FCC 214 ITC-ASG/TC |
FEDERAL COMMUNICATIONS COMMISSION
Instructions for Application for Assignment or Transfer of Control of an International Section 214 Authorization Office of International Affairs
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Approved by OMB 3060-0686
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Purpose of Form
This form is used to request approval for substantive and non-substantive (pro forma) assignments or transfers of control of an international section 214 authorization(s). The form is used to request approval for a substantive assignment of the authorization(s), assignment of certain assets of the authorization holder (carrier) or a transfer of control of the carrier. This form is also used to provide notification of a pro forma assignment or transfer of control. A pro forma assignment or transfer of control that does not result in a change in the actual controlling party.
Assignment. An assignment of an authorization is a transaction in which the authorization is assigned from one carrier to another carrier. Following an assignment, the authorization is held by an entity other than the one to which it was originally granted. The sale of a customer base, or a portion of a customer base, by a carrier to another carrier, is a sale of assets and shall be treated as an assignment. 47 CFR § 63.24(b)
Transfer of Control. A transfer of control is a transaction in which the authorization remains held by the same carrier, but there is a change in the entity or entities that control the carrier. A change from less than 50 percent ownership to 50 percent or more ownership shall always be considered a transfer of control. A change from 50 percent or more ownership to less than 50 percent ownership shall always be considered a transfer of control. In all other situations, whether the interest being transferred is controlling must be determined on a case-by-case basis. 47 CFR § 63.24(c)
Pro Forma Assignments or Transfers of Control. Assignments or transfers of control that do not result in a change in the actual controlling party are considered non-substantial or pro forma. Whether there has been a change in the actual controlling party must be determined on a case-by-case basis. A pro forma assignee or carrier that is the subject of a pro forma transfer of control must notify the Commission no later than thirty (30) days after the assignment or transfer of control is consummated. 47 CFR § 63.24(d)
Consummation of Transaction. The Assignee/Transferee is required to notify the Commission no later than thirty (30) days after either consummation of a substantive assignment or transfer or a decision not to consummate the assignment or transfer. 47 CFR § 63.24(e)(4)
Who Must File This Form and When
Substantive Assignments/Transfers. An Assignor/Transfer and Assignee/Transferee must file the form to assign the authorization or certain assets of the carrier (ITC-ASG), or to transfer control of the carrier (ITC-T/C). The Assignee/Transferee needs the consent of the Commission prior to a substantive assignment or transfer of control.
Pro Forma Assignments/Transfers. A pro forma assignee or carrier that is the subject of a pro forma transfer of control must notify the Commission no later than thirty (30) days after the assignment or transfer of control is consummated.
Involuntary Assignment or Transfer of Control. In the case of an involuntary assignment or transfer of control to the application must be filed no later than 30 days after the event causing the involuntary assignment or transfer of control.
Description of Form
This form consists of questions that apply to all of the types of transactions. The Applicant will answer a question regarding the specific type of transaction – substantive assignment, substantive transfer of control, pro forma assignment and pro forma transfer of control – and depending on the answer a series of questions designed for the specific type of transaction. The Applicant also has the ability to file any attachment to support the request. The Applicant is encouraged to upload a single document in machine readable format, including all required information. The Applicant 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. Under section 63.50 of the Commission’s rules, 47 CFR § 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 of the Commission’s rules, Applicant(s) must notify the Commission regarding any substantial and significant changes in the information furnished in the application while it remains pending.
The form must contain complete applicant related information, including FRN, type of applicant, Applicant’s information including address, phone and fax number, email address(s), contact information, authority (Government, State, Territory) under the laws of which Applicant company is organized, and ownership information.
To amend a submitted application, the applicant must use a separate form, ITC-AMD.
Applicable Rules and Regulations
Section 63.24 of the Commission’s rules set out the requirements for an application to assign an international section 214 authorization or to or transfer of control of a carrier. 47 CFR § 63.24.
Section 63.24(a)/Assignment and Transfers. Section 63.24(a) states that an international section 214 authorization may be assigned, or control of such authorization may be transferred by the transfer of control of any entity holding such authorization, to another party, whether voluntarily or involuntarily, directly or indirectly, only upon application to and prior approval by the Commission. 47 CFR § 63.24(a).
Section 63.24(f)(2)/Pro Formas. Section 63.24(f)(2) states that a pro forma assignee or a carrier that is subject to a pro forma transfer of control must file a notification with the Commission no later than thirty (30) days after the assignment or transfer is completed. 47 CFR § 63.24(f)(2).
Involuntary Assignment/Transfers. In the case of an involuntary assignment or transfer of control to: a bankruptcy trustee appointed under involuntary bankruptcy; an independent receiver appointed by a court of competent jurisdiction in a foreclosure action; or, in the case of death or legal disability, to a person or entity legally qualified to succeed the deceased or disabled person under the laws of the place having jurisdiction over the estate involved; the applicant must make the appropriate filing no later than 30 days after the event causing the involuntary assignment or transfer of control. 47 CFR § 63.24(g).
Separate Filings. A separate application needs to be filed for each carrier, even if the carriers are affiliated. The carrier may file a single application for multiple authorizations held by the carrier.
Applicant(s) should refer to the Debt Collection Improvement Act of 1996. The Debt Collection Act requires all federal agencies to 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, press on the FCC’s Debt Collection webpage, https://www.fcc.gov/licensing-databases/fees/debt-collection-improvement-act-implementation.
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-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-FCN Form
The form is used by a licensee to notify the Commission of new foreign carrier affiliations.
ITC-RPT Form
This form is used to file the reports required for a carrier classified at 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
The number of hours it will take to respond to the collection will vary depending on the type of transaction and whether the Applicant is required to file responses to the Standard Questions for an Applicant with reportable foreign ownership with the Committee for the Assessment of Foreign Participation in the United States Telecommunications Services Sector (Committee). We have estimated that on average each response to this collection of information for a pro forma assignment or transfer of control will be 3 hours. We have estimated that on average each response to this collection of information for a substantive assignment or transfer of control will be 9 hours. If the Applicant is required responses to the Standard with the Committee the average will be 130 hours (9 hours for the substantive application, 120 hours to respond to the Standard Questions an 1 hour to file the responses with the Committee). We have estimated that on average each response to this collection of information for a pro forma assignment or transfer of control will be 3 hours for in-house and outside counsel. Our estimate includes the time to read the instructions, review 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.
