DRAFT – March 2024
FCC [[#]] ITC-FCN |
FEDERAL COMMUNICATIONS COMMISSION
Instructions for Notification of Foreign Carrier Affiliation of a U.S. International Carrier as Required by Section 63.111 of the Commission’s Rules
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Not Yet Approved by OMB 3060-0686
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GENERAL INSTRUCTIONS
Purpose of Form
This form is used by an international section 214 authorization holder (Authorized Carrier or U.S. Carrier) to notify the Commission that is has become or seeks to become affiliated with a foreign carrier authorized to operate in a foreign destination market to which the U.S. carrier provides service. See 47 CFR § 63.11.
Who Must File This Form and When
An Authorized Carrier must file this form to notify the Commission that it is or seeks to become affiliated with a foreign carrier that is authorized to operate in a foreign destination market to which the U.S. Carrier provides service using this form. The notification must be filed at least forty-five (45) days prior to the start of the affiliation except in certain circumstances based on whether the foreign carrier has market power in the destination market, in which case the form needs to be filed within thirty (30) days after the affiliation begins.
Affiliations Requiring Prior Notification: An Authorized Carrier is required to notify the Commission forty-five (45) days before consummation of either of the following types of transactions:
Acquisition by the Authorized Carrier, or by any entity that controls the Authorized Carrier, or by any entity that directly or indirectly owns more than 25% of the capital stock of the Authorized Carrier, of a controlling interest in a foreign carrier that is authorized to operate in a market that the U.S. carrier is authorized to serve; OR
Acquisition of a direct or indirect interest greater than 25%, or a controlling interest, in the capital stock of the U.S. carrier by a foreign carrier that is authorized to operate in a market to which the U.S. carrier is authorized to serve, or by an entity that controls such a foreign carrier. See 47 CFR § 63.11(a)(1), (2).
Exceptions to requirement of prior notification. An Authorized Carrier is not required to file a notification prior to consummation if there is
A prior determination by the Commission that a foreign carrier lacks market power in the destination market (for example in an international section 214 application or a declaratory ruling proceeding); or
A declaration that the foreign carrier owns no facilities in that destination market (a carrier is said to own facilities if it holds an ownership, indefeasible-right-of-user, or leasehold interest in a cable landing station or in bare capacity in international or domestic telecommunications facilities (excluding switches). 47 CFR §63.11(b)(1).
If an Authorized Carrier cannot meet either of those requirements, then prior notification is not required if the Authorized Carrier certifies that the destination market where the foreign carrier is authorized to operate is a World Trade Organization (WTO) member and the Authorized Carrier is able to demonstrate that it is entitled to retain non-dominant classification on the newly affiliated route pursuant to 47 CFR § 63.10 or the authorized carrier agrees to comply with the dominant carrier safeguards in 47 CFR § 63.10 upon acquisition of the affiliation.
An Authorized Carrier that becomes affiliated with a foreign carrier and has not previously notified the Commission as required in section 63.11(c), 47 CFR § 63.11(c). Examples would include acquisition by the Authorized Carrier of a 25% or greater direct or indirect interest in a foreign carrier, but not a controlling interest. See 47 CFR § 63.11(c) for additional examples.
Description of Form
This form consists of a main form and the ability to file any attachment to support the request. The Authorization Carrier is encouraged to upload a single document in machine readable format, including all required information. The Authorized Carrier must fill in all required fields, upload required documents, make all required certifications, and sign the form before submitting the application.
Information Current and Complete
Information filed in the application with the Commission must be kept current and complete under section 1.65 of the Commission’s rules. Section 63.50 of the Commission’s rules, 47 C.F.R § 63.50, permits the Applicant or the party to the application as a matter of right to amend any application prior to the date of any final action taken by the Commission. Pursuant to section 63.50, Applicant(s) must notify the Commission regarding any substantial and significant changes in the information furnished in the application while it remains pending. An amendment to a pending international section 214 application is filed using the ITC-AMD form [add link].
Applicable Rules and Regulations
The notification requirements for Authorized Carrier seeking to become affiliated with a foreign carrier can be found in 47 CFR § 63.11.
“[A] carrier [who] is authorized by the Commission (“Authorized Carrier”) to provide service between the United States and a particular foreign destination market and it becomes, or seeks to become, affiliated with a foreign carrier that is authorized to operate in that market, then its authorization to provide that international service is conditioned upon notifying the Commission of that affiliation.” 47 CFR § 63.11.
