with respect to 78 specifically identified rate
centers.11 Comcast submitted its initial response to the LOI on
October 25, 2004, and filed a supplement to that response on
November 12, 2004.12
6. Comcast states that the thousands-blocks addressed in
the LOI were acquired from another carrier, and Comcast was
actively working to donate numbers back to the PA in those rate
centers before it received the Bureau's LOI. Comcast states
that, after receiving the LOI, and before responding, it donated
or returned a total of 458 blocks, which represent all eligible
thousands-blocks in each of the rate centers identified in the
LOI.13 In addition, Comcast states that all the thousands-blocks
that it holds, in rate centers where thousands-block pooling is
required, are more than ten percent contaminated. Comcast states
that it never submitted a growth numbering resources application
during the period covered by the LOI. Moreover, Comcast states
that it is currently in compliance with the Commission's
numbering rules in all of the rate centers identified in the LOI
and all other rate centers in which it is required to participate
in thousands-block pooling.
IV. AGREEMENT
7. Comcast agrees that the Commission has jurisdiction
over it and the matters contained in this Consent Decree and the
authority to enter into and adopt this Consent Decree.
8. Comcast represents and warrants that it is the properly
named party to this Consent Decree and is solvent and has
sufficient funds available to meet fully all financial and other
obligations set forth herein. Comcast further represents and
warrants that it has caused this Consent Decree to be executed by
its authorized representative, as a true act and deed, as of the
date affixed next to said representative's signature. Said
representative and Comcast respectively affirm and warrant that
said representative is acting in his/her capacity and within
his/her authority as a corporate officer of Comcast, and on
behalf of Comcast and that by his/her signature said
representative is binding Comcast to the terms and conditions of
this Consent Decree.
9. The Parties agree that this Consent Decree does not
constitute either an adjudication on the merits or a factual or
legal finding regarding any compliance or noncompliance with the
requirements of the Act and the Commission's orders and rules.
The Parties agree that this Consent Decree is for settlement
purposes only and that, by agreeing to this Consent Decree,
Comcast does not admit or deny any wrongdoing, non-compliance, or
violation of the Act or the Commission rules.
10. In consideration for the termination of the
Investigation in accordance with the terms of this Consent
Decree, Comcast shall make a voluntary payment to the United
States Treasury, without further protest or recourse to a trial
de novo, in the amount of fifteen thousand dollars ($15,000)
within ten (10) business days after the Effective Date of the
Adopting Order. The payment may be made by check or similar
instrument, payable to the order of the Federal Communications
Commission. The payment must include the Acct No. and FRN No.
referenced above. Payment by check or money order must be mailed
to Forfeiture Collection Section, Finance Branch, Federal
Communications Commission, P.O. Box 73482, Chicago, IL, 60673-
7482. Payment by overnight mail must be sent to Bank One/LB
73482, 525 West Monroe, 8th Floor Mailroom, Chicago, IL 60661.
Payment by wire transfer must be made to ABA Number 071000013,
receiving bank Bank One, and account number 1165259.
11. For purposes of resolving and terminating the
Investigation, Comcast agrees to implement a Compliance Plan to
ensure future compliance with the thousands-block number pooling
provisions of the Act, the Commission's rules, and the
Commission's orders. The Compliance Plan will include, at a
minimum, the following components:
A. Review of Number Pooling Administration Practices and
Procedures. Within thirty days of the Effective Date,
Comcast will complete a review of its telephone number
administration procedures and practices to ensure that those
procedures and practices are adequate to achieve and
maintain full compliance with the Commission's telephone
number administration rules and orders and the Industry
Numbering Committee's ``Thousand-Block Number (NXX-X)
Pooling Administration Guidelines'' (the ``PA Guidelines'').
B. Implementation of Specific Number Pooling Practices and
Procedures.
1. Forecasts and Reports to the Pooling
Administrator. Comcast shall submit thousands-block
level forecast data by rate center for all such rate
centers to the Pooling Administrator in compliance with
the PA Guidelines and in a form reasonably satisfactory
to the Pooling Administrator.
2. Inventory. Comcast shall maintain no more than a
six-month inventory of telephone numbers in any rate
center, except as authorized by, Commission rules and
orders, and the PA Guidelines.
3. Part 4 Confirmation. Comcast shall complete,
submit, and document ``Confirmation of NXX-X Block in
Service'' reports to the Pooling Administrator for
those rate centers in which codes have been activated
in compliance with the PA Guidelines.
C. Designated Compliance Officer. Within thirty days of
the Effective Date, Comcast will designate one employee as
the point of contact for its number administration
compliance matters (the ``Designated Compliance Officer''),
which includes keeping responsible personnel informed of the
Commission's and the Pooling Administrator's thousands-block
number pooling requirements. In addition, the Designated
Compliance Officer shall review the Compliance Manual
annually to ensure that it is maintained in a proper manner
and continues to address the objectives set forth herein.
D. Compliance Manual. Comcast shall within sixty days of
the Effective Date develop and update as necessary a
Compliance Manual on thousands-block number pooling.
Comcast personnel engaged in thousands-block number pooling
activities shall have ready access to the Compliance Manual
and must follow the procedures contained in it. The manual
shall, among other things, describe the North American
Numbering Plan and PA Guidelines and how they apply to
Comcast.
E. Compliance Training Program. Comcast shall within
sixty days of the Effective Date establish a thousands-block
number pooling compliance training program for employees who
engage in thousands-block number pooling activities.
