Updated as of: 1/18/06

These FAQs clarify particular points about completing and filing Form 477, but they are not a substitute for carefully reviewing the instructions that are posted at:

www.fcc.gov/Forms/Form477/477instr.pdf

Form 477 filers with questions not addressed in these FAQs may send them to 477INFO@fcc.gov.

A Small Entity Compliance Guide (DA 05-1676) is available at www.fcc.gov/ocbo/complianceguides.html.

Starting with the Form 477 filing that was due 9/1/05, there are no exemptions based on number of connections, lines, or subscribers.

Overview

1. What is the purpose of this form?
2. Where can I get a blank copy of the form?
3. How often is Form 477 due?
4. Who must file it?
5. What is a facilities-based entity and what is broadband in this data collection?
6. Is there a glossary of terms used in this data collection?

Exemptions from filing

7. Are Broadband-over-Powerline (BPL) providers exempt?
8. Are Wireless Internet Service Providers (WISPs) exempt?
9. Are municipal, other governmental, or non-profit broadband providers exempt?
10. Are Internet Service Providers (ISPs) exempt?
11. Are cable TV operators and direct broadcast satellite (DBS) operators exempt?
12. Are providers of long distance telephone service exempt?
13. Are providers of Voice over Internet Protocol (VOIP) services exempt?
14. Are mobile telephony service resellers exempt?

Determining the number of required filings

15. How many separate Form 477s must a reporting entity file?
16. May ILEC and CLEC operations in a state be reported in a single filing?
17. May an ILEC make a single filing for multiple affiliated study areas in a state?

Filing Procedures

18. Is there a fee to file Form 477?
19. May I get an extension of time to file?
20. Are there penalties for not filing Form 477?
21. What happens if March 1 or September 1 falls on a holiday or weekend?
22. How are completed Form 477s submitted?
23. May paper copies of Form 477 be submitted?
24. Must redacted versions of the forms be submitted when the filer asserts data are privileged and confidential?
25. What is the Certification Statement and how is it submitted?
26. May a single Certification Statement cover multiple Form 477s?
27. May the same person sign the Certification Statement and be identified on it as the contact person for the filing?

Holding companies, affiliates, etc.

28. Does nationality of an entity’s holding company affect the requirement to file Form 477?
29. Which entity is responsible for filing Form 477 if a change of control has occurred?
30. How do joint ventures, partnerships, etc. avoid double-reporting connections, lines, or subscribers?
31. If my firm is a partner in a mobile telephony partnership and the operator of the partnership files a Form 477 to report subscribers served by the partnership, do I also have to file a Form 477 to report all or a portion of the partnership’s subscribers?

Estimating Data

32. What if a provider has no basis for making an estimate specified in the form?

Selected terms

33. What is the difference between facilities-based broadband connections and connections that are provided over own local loop facilities?
34. How is broadband “speed” measured?
35. Which broadband connections are residential?
36. Which voice telephone service lines are residential?
37. How does other resale differ from Total Service Resale?

Reporting by cable TV system operators

38. Should a cable TV system operator report the number of cable modem service subscribers it actually has, or should it report the extent to which its cable modem service is available to potential subscribers?

Reporting by providers of DSL connections

39. Are asymmetric DSL connections and symmetric DSL connections reported separately?
40. Are providers of DSL connections required to report the extent to which their broadband DSL connections are available to potential end users?
41. A LEC provides some “ISDN speed” DSL connections that operate at about 128 kbps. Should they be reported on Form 477?
42. Which entity in a holding company structure reports broadband DSL connections when the LEC subsidiary owns the underlying “last mile” facilities that terminate at the end-user premises?

Reporting by satellite service providers

43. Should satellite services that transmit information to end users at rates greater than 200 kbps in at least one direction be reported?

ZIP Code information

44. Are the number of connections, lines, or subscribers reported for individual ZIP Codes?
45. What ZIP Code information must broadband providers report?
46. How do terrestrial mobile wireless broadband providers report ZIP Codes?
47. What ZIP Code information must LECs report?
48. What ZIP Code information must mobile telephony providers report?

Reporting the number of voice telephone service lines provided to end users

49. What is voice telephone service for purposes of Form 477?
50. How are voice telephone service lines counted for purposes of Form 477?

Reporting unbundled network elements (UNEs) provided to other entities

51. Are LECs required to report the number of UNE loops they provide?
52. Are LECs required to report the number of UNE-Platform arrangements they provide?
53. How does an ILEC report UNE loops that it provides to its non-ILEC affiliate?
54. How are commercial agreements that replace expiring UNEs reported?

Reporting unbundled network elements (UNEs) obtained from other entities

55. How are UNE loops obtained from other entities reported when they are used to provide broadband connections?
56. How are UNE loops obtained from other entities reported when they are used to provide voice telephone service?
57. Should inside wire subloop UNEs be reported?

Reporting resold lines

58. How are resold connections, lines, or services reported on Form 477?

Reporting Private Lines

59. Should lines that are used in a corporate or other private, defined-use network be reported on Form 477?

Reporting special access lines

60. Where on the form do LECs report special access lines that they provide?
61. A LEC provides a high-capacity circuit (e.g., private line or special access line) between an end user and an unaffiliated carrier, but doesn’t know how that circuit is deployed. How should it be reported?
62. My firm leases special access lines from other carriers and uses them to provide 800 service and similar toll services to its own end-user customers. Should it report those special access lines on Form 477?