Applicant(s) should refer to the Debt Collection Improvement Act of 1996. The Debt Collection Act requires all federal agencies ensure that no debtors to the Federal government obtain any licenses or other benefits from the FCC. To ensure this, the Commission must collect FRN information to correlate its Applicants with any outstanding Federal debt that they might have incurred in other dealings with the Federal government. For additional information, see the FCC’s Debt Collection webpage.
Other International Section 214 (ITC) Forms
ITC-214 Form.
This form is used to request authority under section 214 to provide international services.
ITC-AMD Form.
This form is used to amend a pending application related to an international section 214 authorization.
ITC-ASG/TC Form.
This form is used for an assignment of an international section 214 authorization or the transfer of control of an authorization holder. The form is used for both substantive and pro forma transactions.
ITC-MOD Form.
This form is used to modify an existing international section 214 authorization, for example to add or remove a condition on an existing authorization.
ITC-RPT Form.
This form is used to file the reports required for an Authorized Carrier classified as dominant for the provision of particular services on particular routes due to an affiliation with a foreign carrier with market power in a destination country in accordance with section 63.10(c) of the Commission’s rules.
ITC-STA Form.
This form is used to request Special Temporary Authority related to an international section 214 authorization, such as to provide service prior to grant of the authorization or related to an unauthorized transaction related to the authorization.
ITC-WAV Form.
This form is used to request a waiver of the Commission rules related to an international section 214 authorization.
FCC Notice Required By The Paperwork Reduction Act
We have estimated that each response to this collection of information will take 7-8 hours. Our estimate includes the time to read the instructions, look through existing records, gather and maintain the required data, and actually complete and review the form or response. If you have any comments on this burden estimate, or on how we can improve the collection and reduce the burden it causes you, please e-mail them to [email protected] or send them to the Federal Communications Commission, AMDPERM,
Paperwork Reduction Project (3060-0686), Washington, DC 20554. Please DO NOT SEND COMPLETED APPLICATIONS TO THIS ADDRESS.
The Applicant is 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 3060-0686. This notice is required by the Paperwork Reduction Act of 1995, P.L. 104-13, October 1, 1995, 44 U.S.C. Section 3507.
For Assistance
For assistance with completing the forms, contact Office of International Affairs, Telecommunications and Analysis Division at [email protected] or at (202) 418-1480.
FILING INSTRUCTIONS FOR MAIN ITC-FCN -NEW FORM
Authorized Carrier Information
Item 1. Enter the information requested. Some data will be pre-populated using the data associated with Authorized Carrier’s FCC Registration Number (FRN).
When the Authorized Carrier enters its FRN, the Authorized Carrier Information will pre-populate with its FRN data in CORES. To modify these pre-populated data, update the data associated with the FRN in CORES. https://www.fcc.gov/licensing-databases/commission-registration-system-fcc
Enter any missing data and sections that are not already populated from CORES, such as the “legal entity type” or “Doing Business As (DBA)” name.
Contact Information
Item 2. Identify the contact representative, if different from the Authorized Carrier. The contact information can be imported automatically from CORES if the Authorized Carrier supplied an FRN, but fields are still editable.
If the contact representative is the same as the person indicated in Item 1, then check the box “Same as Authorized Carrier.” If the contact representative is not the same as the Authorized Carrier provide the requested information.
Provide the name of a person in your organization, your outside counsel, or other representative whom we can contact if there are questions regarding your application. This person should have decisional authority over the contents of your application.
Provide the Company name if different from the “Authorized Carrier” name in Item 1 or repeat “Company” name here.
Provide the contact representative’s title, address, phone number, fax number, and email.
Provide your “Doing Business As (DBA)” name. If the Authorized Carrier is not operating its business using a DBA, you may leave this section blank.
Indicate how the contact person is related to the Authorized Carrier. For example, indicate that the “contact is outside counsel” or “contact is a corporate officer of the applicant.”
Item 3. In the box, enter the name of the Authorized Carrier and the place of organization using the drop-down menu of countries. If the place of organization is in the United States, use the drop-down box to identify the state or territory.
Notification Information
Item 4. Provide a brief description of the notification. For example, state “Company X is notifying the Commission of its affiliation with foreign carrier Y in country Z.”
Item 5. Identify the type of notification for foreign carrier affiliation by checking the appropriate box:
5.a. Prior Notification as required by section 63.11(a) of the Commission’s rules.
