Reporting On Foreign Ownership of International Section 214 Authorization Holders
Reporting On Foreign Ownership of International Section 214 Authorization Holders
Filing Instructions for One-Time Information Collection (11.21.23)
Reporting On Foreign Ownership of International Section 214 Authorization Holders
OMB: 3060-1308
Draft
Not Yet Approved by OMB
November 2023
Estimated Time per Response – 6 hours
FEDERAL COMMUNICATIONS COMMISSION
Instructions
One-Time Information Collection for
International Section 214 Authorization Holders
Table of Contents
I. GENERAL INFORMATION AND REQUIREMENTS 6
A. What is the purpose of the One-Time Information Collection? 6
B. Who must respond to the One-Time Information Collection? 6
C. Can an Authorization Holder review the questions in the One-Time Information Collection before starting the form? 6
D. If an Authorization Holder no longer needs or uses its International Section 214 Authorization, does it need to respond to the One-Time Information Collection? 6
E. How can an Authorization Holder access the online filing system for the One-Time Information Collection? 7
F. What is an FCC Registration Number (FRN) and how can an Authorization Holder obtain an FCC Registration Number (FRN)? 7
G. How can an Authorization Holder determine that its FRN is associated with its Authorization File Number(s)? 8
H. Will the FCC publish the results of the One-Time Information Collection? 8
I. What are the consequences for failure to file a timely response? 8
J. What are the consequences for false statements? 9
II. PREPARing for the One-TiME INfOrMatIon Collection 9
A. What does an Authorization Holder need to do before starting the One-Time Information Collection? 9
III. IMPORTANT TECHNICAL INFORMATION 9
A. What technical information does an Authorization Holder need to know before starting the One-Time Information Collection? 9
B. Should an Authorization Holder enable cookies on its browser before it begins the One-Time Information Collection? 10
IV. AUTHORIZATION HOLDERS WITH MULTIPLE FCC REGISTRATION NUMBERS (FRNs) 11
A. If an Authorization Holder has multiple FRNs, how should it fill out the form? 11
B. If an Authorization Holder has multiple FRNs that are associated with different FCC Username Accounts (i.e., different usernames/email addresses) in the FCC User Registration System, how should it fill out the form for each FRN? 11
V. CORRECTING RESPONSES PRIOR TO OR AFTER A SUBMISSION 11
A. How should an Authorization Holder correct an error in its response PRIOR to submission? 11
B. How should an Authorization Holder correct an error AFTER submission? 12
VI. FCC ASSISTANCE ON THE ONE-TIME INFORMATION COLLECTION 13
A. Who can assist the Authorization Holder with questions on the One-Time Information Collection? 13
B. Where can the Authorization Holder find other Frequently Asked Questions? 13
VII. COMPLETING EACH QUESTION IN THE ONE-TIME INFORMATION COLLECTION 14
A. Log In & Entity (or Registrant) Verification (Questions 1 – 1.a) 14
1. QUESTION 1 14
2. QUESTION 1.a 14
B. Identify All Current Authorization File Numbers Associated with FRN (Questions 2 – 2.b) 15
1. QUESTION 2 15
2. QUESTION 2.a 16
3. QUESTION 2.b 16
C. Authorization Holder’s Contact Information (Questions 3 – 3.b) 16
1. QUESTION 3 16
2. QUESTION 3.a 16
3. QUESTION 3.b 16
D. Authorizations Subject to a Mitigation Agreement (Questions 4 – 5.b) 17
1. QUESTION 4 17
2. QUESTION 5 17
3. QUESTION 5.a 17
4. QUESTION 5.b 17
E. Qualification for FCC’s Exemption from Completing Questions 9-14 of the Form (Questions 6 – 8) 18
1. QUESTION 6 18
2. QUESTION 7 19
3. QUESTION 8 19
F. Identify Whether the Authorization Holder Has Reportable Foreign Ownership (Question 9) 20
G. Reportable Foreign Ownership (Questions 9.a – 13) 20
1. QUESTION 9.a 20
2. QUESTION 10 21
3. QUESTION 11 22
4. QUESTION 12 22
5. QUESTION 13 22
H. No Reportable Foreign Ownership Certification (Question 14) 23
1. QUESTION 14 23
I. Certification (Questions 15 – 16) 23
1. QUESTION 15 23
2. QUESTION 16 23
J. After Submission of the One-Time Information Collection 23
Authority: The FCC is authorized to collect the information that is requested in this one-time collection pursuant to the authority contained in 47 U.S.C. 214, 307, 309, 310, 319, and 332, as well as 151, 152, 154(i)–(j) & (o), 155, 251(e)(3), 254, 257, 301, 303, 332, 402, 1302; and 5 U.S.C. 602(c) and 609(a)(3), as well as 47 CFR 1.10000–1.10018, 1.5000–1.5004, and 63.09–63.702.
Purpose: The information collected in this One-Time Information Collection is utilized by the FCC to regulate and process applications and other filings involving, among others, International Section 214 Authorizations, as well as to enforce FCC regulations and the Communications Act of 1934.
Routine Uses: In addition to those disclosures generally permitted under 5 U.S.C. 552a(b) of the Privacy Act of 1974, as amended, the FCC may disclose information provided in this collection, as is determined to be relevant and necessary, outside the FCC as a routine use pursuant to 5 U.S.C. 552a(b)(3), including: to the public, except for material that is afforded confidential treatment, in accordance with section 0.459 of the FCC’s rules; to an FCC Bureau or Office or another government agency, or representative thereof, for purposes of obtaining information so long as it is relevant to the regulation of a license, authorization, or permit or a pending transaction of an FCC-issued license, authorization, or permit; to the Department of Treasury, State government, or a debt collection agency to collect a claim owed to the FCC; for law enforcement and investigation; and to non-federal personnel, including contractors, who have been engaged to assist the FCC in the performance of a contract service, grant, cooperative agreement, or other activity related to this system of records and who need to have access to the records in order to perform their activity.