Reporting by mobile telephony service providers

63. What is the definition of mobile telephony subscriber?
64. Who reports pre-paid mobile telephony subscribers?
65. Who reports subscribers that are billed by mobile telephony service resellers?
66. What is the difference between columns (a) and (b) in the Mobile Local Telephone part of the form?
67. How should mobile telephony subscribers be reported when a business purchases service for a number of employees?
68. Where do mobile wireless providers report their use of broadband PCS spectrum?

1. What is the purpose of this form?

The information collected on Form 477 provides June 30 and December 31 snapshots of the extent of broadband deployment and local telephone competition throughout the United States. The information is incorporated into the Commission’s reports to Congress on broadband deployment as it affects all Americans – including those who live in rural, sparsely populated areas. It assists the Commission in identifying regulations that should be modified or are not necessary. Twice each year, the Commission publishes the information collected on Form 477 in an aggregated format to inform the public and policymakers about trends in broadband and local telephone competition while protecting the competitively sensitive information of individual filers.

2. Where can I get a blank copy of the form?

For each semiannual filing, a blank Form 477 and detailed reporting instructions are posted at www.fcc.gov/formpage.html#477 several weeks before the filing due date. Form 477 is an Excel spreadsheet. The detailed reporting instructions, which include the required Certification Statement, are in a separate Adobe Acrobat file. Filers who are not able to download or use these materials should e-mail 477INFO@fcc.gov for assistance or contact a member of the FCC Form 477 team at (202) 418-0940 or via TTY at (202) 418-0484.

3. How often is Form 477 due?

Twice each year – on March 1 and on September 1:

• The March 1 filing reports data as of the preceding December 31 (the December snapshot).
• The September 1 filing reports data as of June 30 (the June snapshot).

Completed forms are due at the FCC on the due date. See FAQ #21 about holidays. See FAQ #22 about using e-mail to file completed forms. A filing may be submitted prior to its due date as long as it is submitted on the form that was posted on the FCC’s website for use in that particular semiannual filing. See also FAQ #2.

4. Who must file it?

The form must be filed by the following entities:

• Facilities-based providers of broadband connections to end-user locations. (See FAQ #5 for definitions of these terms.) These entities will answer some questions in Part I of the form and some questions in Part V. Note that a facilities-based broadband provider may – or may not – have a retail relationship with the end user of the broadband connection. Also note that some retailers of high-speed Internet-access service are not facilities-based broadband providers for purposes of Form 477. (See FAQ #10 regarding ISPs.)

• Local exchange carriers (LECs), including resellers as well as facilities-based carriers. Incumbent LECs (ILECs) and competitive LECs (CLECs) will answer some or all of the questions in Part II of the form and column (j) of Part V.

• Commercial mobile radio service (CMRS) providers that serve mobile telephone service subscribers using spectrum for which the CMRS provider (or its affiliate) holds a license, or using spectrum that it manages for or leases from a spectrum licensee. These facilities-based entities must answer the two questions in Part III of the form. Entities that only resell mobile telephone service do not file Form 477; instead, the subscribers to the resold mobile telephone service are reported by the underlying, facilities-based carrier.

There are no exceptions to filing based on the number of connections, lines, or subscribers. However, many filers will find that they are not required to complete all sections of the form.

5. What is a facilities-based entity and what is broadband in this data collection?

With respect to Part I of Form 477, a facilities-based entity is an entity (including subsidiaries and affiliates) that: owns the portion of the physical facility that terminates at the end-user location as a broadband connection; provisions/equips broadband wireless channels to end-user locations over licensed spectrum or over spectrum that the entity uses on an unlicensed basis; or obtains unbundled network elements (UNEs), special access lines, or other leased facilities that terminate at end-user locations and provisions/equips them as broadband. This entity may – or may not – have a retail relationship with the end user of the broadband connection. A broadband connection is a line (or wireless channel) that terminates at an end-user location and enables the end user to receive information from and/or send information to the Internet at information transfer rates exceeding 200 kilobits per second (kbps) in at least one direction.

6. Is there a glossary of terms used in this data collection?

Part VI of the detailed reporting instructions is a glossary of selected terms that appear on Form 477. See also FAQs #33–37. Filers must interpret terms in the specific context of the detailed reporting instructions.

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7. Are Broadband-over-Powerline (BPL) providers exempt?

No. Access BPL broadband connections must be reported in Line A.I-9 of Part I of the form. The responsibility to file Form 477 rests with the entity that provides the broadband connection over facilities that it owns, or over facilities that it has leased from an unaffiliated entity and equipped to deliver information to and/or from the end-user premises at broadband speeds. This entity may – or may not – have a retail relationship with the end user. The number reported in Line A.I-9 should include any Access BPL connections that are substantially deployed over medium voltage power delivery lines but that make the “last hop” to the subscriber premises using Wi-Fi or other fixed wireless technology as well as Access BPL connections that are deployed over power delivery lines all the way to the subscriber premises. In-house BPL applications that only enable local distribution and sharing of a premises broadband connection should not be reported anywhere on Form 477.