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. 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 technical assistance with completing the forms, contact the ICFS Helpline at (202) 418-2222 or [email protected]. For general questions about the form requirements, contact the Office of International Affairs, Telecommunications and Analysis Division at (202) 418-1480 or at [email protected].
FILING INSTRUCTIONS
Remember to save your draft application periodically by clicking the save button. ICFS will time-out after 15 minutes of no activity, and failure to save will result in loss of any information entered into the application form after the last save.
Applicant Information
Authorization Holder Information
Item 1. Enter the information requested for the Authorization Holder. Some data will be pre-populated using the data associated with Applicant’s FCC Registration Number (FRN).
When the Applicant enters its FRN, the Applicant 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 “Applicant/Legal Entity Type” or “Doing Business As (DBA)” name.
Authorization Holder Contact Information
Item 2. Identify the contact representative, if different from the Authorization Holder. The contact information can be imported automatically from CORES if the Applicant 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 Applicant.” If the contact representative is not the same as the Applicant, 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 “Applicant” name in Item 1 or repeat “Company” name here.
Provide the contact representative’s address, phone number, fax number, and email.
Provide your “Doing Business As (DBA)” name. If the Applicant is not operating its business using a DBA, you may leave this section blank.
Indicate how the contact person is related to the Applicant. For example, select “Legal Counsel” if the contact is the Applicant’s counsel.
Assignor/Transferor Information
Item 3. Enter the information requested for the Assignor/Transferor. Some data will be pre-populated using the data associated with Assignor/Transferor’s FCC Registration Number (FRN).
When the Assignor/Transferor enters its FRN, the Applicant 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 “Applicant/Legal Entity Type” or “Doing Business As (DBA)” name.
Assignor/Transferor Contact Information
Item 4. Identify the contact representative, if different from the Assignor/Transferor. The contact information can be imported automatically from CORES if the Assignor/Transferor 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 Assignor/Transferor.” If the contact representative is not the same as the Assignor/Transferor, provide the requested information in the text box.
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 “Assignor/Transferor” name in Item 4 or repeat “Company” name here.
Provide the contact representative’s address, phone number, fax number, and email.
Provide your “Doing Business As (DBA)” name. If the Assignor/Transferor is not operating its business using a DBA, you may leave this section blank.
Indicate how the contact person is related to the Applicant. For example, select “Legal Counsel” if the contact is the Applicant’s counsel.
Assignee/Transferee Information
Item 5. Enter the information requested for the Assignee/Transferee. Some data will be pre-populated using the data associated with Applicant’s FCC Registration Number (FRN).
When the Assignee/Transferee enters its FRN, the Assignee/Transferee 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 “Applicant/Legal Entity Type” or “Doing Business As (DBA)” name.
Assignee/Transferee Contact Information
Item 6. Identify the Assignee/Transferee contact representative, if different from the Assignee/Transferee. The contact information can be imported automatically from CORES if the Assignee/Transferee supplied an FRN, but fields are still editable.
If the Assignee/Transferee contact representative is the same as the person indicated in Item 5, then check the box “Same as Assignee/Transferee.” If the contact representative is not the same as the Assignee/Transferee, 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 “Assignee/Transferee” name in Item 7 or repeat “Company” name here.
Provide the contact representative’s address, phone number, fax number, and email.
Provide your “Doing Business As (DBA)” name. If the Assignee/Transferee is not operating its business using a DBA, you may leave this section blank.
Indicate how the contact person is related to the Assignee/Transferee. For example, select “Legal Counsel” if the contact is the Applicant’s counsel.
7. Additional Contacts
Item 7.a. Contact for execution of lawful requests. Enter the data required for point of contact in United States for execution of lawful requests.
Item 7.b. Alternate Contacts for execution of lawful requests. Enter the data required for point of contact in United States for execution of lawful requests. .
Item 7.c. Agent for legal service of process. Enter the data required for point of contact in United Staes for an agent for legal service of process.
Item 7.d. Alternate agent for legal service of process. Enter the data required for alternate point of contact in United Staes for an agent for legal service of process.
Item 8. In the box enter the name of the Assignor/Transferor and Assignee/Transferee and their 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.
Application Information
Item 9. Enter the data required to identify the ITC-LIC, or ITC-MOD subject to this transaction in the table provided.
Item 10. Provide a brief description of the transaction in the text box provided.
Item 11. Indicate whether this transaction is an assignment of authorization or transfer of control by checking the by checking the “Assignment of authorization” box OR by checking the “Transfer of control” box marked “b”.
Item 12. Indicate whether this transaction is a pro forma or substantive transaction by checking the “substantive” box OR by checking the “pro forma” box.
If Assignment of Authorization and Substantive are checked, the questions and tables in “Substantive Assignment” must be answered and completed.
If Assignment of Authorization and Pro Forma are checked the questions and tables in “Pro Forma (Non-Substantive) Assignment” must be answered and completed.
If Transfer of Control and Substantive are checked the questions and tables in “Substantive Transfer of Control” must be answered and completed.
If Transfer of Control and Pro Forma are checked the questions and tables in “Pro Forma (Non-Substantive) Transfer of Control” must be answered and completed.
Save the draft at this point so that the signature blocks will function properly.
Instructions for Substantive Assignment
Item 13. Indicate whether the assignment is voluntary or involuntary by checking the appropriate box.
Item 13.a. If the assignment is involuntary, identify the type of involuntary assignment by checking the appropriate box. If “other” is selected as the type of involuntary assignment, the basis for the assignment being involuntary.
Item 13.b. Enter the date of the event causing the involuntary assignment in the text box provided. If the date entered is prior to 30 days before the current date, the Applicant must upload an attachment explaining why the filing was not provided to the Commission no later than thirty days (30) or less after the event causing the involuntary assignment in accordance with section 63.24(g) of the Commission’s rules.
Related Filings
Item 14. Indicate whether there is a separately filed Application(s) related to this transaction filed by the Applicant by checking the “Yes” or “No” box. If yes, the applicant must enter the related ICFS, ULS, or Docket Number in the appropriate text box provided.
Transaction Information
Item 15. Indicate whether the Applicant is seeking streamlined processing by checking the “Yes” or “No” box. If “Yes”, in an attachment the Applicant must demonstrate eligibility for streamlined processing in an attachment under section 63.12 of the Commission’s rules.
Item 16. The Assignee must acknowledge that it must notify the Commission no later than 30 days after either consummation of the assignment or a decision not to consummate the assignment by checking the box.
