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December 16, 2011
Enforcement Advisory No. 2011-12
FCC FORM 477 FILING REQUIREMENTS
PROVIDERS ARE REMINDED THAT THEY MUST FILE COMPLETE AND
ACCURATE FORM 477 REPORTS EVERY SIX MONTHS
To promote compliance with the Commission's Form 477 filing rules, the
FCC's Enforcement Bureau is issuing this Enforcement Advisory reminding
all providers subject to the Form 477 filing requirement, particularly
broadband providers, of the March 1, 2012 deadline for the next round of
filings and providing guidance on how to file Form 477. The collection of
accurate broadband information is a critical tool for the Commission to
meet its statutory obligations and to promote the availability of
broadband to every American. Accordingly, the Commission reminds all
broadband providers subject to Form 477 filing requirements of their
obligations and warns that it will take appropriate enforcement action
against non-compliant companies.
Who is Required to File Form 477? Four types of entities must file
semi-annual Form 477 reports with the Commission: (1) facilities-based
providers of broadband connections to end user locations; (2) providers of
wired or fixed wireless local exchange telephone service; (3) providers of
interconnected Voice over Internet Protocol service; and (4) providers of
mobile telephony service.
What Recurring Problems Have We Noticed? We have become aware that, in
particular, not all facilities-based broadband providers are complying
with their filing obligations. Recurring deficiencies include:
(1) failing to file data in a timely fashion, if at all;
(2) failing to have an official of the filing entity (rather than an
agent) certify that all statements of fact contained in the Form 477 are
true and correct, and failing to include the official's required contact
(3) filing incomplete or inaccurate data, including failing to geocode
subscribership data into the correct Census Tract, and re-submitting the
same Form 477 filings in successive reporting periods without updating the
Broadband providers should have robust programs to collect and report the
required information. The Bureau will take appropriate enforcement action
when companies fail to comply with their Form 477 obligations.
What Are the Penalties that Apply? Companies are reminded that failure to
comply with the Form 477 reporting requirements may subject them to
monetary forfeitures of up to $150,000 for each violation or each day of a
continuing violation, up to a maximum of $1,500,000. False statements or
misrepresentations to the Commission may be punishable by fine or
imprisonment under Title 18 of the U.S. Code.
Need More Information? For more information on how to fill out or file
Form 477, please contact Ellen Burton in the Industry Analysis and
Technology Division, Wireline Competition Bureau, at 202-418-0958 or
firstname.lastname@example.org, contact 477INFO@fcc.gov by e-mail, or link to
http://transition.fcc.gov/form477/. For further information regarding
compliance and enforcement of the Form 477 filing requirements, contact
William Kehoe in the Investigations and Hearings Division, Enforcement
Bureau, at 202-418-7122 or email@example.com. Media inquiries should
be directed to David Fiske at 202-418-0513 or firstname.lastname@example.org.
To request materials in accessible formats for people with disabilities
(Braille, large print, electronic files, audio format), send an e-mail to
email@example.com or call the Consumer & Governmental Affairs Bureau at
202-418-0530 (voice), (202) 418-0432 (TTY). You may also contact the
Enforcement Bureau on its TTY line at (202) 418-1148 for further
information about this Enforcement Advisory, or the FCC on its TTY line at
1-888-TELL-FCC (1-888-835-5322) for further information about the Form 477
Attachment: Frequently Asked Questions.
Issued by: Chief, Enforcement Bureau
FREQUENTLY ASKED QUESTIONS
The following frequently asked questions are addressed in this Enforcement
* What is Form 477, and where can I find it?
* Who is required to file?
* Is there an exemption for small companies?
* When must my company file Form 477?
* How do I fill out and file Form 477?
What is Form 477, and where can I find it?
FCC Form 477 is the Commission's primary tool for collecting data about
broadband and local telephone networks and services. Form 477 collects
information about broadband connections to end user locations, wired and
wireless local telephone services, and interconnected Voice over Internet
Protocol (VoIP) services, in individual states. Form 477 can be found at
https://specialreports.fcc.gov/wcb/Form477/, and the Form 477 rules are
found at 47 C.F.R. S: 1.7001.