8. Are Wireless Internet Service Providers (WISPs) exempt?

No. Entities that provide broadband connections to end user locations by using spectrum on an unlicensed basis for the “last hop” to the end user location must report information about those connections. Typically this is done by completing the questions for broadband category 7 (“terrestrial fixed wireless”) in Part I of the form and also filling in column (f) in Part V of the form. (If broadband connections are reported in another technology category, such as “terrestrial mobile wireless,” please put a brief explanatory note into Part IV of the form.) A WISP should consider the user data rate (as opposed to the over-the-air raw data rate, for example) when determining whether connections are broadband for purposes of Form 477. (A broadband connection enables 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. See also FAQ #5.)

A WISP should not report subscribers to its broadband Internet-access service when that service is delivered over a broadband connection to the end user location that the WISP, or the WISP’s customer, has obtained from an unaffiliated entity such as a municipality, public utility district, or DSL service provider (“DSL wholesaler.”) The underlying, facilities-based providers of wired broadband connections to end user locations are responsible for reporting them, and any particular broadband connection should be reported only once in this data collection. See also FAQ #10.

Part II and Part III of Form 477 – which are the parts of the form where information about local telephone service is collected – may not apply to particular WISPs:

• Only WISPs that are authorized (by the WISP’s state telecommunications regulator) to operate as a CLEC need to consider Part II of the form, and they should also see FAQ #13.

• Only WISPs that offer mobile telephone service as commercial mobile radio service (CMRS) providers need to consider Part III of the form. Note that CMRS providers typically hold or operate spectrum licenses for cellular, PCS, or SMR services.

9. Are municipal, other governmental, or non-profit broadband providers exempt?

No. A municipal, other governmental, or non-profit entity may be a facilities-based broadband provider for purposes of Form 477. See FAQ #5.

10. Are Internet Service Providers (ISPs) exempt?

An ISP that obtains a broadband connection or service from an unaffiliated entity, which it incorporates into its own high-speed Internet-access service, is exempt from reporting broadband connections in Part I of Form 477. Instead, the obligation to report the broadband connection rests with the underlying facilities-based provider. (If the entities are affiliated, they may mutually agree that the ISP will report the broadband connections on a Form 477 that it files. If so, the ISP must report that the broadband connections are provided over its “own local loop facilities” to the same extent that the underlying facilities-based provider would report that information.) WISPs should see FAQ #8.

11. Are cable TV operators and direct broadcast satellite (DBS) operators exempt?

Entities that provide only cable TV services or only direct broadcast satellite (DBS) video services should not file Form 477 because they provide neither broadband connections (e.g., cable modem service; satellite-based high-speed Internet access service) nor local telephone service. (More specifically, cable TV services that should not be reported on Form 477 are analog video services and advanced video services, including digital video, video-on-demand, digital video recorders, and high-definition television.) Cable TV operators that do provide cable modem service should see FAQ # 38. DBS operators that do provide high-speed Internet access service should see FAQ # 43.

12. Are providers of long distance telephone service exempt?

Telecommunications carriers that provide only long distance telephone services should not file Form 477. However, a LEC must report the extent to which it (or its affiliate) is the presubscribed interstate long distance carrier for the local telephone service lines that it provides to its own end-user customers. Specifically, a LEC must report, in column (c) of Part II, the extent to which it (or its affiliate) is the presubscribed interstate long distance carrier for all the local telephone lines it provides to its own end-user customers. And, in column (d) of Part II, the LEC must report the extent to which it (or its affiliate) is the presubscribed interstate long distance carrier for lines it provides to its own residential end-user customers. (See #36 for residential definition.)

13. Are providers of Voice over Internet Protocol (VOIP) services exempt?

The regulatory status of local telephone service provided by VOIP is the subject of an open proceeding, IP-Enabled Services, WC Docket No. 04-36, Notice of Proposed Rulemaking, 19 FCC Rcd 4863 (2004). When the Commission adopted modifications to the Form 477, in November 2004, it rejected suggestions that it add questions soliciting information about local telephone service as provided by entities exclusively utilizing VOIP. The Commission noted that entities that are filing local telephone service information on Form 477 may already include information about VOIP service in their filings.

14. Are mobile telephony service resellers exempt?

Entities that solely resell mobile telephony services should not file Form 477. Instead, subscribers to resold cellular, PCS, and other mobile telephony services must be reported by the entity whose facilities serve them. (See also FAQ #65.)

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15. How many separate Form 477s must a reporting entity file?

An entity that is subject to the reporting requirements of Form 477 (see FAQ #4) must file at least one form for each state in which it operates. If the entity has both ILEC and other operations in the state, it must file at least two forms for that state. Information for ILEC and for non-ILEC operations may not be combined on a single form. The entity must use the identical “parent or controlling entity” name in item 3 of the Cover Page section of each Form 477 it files.

16. May ILEC and CLEC operations in a state be reported in a single filing?

No. Information about ILEC and non-ILEC operations must be reported on separate forms.

17. May an ILEC make a single filing for multiple affiliated study areas in a state?

Yes. And similarly, a holding company that has several non-ILEC operations in a state (for example, a CLEC and a cable TV system), may report information for all its non-ILEC operations, in that state, on a single form.

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18. Is there a fee to file Form 477?

No, there is no filing fee for Form 477.

19. May I get an extension of time to file?

It is the policy of the Commission that extensions of time shall not be routinely granted (see 47 C.F.R. 1.46(a)). Entities required to file Form 477 should file by the filing due date and make a revised filing if significantly different data become available after that date. (What constitutes significantly different data is discussed on page 13 of the detailed reporting instructions, under “Obligation to File Revisions.”)