A full, detailed list of the routine uses is published in the system of records notices associated with this collection, IB–1, International Bureau Filing System, which is available at https://www.fcc.gov/sites/default/files/sor-fcc-ib-1.pdf, and FCC-2, which is available at https://www.fcc.gov/sites/default/files/sor-fcc-2.pdf.
Disclosure: This information collection is mandatory. The FCC’s Evolving Risks Order & NPRM (Review of International Section 214 Authorizations to Assess Evolving National Security, Law Enforcement, Foreign Policy, and Trade Policy Risks; Amendment of the Schedule of Application Fees Set Forth in Sections 1.1102 Through 1.1109 of the Commission's Rules, No. FCC 23-28) requires all International Section 214 Authorization Holders to respond to a one-time collection to update the Commission's records regarding the foreign ownership of International Section 214 Authorization Holders. The Commission is currently considering in this NPRM whether to cancel the authorizations of carriers that fail to timely respond to the One-Time Information Collection and to impose forfeitures or other measures where a carrier fails to respond in a timely or complete manner.
FCC NOTICE REQUIRED BY THE PAPERWORK REDUCTION ACT
The public reporting for this collection of information is estimated to average 6 hours per response, including the time for reviewing instructions, searching existing data sources, gathering and maintaining the required data, and completing and reviewing the collection of information. If you have any comments on this burden estimate, or how we can improve the collection and reduce the burden it causes you, please write to the Federal Communications Commission, AMD−PERM, Paperwork Reduction Project (3060−1308), Washington, DC 20554. We will also accept your comments regarding the Paperwork Reduction Act aspects of this collection via the Internet if you send them to [email protected]. PLEASE DO NOT SEND COMPLETED FORMS TO THIS ADDRESS.
Remember − You are not required to respond to a collection of information sponsored by the Federal government, and the government may not conduct or sponsor this collection, unless it displays a currently valid OMB control number or if we fail to provide you with this notice. This collection has been assigned an OMB control number of 3060-1308.
THE FOREGOING NOTICE IS REQUIRED BY THE PAPERWORK REDUCTION ACT OF 1995, PUBLIC LAW 104−13, OCTOBER 1, 1995, 44 U.S.C. SECTION 3507.
On April 20, 2023, the Federal Communications Commission (Commission) adopted an Order (FCC 23-28) requiring all International Section 214 Authorization Holders (Authorization Holders) to provide foreign ownership information in a one-time collection (One-Time Information Collection).
The Order directed each Authorization Holder to identify its 10% or greater direct or indirect Foreign Interest Holders that hold such equity and/or voting interests, or a controlling interest, in the Authorization Holder (Reportable Foreign Ownership) as of thirty (30) days prior to the filing deadline.
The Order required each Authorization Holder to certify as to the accuracy of the information provided.
The entity or individual that currently holds the International Section 214 Authorization must respond to the One-Time Information Collection before the filing deadline. Below are examples of who is responsible for responding to the One-Time Information Collection if an assignment or transfer of control occurred.
Assignment - If Company A assigned its International Section 214 Authorization to Company B, Company B now holds the Authorization.
Company B is required to respond to the One-Time Information Collection.
Transfer of Control – If Company Y, the owner of Authorization Holder X, sells its interest in Authorization Holder X to Company Z, Authorization Holder X continues to hold the Authorization.
Authorization Holder X is required to respond to the One-Time Information Collection.
Yes, the Authorization Holder can review the questions before starting the form at the following link: [[add link]].
If an Authorization Holder files a surrender letter before the filing deadline, the Authorization Holder does not need to respond to the One-Time Information Collection. An Authorization Holder that no longer needs or uses its authorization(s) is strongly encouraged to surrender its International Section 214 Authorization(s) before the filing deadline.
Filing a Surrender Letter in ICFS. An Authorization Holder may file a surrender letter in the International Communications Filing System (ICFS). The Commission does not have a specific rule on surrender letters but it is customary for the Authorization Holder to upload a letter surrendering the International Section 214 Authorization in ICFS for its Authorization File Number(s).
Link to ICFS. To file a surrender letter, the Authorization Holder may visit the ICFS homepage at https://www.fcc.gov/icfs.
The Authorization Holder should file the surrender letter in ICFS as a “Letter” under “Pleadings and Comments.”
Information in the Surrender Letter. In the surrender letter, it is customary for the Authorization Holder to provide:
The Authorization File Number(s) that the Authorization Holder is surrendering;
Information as to whether the Authorization Holder has existing customers;
An explanation as to what is happening and/or will happen to the customers.
For example, whether the carrier has filed a notification of discontinuance pursuant to Section 63.19 of the Commission’s rules, or whether the carrier has other International Section 214 Authorizations that it will use to continue providing service to its customers.
An Authorization Holder that does not file a surrender letter before the filing deadline must respond to the One-Time Information Collection, even if the Authorization Holder no longer needs or uses its International Section 214 Authorization.
Each Authorization Holder must complete and submit the form online at [[add hyperlink]].
Each Authorization Holder must log into the online filing system with its username and password for the FCC User Registration System (see page 11 below).
All Authorization Holders must have an FRN to file their responses to the One-Time Information Collection.
An FRN is the 10-digit number assigned to all individuals and entities that transact business with the Commission. An FRN must be provided any time an Authorization Holder submits an application in ICFS.
