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                                                                   DA 11-1992

                                                            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
   information; and

   (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
   data.

   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
   ellen.burton@fcc.gov, 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 william.kehoe@fcc.gov. Media inquiries should
   be directed to David Fiske at 202-418-0513 or david.fiske@fcc.gov.

   To request materials in accessible formats for people with disabilities
   (Braille, large print, electronic files, audio format), send an e-mail to
   fcc504@fcc.gov 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
   filing requirements.

   Attachment: Frequently Asked Questions.

                                         Issued by: Chief, Enforcement Bureau

                                     -FCC-

   ATTACHMENT

   FREQUENTLY ASKED QUESTIONS

   The following frequently asked questions are addressed in this Enforcement
   Advisory:

     * 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
   http://www.fcc.gov/Forms/Form477/477tutorial.pdf.

   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,
   19.

   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).

   PUBLIC NOTICE

                            FCC ENFORCEMENT ADVISORY

   Federal Communications Commission

   445 12th St., S.W.

   Washington, D.C. 20554

                                        News Media Information 202 / 418-0500

                                                 Internet: http://www.fcc.gov

                                                          TTY: 1-888-835-5322