Item 17. The Applicant must enter the AuthID(s) or file number(s) of the International Section 214 authorization(s) for which the Assignee seeks consent to assign in the chart provided.
Item 18. Indicate whether this assignment is a partial assignment of assets by checking “Yes” or “No.”
Item 18a.. Identify the ownership interest(s) that the Assignor will retain in the international section 214 authorization in the text box provided.
Item 18b. Indicate whether the Assignee is seeking to obtain an international section 214 authorization through this filing by checking the “Yes” or “No” box. If “No,” provide the AuthID(s)/ITC-214, ITC-MOD file numbers held by the Assignee in the text box provided.
Foreign Ownership
Item 19. The Applicant must indicate whether or not any individual or entity that is not a U.S. citizen holds a 10% or greater direct or indirect equity or voting interest, or a controlling interest, in itself or any other Applicant by checking the “Yes” or “No” box.
Item 19.a. If “Yes” then, the Applicant must indicate whether the Applicant qualifies for exclusion from referral to the Executive Branch because (1) the only reportable foreign ownership is through wholly owned intermediate holding companies and the ultimate ownership and control is held by U.S. citizens or entities; (2) the Applicant has an existing international section 214 authorization that is conditioned on compliance with an agreement with an Executive Branch agency concerning national security and/or law enforcement, there are no new reportable foreign owners of the Applicant since the effective date of the agreement, and the Applicant agrees to continue to comply with the terms of that agreement; and/or (3) the Applicant was reviewed by the Executive Branch within 18 months of the filing of the application and the Executive Branch had not previously requested that the Commission condition the Applicant’s international section 214 authorization on compliance with an agreement with an Executive Branch agency concerning national security and/or law enforcement and there are no new reportable foreign owners of the Applicant since that review
If the Applicant does qualify for exclusion from referral, the Applicant(s) must attach a specific showing in its application that it qualifies for the exclusion(s). Attachments can be added in the Attachments section of the application below.
If the Applicant checked the “No” box indicating that it does not qualify for exclusion from referral, each Applicant with reportable foreign ownership shall prepare and submit responses to standard questions, prior to or at the same time the Applicant files its application with the Commission, pursuant to part 1, subpart CC, of the Commission’s rules, to the Committee for the Assessment of Foreign Participation in the United States Telecommunications Services Sector (Committee). The required information shall be submitted separately from this application and shall be submitted directly to the Committee. Applicants submitting responses to the standard questions must also submit a complete and unredacted copy of this and any related FCC application(s), including the file number(s) and docket number(s), to the Committee within three (3) business days of filing it with the Commission. Detailed instructions for completing and sending the standard question responses and a copy of the FCC application(s) can be found on the Office of International Affairs website.
If the Applicant checked the “No” box indicating that it does not qualify for exclusion from referral, the Applicant must acknowledge that it is aware of its obligation to submit the standard question responses and copy of the application(s) to the Committee by checking the box at the end of Item 19.
Ownership Information
Item 20. Indicate whether any person or entity directly or indirectly will have 10% or more of the equity interests and/or voting interests, or a controlling interest, of the Authorization Holder by checking the “Yes” or “No” box. If “Yes,” in the designated column in the chart, provide the following:
name of the person or entity that directly or indirectly owns at least ten percent of the equity of the Applicant (“Interest Holder”);
postal address of interest holder;
country name(s) for dual or more citizenship;
principal business of interest holder;
name of entity in which Interest Holder has a 10% or greater interest and indicate whether it is a direct or indirect interest;
percentage of equity interest by the Interest Holder to the nearest 1%; and
percentage of voting interest 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 direct or indirect ownership of the Applicant.
If “Yes,” also upload an attachment with a detailed ownership listing responding to 63.18(h) of the Commission’s rules.
Item 21. Indicate whether the Authorization Holder will have any interlocking directorates with a foreign carrier, pursuant to section 63.18(h) of the Commission’s rules by checking the “Yes” or “No” box.
Foreign Carrier Affiliation
Item 22. Indicate whether the Assignee is a foreign carrier or affiliated with a foreign carrier as defined in section 63.09(d) and (e) of the Commission’s rules by checking the “Yes” or “no” box. If “Yes,” upload an attachment providing the information and certification required by 47 CFR § 63.18(i) through (m).
Item 24.a. If “Yes,” provide information regarding the foreign carrier affiliation in the table provided and, in an attachment, provide the information and certifications required by section 63.18(i) through (m) of the Commission’s rules. In the designated column, provide the following information:
provide the name of the affiliated carrier;
use the drop-down menu to select the country in which the affiliation occurs.
indicate the type of affiliation:
The Applicant is a foreign carrier in that country;
The Applicant controls a foreign carrier in that country;
An entity that owns more than 25% of the applicant, or that controls the Applicant, controls a foreign carrier in that country;
Two or more foreign carriers (or parties that control foreign carriers) own, in the aggregate, more than 25 percent of the applicant and are parties to, or the beneficiaries of, a contractual relation (e.g., a joint venture or market alliance) affecting the provision or marketing of international basic telecommunications services in the United States; or
N/A, and provide an explain, if needed.
indicate whether the Applicants seek to provide international telecommunications service to this country by checking “Yes” or “No.”
indicate whether country is a member of the World Trade Organization by checking “Yes” or “No.” Add additional rows to provide information for all foreign carrier affiliations as necessary.
Item 22.b. If “Yes” to Item 22, indicate whether the Applicant seeks to be classified as non-dominant on any route listed in the application pursuant to section 63.10 of the Commission’s rules by checking the “Yes” or “No” box. If “No,” go to Item 22.e. If “Yes,” the Applicant must respond to Items 22.c. and 22.d.
Item 22.c. If “Yes” to Item 22.b., identify the routes for which the Applicant is requesting to be classified as a “non-dominant” carrier by selecting the route(s) from the drop down menu.
Item 22.d. If “Yes” to Item 22.b., indicate whether the Applicant has uploaded an attachment providing information to demonstrate that it qualifies for non-dominant classification under section 63.10 of the Commission’s rules by checking the “Yes” or “No” box.
Item 22.e. If “No” to Item 22.b., from the drop down menu, select the countries of the routes where the Applicant agrees to the requirements of section 63.10(c), (d) & (e).
Application Fees
Item 23 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 https://www.fcc.gov/licensing-databases/fees/application-processing-fees, by calling the FCC’s Form Distribution Center at (800) 418-FORM (3676), or by faxing your request to the FCC’s Fax Information System at 1-866-418-0232.
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.