Authorization Holder Does Not Have an FRN. If an Authorization Holder does not have an FRN, the Authorization Holder must obtain an FRN through the Commission Registration System (CORES) webpage at https://apps.fcc.gov/cores/userLogin.do.
An entity that holds an International Section 214 Authorization should identify itself as an “Entity” in CORES.
For additional assistance, submit a help request at https://www.fcc.gov/wireless/available-support-services or call the FRN Help Desk at (877) 480-3201 (Monday-Friday, 8 a.m.-6 p.m. ET).
After obtaining its FRN, the Authorization Holder should complete the following steps:
The Authorization Holder must send an email to [email protected] to request that FCC staff add the FRN to its current Authorization File Number(s) in ICFS.
The Authorization Holder will need to provide its FRN, current Authorization File Number(s), and telephone number in the email to FCC staff.
Once FCC staff update the information in ICFS, FCC staff will inform the Authorization Holder by email that it can complete the One-Time Information Collection.
The Authorization Holder can also check whether its FRN is associated with its current Authorization File Number(s) in ICFS at: https://www.fcc.gov/icfs.
If the Authorization Holder has further questions, it can send an email to [email protected].
FRN is Associated with Current Authorization File Number(s). If an Authorization Holder has an FRN associated with a current Authorization File Number(s) in ICFS, the Authorization Holder must submit a response to the One-Time Information Collection using that specific FRN.
The Authorization Holder should not obtain a new FRN.
An Authorization Holder can determine the FRN associated with its current Authorization File Number(s) by accessing records associated with the Authorization File Number(s) in ICFS at: https://www.fcc.gov/icfs.
FRN is Not Associated with Current Authorization File Number(s). If an Authorization Holder has an FRN, but the FRN is not associated with a current Authorization File Number(s) in ICFS, the Authorization Holder must contact FCC staff to add the FRN to its current Authorization File Number(s) in ICFS. Below, are the steps:
The Authorization Holder must send an email to [email protected] to request that FCC staff add the FRN to its current Authorization File Number(s) in ICFS.
The Authorization Holder will need to provide its FRN, current Authorization File Number(s), and telephone number in the email to FCC staff.
Once FCC staff update the information in ICFS, FCC staff will inform the Authorization Holder by email that it can complete the One-Time Information Collection.
The Authorization Holder can also check whether its FRN is associated with its current Authorization File Number(s) in ICFS at: https://www.fcc.gov/icfs.
If the Authorization Holder has further questions, it can send an email to [email protected].
All responses, including any personally identifiable information (PII) provided, will be made publicly available in IB Docket No. 23-119 and associated with the Authorization Holder’s International Section 214 Authorization(s) in ICFS, except to the extent that any material or information is afforded confidential treatment. For more information about the Commission’s uses and disclosures of such information, see https://www.fcc.gov/sites/default/files/sor-fcc-ib-1.pdf.
The Commission is currently considering in a Notice of Proposed Rulemaking in IB Docket No. 23-119 whether to cancel the authorizations of carriers that fail to timely respond to the One-Time Information Collection and to impose forfeitures or other measures where a carrier fails to respond in a timely or complete manner.
Willful false statements on this form are punishable by fine and/or imprisonment (U.S. Code, Title 18, Section 1001), and/or revocation of any station license or construction permit (U.S. Code, Title 47, Section 312(a)(1)), and/or forfeiture (U.S. Code, Title 47, Section 503).
Authorization Holders should prepare for the form and review the technical information below before answering the questions in the One-Time Information Collection.
The Authorization Holder should:
Ensure it knows its FRN(s) and current International Section 214 Authorization File Number(s) associated with each FRN.
To determine its FRN, the Authorization Holder should visit the Commission Registration System (CORES) webpage at https://apps.fcc.gov/cores/userLogin.do, and search for the Authorization Holder’s FRN using other identifying information specified in the CORES search functions.
Review the Commission’s Order and Notice of Proposed Rulemaking (FCC 23-28) and the Office of International Affairs’ Order (DA 23-745) and Public Notice (DA 23-746) addressing an Exemption (as discussed below).
Review these Instructions and the FAQs.
The FAQs are available at [[add link]].
Review and understand the technical information, as discussed below.
Compile all of the information required by the One-Time Information Collection before starting the form.
Have all of the information required by the collection in front of it before starting the form.
The Authorization Holder should review and understand the following technical information before starting the One-Time Information Collection.
The Filer is Unable to Go Back to Previously Answered Questions. The filer cannot go back and review earlier responses after moving to the next question.
The System Will Provide A Copy of the Filer’s Answers to the Questions Only After the Filer Submits the Completed Form. A PDF document with the Authorization Holder’s answers will be available only after the filer completes and submits the survey.
Carefully Review Answers Before Continuing to the Next Question. Because an officer of the Authorization Holder must certify to the truth and accuracy of its responses at the end of the form, we encourage the filer to carefully review the answer to each question before moving to the next question.
Copies of Questions and Responses. The Authorization Holder may save a copy of each response before continuing to the next question.
For example, the Authorization Holder may print a copy of each response or take a screen shot of each answer before moving to the next question.
Timing Out After One Hour of Inactivity. The One-Time Information Collection will time out after one hour of inactivity. If this occurs, an email containing a link will be sent to the Authorization Holder that will allow it to complete the One-Time Information Collection.
An email containing the link will be sent to the email address that the Authorization Holder used to log into the online system.
If the email address of the Authorization Holder’s Certifying Official was entered in response to Question 3.b. beforehand, an email containing the link will also be sent to the Certifying Official’s email address.
