FCC Annual Reporting and Filing Requirements

The FCC forms discussed herein can be retrieved from the Commission's website: www.fcc.gov/formpage.html or, in some cases, USAC's website at www.universalservice.org. EWA does not prepare or file these forms. If you have any questions about these filing requirements, we recommend that you consult with your telecommunication's counsel or e-mail EWA.

FCC Form 499 - Telecommunications Reporting Worksheet 

As required under the Communications Act, the Commission has established procedures to support Universal Services Requirements, Telecommunications Relay Services ("TRS") and Local Number Portability Cost Recovery ("LNP").

To accomplish these congressionally directed objectives, Commercial Mobile Radio Service ("CMRS") and Private Mobile Radio Service ("PMRS") operators providing interstate telecommunications services are subject to certain filing requirements and, in some instances, must contribute to these funds.

The Telecommunications Reporting Worksheet is submitted to the Commission in quarterly and annual filings. The quarterly filings are made on FCC Form 499-Q and the annual filing is prepared on FCC Form 499-A (collectively the "Worksheet").

FCC Form 499-Q must be filed four times a year: 

February 1 

FCC Form 499-Q Telecommunications Reporting Worksheet (4th Quarter)

Using revenue data from the 4th quarter (October - December) of the previous year

May 1

FCC Form 499-Q Telecommunications Reporting Worksheet (1st Quarter)

Using revenue data for the first quarter (January - March) of the current calendar year

August 1

FCC Form 499-Q Telecommunications Reporting Worksheet (2nd Quarter)

Using revenue data for the second quarter (April - June) of the current calendar year 

November 1

FCC Form 499-Q Telecommunications Reporting Worksheet (3rd Quarter)

Using revenue data for the third quarter (July - September) of the current calendar year.

FCC Form 499-A - Telecommunications Reporting Worksheet (Annual)

April 1

FCC Form 499-A must be filed annually on April 1st, using revenue data to "true-up" revenue reported for the entire prior calendar year.

Telecommunications carriers that meet the de minimis standard test (as further discussed below in Universal Service Requirements) do not need to file the quarterly FCC Form 499-Q; however, they do need to file annual FCC Form 499-A.

The Commission requires that an executive officer of the entity certify to the truth and accuracy of historical data included in the Worksheet, and also certify that any of the entity's projections represent a good-faith estimate based on its policies and procedures. The completed Worksheet is submitted to the National Exchange Carrier Association ("NECA"). No payment is submitted with the Worksheet; rather, NECA uses the data reported by carriers on the Worksheet to calculate carriers' obligations. NECA then bills the carriers accordingly and provides payment instructions with the bill.

A. Universal Service Requirements

All telecommunications carriers, both CMRS and PMRS, providing interstate telecommunications services to the public for a fee are subject to contributing to the Universal Service Fund unless they fall under the de minimis standard. FCC staff takes the position that this obligation applies even to PMRS/non-interconnected commercial systems and to non-licensee operators of community repeaters if the system provides coverage across state lines. All such licenses have to submit the annual FCC Form 499-A, but an entity will be exempt from making a universal service payment if its contribution for the next four quarters is expected to be less than $10,000.00, an amount that is considered to be de minimis for this purpose. The instructions to the Worksheet provide the formula to determine whether a contribution is required. Carriers that are not obligated to make a contribution should retain documentation of their contribution base revenues for three years since they may be required to provide it to the FCC.

B. Telecommunications Relay Services ("TRS") Requirements

TRS is a group of services that enables hearing or speech impaired persons to communicate via wire or radio services. The Commission's rules require all CMRS carriers of interstate telecommunications services to contribute to the provision of TRS based on their proportionate share of gross interstate revenues with a minimum annual payment of $100. Carriers that provide only intrastate service are not required to contribute.

C. Local Number Portability ("LNP") Cost Recovery

Section 52.32 of the Commission's rules requires that all CMRS carriers contribute to its cost recovery mechanism to support long-term local number portability. Carriers' contributions are based upon the revenue data reported annually on FCC Form 499-A, and are billed by NECA. This fund also has an annual minimum contribution of $100.

FCC Form 395 - Annual Employment Report

May 31

CMRS licensees with sixteen (16) or more full-time employees must file an employment report annually on FCC Form 395, on or before May 31st. Other licensees can choose to file the FCC Form 395, but need only indicate that they have fewer than 16 employees.

FCC Form 395 also inquires whether any party has filed any complaint against the licensee alleging violations of equal employment laws in any jurisdiction (state or federal), and, if so, the status of pending complaints and the disposition of complaints resolved. There is no prepared form for the complaints report; a letter format is the common approach to satisfy the requirement. If a complaint was filed against your company, you may wish to contact your attorney for assistance in preparing the report.

New or Modified Equal Employment Opportunity ("EEO") Program

May 31

CMRS licensees with sixteen (16) or more full-time employees must have a statement of their EEO program on file with the FCC. This EEO program must outline the company's practices that ensure equal opportunity on the basis of sex, race, color, religion, or national origin in: recruitment, selection, training, placement, promotion and pay, working conditions, demotion, layoff and termination.

For new licensees, the EEO program must be filed with the FCC no later than May 31st following grant of the licensee's first authorization. Existing licensees that change their EEO program must file a revised statement reflecting the change (s) no later than May 31st. 

Regulatory Fee Payments - FCC Form 159

Annually (2 week window in late September)

The Commission is required by Congress to collect regulatory fees to recover the regulatory costs associated with its enforcement, policy and rulemaking, user information, and international activities. Each year, the Commission adopts a Schedule of Regulatory Fees for the current fiscal year, and it opens a two-week filing window in late September to collect these fees.

The Commission has split the CMRS Mobile Services category into two categories: CMRS Messaging Services and CMRS Mobile/Cellular Services. SMR and private carrier (if interconnected), as well as one-way and two-way paging, are classified as CMRS Messaging Services. Broadband PCS and Cellular are considered CMRS Mobile/Cellular Services. CMRS regulatory fees are based on the number of units in service. In FY 2006, the CMRS Messaging Services fee was 8 cents per unit, and the CMRS Mobile Services fee was 20 cents per unit. These annual fees are submitted to the FCC along with the FCC Form 159 - FCC Remittance Advice.

PMRS regulatory fees continue to be included in the filing fees for new and renewal authorizations.

Customer Proprietary Network Information ("CPNI") Compliance Certification

Annually (Date TBD)


All telecommunication carriers, both CMRS and PMRS, must file a customer proprietary network information ("CPNI") compliance certification annually with the Commission. This filing requirement, which began February 6, 2006, must certify that an officer of the company has personal knowledge that the company has established operating procedures that are adequate to ensure compliance with the Commission's CPNI rules. The carrier must provide a statement accompanying the certification that explains how its operating procedures ensure that it is or is not in compliance with the Commission's CPNI rules. 

EWA filed comments on April 28, 2006 in Docket No. 96-115 urging the Commission to confirm that non-interconnected telecommunications carriers are not intended to be subject to the CPNI requirements. It is also recommended use of the "covered carrier" definition to exclude small interconnected carriers from these requirements as well. The Commission has not yet adopted an Order in this proceeding.

FCC Form 602 - Ownership Disclosure Report

As Needed

An Ownership Disclosure Report, FCC Form 602, must be filed by all applicants in auctionable services, whether or not the subject licenses were initially acquired at auction. FCC Form 602 must be filed or updated with any new, renewal, assignment or transfer of control application of if there has been a change in ownership for the proposed licensee since its last filing.