20. Are there penalties for not filing Form 477?

Entities that are required to file Form 477 but fail to do so may be subject to the enforcement provisions of the Communications Act and any other applicable law. In particular, the Commission has authority pursuant to sections 502 and 503 of the Communications Act to enforce compliance by fine or forfeiture.

21. What happens if March 1 or September 1 falls on a holiday or weekend?

The filing is due the next business day.

22. How are completed Form 477s submitted?

Completed Form 477s must be submitted on electronic media. Filers are encouraged to deliver completed Form 477s as attachments to one or more e-mail messages sent to FCC477@fcc.gov. The FCC has established this mailbox with limited access to only those within the FCC required to participate in the filing process. See also FAQ #25 about submitting the required Certification Statement.

Filers who prefer to do so may – alternatively – submit completed Form 477s on IBM-format compact discs or floppy diskettes, along with the signed original copy of the Certification Statement, via private overnight delivery service or by hand or messenger delivery. See page 11 of the detailed reporting instructions (posted at www.fcc.gov/formpage.html#477) for the address to use for private overnight delivery, and the separate address to use for hand or messenger delivery. Do not use United States Postal Service First Class, Express, or Priority Mail because discs and diskettes may be damaged by irradiation (cleaning). Use only one filing method; do not make duplicate filings.

23. May paper copies of Form 477 be submitted?

Paper copies of completed Form 477s may not be submitted. Filers who are not able to use any of the filing methods discussed in FAQ #22 should e-mail 477INFO@fcc.gov for assistance or contact a member of the FCC Form 477 team at (202) 418-0940 or via TTY at (202) 418-0484.

24. Must redacted versions of the forms be submitted when the filer asserts data are privileged and confidential?

No. The FCC no longer accepts redacted versions of Form 477 filings. The filer asserts data are confidential by selecting “Filer certifies that some data in this report is privileged and confidential” from the drop-down box for Question 8 of the Cover Page part of the form.

25. What is the Certification Statement and how is it submitted?

The Certification Statement is the single page (page 14) that constitutes Section V of the detailed reporting instructions, which are posted as an Adobe Acrobat file at www.fcc.gov/formpage.html#477. It must be signed by an officer of one of the legal entities whose data are being reported. The completed and signed statement may be faxed to (202) 418-0520, or it may be scanned and attached to an e-mail sent to FCC477@fcc.gov (separately, or along with one or more completed Form 477s). However, filers may not cut-and-paste or otherwise incorporate an electronic version of the Certification Statement into a Form 477 spreadsheet. Filers who prefer to deliver their Form 477s on compact discs or floppy diskettes should submit the signed original copy of the Certification Statement at the same time; see FAQ #22.

26. May a single Certification Statement cover multiple Form 477s?

Yes. A single Certification Statement covers the precise number of Form 477s (i.e., individual spreadsheet files) that the filer specifies on the statement next to “Number of files provided for this reporting period.”

27. May the same person sign the Certification Statement and be identified on it as the contact person for the filing?

The officer who signs the Certification Statement may also be the Contact Person for the filing. In that case, Commission staff will contact that officer if there are any follow-up questions about details of the filing.

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28. Does nationality of an entity’s holding company affect the requirement to file Form 477?

No.

29. Which entity is responsible for filing Form 477 if a change of control has occurred?

The successor entity is responsible if there has been a change of control between the “data as of” date (e.g., June 30, 2005) and the filing due date (e.g., September 1, 2005).

30. How do joint ventures, partnerships, etc. avoid double-reporting connections, lines, or subscribers?

To avoid possible double-reporting of information, it may be advisable for a joint venture or partnership to file a separate Form 477, in which case it would identify itself as the filing “company” in Question 1 of the Cover Page part of the form. The controlling owner, senior partner, or operating partner would be reported as the “parent of controlling entity” in Question 3 of the Cover Page part of the form, and any necessary additional explanation could be provided in Part IV (“Explanations and Comments”) of the form.

31. If my firm is a partner in a mobile telephony partnership and the operator of the partnership files a Form 477 to report subscribers served by the partnership, do I also have to file a Form 477 to report all or a portion of the partnership’s subscribers?

No. The partnership’s mobile telephony subscribers (i.e., activated, revenue-generating handsets) should be reported only once, and by a single entity. The partnership’s subscribers should not be apportioned among owners of the partnership. Because the operator of the partnership is reporting, you should not include the partnership’s subscribers in any Form 477 that you file to report mobile telephony subscribers.

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32. What if a provider has no basis for making an estimate specified in the form?

Because providers may not collect data in a manner that precisely fits a particular percentage breakout of connections, lines, or subscribers, the detailed reporting instructions allow these providers to make good faith estimates (i.e., estimates accurate within plus or minus five percentage points) based on databases maintained in the usual course of business, or on demographic or other studies done for business purposes such as the preparation of marketing plans or facilities deployment. (See “General Note about Reporting Percentage Breakouts” on pages 4-5 of the detailed instructions.) If these sources of information are insufficient, a provider should analyze a sufficiently large sample of its customer accounts or its other accounts to determine the relationship between the requested estimate and the data that the provider does have or can easily obtain in the usual course of business.