Comcast shall conduct training sessions at least annually to
ensure compliance with the Act and the FCC's policies and
rules, and, for any new employee engaged in thousands-block
number pooling activities, within thirty days of employment.
F. Forum Participation: Comcast will maintain membership
in one or more trade groups (such as ATIS-INC and Telcordia
numbering forums) to keep management and other personnel
with thousands-block number pooling compliance
responsibilities informed of FCC and Pooling Administrator
number administration compliance requirements.
G. Review and Monitoring: Beginning December 31, 2005 and
annually thereafter, Comcast shall review the program
described in this Plan to ensure that it is achieving the
compliance objectives referenced in B.1 - B.3 above.
H. Termination: Comcast's obligation under this Plan
shall expire twenty four (24) months after the Effective
Date.
12. The Parties agree and acknowledge that this Consent
Decree shall constitute a final settlement of the Investigation.
In express reliance on the covenants and representations
contained herein, and in order to avoid the potential expenditure
of additional public resources, the Bureau agrees to terminate
the Investigation. In consideration for the termination of this
Investigation, Comcast agrees to the terms, conditions, and
procedures contained herein.
13. The Bureau agrees that, in the absence of new material
evidence related to this matter, it will not use the facts
developed in the Investigation through the Effective Date or the
existence of the Consent Decree, to initiate, on its own motion,
any new proceedings, formal or informal, or take any actions on
its own motion against Comcast concerning the matters that were
the subject of this Investigation, including any action with
respect to Comcast's basic qualifications, including character
qualifications to be a Commission licensee. Nothing in this
paragraph shall limit the Commission's authority to enforce this
Consent Decree in accordance with its terms, nor shall anything
in this Consent Decree limit the Commission's authority to
consider and adjudicate any formal complaint that may be filed
pursuant to section 208 of the Act, 47 U.S.C. Section 208, and to
take any action in response to such complaint.
14. Comcast 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 Adopting Order, provided the Adopting
Order adopts the Consent Decree without change, addition, or
modification.
15. Comcast's decision to enter into this Consent Decree is
expressly contingent upon the Bureau's issuance of an Adopting
Order.
16. 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. The Parties agree that if any provision of this Consent
Decree conflicts with any subsequent rule or order adopted by the
Commission (except an order specifically intended to revise the
terms of this Consent Decree to which Comcast does not consent)
that provision will be superseded by such Commission rule or
order.
18. If either Party (or the United States on behalf of the
Commission) brings a judicial action to enforce the terms of the
Adopting Order, neither Comcast nor the Commission shall contest
the validity of the Consent Decree or the Adopting Order, and
Comcast and the Bureau will waive any statutory right to a trial
de novo.
19. Comcast agrees that any violation of the Consent Decree
or the Adopting Order will constitute a separate violation of a
Commission order, entitling the Commission, or its delegated
authority, to exercise any rights or remedies attendant to the
enforcement of a Commission order.
20. This Consent Decree may be signed in counterparts.
For: Comcast Corporation.
_____________________________ __________________________
Date Arthur R. Block
Senior Vice President and General
Counsel
For: Enforcement Bureau
Federal Communications Commission
______________________________
__________________________
Date David H. Solomon
Chief, Enforcement Bureau
_________________________
1 47 C.F.R. §§ 52.15, 52.20(c).
2 Letter from Hillary S. DeNigro, Deputy Chief, Investigations
and Hearings Division, Enforcement Bureau, Federal Communications
Commission to Brian L. Roberts, Chief Executive Officer, Comcast
Corporation (September 29, 2004).
3 47 C.F.R. §§ 52.15, 52.20(c).
4 Letter from Hillary S. DeNigro, Deputy Chief, Investigations
and Hearings Division, Enforcement Bureau, Federal Communications
Commission to Brian L. Roberts, Chief Executive Officer, Comcast
Corporation (September 29, 2004) (``September 29th LOI'').
5 47 C.F.R. § 52.20(b).
6 47 C.F.R. § 52.7(g).
7 47 C.F.R. § 52.15(f)(4)(ii)&(6).
8 47 C.F.R. § 52.20(c)(1). In the 310 and 909 area codes in
California, the contamination level is twenty-five percent or
less. See Numbering Resources Optimization, Petition of the
California Public Utilities Commission for Waiver of the Federal
Communications Commission Contamination Threshold Rule, Order, 18
FCC Rcd 16860 (2003).
9 47 C.F.R. §52.20(c)(2); Numbering Resource Optimization, Report
and Order and Further Notice of Proposed Rulemaking, 15 FCC Rcd
7574, 7661-61 ¶ 191 (2000) (``NRO Order'').
10 NRO Order, 15 FCC Rcd at 7660 ¶ 189.
11 See September 29th LOI.
12 See Letter dated October 25, 2004 from John G. Sullivan, Vice
President & Chief Counsel-Telephony, Comcast Cable Communications
to Mika Savir, Attorney, Investigations and Hearings Division,
Enforcement Bureau, FCC (``October 25th Response''); Letter dated
November 12, 2004 from John G. Sullivan, Vice President & Chief
Counsel-Telephony, Comcast Cable Communications to Mika Savir,
Attorney, Investigations and Hearings Division, Enforcement
Bureau, FCC (``November 12th Supplement'').
13 See October 25th Response and November 12th Supplement.