Do Not Use the Back Button on the Browser. If the Authorization Holder clicks on the “Back” button of the browser or directly opens an embedded link, the Authorization Holder will be directed out of the form, and automatically will time out of the system after one hour of inactivity. The Authorization Holder will need to either:
Use the link that will be provided in an email to complete the One-Time Information Collection (see “Timing Out After One Hour of Inactivity”), or
Use the link provided on the One-Time Information Collection webpage to log into the system and respond to each question again starting at the beginning of the form.
How to Open Embedded Links. To open embedded links in any part of the form, “right click” on a link and select “Open Link in New Tab.” If the Authorization Holder instead directly clicks on and opens an embedded link, the Authorization Holder will be directed out of the form, and automatically will time out of the system after one hour of inactivity. The Authorization Holder will need to either:
Use the link that will be provided in an email to complete the One-Time Information Collection (see “Timing Out After One Hour of Inactivity”), or
Use the link provided on the One-Time Information Collection webpage to log into the system and respond to each question again starting at the beginning of the form.
The Authorization Holder should enable cookies on its browser to save its progress. To save its progress if the Authorization Holder needs to exit the One-Time Information Collection before submitting its responses, the Authorization Holder should ensure that cookies are enabled on its browser before beginning the One-Time Information Collection.
An Authorization Holder’s progress will not be saved if, for example:
Cookies are disabled and the Authorization Holder exits the One-Time Information Collection before submitting its responses, or
The Authorization Holder exits the One-Time Information Collection before submitting its responses and then clears cookies in its browser.
If an Authorization Holder has multiple FRNs, the Authorization Holder must file separate responses to the One-Time Information Collection for each FRN and the Authorization File Number(s) associated with that FRN.
The Authorization Holder must use the link to the online form that is provided on the One-Time Information Collection webpage [[insert hyperlink to FCC’s webpage]] to file a separate response for each FRN.
The link to the online form is: [[add link]]
To start a new form for an FRN(s) with a different FCC Username Account(s), the Authorization Holder must:
Clear the browsing data and cookies in its web browser each time before it clicks on the link on the One-Time Information Collection webpage. By doing this, the Authorization Holder will be back at the log-in page.
The Authorization Holder can then enter its username/email address to start a new form with a different email address and for a different FRN.
The Authorization Holder should follow these instructions for each respective FRN.
If the Authorization Holder is not able to get back to the log-in page, email the FCC’s Office of International Affairs, Telecommunications & Analysis Division with your telephone number at [email protected]. A staff member will call you to troubleshoot any issues.
Because an officer of the Authorization Holder must certify to the truth and accuracy of its responses at the end of the form, we encourage the Authorization Holder to carefully review its answer to each question before moving to the next question. Below are the steps if an Authorization Holder needs to correct an error on any question before it certifies and submits its responses to the One-Time Information Collection:
The Authorization Holder should send an email to [email protected] and request a new link to retake the One-Time Information Collection (retake link).
The Authorization Holder will need to provide its FRN in the email.
Once FCC staff close the Authorization Holder’s One-Time Information Collection session associated with the FRN, the Authorization Holder will receive an automated email that contains a retake link that the Authorization should use to complete the One-Time Information Collection.
The Authorization Holder will have the ability to view and modify its current responses through the retake link.
An email containing the retake link will be sent to the email address that the Authorization Holder used to log into the online system.
If the email address of the Authorization Holder’s Certifying Official was entered in response to Question 3.b., an email containing the retake link will also be sent to the Certifying Official’s email address.
The Commission will consider only a filer’s most recent submission of the One-Time Information Collection before the deadline.
If the Authorization Holder needs to correct its response to the One-Time Information Collection after submission, the Authorization Holder can submit new responses before the deadline on x by 11:59 pm Eastern Time (ET).
If the Authorization Holder needs to correct its response after submission, IT MUST use the link:
On the confirmation webpage at the end of the One-Time Information Collection or
In the email from the most recent submission.
An email containing the retake link will be sent to:
(1) the email address that the Authorization Holder used to log into the online system, and
(2) the email address of the Authorization Holder’s Certifying Official.
The email will include a PDF copy of the answers that the Authorization Holder submitted in response to the questions in the One-Time Information Collection.
An Authorization Holder may find it helpful to retain the PDF copy of the responses if the Authorization Holder needs to correct its previous responses to the One-Time Information Collection.
An officer of the Authorization Holder must certify to the truth and accuracy of all information in the corrected submission provided in response to the One-Time Information Collection.
Such corrected submission will replace the Authorization Holder’s previous erroneous submission.
The Commission will consider only a filer’s most recent submission of the One-Time Information Collection before the deadline.
IMPORTANT NOTE: After submitting the form, if the Authorization Holder needs to correct its response, it must use the retake link provided in the email from the most recent submission. It should not use the original link provided on the One-Time Information Collection webpage, which would generate a new response.
One-Time Information Collection. For questions about the One-Time Information Collection, email the FCC’s Office of International Affairs, Telecommunications & Analysis Division at [email protected].
FCC Registration Numbers (FRNs). For questions relating to FRNs, submit a help request at https://www.fcc.gov/wireless/available-support-services or call the FRN Help Desk at (877) 480-3201 (Monday-Friday, 8 a.m.-6 p.m. Eastern time (ET)). Additional information regarding FRNs can be found on the Commission Registration System (CORES) webpage at https://apps.fcc.gov/cores/userLogin.do.
ICFS. Additional information regarding ICFS can be found on the ICFS homepage at https://www.fcc.gov/icfs. For questions relating to ICFS, email [email protected] or call ICFS Help Line at (202) 418-2222 (Monday-Friday, 8:30 a.m.-4:30 p.m. ET).