Waivers
Item 24. Indicate whether this application includes a request for waiver of the Commission’s rules by checking “Yes” or “No.” If “Yes,” the Applicant must provide an explanation for the waiver request in an attachment, along with other material information.
Item 24.a. If “Yes” to 24, list the rules for which a waiver is sought. The Applicant may attach the waiver request statement by clicking the button in Item 24.b or in the Attachments/Confidential Treatment of Attachments that follows.
Attachments
Item 25. Indicate the Applicant has uploaded an attachment describing the transaction and explaining how it meets the Commission’s rules and that this transaction is in the public interest by checking the box.
Item 26. If applicable, indicate that the Applicant has uploaded an attachment to provide a detailed ownership listing responding to section 63.18(h) of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 27. If applicable, indicate that the Applicant has uploaded an attachment identifying any interlocking directorates with a foreign carrier, pursuant to section 63.18(h) of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 28. If applicable, indicate that the Assignee has uploaded must information to demonstrate that it qualifies for non-dominant classification under section 63.10 of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 29. Indicate whether the Applicant has uploaded a statement showing that its application qualifies for exclusion from referral to the Executive Branch under section 1.40001(a)(2) of the Commission’s rules information by checking “Yes” or if not applicable, by checking “N/A.”
Item 30. If applicable, indicate that the Applicant has uploaded an attachment that includes a statement of how the application qualifies for streamlined processing under section 63.12 of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 31. If applicable, Indicate whether the Applicant has uploaded an attachment providing the information and certifications required by section 63.18(i) through (m) of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 32. If applicable, indicate that the Applicant has uploaded a statement supporting its waiver request and identifying the rule number(s) involved, along with other material information by checking the “Yes” box. If not applicable, check N/A box.
Attachments/Confidential Treatment of Attachments
Item 33.
If the Applicant is requesting confidential treatment for any of its attachments, answer this question “yes.” Otherwise, answer “no.”
If the Applicant answers “yes” in item 34, then it must upload a supporting statement for the “confidential treatment request(s)” identifying the applicable rule(s) and providing other supporting materials or information. The Applicant must also upload both the Redacted Public version and the Non-Redacted Confidential version of the attachment(s) in the Attachments section which follows below.
The Applicant(s) can upload attachments in this section of the application. The Applicant(s) will identify the attachment(s) with a short name 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 this item, the Applicant may use the upload button to upload its attachments. After uploading, the Applicant can describe 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 in the attachment 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.
National Security/Law Enforcement Certification Statements
Item 34. In order to submit the application, the Applicant must certify acknowledgement of the following national security and law enforcement requirements by clicking on the single indicated checkbox. If there are multiple applicants, each applicant must certify acknowledgement of these requirements in their Supplements A.
These national security and law enforcement requirements include the obligations to:
Comply with all applicable Communications Assistance for Law Enforcement Act (CALEA) requirements and related rules and regulations, including any and all FCC orders and opinions governing the application of CALEA, pursuant to the Communications Assistance for Law Enforcement Act and the Commission’s rules and regulations in Title 47, part 1, subpart Z;
Make communications to, from, or within the United States, as well as records thereof, available in a form and location that permits them to be subject to a valid and lawful request or legal process in accordance with U.S. law, including but not limited to:
o The Wiretap Act, 18 U.S.C. § 2510 et seq.;
o The Stored Communications Act, 18 U.S.C. § 2701 et seq.;
o The Pen Register and Trap and Trace Statute, 18 U.S.C. § 3121 et seq.; and
o Other court orders, subpoenas or other legal process;
Designate a point of contact who is located in the United States and is a U.S. citizen or lawful U.S. permanent resident, for the execution of lawful requests and as an agent for legal service of process (note that these contacts were designated in Item 3 of this application);
Ensure the continuing accuracy and completeness of all information submitted, whether at the time of submission of the application or subsequently in response to either the Commission or the Committee’s request, as required under section 1.65(a) of the Commission’s rules, and to inform the Commission and the Committee of any substantial and significant changes while an application is pending;
Ensure that after the application is no longer pending for purposes of section 1.65 of the Commission’s rules, it will notify the Commission and the Committee of any changes in the authorization holder or licensee information and/or contact information promptly, and in any event within thirty (30) days; and
Fulfill the conditions and obligations set forth in the certifications set out in section 63.18(q) of the Commission’s rules or in the grant of an application or authorization and/or that if the information provided to the United States Government is materially false, fictitious, or fraudulent, it may be subject to all remedies available to the United States Government, including but not limited to revocation and/or termination of the Commission’s authorization or license, and criminal and civil penalties, including penalties under 18 U.S.C. § 1001.
General Certification Statements
Item 35. By checking the box at the end of this Item and submitting this form:
The Assignee certifies that for any country in which the Assignee affiliated with a foreign carrier as defined in section 63.09(d) and (e) of the Commission’s rules that is not a member of the World Trade Organization, it has demonstrated in an attachment whether the foreign carrier has market power or lacks market power under the criteria in section 63.10(a) of the Commission’s rules.
The Assignee certifies that it has not agreed to accept special concessions directly or indirectly from a foreign carrier with respect to any U.S. international route where the foreign carrier possesses sufficient market power on the foreign end of the route to affect competition adversely in the U.S. market and will not enter into such agreements in the future.
The Assignee will designate an agent for service in the District of Columbia if required by section 413 of the Communications Act within 30 days of providing service.
The Assignee certifies that it has provided, in an attachment, a narrative description of the transaction, provided all the required information and certifications, and a complete statement setting forth the facts that show how the assignment or transfer will serve the public interest, as required under section 214 of the Communications Act and sections 63.18 and 63.24 of the Commission’s rules.
The Applicant 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 under § 1.2002(c) of the rules, or to Federal, State or local governmental entities or subdivisions thereof. See 47 CFR § 1.2002(c)).
The Assignee 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.
Parties Authorized to Sign
Note that the Assignee/Transferee is considered the main or lead applicant for the application, and it will be able to sign only the Assignee/Transferee signature block. After the Assignee/Transferee signs, it should log out of ICFS. The entities identified as the Licensee and Assignor/Transferor at the beginning of the application should then log into ICFS. They will have a message in their ICFS inbox indicating that an application is waiting. The Licensee/Assignor/Transferor should check the My Filings tab for the application, click on it and review. The Licensee/Assignor/Transferor cannot edit any part of the application other than its signature block. All applicants are encouraged to confer with each other to be sure the application information is accurate and complete. Then the Licensee/Assignor/Transferor should sign the appropriate signature blocks and log out. Once all signature blocks have been completed and the rest of the application is complete (including all necessary attachments), the Assignee/Transferee can log in and submit the application.