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33. What is the difference between facilities-based broadband connections and connections that are provided over own local loop facilities?

In Part I.A of the form, any broadband connections to end-user locations that the reporting entity provisioned over UNEs, special access lines, or other leased facilities that it obtained from another entity and provisioned as broadband should be included among the total connections reported in column (a), but they should not be included in the percentage of connections provisioned over own local loop facilities that is reported in column (c) unless the UNEs, special access lines, or other leased facilities were obtained from an affiliated entity. (ILECs and their affiliates should also see FAQ #53.) Own local loop facilities, for purposes of Form 477, means those wired “last mile” facilities that the filer (including affiliates) actually owns as well as facilities that the filer obtains the right to use from unaffiliated entities as dark fiber or satellite transponder capacity (and that the filer uses as part of its own system), and also wireless connections to end-user locations that the filer provisions/equips over licensed spectrum or over spectrum that the filer uses on an unlicensed basis.

34. How is broadband “speed” measured?

In Part I.A of the form, facilities-based providers of broadband connections must place the connections into “speed” categories. To do this, the provider should consider the end user’s authorized maximum information transfer rate on that connection. The Commission expects broadband providers to be mindful of general consumer protection law and to advertise their services with sufficient accuracy to enable end users to select the offering – as distinguished by “speed tier” and other features – that best fits the end user’s needs and budget. The Commission does not require reporting entities to measure the information transfer rates actually observed by end users of particular broadband connections.

35. Which broadband connections are residential?

For purposes of Form 477, a residential broadband connection is a broadband connection that is used to deliver Internet-access services that are primarily purchased by, designed for, and/or marketed to residential end users. Such Internet-access services may differ in price, “speed tier,” or other features from Internet-access services that are primarily purchased by, designed for, and/or marketed to non-residential end users.

36. Which voice telephone service lines are residential?

In Part II of Form 477, LECs are required to report the percentage of voice telephone service lines (and wireless channels) they provide to end users, in a state, that are used for residential service. To do this, an ILEC may report the percentage of lines it provides to end users which are tariffed residential lines, or which it provides to shared-tenant service providers in apartment buildings and similar residential settings. Carriers that do not have separate residential tariffs or price lists should use marketing or other information about the demographic characteristics of the areas they serve to develop an estimate, or should undertake a limited special study.

37. How does other resale differ from Total Service Resale?

For purposes of Form 477, other resale means telephone services provided to an unaffiliated carrier for resale to that carrier’s own end-user customers under an arrangement that is not Total Service Resale (TSR). TSR is a specific form of resale in which the State regulatory commission sets the wholesale rate based on the retail rate less marketing, billing, collection, and other costs that will be avoided, as provided for in sections 251(c)(4) and 252(d)(3) of the Communications Act of 1934, as amended. Examples of other resale include any negotiated commercial agreements that replace, or substitute for, UNE-Platform, line-sharing, or other UNE arrangements with an unaffiliated carrier. Examples of other resale also include using an unaffiliated carrier’s “channelized” tariffed special access circuits (or tariffed private lines) to provide local telephone service to end-user customers, or reselling an unaffiliated carrier’s tariffed Centrex service to end-user customers.

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38. Should a cable TV system operator report the number of cable modem service subscribers it actually has, or should it report the extent to which its cable modem service is available to potential subscribers?

In Part I.A of the form, a cable TV system operator must report the actual number of broadband cable modem service subscribers that are served over its system. It also must report, in Part I.B of the form, the percentage of residential end-user premises, in its service area in the state, to which its cable modem service is available (i.e., could be provided using installed distribution facilities). For this purpose, the “service area” consists of those residential end-user premises to which the cable system can deliver cable TV service over its own facilities.

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39. Are asymmetric DSL connections and symmetric DSL connections reported separately?

Yes. Broadband asymmetric DSL connections are reported in Line I-1 of Part I.A, while broadband symmetric DSL connections are reported in Line I-2.

40. Are providers of DSL connections required to report the extent to which their broadband DSL connections are available to potential end users?

Yes, if the facilities-based DSL provider is an ILEC, or is affiliated with an ILEC. The percentage of residential premises, in the ILEC’s service area in the state, for which the filer’s DSL connections are available (i.e., could be provided using installed distribution facilities) must be reported in Part I.B of the form. For this purpose, the “service area” of the ILEC consists of those residential premises to which the ILEC can deliver telephone service over local loop facilities (or the fixed wireless last mile equivalent) that it owns.

41. A LEC provides some “ISDN speed” DSL connections that operate at about 128 kbps. Should they be reported on Form 477?

No. Do not report on Form 477 any DSL connections for which the end user’s authorized maximum information transfer rate (“speed”) is less than 200 kbps in the faster direction. Do not include these connections when reporting the number of broadband connections to end-user premises, in Part I.A of the form. Also, do not include these connections when reporting, in Part I.B of the form, the extent to which an ILEC’s DSL connections are available to residences within its service area.

42. Which entity in a holding company structure reports broadband DSL connections when the LEC subsidiary owns the underlying “last mile” facilities that terminate at the end-user premises?

