Common Carrier Filing Requirements - Information for Firms Providing Telecommunications Services

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 (2009) 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.

Most forms are located on the FCC Forms page. Reports prepared from some filings are available on the Industry Analysis Division (IAD) Data & Statistical Reports page.

Table of Contents

General Requirements

Additional Requirements that Apply to International Service Providers

 

General 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
Wireline Competition Bureau, Competition Policy Division, Rodney McDonald, 418-7513

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 IV of the FCC Form 395.

How to file:

FCC Form 395 is on the FCC Forms page. Enter employment data on FCC Form 395. By May 31 of each year, the completed report must be filed in WC Docket No. 16-233 using the Commission’s Electronic Comment Filing System (ECFS).  A carrier seeking confidential treatment of certain Form 395 data must file a redacted (public) version of its Form 395 Report using ECFS, and also file a non-redacted version, for which confidentiality is requested, along with the respondent’s request for confidentiality, with the Federal Communications Commission, Office of the Secretary, 9050 Junction Drive, Annapolis Junction, MD 20701.  Please read the Form 395 instructions for additional information.

Additional Information:

Office of Economics and Analytics, Industry Analysis Division, Lorenzo Miller (202) 418-0940

FCC Form 477 Local Telephone Competition and Broadband Reporting

Need to file if:
  • A facilities-based provider of broadband connections to end user locations - that is, you owned or equipped one or more wired "lines" or wireless "channels" to end user locations that enable end users to receive information from and/or send information to the Internet at information transfer rates exceeding 200 kilobits per second in at least one direction. (A non-exhaustive list of examples includes local telephone companies, cable TV system operators, satellite system operators, providers of fixed wireless services including "wireless ISPs" and others, mobile wireless carriers, electric utilities, municipalities, and other entities.)
  • An incumbent or competitive local exchange carrier (LEC) who provides local exchange telephone service to one or more end user customers.
  • An interconnected Voice over Internet Protocol (VoIP) service provider.
  • A mobile telephony service provider who is not solely a reseller.
How to file:

FCC Form 477 is on the FCC Forms page. FCC Form 477 is a semi-annual filing and data are due by March 1 and September 1. The filing is made using the Form 477 Filing Interface. Filers should read the Instructions for additional information. Additional resources to assist Form 477 filers are available on the Form 477 Resources page.

Additional Information:

Office of Economics and Analytics, Industry Analysis Division, Kenneth Lynch or Suzanne Mendez (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. 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 Form 492 Rate-of-Return Report

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.

How to file:

FCC Form 492 are available on the FCC Forms page. One copy is to be filed with the Federal Communications Commission, Office of the Secretary, 9050 Junction Drive, Annapolis Junction, MD 20701 and two copies with the Federal Communications Commission, Office of Economics and Analytics, Industry Analysis Division, Attn.: Mr. Lorenzo Miller, 45 L Street, NE, Room 9.339, Washington, DC 20554.

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.

Additional Information:

Office of Economics and Analytics, Industry Analysis Division, Lorenzo Miller (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. 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
Office of Economics Analytics, Industry Analysis Division (202) 418-0940

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. 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
Office of  Economics Analytics, Industry Analysis Division (202) 418-0940

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. Data are filed with NANPA on February 1 and August 1 of each year.

Additional Information:

NANPA website
NANPA contact information (202) 533-2654 or (202) 533-2657
Wireline Competition Bureau, Telecommunications Access Policy Division, Sanford Williams, at (202) 418-7400

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. 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
Attn: Chief, Market Disputes Resolution Division
45 L Street NE
Washington , DC 20554

Additional Information:
  • Enforcement Bureau, Market Disputes Resolution Division (202) 418-7330
  • Agent Information

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. 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. You can request these forms by calling the Forms Distribution Center at (800) 418-3676 or the CORES Help Desk at (877) 480-3201, option 4.

Registrants that do not use the online CORES system should mail completed forms to:

FCC
Attention: CORES Administrator
45 L Street NE
Washington, D.C. 20554

Additional Information:

CORES Help Desk, (877) 480-3201, option 4 or you may contact CORES via e-mail at CORESHelpDesk@fcc.gov.

Automated Reporting Management Information System (ARMIS)

Need to file if:

Incumbent local exchange carriers (ILECs) with more than $142 million in gross operating revenues in 2008 are required to file ARMIS reports for year-end 2009 on April 1, 2010 . (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 several ARMIS reports. ARMIS filing requirements were reduced significantly for 2008 data by Commission forbearance orders. Carriers file data electronically over the Internet, with the Industry Analysis & Technology Division annually on or before April 1.

Additional Information:

Additional filing requirement information is available on the ARMIS web site.
ARMIS data are available from the Electronic ARMIS Filing System.
Questions about ARMIS may be directed to armis-hp@fcc.gov.
Contact Information: Office of Economics Analytics, Industry Analysis Division, Lorenzo Miller (202) 418-0940.