Item 36. The Authorization Holder must 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.
Item 37. The Assignor must 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.
Item 38. The Assignee must 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 312(a)), AND/OR FORFEITURE (U.S. Code, Title 47, Section 503). BY SIGNING THIS, YOU CERTIFY THAT YOU ARE A PARTY AUTHORIZED TO SIGN AND ALL STATEMENTS MADE IN THIS APPLICATION AND IN THE ATTACHMENT OR DOCUMENTS INCORPORATED BY REFERENCE ARE MATERIAL, ARE PART OF THIS APPLICATION, AND ARE TRUE, COMPLETE, CORRECT, AND MADE IN GOOD FAITH.
Instructions for Pro Forma (Non-Substantive) Assignment
Item 13. Indicate whether the assignment is voluntary or involuntary by checking the appropriate box.
Item 13.a. If the assignment is involuntary, identify the type of involuntary assignment by checking the appropriate box. If “other” is selected as the type of involuntary assignment, the basis for the assignment being involuntary.
Item 13.b. Enter the date of the event causing the involuntary assignment in the text box provided. If the date entered is prior to 30 days before the current date, the Applicant must upload an attachment explaining why the filing was not provided to the Commission no later than thirty days (30) or less after the event causing the involuntary assignment in accordance with section 63.24(g) of the Commission’s rules.
Related Filings
Item 14. Indicate whether there is a separately filed Applications(s) related to this transaction filed by the Applicant by checking the “Yes” or “No” box. If yes, the applicant must enter the related IBFS, ULS, or Docket Number in the appropriate text box provided.
Transaction Information
Item 15. Provide the consummation date of the transaction in the text box provided. If the consummation date is prior to 30 days before the current date, the Applicant must upload an attachment explaining why the notification was not provided to the Commission no later than 30 days or less after the consummation.
Item 16. By checking the box, the Assignee certifies that the assignment or transfer of control was pro forma, as defined in section 63.24 of the Commission’s rules, and together with all previous pro forma transactions, does not result in a change of the authorization holder’s ultimate control. In an attachment, provide an explanation for this certification.
Item 17. The Applicant must enter the AuthID(s)/file number(s) of the International Section 214 authorization(s) for which the Assignee seeks to assign in the chart provided.
Item 18. Indicate whether this assignment is a partial assignment of assets by checking “Yes” or “No.”
Foreign Ownership
Item 19 The Applicant must indicate whether or not any individual or entity that is not a U.S. citizen holds a 10% or greater direct or indirect equity or voting interest, or a controlling interest, in itself or any other Applicant by checking the “Yes” or “No” box.
Item 19.a. If “Yes” then, the Applicant must indicate whether the Applicant qualifies for exclusion from referral to the Executive Branch because (1) the only reportable foreign ownership is through wholly owned intermediate holding companies and the ultimate ownership and control is held by U.S. citizens or entities; (2) the Applicant has an existing international section 214 authorization that is conditioned on compliance with an agreement with an Executive Branch agency concerning national security and/or law enforcement, there are no new reportable foreign owners of the Applicant since the effective date of the agreement, and the Applicant agrees to continue to comply with the terms of that agreement; and/or (3) the Applicant was reviewed by the Executive Branch within 18 months of the filing of the application and the Executive Branch had not previously requested that the Commission condition the Applicant’s international section 214 authorization on compliance with an agreement with an Executive Branch agency concerning national security and/or law enforcement and there are no new reportable foreign owners of the Applicant since that review. Per Section 1.40001(a)(2)(i) of the Commission’s rules (47 CFR § 1.40001(a)(2)(i)), pro forma notifications and applications with reportable foreign ownership are generally excluded from Executive Branch referral, so the pro forma Applicant should answer “Yes” to Q19a. Pro forma applicants are not required to submit an additional specific showing that they qualify for exclusion from referral, provided the pro forma notification/application is otherwise complete.
If the Applicant does qualify for exclusion from referral, the Applicant(s) must attach a specific showing in its application that it qualifies for the exclusion(s). Attachments can be added in the Attachments section of the application below.
If the Applicant checked the “No” box indicating that it does not qualify for exclusion from referral, each Applicant with reportable foreign ownership shall prepare and submit responses to standard questions, prior to or at the same time the Applicant files its application with the Commission, pursuant to part 1, subpart CC, of the Commission’s rules, to the Committee for the Assessment of Foreign Participation in the United States Telecommunications Services Sector (Committee). The required information shall be submitted separately from this application and shall be submitted directly to the Committee. Applicants submitting responses to the standard questions must also submit a complete and unredacted copy of this and any related FCC application(s), including the file number(s) and docket number(s), to the Committee within three (3) business days of filing it with the Commission. Detailed instructions for completing and sending the standard question responses and a copy of the FCC application(s) can be found on the Office of International Affairs website (https://www.fcc.gov/international-affairs).
If the Applicant checked the “No” box indicating that it does not qualify for exclusion from referral, the Applicant must acknowledge that it is aware of its obligation to submit the standard question responses and copy of the application(s) to the Committee by checking the box at the end of Item 19.
Ownership Information
Item 20. Indicate whether any person or entity holds a 10% or greater direct or indirect equity or voting interest in the Applicant, pursuant to section 63.18(h) of the Commission’s rules, by checking “Yes’ or No.” If “Yes,” in the designated column in the chart provide the following:
name of the person or entity that directly or indirectly owns at least ten percent of the equity of the Applicant (“Interest Holder”);
postal address of interest holder;
country name(s) for dual or more citizenship;
principal business of interest holder;
name of entity in which Interest Holder has a 10% or greater interest and indicate whether it is a direct or indirect interest;
percentage of equity interest by the Interest Holder to the nearest 1%; and
percentage of voting interest 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 direct or indirect ownership of the Applicant.
If “Yes,” also upload an attachment with a detailed ownership listing responding to 63.18(h) of the Commission’s rules.
Item 21. Indicate whether the Authorization Holder will have any interlocking directorates with a foreign carrier, pursuant to section 63.18(h) of the Commission’s rules by checking the “Yes” or “No” box.
Foreign Carrier Affiliation
Item 22. Indicate whether the Assignee is a foreign carrier or affiliated with a foreign carrier as defined in section 63.09(d) and I of the Commission’s rules by checking the “Yes” or “no” box. If “Yes,” upload an attachment providing the information and certification required by 47 CFR § 63.18(i) through (m).