Requesting a Retake Link to Correct Errors Prior to Submission. If an Authorization Holder needs to correct an error on any question before it certifies and submits its responses to the One-Time Information Collection, the Authorization Holder can send an email to [email protected] to request a new link to retake the One-Time Information Collection.
Frequently Asked Questions (FAQs) are available at the following link: [[add link]]
IMPORTANT INFORMATION PRIOR TO STARTING THE FORM
We encourage all filers to read the instructions fully, including the Important Technical Information at pages 9-11 and how to correct responses prior to and after a submission at pages 11-12.
The Authorization Holder cannot go back and review its earlier responses after it moves to the next question.
Because an officer of the Authorization Holder must certify to the truth and accuracy of its responses at the end of the form, we encourage the Authorization Holder to carefully review its answer to each question BEFORE moving to the next question. It may save a copy of each response before continuing to the next question. For example, it may:
Print a copy of each answer,
Save each answer as a PDF, or
Take a screen shot of each answer before moving to the next question.
To correct an error PRIOR to submission, the Authorization Holder should send an email to [email protected] and request a retake link, or wait for the form to time out after one hour to automatically receive a retake link via email.
To correct an error AFTER submission, the Authorization Holder must use either the link:
On the confirmation webpage at the end of the One-Time Information Collection or
In the email from the most recent submission.
The Commission will consider only a filer’s most recent submission of the One-Time Information Collection before the deadline.
IMPORTANT NOTE: After submitting the form, if the Authorization Holder needs to correct its response, it must use the retake link provided in the email from the most recent submission. It should not use the original link provided on the One-Time Information Collection webpage, which would generate a new response.
Enter the 10-digit FCC Registration Number (FRN) of the Authorization Holder. The Authorization Holder must enter the FRN associated with the username that it used to log into the online system for the One-Time Information Collection.
See pages 7-8 for further requirements regarding FRNs.
Include all leading zeros when entering the FRN.
For example, enter: 0012345678
Question 1.a will populate the following information associated with the FRN in CORES. The Authorization Holder must review this information for accuracy.
Registration Date
Last Updated
Entity/Registrant Name
Entity/Registrant Type
If the Entity Name or Entity Type (or Registrant Name or Registrant Type) is incorrect or blank, the Authorization Holder must correct the information by following these steps:
Close the online filing system for the One-Time Information Collection;
Log into CORES and update the information; and
Restart the One-Time Information Collection by clicking on the link provided on the One-Time Information Collection webpage and logging back into the online filing system.
After these steps have been taken, the updates that the Authorization Holder implemented in CORES should be populated in Question 1.a.
Inaccurate CORES Information. If the Entity Name or Entity Type (or Registrant Name or Registrant Type) is incorrect or blank, the Authorization Holder must log into CORES and update the information before continuing the One-Time Information Collection. The Authorization Holder may submit a help request at https://www.fcc.gov/wireless/available-support-services or call the FRN Help Desk at (877) 480-3201 (Monday-Friday, 8 a.m.-6 p.m. Eastern time (ET)). Additional information regarding FRNs can be found on the Commission Registration System (CORES) webpage at https://apps.fcc.gov/cores/userLogin.do.
Enter all of the Authorization Holder’s current International Section 214 Authorization File Numbers associated with this FRN. If an Authorization Holder has more than one FRN associated with its current International Section 214 Authorization File Number(s), it will need to file separate responses to the One-Time Information Collection for each FRN and the current Authorization File Number(s) associated with that FRN.
The Authorization Holder must only report all of the current Authorization File Numbers associated with the FRN identified in response to Question 1.
See pages 7-8 for further requirements regarding FRNs.
The Authorization Holder may enter up to a maximum of 49 Authorization File Numbers in this question.
Leave blank any fields that are not applicable.
Do not use dashes or spaces when entering the Authorization File Numbers.
For example, enter: ITC2142023073100001 or ITCMOD2023073100001
More Than 49 Authorization File Numbers: If the Authorization Holder has more than 49 current Authorization File Numbers associated with the FRN, the Authorization Holder must identify all of the remaining Authorization File Numbers in a text box provided in Question 2.b.
Error Message: Entering an Authorization File Number that is not associated with the Authorization Holder’s FRN will result in an error message and prevent the Authorization Holder from advancing to the next question. If the Authorization Holder receives an error message, the Authorization Holder must use the link provided in the error message and restart the One-Time Information Collection from the beginning of the form.
Additional Assistance: If the Authorization Holder does not know the Authorization File Number(s) associated with its FRN, the Authorization Holder should visit the ICFS homepage at https://fcc.gov/icfs. For questions relating to ICFS, email [email protected] or call ICFS Help Line at (202) 418-2222 (Monday-Friday, 8:30 a.m.-4:30 p.m. ET).
Respond with “Yes” or “No” as to whether the Authorization Holder has any additional Authorization File Numbers associated with this FRN.
Enter all of the remaining Authorization File Numbers associated with this FRN.
If the Authorization Holder has more than 49 current Authorization File Numbers associated with the FRN, the Authorization Holder must identify all of the remaining Authorization File Numbers in a text box provided in Question 2.b.
Do not use dashes or spaces when entering the Authorization File Numbers.
Separate the Authorization File Numbers with commas, and do not add a space after each comma.
For example, enter: ITC2142023073100001,ITCMOD2023073100001
Enter the Authorization Holder’s Contact Information. The contact person should be an officer of the Authorization Holder who will also certify to the truth and accuracy of the information in the form.