Section 43.21(c) Letter as Defined in the Commission's Rules

Need to file if:

Miscellaneous common carriers with operating revenues in excess of an indexed revenue threshold, as defined in §32.9000 of the Commission's rules, shall file with the Chief of the Wireline Competition Bureau (formerly the Common Carrier Bureau) a letter showing its operating revenues for that year and the value of its total communications plant at the end of the year. The revenue threshold increases each year to account for inflation and was $142 million for the 2009 filing.

How to file:

Each section 43.21(c) letter should be filed with the Chief of the Wireline Competition Bureau and should contain the company's operating revenues and the value of its total communications plant for the prior calendar year. The filing is due no later than April 1 of the following year. Mail the section 43.21(c) letter to:

Office of the Secretary
Attn: Industry Analysis Division,
Mail Stop 1600F,
Room 6-A160,
Washington , DC 20554 .

Additional Information:

Office of Economics Analytics, Industry Analysis Division, (202) 418-0940

Interstate Service Tariff

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:

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 Requirement
Need 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 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-Awith the Commission's Data Collection Agent:

Form 499 Data Collection Agent
Attn: Christy Doleshal
80 South Jefferson Rd.
Whippany , NJ 07981

Additional Information:

TRW Information (973) 560-4400
Office of Economics Analytics, Industry Analysis Division (202) 418-0940

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
Attn: Chief, Pricing Policy Division,
45 L Street NE
Washington , DC 20554

Additional Information:

Wireline Competition Bureau, Pricing Policy Division (202) 418-1520

Section 64.2009 of the Commission's Rules Annual CPNI Compliance Certification

Need to file if:

Section 64.2009(e) of the Commission's rules applies to telecommunications carriers (47 U.S.C. § 153) and to interconnected VoIP providers (47 C.F.R. § 9.3). Companies that fall under the definition and must file an annual CPNI certification include, but are not limited to: LECs (including ILECs, rural LECs and CLECs), IXCs, paging providers, CMRS providers, resellers, prepaid telecommunications providers, and calling card providers, interconnected VoIP providers and wholesalers. THIS LIST IS NOT EXHAUSTIVE.

How to file:

Companies must file annually between January 1 and March 1 for data pertaining to the previous calendar year. All filings are to reference EB Docket No. 06-36. The Commission's rules do not require a certain form or format to be used by the companies. For convenience and to assist companies in meeting the requirements of the rule the Bureau provided a suggested template that can be used. This template can be found as an attachment to the January 7, 2009, Public Notice issued by the Bureau on this topic. The Public Notice, which can be found at the below link, also contains filing procedures to be followed. http://fjallfoss.fcc.gov/edocs_public/attachmatch/DA-09-9A1.pdf.

Additional Information:

Enforcement Bureau, Telecommunications Consumers Division (202) 418-7320

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:

Christopher Fedeli, Attorney Advisor, PSHSB Policy & Licensing Division (202) 418-1514
Kim Anderson, CALEA Records Administrator, PSHSB Policy & Licensing Division (202) 418-7604

Section 64.5001 of the Commission's Rules Quarterly PIU Reporting and Certification

Need to file if:

Section 64.5001 of the Commission's rules applies to all prepaid calling card providers. By the 45th day of each quarter, prepaid card providers must report percentage of interstate use (PIU) factors and associated call volumes to carriers that provide them with transport services. In addition, they must file traffic information and certifications with the FCC.

How to file:

Companies must file quarterly data pertaining to the previous calendar quarter. All filings are to reference WC Docket No. 05-68. Section 64.5001(c) details the traffic information and certifications to be filed. Filings can be made electronicallly through the Commission's electronic comment filing system, http://fjallfoss.fcc.gov/ecfs/. Alternatively, paper copies may be filed with the Secretary of the FCC. Regardless of whether the official filing was made electronically or by paper, a copy of the requisite filings also should be sent to the Chief, Pricing Policy Division, Wireline Competition Bureau, Federal Communications Commission, 12th Street, SW, Washington, D.C. 20554.

Additional Information:

Wireline Competition Bureau, Pricing Policy Division (202) 418-1520

Regulatory Fees

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 U.S. international common carriers are available online. Also, all carriers should review section 64.804 of the Commission's rules. The International Bureau homepage is at https://www.fcc.gov/ib/

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.

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 United States and the provision of certain "on-demand" mobile satellite services. Carriers may obtain further information about the Commission's revised tariffing requirements at <www.fcc.gov/ib/pd/pf/telecomrules.html>.

How to file:

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 43.82 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. The filing is due March 31 of each year.

Additional Information:

International Bureau, Telecommunications Division, Cathy Hsu, (202) 418-2114

Date Last Updated/Reviewed:
Bureau/Office:
Wireline Competition