Item 22.a. If “Yes,” provide information regarding the foreign carrier affiliation in the table provided and, in an attachment, provide the information and certifications required by section 63.18(i) through (m) of the Commission’s rules. In the designated column, provide the following information:
provide the name of the affiliated carrier;
use the drop-down menu to select the country in which the affiliation occurs.
indicate the type of affiliation:
The Applicant is a foreign carrier in that country;
The Applicant controls a foreign carrier in that country;
An entity that owns more than 25% of the applicant, or that controls the Applicant, controls a foreign carrier in that country;
Two or more foreign carriers (or parties that control foreign carriers) own, in the aggregate, more than 25 percent of the applicant and are parties to, or the beneficiaries of, a contractual relation (e.g., a joint venture or market alliance) affecting the provision or marketing of international basic telecommunications services in the United States; or
N/A, and provide an explain, if needed.
indicate whether the Applicants seek to provide international telecommunications service to this country by checking “Yes” or “No.”
indicate whether country is a member of the World Trade Organization by checking “Yes” or “No.” Add additional rows to provide information for all foreign carrier affiliations as necessary.
Item 22.b. If “Yes” to Item 22, indicate whether the Applicant seeks to be classified as non-dominant on any route listed in the application pursuant to section 63.10 of the Commission’s rules by checking the “Yes” or “No” box. If “No,” go to Item 22.e. If “Yes,” the Applicant must respond to Items 22.c. and 22.d.
Item 22.c. If “Yes” to Item 24.b., identify the routes for which the Applicant is requesting to be classified as a “non-dominant” carrier by selecting the route(s) from the drop down menu.
Item 22.d. If “Yes” to Item 24.b., indicate whether the Applicant has uploaded an attachment providing information to demonstrate that it qualifies for non-dominant classification under section 63.10 of the Commission’s rules by checking the “Yes” or “No” box.
Item 22.e. If “No” to Item 24.b., from the drop down menu, select the countries of the routes where the Applicant agrees to the requirements of section 63.11, (d) & I.
Application Fees
Item 23. 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 athttps://www.fcc.gov/licensing-databases/fees/application-processing-fees , by calling the FCC’s Form Distribution Center at (800) 418-FORM (3676), or by faxing your request to the FCC’s Fax Information System at 1-866-418-0232.
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.
Waivers
Item 24. Indicate whether this application includes a request for waiver of the Commission’s rules by checking “Yes” or “No.” If “Yes,” the Applicant must provide an explanation for the waiver request in an attachment, along with other material information.
Item 24.a. If “Yes” to 24 list the rules for which a waiver is sought. The Applicant may attach the waiver request statement by clicking the button in Item 24b or in the Attachments/Confidential Treatment of Attachments that follows.
Attachments
Item 25. Indicate the Applicant has uploaded an attachment describing the transaction and explaining how it meets the Commission’s rules and that this transaction is in the public interest by checking the box. In addition, if applicable, upload a statement Identifying the ownership interest(s) that the Assignor will retain in the international section 214 authorization and indicating whether the Assignee is seeking to obtain an international section 214 authorization through this filing. If the Assignee is not seeking to obtain an international section 214 authorization through this filing provide the AuthID(s)/ITC-214, ITC-MOD file numbers held by the Assignee.
Item 26. If applicable, indicate that the Applicant has uploaded an attachment to provide a detailed ownership listing responding to section 63.18(h) of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 279. If applicable, indicate that the Applicant has uploaded an attachment identifying any interlocking directorates with a foreign carrier, pursuant to section 63.18(h) of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 28. If applicable, indicate that the Assignee has uploaded must information to demonstrate that it qualifies for non-dominant classification under section 63.10 of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 29. Indicate that the Assignee uploaded an explanation for its certification that the assignment or transfer of control was pro forma, as defined in section 63.24 of the Commission’s rules, and together with all previous pro forma transactions, does not result in a change of the authorization holder’s ultimate control.
Item 30. Indicate that the Applicant has uploaded an explanation as to why the pro forma notification was not provided to the Commission no later than thirty days (30) or less after the consummation in accordance with section 63.24(f) of the Commission’s rules.
Item 31. Indicate whether the Applicant has uploaded a statement showing that its application qualifies for exclusion from referral to the Executive Branch under section 1.40001(a)(2) of the Commission’s rules information by checking “Yes” or if not applicable, by checking “N/A.” As a result of this being a pro forma filing, there is no need to submit an additional statement about qualifying for exclusion from referral (provided the Applicant has met all other pro forma filing requirements as set forth in this application), and the Applicant can select N/A.
Item 32. If applicable, indicate that the Applicant has uploaded an attachment that includes a statement of how the application qualifies for streamlined processing under section 63.12 of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 33. If applicable, Indicate whether the Applicant has uploaded an attachment providing the information and certifications required by section 63.18(i) through (m) of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 34. If applicable, indicate that the Applicant has uploaded a statement supporting its waiver request and identifying the rule number(s) involved, along with other material information by checking the “Yes” box. If not applicable, check N/A box.
Confidential Treatment of Attachments
Item 35. If the Applicant is requesting confidential treatment for any of its attachments, answer this question “yes.” Otherwise, answer “no.”
If the Applicant answers “yes” in item 35, then it must upload a supporting statement for the “confidential treatment request(s)” identifying the applicable rule(s) and providing other supporting materials or information. The Applicant must also upload both the Redacted Public version and the Non-Redacted Confidential version of the attachment(s) in the Attachments section which follows below.
The Applicant(s) can upload attachments in this section of the application. The Applicant(s) will identify the attachment(s) with a short name 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 this item, the Applicant may use the upload button to upload its attachments. After uploading, the Applicant can describe 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 in the attachment 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.
National Security/Law Enforcement Certification Statements
Item 36. In order to submit the application, the Applicant must certify acknowledgement of the following national security and law enforcement requirements by clicking on the single indicated checkbox. If there are multiple applicants, each applicant must certify acknowledgement of these requirements in their Supplements A.
