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| Common Carrier Filing Requirements |  |
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Information for Firms Providing Telecommunications Services Last revised October 19, 2006 Most filing requirements are detailed in the Federal Communications Commission ("Commission") Rules. Also, some filing requirements are set forth in Orders or as conditions to Authorizations. This list provides information on the most common requirements for interstate and international telecommunications carriers. This list is provided for informational purposes only. It is not intended to be exhaustive, nor is it intended to serve as legal guidance or precedent. In all cases, independent research and determination of the applicability of any Commission rule or requirement is required. The Commission’s rules implement The Communications Act of 1934 as amended by The Communications Act of 1996 ("Communications Act"). The Commission's rules are codified in Title 47 of the Code of Federal Regulations ("C.F.R."). A relatively recent (2007) compilation of Title 47 of the C.F.R. can be found on the National Archives and Records Administration web site. Updates to the Commission's rules are published in the Federal Register. Other Commission documents are available through the Commission’s duplicating contractor, currently Best Copy and Printing, Inc. (BCPI), (202) 488-5300. Most forms are located on the FCC Forms web site. Reports prepared from some filings are available on the Wireline Competition Bureau Statistical Reports (formerly FCC-State Link) web site. Forms and reports also can be obtained from the Commission’s copy contractor, Best Copy and Printing, Inc. (BCPI), at (800) 378-3160. General RequirementsAdditional Requirements that Apply to International Service ProvidersGeneral Requirements Carriers providing domestic and international services should carefully review part 42 of the Commission’s rules. · Domestic Section 214 Approval Need to file if: Plan to discontinue, reduce or impair an existing domestic telecommunications service. Note that it is not necessary to file an application for authority under section 214 of the Act before becoming a carrier. How to apply: 47 C.F.R. 63 contains the procedures for filing a 214 application. Section 63.71 of the Commission's rules requires that carriers notify all existing customers as well as all states where such services are offered and the Department of Defense before discontinuing, reducing or impairing service. Additional Information: Domestic 214 web site at <www.fcc.gov/wcb/cpd/other_adjud/> · FCC Form 395 Common Carrier Annual Employment Report and Discrimination Complaint Requirement Need to file if: FCC Form 395 is required of all FCC licensees or permittees of common carrier stations with 16 or more full-time employees. Resellers typically are not licensees or permittees subject to sections 1.815, 21.307, 22.321, or 23.55 of the Commission's rules. In addition, discrimination reports must be filed by all licensees or permittees, regardless of the number of employees, in accordance with sections 21.307(d), 22.321( c), and 23.55(d) of the Commission's rules. The discrimination complaint requirement can be satisfied by completing Section V of FCC Form 395, instead of by submission of a separate report. How to file: FCC Form 395 is on the FCC forms page <www.fcc.gov/formpage.html>. Enter employment data on FCC Form 395. By May 31 of each year, fax the form to the telephone number specified in the instructions or mail the form to: Industry Analysis and Technology Division, Wireline Competition Bureau 445 12th St. S.W. Additional Information: Wireline Competition Bureau, Industry Analysis & Technology Division, Chantal Curry (202) 418-0940 · FCC Form 477 Local Telephone Competition and Broadband Reporting Need to file if: You either: 1) provide one or more broadband (i.e., faster than 200 kilobits per second, in at least one direction) connections to end user locations over wired "last mile" facilities (or the wireless equivalent) that you own or equip as broadband and the end user receives broadband Internet-access service (from you or from any other Internet-access service provider) over that connection; 2) are an incumbent or a competitive local exchange carrier (ILEC or CLEC) and you provide one or more local exchange service lines over owned or resold facilities; or, 3) serve one or more wireless telephone