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Providers are Reminded of Form 477 Obligations

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Released: December 16, 2011


Federal Communications Commission

News Media Information 202 / 418-0500

445 12th St., S.W.


Washington, D.C. 20554

TTY: 1-888-835-5322

DA 11-1992

December 16, 2011

Enforcement Advisory No. 2011-12





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 477.1
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.2

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.

1 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.
§§ 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 (FCC Form 477 Instructions).
We attach a list of Frequently Asked Questions to provide guidance for the most common filing concerns.
2 See 47 C.F.R. §§ 1.7001, 43.11; FCC Form 477 Instructions at 5, 14-16, 19.

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 $1,500,000.3 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,
contact by e-mail, or link to 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 Media inquiries should be directed to
David Fiske at 202-418-0513 or
To request materials in accessible formats for people with disabilities (Braille, large print, electronic files, audio format),
send an e-mail to 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.


Frequently Asked Questions.
Issued by: Chief, Enforcement Bureau

3 47 U.S.C. § 503(b)(2)(B); 47 C.F.R. § 180(b); Amendment of Section 1.80(b) of the Commission’s Rules, Adjustment of Forfeiture Maxima to Reflect
, Order, 23 FCC Rcd 9845 (2008).



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, and the Form 477 rules are found at 47 C.F.R. § 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
§ an entity is a “facilities-basedprovider 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: 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 A tutorial on
completing and filing Form 477 is also available at

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