Enter the requested information for the Authorization Holder’s Certifying Official who should receive any follow-up questions about the information submitted in the filing.
Enter the Certifying Official’s first name, last name, company or organization, position/title, address, city, U.S. state/territory (two letter abbreviation or “OU” for an international address), and zip code/postal code. For an international address, enter the international state/province.
Select the country associated with the Certifying Official’s address.
Enter the Certifying Official’s telephone number, telephone country code (if outside of the United States) (optional), email address, fax number (optional), and fax country code (if outside of the United States) (optional).
Respond with “Yes” or “No” as to whether or not the Authorization Holder’s International Section 214 Authorization(s) is subject to a mitigation agreement (e.g., national security agreement, letter of agreement/assurance) entered into by the Authorization Holder with the Executive Branch agencies.
Enter all of the ICFS File Numbers that contain a copy of the mitigation agreement.
The Authorization Holder may enter up to a maximum of 15 File Numbers in this question.
Do not use dashes or spaces when entering the File Number.
For example, enter:
ITC2142023073100001
ITCMOD2023073100001
ITCT/C2023073100001
ITCASG2023073100001
ITCAMD2023073100001
Leave blank any fields that are not applicable.
If the Authorization Holder’s International Section 214 Authorization(s) is subject to a mitigation agreement in an ISP-PDR File Number(s) in ICFS (in addition to or instead of an ITC File Number), the Authorization Holder must identify the ISP-PDR file number(s).
Respond with “Yes” or “No” as to whether the Authorization Holder has any additional File Numbers that are subject to the mitigation agreement.
Enter all of the remaining File Numbers that are subject to the mitigation agreement.
If the Authorization Holder has more than 15 File Numbers that are subject to the mitigation agreement, the Authorization Holder must enter all of the remaining File Numbers in a text box provided in Question 5.b.
Do not use dashes or spaces when entering the File Numbers.
Separate the File Numbers with commas, and do not add a space after each comma.
For example, enter: ITC2142023073100001,ITCMOD2023073100001,ITCT/C2023073100001,ITCASG2023073100001,ITCAMD2023073100001
Authorization Holder Qualifies for an Exemption
If the Authorization Holder qualifies for the Exemption from completing Questions 9-14 of the form, answer "yes" to Question 6 and then answer Questions 7-8, and Questions 15-16. For further information, refer to the FCC, Office of International Affairs’ Order with respect to the Exemption requirements (DA 23-745).
Authorization Holder Does Not Qualify for an Exemption
If the Authorization Holder DOES NOT qualify for the Exemption, it must answer “no” in Question 6, and then answer Question 9 concerning Reportable Foreign Ownership, and Questions 9.a-16.
The FCC has allowed an exemption from completing the latter portion (Questions 9-14) of this form if certain requirements are met. Respond with “Yes” or “No” as to whether the Authorization Holder qualifies for the Exemption from completing Questions 9-14 of this form.
To qualify for the Exemption:
(1) The Authorization Holder must have filed an application for an initial International Section 214 Authorization, modification, or substantial (not a pro forma filing) assignment or transfer of control of the authorization that was reviewed by the Executive Branch agencies and was granted by the Commission on or after XXXX xx, 2020 [[add date 3 years before the date of the filing deadline]]; and
(2) There are no reportable Foreign Interest Holders of the Authorization Holder other than those disclosed in the application (including any amendment), and there are no changes to the reportable Foreign Interest Holders disclosed in the application (including any amendment) as of XXXX xx, 2023 [[add date thirty (30) days prior to the date of the filing deadline for this One-Time Information Collection]].
Type of Application(s). The type of applications that fulfill the Exemption are applications for:
An initial International Section 214 Authorization;
Modification of the Authorization;
Substantial Assignment of the Authorization;
Substantial Transfer of Control of the Authorization
NOTE: Pro forma assignment and transfer of control notifications do not fulfill the requirements for the Exemption. Section 63.24 of the Commission’s rules provides information with regard to substantial transactions and pro forma transactions.
Three Year Timeframe. The application was reviewed by the Executive Branch agencies and was granted by the Commission on or after XXXX xx, 2020 [[add the date 3 years before the date of the filing deadline]].
No New Reportable Foreign Interest Holders or Other Changes. For purposes of this One-Time Information Collection, a “reportable Foreign Interest Holder” is a foreign individual(s) and/or entity(ies) (including a government organization) that directly and/or indirectly holds 10% or greater equity and/or voting interests, or a controlling interest, in an Authorization Holder (Reportable Foreign Ownership).
To qualify for the Exemption, there must not be reportable Foreign Interest Holders other than those disclosed in the application (including any amendment).
No change in the reported citizenship(s), including dual or multiple citizenships, and/or place(s) of organization of any reportable Foreign Interest Holder;
No removal of any reportable Foreign Interest Holder from an Authorization Holder’s chain of ownership; and
No change in a reportable Foreign Interest Holder’s ownership interests to less than 10% equity and/or voting interests or less than a controlling interest.
Identify the File Number of the application that fulfills all of the requirements for the Exemption. If more than one application fulfills all of these requirements, provide the most recent File Number.
If the Authorization Holder qualifies for the Exemption, the Authorization Holder must enter the ICFS File Number of the application that fulfills all of the requirements for the Exemption.
Do not use dashes or spaces when entering the File Number.
For example, enter: ITC2142023073100001, ITCMOD2023073100001, ITCT/C2023073100001, or ITCASG2023073100001
Aggregate and identify all of the citizenship(s) or place(s) of organization for every foreign individual and/or entity (including a government organization) that directly and/or indirectly holds 10% or greater equity and/or voting interests, or a controlling interest, in the Authorization Holder (Reportable Foreign Ownership).