service subscribers using your own facilities. Entities required to report information about broadband connections include ILECs and CLECs, cable companies, multi-channel multipoint distribution service (MMDS) providers, other fixed wireless providers (including "wireless ISPs"), terrestrial and satellite mobile wireless providers, electric utilities, municipalities, and other entities. All providers of local exchange services including resellers of local exchange services must file local telephone data. All cellular and personal communications services (PCS) carriers who are not purely mobile service resellers must file mobile local telephone data. How to file: FCC Form 477 is on the FCC forms page <www.fcc.gov/formpage.html>. Filers must use the Form and Instructions specific to each particular reporting period. These are posted approximately one month prior to the filing date. Completed spreadsheet forms, and a certification statement, are due to the FCC March 1 and September 1 of each year. Instructions provide the required certification statement and specify the e-mail and alternative filing options. Additional Information: Wireline Competition Bureau, Industry Analysis & Technology Division, Suzanne Mendez or Jim Eisner (202) 418-0940 · FCC Form 478 Slamming Complaint Reporting Worksheet [ELIMINATED] Need to file if: You provide telephone exchange and/or telephone toll service. For this purpose, the terms "telephone exchange and/or telephone toll service" include, but are not limited to, the following: competitive access/competitive local exchange services, incumbent local exchange services, interexchange services, wide area telecommunications services (WATS); subscriber toll-free service, 900 services, and resale of such services. Wireless telephony carriers that provide toll services also must file. How to file: FCC Form 478 is on the FCC forms page <www.fcc.gov/formpage.html>. Enter slamming complaint data into FCC Form 478 twice a year. You can use a paper copy or an Excel version of the worksheet. The form can be sent via U.S.mail, facsimile, or e-mail. Mail a certification statement and all files on a diskette to the address listed in the instructions. The last filing was due February 15, 2003. FCC Form 478 and instructions, along with an Excel version, are available on the FCC forms page. Additional Information: Consumer & Governmental Affairs Bureau, Consumer Inquiries and Complaints Division (202) 418-2516 · FCC Forms 492 and 492A Rate of Return Need to file if: FCC Form 492 - local exchange carrier or group of affiliated carriers which are not subject to sections 61.41 through 61.49 of the Commission's rules and has filed individual access tariffs during the enforcement period. FCC Form 492A - local exchange carriers subject to sections 61.41 through 61.49 of the Commission's rules concerning price-cap incentive regulation and access tariffs filed before the Commission. How to file: FCC Forms 492 and 492A are available on the FCC forms page <www.fcc.gov/formpage.html>. Two copies are to be filed with the Office of the Secretary and one copy with Stephen Steckler, Wireline Competition Bureau, Industry Analysis and Technology Division. FCC Form 492 is to be filed within three months after the end of each calendar year. An additional six months from the initial due date will be allowed for each local exchange carrier or group of affiliated carriers to correct their complete enforcement period report. FCC Form 492A is to be filed three months after the end of a calendar year. A final report shall be filed no later than fifteen months after the end of a calendar year showing adjustments to filed results since the first report. Additional Information: Wireline Competition Bureau, Industry Analysis & Technology Division, Stephen Steckler (202) 418-0940 · FCC Form 499-A Telecommunications Reporting Worksheet [Replaced FCC Forms 431, 457, 487, and 496; and satisfies carrier’s agent for service of process and registration requirements.]Need to file if: You must file if you are defined as a telecommunications carrier under section 3(44) of the Telecommunications Act or if you offer any interstate or international telecommunications services or interconnected Voice over Internet Protocol (VoIP). The definition is very broad and covers many firms that have no other contact with the FCC. Wireline, wireless, wholesale only, resale, interstate, and international carriers (including ILECs, CLECs, prepaid