The responsibility to report broadband DSL connections on Form 477 rests with the subsidiary or affiliate that provisions/equips the connection as DSL (e.g., the entity within the holding company structure that owns the “DSLAM” that equips, as DSL, the physical facility that terminates at the end-user location). This particular entity may – or may not – have a retail relationship with the end user at whose premises the DSL connection terminates. For example, if an ILEC has a non-ILEC affiliate that owns the DSLAMs that equip “local loops” that the ILEC owns, then: the non-ILEC must report the broadband DSL connections, and it must report that they are provisioned 100 percent over “own local loop facilities.” The non-ILEC must also report the percentage of the broadband DSL connections that terminate at residential end-user premises. (See FAQ #35 for definition of “residential” in this context.)

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43. Should satellite services that transmit information to end users at rates greater than 200 kbps in at least one direction be reported?

The newer one-way and two-way satellite services designed to offer primarily residential consumers Internet connectivity should be reported as they go into service.

With respect to VSAT (i.e., Very Small Aperture Terminal) services, we note that these services were introduced a number of years prior to enactment of the 1996 Act and were initially deployed in corporate and other private, defined-use networks. Such services should be reported only to the extent that a particular end-user terminal allows an end user to connect to the public Internet (at a rate greater than 200 kbps in at least one direction) on demand (e.g., without advance scheduling). Absent such enabled, in-service capability, an end-user terminal deployed in a corporate network, “intranet”, or “extranet” connecting a defined set of entities, such as affiliates, franchisees, contractors, or suppliers, should not be reported.

Additionally, when a VSAT end user with enabled, in-service connectivity to the public Internet, as described above, has a satellite terminal that also connects the end user to a corporate network, intranet, or extranet, that terminal should be considered to serve a large business customer (i.e., it should not be included in the percentage residential reported in column (b) and column (e) of Line A.I-6).

ZIP Codes listed in Part V of the form should be the locations of the end-user terminals. See also FAQ #45.

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44. Are the number of connections, lines, or subscribers reported for individual ZIP Codes?

No; the number of connections, lines, or subscribers are reported by state. Form 477 filers – including any entities that operate in only one ZIP Code in a state – should note that they can request non-disclosure of their data about connections, lines, or subscribers by selecting “Filer certifies that some data in this report is privileged and confidential” from the drop-down box for Question 8 of the Cover Page part of the form.

45. What ZIP Code information must broadband providers report?

An entity that reports any broadband connections in Part I.A of the form must also report, in Part V of the form, technology-specific lists of those ZIP Codes in the state in which the filer provides at least one broadband connection that is in service to an end-user location. For example, column (a) of Part V must contain a list of those ZIP Codes in the state in which the filer has at least one asymmetric DSL connection in service to an end-user location. The filer may – or may not – have a retail relationship with that end user. It is very important to note that these are not lists of ZIP Codes where the filer’s broadband connections are available. (Mobile wireless broadband providers are an exception; see FAQ #46.)

46. How do terrestrial mobile wireless broadband providers report ZIP Codes?

In column (g) of Part V of Form 477, terrestrial mobile wireless broadband providers must list the ZIP Codes, in the state, in which their mobile wireless broadband service is advertised and available to actual and potential subscribers. (This is an exceptional case among broadband providers that must file Form 477; all other broadband providers see FAQ #45.)

47. What ZIP Code information must LECs report?

In column (j) of Part V of Form 477, a LEC must list the ZIP Codes, in the state, in which it has at least one end-user customer for its voice telephone service. It is important to note that this is not a list of the ZIP Codes where the filer’s voice telephone service is available.

48. What ZIP Code information must mobile telephony providers report?

Mobile telephony carriers, as such, do not list ZIP Codes on Form 477. But mobile telephony carriers that also provide terrestrial mobile wireless broadband services should see FAQs #46.

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49. What is voice telephone service for purposes of Form 477?

For Form 477, voice telephone service means local exchange or exchange access services that allow end users to originate and/or terminate local telephone calls on the public switched network, whether used by the end user for voice telephone calls or for other types of calls carried over the public switched network (for example, fax transmissions and dial-up connections to the Internet).

50. How are voice telephone service lines counted for purposes of Form 477?

Voice telephone service lines provided to the filing carrier’s own end-user customers (reported in item II-1 of Part II) and also lines provided to unaffiliated carriers for resale to end users (reported in items II-2 and II-3 of Part II) must be counted in voice-grade equivalents (VGE) based on the services that the end user is paying for. Therefore, voice telephone service lines that are provided to end users over high-capacity lines must be counted as the number of activated, charged-for DS0 (64 kbps) channels, and not as the theoretical capacity of the high-capacity line. For example:

• A traditional analog telephone line is one (1) VGE.
• A Centrex-CO extension is one (1) VGE.
• A Centrex-CU trunk is one (1) VGE.
• A BRI (Basic Rate Integrated Services Digital Network) line provisioned as 2B+D is two (2) VGE.
• A T-1/DS1 circuit provisioned as 8 local trunks is 8 VGE.
• A fully channelized T-1/DS1 circuit is 24 VGE.
• A fully channelized PRI (Primary Rate Integrated Services Digital Network) line over which an ISP’s dial-up customers connect to the Internet (i.e., via a personal computer, a local-area telephone number that the ISP uses as an access number, and a standard modem connection) is 23 VGE.
• A T-1/DS1 circuit provisioned as 8 voice channels and one broadband connection to the Internet, with any of the unused voice channels to be dynamically allocated for Internet use, is 8 VGE for purposes of Part II of the form. Note that, in this example, the end user also has one (1) broadband connection with an information transfer rate that is greater than 200 kbps and less than 2.5 mbps. (The amount of capacity available for Internet use is at least 16 of the potential 24 voice-grade channels, or about 1.0 mbps.) If the carrier that provides these services to the end user owns the T-1/DS1 circuit, rather than leasing it from an unaffiliated entity, then it also should report one (1) broadband connection in Part I.A of the form (in response to item I-3) because it is the facilities-based provider of that broadband connection.