These national security and law enforcement requirements include the obligations to:
Comply with all applicable Communications Assistance for Law Enforcement Act (CALEA) requirements and related rules and regulations, including any and all FCC orders and opinions governing the application of CALEA, pursuant to the Communications Assistance for Law Enforcement Act and the Commission’s rules and regulations in Title 47, part 1, subpart Z;
Make communications to, from, or within the United States, as well as records thereof, available in a form and location that permits them to be subject to a valid and lawful request or legal process in accordance with U.S. law, including but not limited to:
o The Wiretap Act, 18 U.S.C. § 2510 et seq.;
o The Stored Communications Act, 18 U.S.C. § 2701 et seq.;
o The Pen Register and Trap and Trace Statute, 18 U.S.C. § 3121 et seq.; and
o Other court orders, subpoenas or other legal process;
Designate a point of contact who is located in the United States and is a U.S. citizen or lawful U.S. permanent resident, for the execution of lawful requests and as an agent for legal service of process (note that these contacts were designated in Item 3 of this application);
Ensure the continuing accuracy and completeness of all information submitted, whether at the time of submission of the application or subsequently in response to either the Commission or the Committee’s request, as required under section 1.65(a) of the Commission’s rules, and to inform the Commission and the Committee of any substantial and significant changes while an application is pending;
Ensure that after the application is no longer pending for purposes of section 1.65 of the Commission’s rules, it will notify the Commission and the Committee of any changes in the authorization holder or licensee information and/or contact information promptly, and in any event within thirty (30) days; and
Fulfill the conditions and obligations set forth in the certifications set out in section 63.18(q) of the Commission’s rules or in the grant of an application or authorization and/or that if the information provided to the United States Government is materially false, fictitious, or fraudulent, it may be subject to all remedies available to the United States Government, including but not limited to revocation and/or termination of the Commission’s authorization or license, and criminal and civil penalties, including penalties under 18 U.S.C. § 1001.
General Certification Statements
Item 37. By checking the box at the end of this Item and submitting this form,
The Assignee certifies that for any country in which the Assignee affiliated with a foreign carrier as defined in section 63.09(d) and (e) of the Commission’s rules that is not a member of the World Trade Organization, it has demonstrated in an attachment whether the foreign carrier has market power or lacks market power under the criteria in section 63.10(a) of the Commission’s rules.
The Assignee certifies that it has not agreed to accept special concessions directly or indirectly from a foreign carrier with respect to any U.S. international route where the foreign carrier possesses sufficient market power on the foreign end of the route to affect competition adversely in the U.S. market and will not enter into such agreements in the future.
The Assignee will designate an agent for service in the District of Columbia if required by section 413 of the Communications Act within 30 days of providing service.
The Assignee certifies that it has provided, in an attachment, a narrative description of the transaction, provided all the required information and certifications, and a complete statement setting forth the facts that show how the assignment or transfer will serve the public interest, as required under section 214 of the Communications Act and sections 63.18 and 63.24 of the Commission’s rules.
The Applicant 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 under § 1.2002(c) of the rules, or to Federal, State or local governmental entities or subdivisions thereof. See 47 CFR § 1.2002(c)).
The Assignee 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.
Parties Authorized to Sign
Note that the Assignee/Transferee is considered the main or lead applicant for the application, and it will be able to sign only the Assignee/Transferee signature block. After the Assignee/Transferee signs, it should log out of ICFS. The entities identified as the Licensee and Assignor/Transferor at the beginning of the application should then log into ICFS. They will have a message in their ICFS inbox indicating that an application is waiting. The Licensee/Assignor/Transferor should check the My Filings tab for the application, click on it and review. The Licensee/Assignor/Transferor cannot edit any part of the application other than its signature block. All applicants are encouraged to confer with each other to be sure the application information is accurate and complete. Then the Licensee/Assignor/Transferor should sign the appropriate signature blocks and log out. Once all signature block have been completed and the rest of the application is complete (including all necessary attachments), the Assignee/Transferee can log in and submit the application.
Item 38. The Authorization Holder must 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.
Item 39. The Assignor must enter all of the information required 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.
Item 40. The Assignee must enter all of the information required 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 312(a)), AND/OR FORFEITURE (U.S. Code, Title 47, Section 503).
Instructions for Substantive Transfer of Control
Item 13. Indicate whether the transfer of control is voluntary or involuntary by checking the appropriate box.
Item 13.a. If the transfer is involuntary, identify the type of involuntary transfer by checking the appropriate box. If “other” is selected as the type of involuntary transfer, the basis for the transfer being involuntary.
Item 13.b. Enter the date of the event causing the involuntary transfer of control in the text box provided. If the date entered is prior to 30 days before the current date, the Applicant must upload an attachment explaining why the filing was not provided to the Commission no later than thirty days (30) or less after the event causing the involuntary transfer in accordance with section 63.24(g) of the Commission’s rules.
Related Filings
Item 14. Indicate whether there is a separately filed Application(s) related to this transaction filed by the Applicant by checking the “Yes” or “No” box. If yes, the applicant must enter the related IBFS, ULS, or Docket Number in the appropriate text box provided.
Transaction Information
Item 15. Indicate whether the Applicant is seeking streamlined processing by checking the “Yes” or “No” box. If “Yes”, in an attachment the Applicant must demonstrate eligibility for streamlined processing in an attachment under section 63.12 of the Commission’s rules.
Item 16. The Transferee must acknowledge that it must notify the Commission no later than 30 days after either consummation of the transfer of control or a decision not to consummate the transfer by checking the box.
Item 17. The Applicant must enter the AuthID(s)/file number(s) of the International Section 214 authorization(s) for which the Transferee seeks to transfer in the chart provided.
Foreign Ownership
Item 18. The Transferee must indicate whether or not any individual or entity that is not a U.S. citizen holds a 10% or greater direct or indirect equity or voting interest, or a controlling interest, in itself or any other Applicant by checking the “Yes” or “No” box.
Item 18.a. If “Yes” then, the Applicant must indicate whether the Applicant qualifies for exclusion from referral to the Executive Branch because (1) the only reportable foreign ownership is through wholly owned intermediate holding companies and the ultimate ownership and control is held by U.S. citizens or entities; (2) the Applicant has an existing international section 214 authorization that is conditioned on compliance with an agreement with an Executive Branch agency concerning national security and/or law enforcement, there are no new reportable foreign owners of the Applicant since the effective date of the agreement, and the Applicant agrees to continue to comply with the terms of that agreement; and/or (3) the Applicant was reviewed by the Executive Branch within 18 months of the filing of the application and the Executive Branch had not previously requested that the Commission condition the Applicant’s international section 214 authorization on compliance with an agreement with an Executive Branch agency concerning national security and/or law enforcement and there are no new reportable foreign owners of the Applicant since that review
If the Applicant does qualify for exclusion from referral, the Applicant(s) must attach a specific showing in its application that it qualifies for the exclusion(s). Attachments can be added in the Attachments section of the application below.