“If filing prior notification, as required by section 63.11(g)(2) of the Commission’s rules, the Authorized carrier must demonstrate that it continues to serve the public interest for the Authorized carrier to operate on the route for which it proposes to acquire an affiliation with the foreign carrier authorized to operate in the non-WTO Member country. Such a showing shall include a demonstration as to whether the foreign carrier lacks market power in the non-WTO Member country with reference to the criteria in § 63.10(a) of this chapter. If the Authorized Carrier is unable to make the required showing, the Authorized Carrier shall agree to comply with the dominant carrier safeguards contained in section 63.10(c), effective upon the acquisition of the affiliation.”
5.a.1. If prior notification is required, enter in the appropriate column the
(a) name of foreign carrier(s), and
(b) projected date(s) of closing.
If the date(s) entered is/are prior to forty-five (45) days before current date, the Authorized Carrier must submit an explanation as to why the notification was not provided to the Commission at least forty-five (45) days prior to consummation in accordance with section 63.11(a) of the Commission’s rules.
5.a.2. If prior notification is required, indicate whether the Authorized Carrier requests confidential treatment of its prior notification filing for the first twenty (20) days after filing by checking “Yes” or No.” If “yes” the applicant must in an attachment, submit the information required by section 0.459 of the Commission’s rules for a request for confidential treatment of the filing.
5.b. Post-Consummation Notification pursuant to the exceptions in section 63.11(b) of the Commission’s rules.
5.b.1. If filing a post-consummation notification, identify the rule exception on which the Authorized Carrier is relying by checking the box associated with the rule exception below.
Section 63.11(b)(1)(i) – The Commission has previously determined in an adjudication that the foreign carrier lacks market power in that destination market
Section 68.11(b)(1)(ii) – The foreign carrier owns no facilities in that destination market
Section 68.11(b)(2)(i) – The Authorized Carrier demonstrates that it is entitled to retain non-dominant classification on its newly affiliated route pursuant to section 63.10 of the Commission’s rules
Section 68.11(b)(2)(ii) – The Authorized Carrier agrees to comply with the dominant carrier safeguards contained in section 63.10 of the Commission’s rules effective upon the acquisition of the affiliation
5.b.2. If making a post-consummation notification, enter in the appropriate column the
(a) name(s) of foreign carrier(s)
(b) date(s) of closing.
If the date(s) entered is later than thirty (30) days before current date then the Authorized Carrier must submit an explanation as to the reason(s) why the notification was not provided to the Commission thirty (30) days or less after the consummation in accordance with section 63.11(c) of the Commission’s rules as an attachment.
Item 6. Identify in the appropriate column the
international section 214 authorization(s) currently held by the Authorized Carrier subject to this notification by entering the file number(s), and
types of authorization by checking the appropriate box(es).
Item 7. The Authorized Carrier must verify whether Authorized Carrier has provided a narrative description of the Foreign Carrier Affiliation by checking “Yes” or “No.”
Item 8. Indicate whether there is an accompanying Assignment or Transfer of Control Application filed with the Commission by checking “Yes” or “No.” If “Yes,” provide the ICFS file or submission number(s) of the Assignment or Transfer of Control Application(s) and the date(s) of the filing.
Item 9. Indicate whether the Authorized Carrier has a 10% or greater direct/indirect foreign owner by checking “Yes” or “No.”
Item 10. By checking “Yes” or ”No” boxes, the Authorized Carrier verifies if there is a separately filed waiver request associated with this Notification. If “Yes,” provide the ITC-WAV File Number(s).
Foreign Carrier Information
Item 11. Enter in the appropriate column
the name(s) of the foreign carrier(s) that the Authorized Carrier is or seeks to become affiliated with,
the country or countries in which the foreign carrier is authorized to provide telecommunications services to the public,
what services the Authorized Carrier is authorized to provide in those countries,
the FCC file numbers and AuthID numbers under which each such authorization was granted , and
whether the country is a member of the WTO.
Use separate rows to provide the information for each foreign carrier.
Item 12. Indicate whether the Authorized Carrier seeks to be classified as non-dominant on the routes to a country listed in response to Item 12 by checking “Yes” or “No.”
If “Yes,” in an attachment, demonstrate that the Authorized Carrier qualifies for non-dominant classification pursuant to section 63.10 of the Commission’s rules on these routes.
If “No,” indicate the routes on which the Authorized Carrier agrees to comply with the dominant carrier safeguards in section 63.10(c), (d), and (e) of the Commission’s rules effective upon the acquisition of the affiliation.