card, prepaid wireless phone and pay telephone providers) as well as some other telecommunications providers must file. How to file: New telecommunications service providers must file within one week of offering service to the public. Existing providers must complete the Worksheet using revenue data from the prior calendar year (the annual filing). Mail to the address listed in the instructions. FCC Form 499-A is on the FCC forms page <www.fcc.gov/formpage.html>. A new version of the form is posted approximately one month before the April 1 date of the annual filing. Annual filers must use the version of the form specific to the filing period. Additional Information: Telecommunications Reporting Worksheet Information (888) 641-8722 · FCC Form 499-Q Telecommunications Reporting Worksheet [Replaced FCC Form 499-S.] Need to file if: You are required to contribute to the maintenance of universal service support mechanisms. This includes all FCC Form 499-A filers with interstate end-user telecommunications revenues that are sufficiently large to result in an annual contribution of $10,000 or more. Other FCC Form 499-A filers should complete Figure 1 in the instructions and retain that table, along with documentation of their contribution base, for three calendar years after the date each worksheet is due. How to file: Complete the Worksheet four times a year. Mail to the address listed in the instructions. FCC Form 499-Q is on the FCC forms page <www.fcc.gov/formpage.html>. Filings are due on February 1, May 1, August 1, and November 1 of each year. Additional Information: Telecommunications Reporting Worksheet Information (888) 641-8722 · FCC Form 502 Numbering Resource Utilization/Forecast (NRUF) Need to file if: You are a carrier and have received numbers from the North American Numbering Plan Administrator (NANPA), a Pooling Administrator, or another telecommunications carrier. However, subscriber toll-free numbers are not subject to being reported. Filers include incumbent local exchange carriers (ILECs), competitive local exchange carriers (CLECs), 500 service providers, paging companies, wireless telephony carriers, shared tenant service providers, satellite service providers, and resellers of these services. How to file: Twice each year, download FCC Form 502 Excel worksheet from the FCC forms page and follow the directions <www.fcc.gov/formpage.html>. Data are filed with NANPA on February 1 and August 1 of each year. Additional Information: NANPA website <www.nanpa.com/nruf/index.html · Section 1.47(h) of the Commission's Rules Regarding Designation of Agent for Service of Process Need to file if: All carriers subject to the Communications Act must designate an Agent for Service of Process that is located in the District of Columbia . How to file: This requirement is satisfied by filing the annual FCC Form 499-A Telecommunications Reporting Worksheet. FCC Form 499-A is on the FCC forms page <www.fcc.gov/formpage.html>. Within 30 days of commencement of provision of service, new carriers must designate an Agent for Service of Process that is located in the District of Columbia . It may do so by filing a paper copy of pages 1 and 2 of the FCC Form 499-A with the Office of the Secretary, as shown below. In addition, carriers must notify the Commission within one week of any changes to their designation of agent for service of process information by filing revised portions of FCC Form 499-A with the Office of the Secretary, directed to the attention of: Office of the Secretary Additional Information: Enforcement Bureau, Market Disputes Resolution Division (202) 418-7330 · Section 1.8001 of Commission's Rules Regarding Commission Registration System (CORES) Need to file if: Each individual or organization doing business with the FCC is required to provide and maintain a current official contact address using the Commission's Registration System (CORES). Registrants are assigned a 10-digit FRN (FCC Registration number). Individuals and organizations must have a valid FRN in order to make payments to the FCC. Note that most Telecommunications service providers must also register using the FCC Form 499. How to apply: Register online using the CORES webpage at, https://fjallfoss.fcc.gov/coresWeb/publicHome.do
.
Alternatively, download FCC Form 160 (the CORES registration form) and FCC
Form 161 (the form to update previously filed information) from the FCC's
forms page, www.fcc.gov/formpage.html.