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51. Are LECs required to report the number of UNE loops they provide?

The number of UNE loop arrangements (i.e., UNE loop without switching for that line) provided to unaffiliated carriers must be reported in Part II.C of the form, in response to item II-4. Each of the following should be counted as one (1) line:

• A UNE loop irrespective of its capacity (e.g., a DS0 UNE loop, a DS1 UNE loop, and a DS3 UNE loop each count as one line).
• A UNE loop provided to a carrier that engages in “line splitting” with a third carrier (e.g., one CLEC uses the high-frequency (data) portion of the loop and another CLEC uses the low-frequency (voice) portion).
• A high-frequency (data) portion of a loop provided under a “line-sharing” UNE arrangement.

Carriers that have replaced UNE arrangements with negotiated commercial agreements should see FAQ #54.

52. Are LECs required to report the number of UNE-Platform arrangements they provide?

The number of UNE-Platform arrangements (i.e., the combination of loop UNE, switching UNE, and transport UNE) provided to unaffiliated carriers must be reported in Part II.C of the form, in response to item II-5. Lines provided to unaffiliated carriers under commercial agreements that replace, or substitute for, UNE-Platform arrangements should be reported, instead, in Part II.B, in response to item II-3 (other resale).

53. How does an ILEC report UNE loops that it provides to its non-ILEC affiliate?

The ILEC should not report on Form 477 any UNE loops that it provides to its non-ILEC affiliate. Rather, for purposes of Form 477, the non-ILEC affiliate must report the UNE loop as its own local loop. For example, if the non-ILEC affiliate equips the UNE loop as a DSL connection, then it must report that DSL connection in Part I.A of the form – and must include that connection in the percentage of reported DSL connections that are provided over its “own local loop facilities” (reported in column (c) of Part I.A). If the affiliate is a CLEC that uses the UNE loop to provide a voice telephone service line to an end user, the CLEC affiliate must report the line in Part II.A of the form – and must include the line in the percentage of lines provided over own loop facilities (reported in column (e) of Part I.A).

54. How are commercial agreements that replace expiring UNEs reported?

Lines provided to unaffiliated entities under commercial agreements that replace or substitute for UNE-Platform or other UNE arrangements must be reported in Part II.B of the form, in the response to item II–3 (other resale).

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55. How are UNE loops obtained from other entities reported when they are used to provide broadband connections?

An entity that obtains a UNE loop from an unaffiliated entity and provisions/equips the UNE loop as broadband must report that connection in Part I.A of the form. Entities that obtain UNE loops from affiliated entities should also see FAQ #42.

56. How are UNE loops obtained from other entities reported when they are used to provide voice telephone service?

UNE loops, as well as any line-sharing or line-splitting UNEs, obtained from other entities and used to provide voice telephone service to the filer’s own end-user customers must be included in Part II of the form – in column (a) of the response to item II–1. If the UNE loop was obtained as a high-capacity (e.g., DS1) UNE and “channelized” into a number of voice-grade (DS0) channels, the filer must report the number of voice-grade channels (derived from that UNE) that its end user has purchased. If UNE loops were obtained from an unaffiliated entity, the end-user lines provisioned over them must be included in the percentage of end-user lines “provided over UNE loops obtained without UNE switching” (in column (f) of item II-1). If an affiliated entity owns the UNE loops, the end-user lines derived from them must be included, instead, in the percentage of end-user lines “provided over your own local loop facilities” (in column (e) of item II–1).

57. Should inside wire subloop UNEs be reported?

No, inside wire UNEs should not be reported separately on Form 477. If, for example, a carrier obtained both a loop UNE and an inside wire UNE from an unaffiliated carrier and used them to provide a voice telephone service line to its own end-user customer in a multiunit premises, it should count that as one line provided over a UNE loop (in its responses to item II-1 of Part II of the form). Meanwhile, the unaffiliated carrier that provided these UNEs should report that it provided one line under a UNE loop arrangement (in its response to item II-4 of Part II.) If, alternatively, the carrier owned the local loop facility that terminates at the multiunit premises, and connected it to an inside wire UNE that it obtained from an unaffiliated carrier, then it should count that line as one end-user line provided over its “own local loop facilities” (in its responses to item II-1 of Part II). In this case, the unaffiliated carrier that provided (solely) the inside wire UNE should not report it in its own Form 477 filing.

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58. How are resold connections, lines, or services reported on Form 477?

Resellers of broadband connections – for example, an ISP that incorporates a non-affiliated entity’s broadband connection or service into its own high-speed Internet access service – should not report broadband connections on Form 477. Instead, the facilities-based provider of the connection is responsible for reporting it (in Part I.A of the form).

Resellers of voice telephone service lines (or wireless channels) should report – in Part II.A of the form – the number of resold lines that they provide to their own end-user customers. And all LECs report – in column (h) of Part II.A – the extent to which they rely on resale to serve their own end-user customers. The carrier that provides the local telephone line to the (unaffiliated) reseller also reports it – but in Part II.B of the form.