Who is required to file?
Four types of entities must file Form 477: (1) facilities-based providers
of broadband connections to end user locations; (2) providers of wired or
fixed wireless local exchange telephone service; (3) providers of VoIP
service; and (4) providers of mobile telephony service.
For the purposes of Form 477 and the definition of facilities-based
providers of broadband connections to end user locations:
* an entity is a "facilities-based" provider of broadband connections to
end user locations if any of the following conditions are met: (1) it
owns the portion of the physical facility that terminates at the end
user location; (2) it obtains unbundled network elements (UNEs),
special access lines, or other leased facilities that terminate at the
end user location and provisions/equips them as broadband, or (3) it
provisions/equips a broadband wireless channel to the end user
location over licensed or unlicensed spectrum.
* broadband connections are wired "lines" or wireless "channels" that
enable the end user to receive information from and/or send
information to the Internet at information transfer rates exceeding
200 kbps in at least one direction.
* a broadband "end user" is a residential, business, institutional, or
government entity that uses broadband services for its own purposes
and does not resell such services to other entities or incorporate
such services into retail Internet-access services. For purposes of
Part I of Form 477, an Internet Service Provider (ISP) is not an "end
user" of a broadband connection.
A non-exhaustive list of entities that must file Form 477 includes
incumbent and competitive local exchange carriers (LECs), cable system
operators, fixed wireless service providers (including "wireless ISPs"),
terrestrial and satellite mobile wireless service providers, broadband
radio service (BRS) providers, electric utilities, municipalities, and
other entities. Such entities do not include equipment suppliers unless
the equipment supplier uses the equipment to provision a broadband
connection that it offers to the public for sale. Such entities also do
not include providers of terrestrial fixed wireless services (e.g.,
"Wi-Fi" and other wireless Ethernet, or wireless local area network,
applications) that only enable local distribution and sharing of a
premises broadband facility and do not include air-to-ground services.
Is there an exemption for small companies?
No, there is no exemption for small companies.
When must my company file Form 477?
Semi-annually. By March 1st of each year, providers must file data as of
December 31 of the preceding year. By September 1st of each year,
providers must file data as of June 30 of the same year.
How do I fill out and file Form 477?
FCC Form 477 must be filed electronically using the Form 477 graphical
user interface that is available on the Internet at the following address:
http://www.fcc.gov/formpage.html. The interface also may be reached via
the "Electronic Filing" link on the left-hand side of the "Form 477
Resources for Filers" page at http://www.fcc.gov/form477/. A tutorial on
completing and filing Form 477 is also available at
By this Enforcement Advisory, the FCC's Enforcement Bureau highlights
certain obligations under the Commission's Form 477 filing rules. Failure
to receive this notice does not absolve a provider of the obligation to
meet the requirements of the Communications Act of 1934, as amended, or
the Commission's rules and orders. Companies should read the full text of
the relevant Form 477 filing rules at 47 C.F.R. S:S: 1.7001, 43.11, as
well as the corresponding instructions at FCC Form 477 Instructions for
Local Telephone Competition and Broadband Reporting (2011) (regarding
filings due March 1, 2012), available at
http://www.fcc.gov/Forms/Form477/477inst.pdf (FCC Form 477 Instructions).
We attach a list of Frequently Asked Questions to provide guidance for the
most common filing concerns.
See 47 C.F.R. S:S: 1.7001, 43.11; FCC Form 477 Instructions at 5, 14-16,
47 U.S.C. S: 503(b)(2)(B); 47 C.F.R. S: 180(b); Amendment of Section
1.80(b) of the Commission's Rules, Adjustment of Forfeiture Maxima to
Reflect Inflation, Order, 23 FCC Rcd 9845 (2008).
FCC ENFORCEMENT ADVISORY
Federal Communications Commission
445 12th St., S.W.
Washington, D.C. 20554
News Media Information 202 / 418-0500