You can request these forms by calling the Forms Distribution Center at (800)
418-3676 or the CORES Help Desk at (877) 480-3201. Additional Information: CORES Help Desk, (877) 480-3201 or you may contact CORES via e-mail at CORES@fcc.gov. · Automated Reporting Management Information System (ARMIS) Need to file if: Incumbent local exchange carriers (ILECs) with more than $138 million in gross operating revenues in 2007 are required to file ARMIS reports for year-end 2008 on April 1, 2009 . (The revenue threshold increases each year to account for inflation.) How to file: Depending on their classification (mid-size / large ILEC, mandatory price-cap / elective price-cap / non price-cap ILEC) filers may need to provide financial, service quality, infrastructure, and operational data for the preceding year in ten ARMIS reports (ARMIS Reports 43-01 through 43-08 and ARMIS Reports 495A and 495B.) Carriers file data electronically over the Internet, with the Analysis & Technology Division annually on or before April 1. Additional Information: Additional filing requirement
information is available on the ARMIS web site. · Section 43.21(c) Letter as Defined in the Commission's Rules Need to file if: Toll service providers with more than $117 million in gross operating revenues in the year 2001 were required to file section 43.21(c) letters with year-end 2000 data on April 1, 2002 . (The revenue threshold increases each year to account for inflation and is $119 million for the 2003 filing.) How to file: The section 43.21(c) letter should contain total toll revenues and gross telecommunications plant for the prior calendar year. The filing is due April 1 each year. Total toll revenues reported in the letter should equal the amounts reported in column A of FCC Form 499-A in the carrier's carrier toll categories, in end-user toll categories, and an appropriate share of revenues reported in line 403 [billings identified as recovering universal service obligations]. Section 43.21(c) letters should consolidate data for all affiliates, even where affiliates must file separate Form 499-A reports. Mail the section 43.21(c) letter to: Office of the Secretary Additional Information: Wireline Competition Bureau, Industry Analysis & Technology Division, John Adesalu (202) 418-0940 Need to file if: Carriers may not file any new or revised mass market, contract tariffs or tariffs for other long-term interstate service arrangements. Most non-dominant carriers were required to CANCEL their interstate interexchange tariffs by July 31, 2001 . However, non-dominant carriers are permitted to continue to file tariffs for 101-XXX dial-around type services. Non-dominant carriers also are permitted to tariff services for customers who subscribe to domestic interstate interexchange services indirectly through a local exchange carrier. Such tariffs will only be applicable for an individual customer until the parties consummate a written agreement, but in no event for a period of more than 45 days. How to file: Obtain a non-dominant tariff filing package from the Commission's contractor for public records duplication, currently Qualex International, at qualexint@aol.com or (202) 863-2893. Information on how to cancel a tariff is available from the Pricing Policy Division at 202 418-1540. Note that a tariff filing fee must accompany both tariff filings and tariff cancellation filings. Additional Information: Wireline Competition Bureau, Pricing Policy Division (202) 418-1540 · Section 64.709 of the Commission's Rules Regarding Interstate Service INFORMATIONAL Tariff RequirementNeed to file if: Non-dominant carriers providing operator services as defined in section 64.708(i) of the Commission's rules must have on file informational tariffs. Informational tariffs must be filed when offering new operator services or at the same time existing services are detariffed. How to file: Informational tariffs shall be accompanied by a cover letter, explaining the purpose of the filing. Copies of the cover letter and the attachments shall be submitted to the Office of the Secretary; the Commission's contractor for public records duplication, currently Qualex International, at qualexint@aol.com or (202) 863-2893; and the Chief, Pricing Policy Division, Wireline Competition Bureau. In addition, a tariff filing fee must accompany the filing. Additional Information: Wireline Competition Bureau, Pricing Policy Division (202) 418-1520 · Section 64.1195 Carrier Registration Requirement Need to file if: All interstate telecommunications carriers subject to the Communications Act must file. Interstate telecommunications carriers include, but are not limited to entities that provide: wireless telephony including cellular and personal communications services (PCS); paging and messaging services; dispatch services; mobile radio services; operator services; access to interexchange service; special access; wide area telecommunications services (WATS); subscriber toll-free services; 900 services; message telephone services (MTS); private line; telex; telegraph; video services; satellite services; and, resale services. How to file: This requirement is satisfied by filing pages 1, 2, 3, and 7 of FCC Form 499-A Telecommunications Reporting Worksheet on April 1 of each year. Carriers must notify the FCC within one week if there is a change in identification, contact information, names and addresses of officers, or jurisdictions in which the carrier operates. New carriers and carriers whose registration information has changed should file the relevant portion of the FCC Form 499-A with the Commission’s Data Collection Agent: Form 499 Data Collection Agent Additional Information: TRW Information (973) 560-4400 · Section 64.1900 