Mobile telephony service resellers should not report the number of subscribers to whom they resell service. Instead, the entity whose facilities serve the subscriber is responsible for reporting the subscriber (in Part III of the form).

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59. Should lines that are used in a corporate or other private, defined-use network be reported on Form 477?

No, do not report such lines in Form 477. Also, if a LEC is uncertain whether a line it provides under a private line tariff or a special access tariff is part of an end-user private or defined-use network, see FAQ #61.

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60. Where on the form do LECs report special access lines that they provide?

Lines provided to unaffiliated carriers – or to end users – under special access tariffs are not reported anywhere on Form 477 if the line is solely used for exchange access (i.e., to deliver an end user’s telephone traffic to and/or from the end user’s interexchange carrier). However, if a LEC provides a “channelized” high-capacity circuit to an unaffiliated CLEC under a special access tariff (or under a private line tariff), which the CLEC uses to provide voice telephone service lines (“DS0’s”) to its own end-user customers, then the ILEC should include – in its response to item II–3 of Part II.B of the form – the number of DS0 channels on that circuit that the CLEC has purchased.

61. A LEC provides a high-capacity circuit (e.g., private line or special access line) between an end user and an unaffiliated carrier, but doesn’t know how that circuit is deployed. How should it be reported?

If a LEC provides a high-capacity circuit that connects an end user to an unaffiliated communications carrier – under a special access tariff or a private line tariff – but can’t reasonably judge how the circuit is being used (e.g., to carry voice traffic; for broadband access to the Internet or other public data network; as part of an end-user private or defined-use network) by reference to its business databases or by using in-house product design, marketing, or other information, then the LEC should not report the line anywhere in Form 477.

62. My firm leases special access lines from other carriers and uses them to provide 800 service and similar toll services to its own end-user customers. Should it report those special access lines on Form 477?

No, do not report these lines anywhere on Form 477.

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63. What is the definition of mobile telephony subscriber?

For purposes of Form 477, a mobile telephony subscriber is a mobile handset, car-phone, or other revenue-generating, active, voice unit that has a unique phone number and that can place and receive calls from the public switched network. This includes subscribers to satellite, cellular, and PCS mobile telephony services, and units in service that combine voice telephony with other services. This does not include subscribers to dispatch, one-way or two-way paging services, or voice services that permit communications between only a narrow range of locations.

64. Who reports pre-paid mobile telephony subscribers?

Pre-paid mobile telephony subscribers must be reported by the carrier that uses its own facilities to serve them. (In this context, own facilities means spectrum for which the carrier, including affiliates, holds a license, manages, or has leased.) Such carriers must include pre-paid subscribers among the subscribers they report in column (a) of Part III of the form. And they must use the area code of the pre-paid subscriber’s mobile handset, car-phone or other revenue-generating, active voice unit to determine the state for which the pre-paid subscriber is reported.

65. Who reports subscribers that are billed by mobile telephony service resellers?

Entities that resell to end users the mobile telephony services of an unaffiliated mobile telephony carrier do not file Form 477. Instead, the underlying “wholesaler” carrier that uses its own facilities to serve the reseller’s subscribers must include them among the subscribers it reports in column (a) of Part III of the form. (In this context, own facilities means spectrum for which the carrier, including affiliates, holds a license, manages, or has leased.) And it must use the area code of the subscriber’s mobile handset, car-phone or other revenue-generating, active voice unit to determine the state for which the subscriber is reported.

66. What is the difference between columns (a) and (b) in the Mobile Local Telephone part of the form?

In column (a) of Part III, a carrier should report the number of mobile telephony subscribers (see FAQ #63) that are served over its own facilities. (In this context, own facilities means spectrum for which the carrier, including affiliates, holds a license, manages, or has leased.) The number reported in column (a) should include subscribers that are billed by unaffiliated mobile service resellers as well as subscribers that the filer bills directly or serves on a pre-paid basis. In column (b), the filer should report the number of subscribers that it bills directly or serves on a pre-paid basis. Thus, if a facilities-based mobile telephony carrier does not “wholesale” any service to unaffiliated mobile wireless resellers (who in turn market the service and bill subscribers), the correct entry in column (b) would be 100 (percent).

67. How should mobile telephony subscribers be reported when a business purchases service for a number of employees?

Count as one subscriber each activated, revenue-generating mobile handset, car-phone, or other voice unit that is billed to the business customer. Use the area code of the phone number provided to the mobile handset, car-phone or other voice unit to determine on which state-specific Form 477 the subscriber must be reported.

68. Where do mobile wireless providers report their use of broadband PCS spectrum?

It depends on how the filer is using that spectrum. If the filer is using its spectrum license to provide mobile telephony service, then the subscriber must be reported in Part III of a Form 477 that’s filed for the state associated with the area code of the subscriber’s mobile handset. But, if the filer is using its spectrum license to provide a mobile broadband service (see FAQ #5 for definition), then the subscriber must be reported in Part I.A – if the subscriber’s billing address is within an area where the filer’s mobile wireless broadband service is available. (The mobile wireless broadband subscriber must be reported on a Form 477 that’s filed for the state that appears in the subscriber’s billing address.)

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