If the Authorization Holder qualifies for the Exemption, the Authorization Holder must identify the citizenship(s) or place(s) of organization for each of its reportable Foreign Interest Holders.
The Authorization Holder must select all such countries of citizenships and/or places of organization from the list presented in Question 8. If there is more than one individual/entity that has a citizenship or place of organization from a given country, the country only needs to be selected once.
Each Authorization Holder is required to identify Reportable Foreign Ownership where any interest holder (including a government organization) has a place of organization in or is a citizen of a country that meets the Department of Commerce’s definition of a “foreign adversary.” (FCC 23-28)
Foreign Adversary. A “foreign adversary” is defined in the Department of Commerce’s rule, 15 CFR § 7.4. These are: (1) The People’s Republic of China, including the Hong Kong Special Administrative Region (China), (2) Republic of Cuba (Cuba), (3) Islamic Republic of Iran (Iran), (4) Democratic People's Republic of Korea (North Korea), (5) Russian Federation (Russia), and (6) Venezuelan politician Nicolás Maduro (Maduro Regime).
To identify Reportable Foreign Ownership that meets the Department of Commerce’s definition of “Venezuelan politician Nicolás Maduro (Maduro Regime),” an Authorization Holder can select “Maduro Regime” as a separate, additional response to “Country of Citizenship or Place of Organization.”
Non-Foreign Adversary. An Authorization Holder must also identify Reportable Foreign Ownership from non-“foreign adversary” countries.
QUESTION 9
Respond with “Yes” or “No” as to whether the Authorization Holder has any 10% or greater direct or indirect Foreign Interest Holders that hold such equity and/or voting interests or any controlling interest (Reportable Foreign Ownership) as of [[x]] (i.e., thirty (30) days prior to the filing deadline for this One-Time Information Collection).
See 47 CFR § 63.18(h); Order at para. 18 & n.73; Process Reform for Executive Branch Review of Certain FCC Applications and Petitions Involving Foreign Ownership, IB Docket No. 16-155, Report and Order, 35 FCC Rcd 10927, 10985, Appx. B, para. 11 (2020); Process Reform for Executive Branch Review of Certain FCC Applications and Petitions Involving Foreign Ownership, IB Docket No. 16-155, Erratum, 35 FCC Rcd 13164, 13173, para. 11 (2020).
All Authorization Holders that do not qualify for the Exemption must respond to Question 9.
If the Authorization Holder responds “No” in Question 9, the Authorization Holder must then complete Questions 14-16.
Select the number of Foreign Interest Holders that directly and/or indirectly hold 10% or greater equity and/or voting interests, or a controlling interest, in the Authorization Holder.
IMPORTANT NOTE: Questions 10-11 can collect only up to 41 reportable Foreign Interest Holders. If the Authorization Holder has 42 or more reportable Foreign Interest Holders, the Authorization Holder must provide the information about all of its remaining Foreign Interest Holders in response to Question 13.
If the Authorization Holder has one or more foreign individual(s) and/or entity(ies) (including a government organization) that directly and/or indirectly hold a Reportable Foreign Ownership interest, the Authorization Holder must complete Questions 10-11 for each reportable Foreign Interest Holder.
Questions 10 and 11 will repeat for the number of Foreign Interest Holders that are specified in the response to Question 9.a.
For example, if Company A has two reportable Foreign Interest Holders (i.e., “Foreign Interest Holder 1” and “Foreign Interest Holder 2”), the Authorization Holder would select “2” in response to Question 9.a.
Based on Company A’s response, Questions 10 and 11 would automatically repeat two times. The Authorization Holder should enter the required information for Foreign Interest Holder 1 in Questions 10 and 11, and then enter the required information for Foreign Interest Holder 2 when Questions 10 and 11 are displayed again.
The top of the webpage for both Questions 10 and 11 would state:
“Foreign Interest Holder 1 of 2” and
“Foreign Interest Holder 2 of 2.”
If the Authorization Holder has 42 or more reportable Foreign Interest Holders, it must provide the information about all of its remaining Foreign Interest Holders in response to Question 13.
In Question 12, the Authorization Holder must affirm it has 42 or more reportable Foreign Interest Holders.
In Question 13, the Authorization Holder must download the .csv attachment available at the link provided in Question 13 or at the enclosed link [[add hyperlink]], respond to all of the questions in the .csv attachment (based on Questions 10 and 11) for each of the remaining Foreign Interest Holders, and upload the completed attachment in response to this question in the online filing system for the One-Time Information Collection.
Identify each foreign individual and/or entity (including a government organization) that directly and/or indirectly holds 10% or greater equity and/or voting interests, or a controlling interest, in the Authorization Holder (Reportable Foreign Ownership) as of [[x]] (i.e., thirty (30) days prior to the filing deadline).
Enter the Legal Name of Foreign Interest Holder, Percentage of Equity Interests Held (to the nearest one percent), Percentage of Voting Interests Held (to the nearest one percent), and Description of Controlling Interests (if applicable, or enter “None”).
The Authorization Holder must complete each field.
If the Foreign Interest Holder holds no equity or voting interest, the Authorization Holder should enter “0” for “Percentage of Equity Interests Held (to the nearest one percent)” or “Percentage of Voting Interests Held (to the nearest one percent).”
If the Foreign Interest Holder does not hold a controlling interest, the Authorization Holder should enter “None” for “Description of Controlling Interests.”