Ownership Information
Item 13. Indicate whether any person or entity has a 10% or greater direct or indirect ownership of the Authorized Carrier, pursuant to section 63.18(h) of the Commission’s rules, by checking “Yes” or “No.” If “Yes” in the table , provide in columns the described information:
the name of the person or entity that directly or indirectly owns at least 10% of the equity of the Authorized Carrier (“Interest Holder”);
the address of the Interest Holder
the citizenship of the Interest Holder
the principal business of the Interest Holder
the name of entity in which Interest Holder has a 10% or greater interest and indicate whether it is a direct or indirect interest; and,
the percentage of equity owned by the Interest Holder to the nearest 1%.
Use separate rows to provide the information for each person or entity that directly or indirectly has a 10% or greater ownership of the Authorized Carrier.
Item 14. If the Applicant answered “Yes’ to Item 13, indicate whether the Authorized Carrier has provided a detailed ownership listing responding to 63.18(h) of the Commission’s rules in an attachment.
Item 15. Indicate whether the Authorized Carrier has any interlocking directorates. If “Yes,” identify the interlocking directorates in an attachment.
Application Fees
Item 16. An application fee is required for this form. Indicate whether you are exempt from the application fee by selecting “Yes” or “No.”
Note that the FCC may not be able to start its review of a submitted application until the associated application fee is paid. To determine the required fee amount, refer to Subpart G of Part 1 of the Commission’s Rules (47 CFR Part 1, Subpart G) and the current Fee Filing Guide. The current Fee Filing Guide can be downloaded from the FCC’s website at http://www.fcc.gov/fees, by calling the FCC’s Form Distribution Center at (800) 418-FORM (3676), or from the FCC’s Fax Information System by dialing (202) 418-0177.
If “No,” indicate the reason for fee exemption by checking “Government Entity”, “Noncommercial educational license”, or “Other.”
If “No,” then the Applicant must submit an attachment demonstrating the Applicant’s eligibility for exemption from FCC application fees.
If Applicant selects “Other” as the reason for the exemption, the Applicant must explain in the text box.
If the Applicant filed a request for waiver/deferral of the FCC application fees, provide the date-stamped copy of the request filed with the Commission’s Office of the Managing Director as an attachment.
If “Yes,” select the appropriate feed code for the application from the drop down menu. To determine the required fee amount, refer to Subpart G of Part 1 of the Commission’s Rules (47 CFR Part 1, Subpart G) and the current Fee Filing Guide. The current Fee Filing Guide can be downloaded from the FCC’s website at http://www.fcc.gov/fees, by calling the FCC’s Form Distribution Center at (800) 418-FORM (3676), or from the FCC’s Fax Information System by dialing (202) 418-0177.
Waivers
Item 17. Indicate whether this Application includes a request for waver of any Commission rules by checking “yes” or “No.” If “Yes,” list the rules for which a waiver is sought. Provide an explanation for the waiver request in an attachment.
Attachments
For Items 18-25, the Authorized Carrier must check the box showing for each of the following items indicating that it has included the described attachment, as appropriate.
Item 18. The Authorized Carrier must confirm that it has uploaded a narrative description of the Foreign Carrier Affiliation as required by the Commission’s rules by checking the box.
Item 19. If Q5 is checked, then the Authorized Carrier must confirm that it has uploaded an attachment demonstrating that it continues to serve the public interest for it to operate on any route for which it proposes to acquire an affiliation with the foreign carrier authorized to operate in a non-WTO Member country as required by section 61.11(e)(9) of the Commission’s rules by checking the box. If applicable, the Authorized Carrier must also upload an attachment demonstrating as to whether the foreign carrier lacks market power in the non-WTO Member country with reference to the criteria in section 63.10(a) of the Commission’s rules. If the Authorized Carrier is unable to make the required showing, the Authorized Carrier must agree to comply with the dominant carrier safeguards contained in section 63.10(c), effective upon the acquisition of the affiliation by checking the box.
Item 20. The Authorized Carrier must confirm that it has uploaded an explanation as to why the notification was not provided to the Commission at least forty-five (45) days prior to consummation in accordance with section 63.11(a) of the Commission’s rules by checking the box.
Item 21. A Carrier requesting confidentiality of its Prior Notification filing submitted pursuant to section 63.11(a) has uploaded the information required by section 0.459, 47 CFR § 0.459 of the Commission’s rules for a request for confidential treatment of the filing.
Item 22. If applicable, the Authorized Carrier must upload an attachment explaining why the notification was not provided to the Commission 30 days or less after the consummation in accordance with section 63.11(c) of the Commission’s rules.
Item 23. The Authorized Carrier must confirm that it has uploaded an attachment demonstrating that it qualifies for non-dominant classification pursuant to section 63.10 of the Commission’s rules the routes listed in this notification by checking the box.