of the Commission's Rules Geographic Rate Averaging Certification Need to file if: Each non-dominant provider of detariffed interstate interexchange service must certify that it provides such service in compliance with its geographic rate average and rate integration obligations pursuant to section 254(g) of the Communications Act. How to file: Annual certifications should be filed on May 1 of each year, starting in 2002. The certification statement should be signed by an officer of the company under oath and should be sent to the Office of the Secretary, directed to the attention of: Office of the Secretary Additional Information: Wireline Competition Bureau, Pricing Policy Division (202) 418-1520 · Section 64.2105 Creation and Filing of System Security and Integrity Manuals as required by the Communications and Law Enforcement Assistance Act (CALEA) Please refer to the following webpage for CALEA reporting requirements, www.fcc.gov/calea/. Additional Information: Public Safety & Homeland
Security Bureau (PSHSB) CALEA Team: Need to file if: Provided any telecommunications or broadcast service, provided an international bearer circuit, or held a FCC spectrum license. Many carriers need to pay fees based on interstate and international end-user revenues, international circuits, and spectrum licenses. How to pay: Fee schedule varies by type of activity. Annual regulatory fees are due during an announced period in mid-August of each year. You will not be billed by the TRS or USF Administrators. The fee schedules and filing directions are located in the regulatory fees section of the FCC web site, www.fcc.gov/fees/regfees.html. Additional Information: Office of Associate Managing Director for Performance Evaluation & Records Management, (202) 418-0445 Additional Requirements that Apply to International Service Providers Carriers providing international services should carefully review sections
43.51, (revised effective April 27, 2001), 43.61, 43.82, 63.11, 63.18, 63.19,
63.21, 63.22 (facilities-based carriers), 63.23 (resellers), 63.24, and 64.1001
of the Commission's rules for additional information on reporting requirements.
These and other rules that apply specifically to
· International Section 214 Approval Need to file if: Plan to provide any international telecommunications service. How to apply: See Section 214 Filing Guidelines, available on the International Bureau's web site at <www.fcc.gov/ib/pd/pf/214guide.html>. Additional Information: International Bureau, Policy Division, (202) 418-1460 · International Service Tariff Need to file if: Need to file on particular U.S international routes for particular services
if you are classified as a dominant international carrier for such routes/services
for reasons other than having an affiliation with a foreign carrier that
possesses market power. (See section 63.10 of the Commission's rules.) Carriers
may not file any new or revised mass market service tariffs, contract tariffs
or tariffs for other long-term international service arrangements. Most
non-dominant carriers were required to CANCEL most of their international
tariffs by January 28, 2002 . However, non-dominant carriers
are permitted to continue to file tariffs for international 101-XXX dial-around
type services. Non-dominant carriers also are permitted to tariff services
for customers who subscribe to international services indirectly through
a local exchange carrier. Such tariffs will be applicable only for an individual
customer until the parties consummate a written agreement, but in no event
for a period of more than 45 days. In addition, non-dominant carriers may
continue to tariff international inbound collect calls to the
How to file: Obtain a non-dominant tariff filing package from the Commission's contractor for public records duplication, currently Qualex International, at qualexint@aol.com or (202) 863-2893. Information on how to cancel a tariff is available from the Pricing Policy Division at 202 418-1540. Note that a tariff filing fee must accompany both tariff filings and tariff cancellation filings. Additional Information: Wireline Competition Bureau, Pricing Policy Division (202) 418-1520 · Section 43.61 of the Commission's Rules Regarding International Traffic Data Need to file if: Provided any service between the U.S and foreign points in the prior calendar year. This includes "pure resale" calls that resale carriers billed but which were actually handled by an underlying carrier. How to file: See Manual for Filing Section 43.61 International Traffic Data, available at < http://www.fcc.gov/wcb/iatd/intl.html >. The instructions have been modified by a series of public notices that included on that page. The manual contains simplified instructions for "pure resale service." The filing is due July 31 of each year. Some carriers are required to make quarterly filings. Additional Information: International Bureau, Linda Blake, (202) 418-0945 · Section 43.82 of the Commission's Rules Regarding International Circuit Data Need to file if: Owned or leased an international circuit and used that circuit to provide service in the prior calendar year. (Resellers of private lines file the same reports, but under section 63.23(e) of the Commission’s rules.) How to file: See the Manual for Filing Section 43.82 Circuit Status Data. The manual and a sample filing can be found on the International Bureau's web site at <http://www.fcc.gov/ib/pd/pf/csmanual.html>. The filing is due March 31 of each year. Additional Information: International Bureau, Telecommunications Division, Cathy Hsu, (202) 418-2114 |
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| last reviewed/updated on 08/27/2008 |
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