Each Authorization Holder is required to identify Reportable Foreign Ownership where any interest holder (including a government organization) has a place of organization in (for entities) or is a citizen of (for individuals) a country that meets the Department of Commerce’s definition of a “foreign adversary.” (FCC 23-28)
Foreign Adversary. A “foreign adversary” is defined in the Department of Commerce’s rule, 15 CFR § 7.4. These are: (1) The People’s Republic of China, including the Hong Kong Special Administrative Region (China), (2) Republic of Cuba (Cuba), (3) Islamic Republic of Iran (Iran), (4) Democratic People's Republic of Korea (North Korea), (5) Russian Federation (Russia), and (6) Venezuelan politician Nicolás Maduro (Maduro Regime).
To identify Reportable Foreign Ownership that meets the Department of Commerce’s definition of “Venezuelan politician Nicolás Maduro (Maduro Regime),” an Authorization Holder can select “Maduro Regime” as a separate, additional response to “Country of Citizenship or Place of Organization” in Question 11.
Non-Foreign Adversary. An Authorization Holder must also identify Reportable Foreign Ownership from non-“foreign adversary” countries.
Identify all of the Countries of Citizenship or Places of Organization of the Foreign Interest Holder, including the United States.
For each reportable Foreign Interest Holder, the Authorization Holder must select all of the countries of citizenship and/or places of organization of the Foreign Interest Holder from the list presented in Question 11.
Dual or More Citizenships. The Authorization Holder must disclose whether any interest holder has dual or more citizenships and identify all countries where citizenship is held. This requirement applies to United States citizens who hold dual citizenship or multiple citizenships and foreign persons who are citizens of two or more countries. If the interest holder does not hold citizenship or place of organization in the United States or U.S. territories, the Authorization Holder must also select “No Citizenship or Place of Organization in the United States or its Territories.”
To identify Reportable Foreign Ownership that meets the Department of Commerce’s definition of “Venezuelan politician Nicolás Maduro (Maduro Regime),” an Authorization Holder can select “Maduro Regime” as a separate, additional response to “Country of Citizenship or Place of Organization.”
If an Authorization Holder selected “42 or more” in response to Question 9.a, the Authorization Holder will need to respond to Questions 10 and 11 a total of 41 times, and then will be directed to Question 12. The Authorization Holder must select “Continue” to confirm that the Authorization Holder has 42 or more Foreign Interest Holders that directly and/or indirectly hold 10% or greater equity and/or voting interests, or a controlling interest, in the Authorization Holder.
If the Authorization Holder has 42 or more reportable Foreign Interest Holders, the Authorization Holder must provide the information about all of its remaining Foreign Interest Holders in response to Question 13.
Identify all of the remaining foreign individual(s) and/or entity(ies) (including a government organization) that directly and/or indirectly hold 10% or greater equity and/or voting interests, or a controlling interest, in the Authorization Holder (Reportable Foreign Ownership) as of [[x]] (i.e., thirty (30) days prior to the filing deadline), beyond the 41 Foreign Interest Holders identified by the Authorization Holder in its response to Questions 10-11.
If an Authorization Holder has 42 or more reportable Foreign Interest Holders, the Authorization Holder must provide the information required in Questions 10 and 11 for all of the remaining Foreign Interest Holders by utilizing the .csv attachment available at a link provided in Question 13 or at the enclosed link [[insert link]].
The Authorization Holder must download the .csv attachment available at a link provided in Question 13 or from the above link, respond to all of the questions in the .csv attachment (based on Questions 10 and 11) for each of the remaining Foreign Interest Holders, and upload the completed attachment in response to this question in the online filing system for the One-Time Information Collection.
If applicable, the Authorization Holder must certify that it does not have 10% or greater direct or indirect Foreign Interest Holders that hold such equity and/or voting interests or any controlling interest (Reportable Foreign Ownership) in the Authorization Holder as of [[x]] (i.e., thirty (30) days prior to the filing deadline).
An Authorization Holder that has no Reportable Foreign Ownership must certify to the truth and accuracy of this information.
An officer of the Authorization Holder must certify to the truth and accuracy of all information provided in response to the One-Time Information Collection.
An officer of the Authorization Holder is, for example, a corporate officer, managing partner, or sole proprietor.
Type the Certifying Official’s full name in the box.
For purposes of this filing, the entry of the official’s name shall constitute that official’s electronic signature to this certification.
The signature certifies that he/she has examined the filing and that, to the best of his/her knowledge, information and belief, all statements of fact contained in the filing are true and correct.
Persons making willful false statements can be punished by fine or imprisonment under the Communications Act. 47 U.S.C. § 220(e).
Confirmation Webpage and Email. After submission, the Authorization Holder will view a confirmation webpage and will receive two automated emails that contain a PDF copy of its responses to the One-Time Information Collection. An automated email will be sent to:
The email address of the Authorization Holder used to log into the online system, and
The email address of the Authorization Holder’s Certifying Official.
Retake the One-Time Information Collection. If the Authorization Holder needs to correct its response to the One-Time Information Collection after submission, the Authorization Holder can submit a new response before the deadline on x by 11:59 pm Eastern Time (ET).
The Authorization Holder should review page 12 for complete instructions on correcting a submission.
If the Authorization Holder needs to correct its response, IT MUST use either the link:
On the confirmation webpage at the end of the One-Time Information Collection or
In the email from the most recent submission.
The Commission will consider only a filer’s most recent submission of the One-Time Information Collection before the deadline.
IMPORTANT NOTE: After submitting the form, if the Authorization Holder needs to correct its response, it must use the retake link provided in the email from the most recent submission. It should not use the original link provided on the One-Time Information Collection webpage, which would generate a new response.
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| File Modified | 0000-00-00 |
| File Created | 2023-12-12 |
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