Item 24. The Authorized Carrier must confirm that it has uploaded a detailed ownership listing responding to section 63.18(h).
Item 25. The Authorized Carrier must upload an attachment the name of any interlocking directorates with each foreign carrier named in this notification, as defined in section 3.09(g)(1) of the Commission’s rules.
Confidential Treatment of Attachments
Item 25. Indicate whether the Applicant is requesting confidential treatment of an attachment(s) under 0.459 of the Commission’s rules by checking “Yes” or “No.”
If “Yes,” then Item 25.a. requires the Applicant requesting confidential treatment of an attachment(s) under 0.459 of the Commission’s rules must upload a request for confidentiality and file a redacted an non-redacted version of the request.
In the table in this item, the Applicant must identify the attachment(s) it has uploaded with a short description for easy identification of the information included in each attachment.
Note: Each document required to be filed as an attachment should be current as of the date of filing. Each page of every attachment must be identified with the number or letter, the number of the page, and the total number of pages.
In the table of this item, the Applicant may use the upload button to upload its attachments. After uploading, the Applicant can rename the attachment. Also after uploading, the Applicant can click the confidential treatment button next the attachment name if it so desires. Clicking the confidential treatment button will trigger a request to upload both a redacted, public version of the attachment and a public supporting statement justifying the confidentiality request. Identify the applicable rule(s) and provide other supporting materials or information. Documents designated for confidential treatment will not be publicly viewable in ICFS while the Commission considers the confidentiality request.
Continuing Accuracy
Item 28. The Authorized Carrier must acknowledge that it shall maintain the continuing accuracy of information provided pursuant to section 63.11(h) of the Commission’s rules for a period of 45 days after the filing of this form by clicking the checkbox.
Certification Statements and Acknowledgements
Item 29. The Authorized Carrier must certify acknowledgement of all requirements listed here and elsewhere in this form, as appropriate, by clicking on the single indicated checkbox. These include:
If a carrier checks Q5.b., then the Authorized Carrier certifies that as required by section 63.11(e)(9) of the Commission’s rules, it has demonstrated, in an attachment, as to which exception the foreign carrier satisfies and provided a citation to any adjudication upon which the Authorized Carrier is relying. If it is relying upon the exceptions in section 63.11(b)(2), the Authorized Carrier also certifies that it has made the required demonstration under 63.11(b)(2)(i) or the commitment to comply with the dominant carrier safeguards in 63.11(b)(2)(ii).
The Authorized Carrier certifies that it has not agreed to accept special concessions directly or indirectly from any foreign carrier with respect to any U.S. international route where the foreign carrier possesses market power on the foreign end of the route. See 47 CFR § 63.14. The Authorized Carrier acknowledges that it shall immediately inform the Commission if at any time, not limited forty-five (45) days, that the representations in the “special concessions” certification are no longer accurate.
The Authorized Carrier certifies that it has provided all the required information and certifications under section 63.18 of the Commission’s rules.
The Authorized Carrier certifies that neither it nor any other party to the application is subject to a denial of Federal benefits, including FCC benefits pursuant to Section 5301 of the Anti-Drug Abuse Act of 1988, 21 U.S.C. § 862, because of a conviction for possession or distribution of a controlled substance. See 47 CFR § 1.2002(b) for the meaning of "party to the application" for these purposes. (This certification does not apply to applications filed in services exempted, or to Federal, State or local governmental entities or subdivisions thereof. See 47 CFR § 1.2002(c).)”
The Authorized Carrier certifies that all of its statements made in this Application and in the attachments or documents incorporated by reference are material, are part of this Application, and are true, complete, correct, and made in good faith.
Party Authorized to Sign
Item 30. Enter all of the required information in the table:
the name of the Applicant.
the title of the person signing the application. If the Applicant is a corporation or other business entity, the person submitting the application must be an officer.
the signature of the person signing the application.
The Applicant does not enter a date. ICFS will fill in the date automatically with the date on which the application is submitted.
WILLFUL FALSE STATEMENTS MADE ON THIS FORM ARE PUNISHABLE BY FINE AND/OR IMPRISONMENT (U.S. Code, Title 18, Section 1001), AND/OR REVOCATION OF ANY STATION AUTHORIZATION (U.S. Code, Title 47, Section 35, AND/OR FORFEITURE (U.S. Code, Title 47, Section 503).
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| File Modified | 0000-00-00 |
| File Created | 2024-07-20 |