If the Applicant checked the “No” box indicating that it does not qualify for exclusion from referral, each Applicant with reportable foreign ownership shall prepare and submit responses to standard questions, prior to or at the same time the Applicant files its application with the Commission, pursuant to part 1, subpart CC, of the Commission’s rules, to the Committee for the Assessment of Foreign Participation in the United States Telecommunications Services Sector (Committee). The required information shall be submitted separately from this application and shall be submitted directly to the Committee. Applicants submitting responses to the standard questions must also submit a complete and unredacted copy of this and any related FCC application(s), including the file number(s) and docket number(s), to the Committee within three (3) business days of filing it with the Commission. Detailed instructions for completing and sending the standard question responses and a copy of the FCC application(s) can be found on the Office of International Affairs website.
If the Applicant checked the “No” box indicating that it does not qualify for exclusion from referral, the Applicant must acknowledge that it is aware of its obligation to submit the standard question responses and copy of the application(s) to the Committee by checking the box at the end of Item 19.
Ownership Information
Item 19. Indicate whether any person or entity directly or indirectly will have 10% or more of the equity interests and/or voting interests, or a controlling interest, of the Authorization Holder by checking the “Yes” or “No” box. If “Yes,” in the designated column in the chart provide the following:
name of the person or entity that directly or indirectly owns at least ten percent of the equity of the Applicant (“Interest Holder”);
postal address of interest holder;
country name(s) for dual or more citizenship;
principal business of interest holder;
name of entity in which Interest Holder has a 10% or greater interest and indicate whether it is a direct or indirect interest;
percentage of equity interest by the Interest Holder to the nearest 1%; and
percentage of voting interest 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 direct or indirect ownership of the Applicant.
If “Yes,” also upload an attachment with a detailed ownership listing responding to 63.18(h) of the Commission’s rules.
Item 20. Indicate whether the Authorization Holder will have any interlocking directorates with a foreign carrier, pursuant to section 63.18(h) of the Commission’s rules by checking the “Yes” or “No” box.
Foreign Carrier Affiliation
Item 21. Indicate whether the Assignee is a foreign carrier or affiliated with a foreign carrier as defined in section 63.09(d) and (e) of the Commission’s rules by checking the “Yes” or “no” box. If “Yes,” upload an attachment providing the information and certification required by 47 CFR § 63.18(i) through (m).
Item 21.a. If “Yes,” provide information regarding the foreign carrier affiliation in the table provided and, in an attachment, provide the information and certifications required by section 63.18(i) through (m) of the Commission’s rules. In the designated column, provide the following information:
provide the name of the affiliated carrier;
use the drop-down menu to select the country in which the affiliation occurs.
indicate the type of affiliation:
The Applicant is a foreign carrier in that country;
The Applicant controls a foreign carrier in that country;
An entity that owns more than 25% of the applicant, or that controls the Applicant, controls a foreign carrier in that country;
Two or more foreign carriers (or parties that control foreign carriers) own, in the aggregate, more than 25 percent of the applicant and are parties to, or the beneficiaries of, a contractual relation (e.g., a joint venture or market alliance) affecting the provision or marketing of international basic telecommunications services in the United States; or
N/A, and provide an explain, if needed.
indicate whether the Applicants seek to provide international telecommunications service to this country by checking “Yes” or “No.”
indicate whether country is a member of the World Trade Organization by checking “Yes” or “No.” Add additional rows to provide information for all foreign carrier affiliations as necessary.
Item 21.b. If “Yes” to Item 21, indicate whether the Applicant seeks to be classified as non-dominant on any route listed in the application pursuant to section 63.10 of the Commission’s rules by checking the “Yes” or “No” box. If “No,” go to Item 21.e. If “Yes,” the Applicant must respond to Items 21.c. and 21.d.
Item 21.c. If “Yes” to Item 21.b., identify the routes for which the Applicant is requesting to be classified as a “non-dominant” carrier by selecting the route(s) from the drop down menu.
Item 21.d. If “Yes” to Item 21.b., indicate whether the Applicant has uploaded an attachment providing information to demonstrate that it qualifies for non-dominant classification under section 63.10 of the Commission’s rules by checking the “Yes” or “No” box.
Item 21.e. If “No” to Item 21.b., from the drop down menu, select the countries of the routes where the Applicant agrees to the requirements of section 63.10(c), (d) & (e).
Waivers
Item 23. Indicate whether this application includes a request for waiver of the Commission’s rules by checking “Yes” or “No.” If “Yes,” the Applicant must provide an explanation for the waiver request in an attachment, along with other material information.
Item 23.a. If “Yes” to 23, list the rules for which a waiver is sought.
Application Fees
Item 22. 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 https://www.fcc.gov/licensing-databases/fees/application-processing-fees, by calling the FCC’s Form Distribution Center at (800) 418-FORM (3676), or by faxing your request to the FCC’s Fax Information System at 1-866-418-0232.
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.
Waivers
Item 23. Indicate whether this application includes a request for waiver of the Commission’s rules by checking “Yes” or “No.” If “Yes,” the Applicant must provide an explanation for the waiver request in an attachment, along with other material information.
Item 23.a. If “Yes” to 23, list the rules for which a waiver is sought. The Applicant may attach the waiver request statement by clicking the button in Item 23b or in the Attachments/Confidential Treatment of Attachments that follows.
Attachments
Item 24. Indicate the Applicant has uploaded an attachment describing the transaction and explaining how it meets the Commission’s rules and that this transaction is in the public interest by checking the box.
Item 26. If applicable, indicate that the Applicant has uploaded an attachment that includes a statement of how the application qualifies for streamlined processing under section 63.12 of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 25. If applicable, indicate that the Applicant has uploaded an attachment to provide a detailed ownership listing responding to section 63.18(h) of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 268. If applicable, indicate that the Applicant has uploaded an attachment identifying any interlocking directorates with a foreign carrier, pursuant to section 63.18(h) of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 27. If applicable, indicate that the Assignee has uploaded must information to demonstrate that it qualifies for non-dominant classification under section 63.10 of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 28. Indicate whether the Applicant has uploaded a statement showing that its application qualifies for exclusion from referral to the Executive Branch under section 1.40001(a)(2) of the Commission’s rules information by checking “Yes” or if not applicable, by checking “N/A.”
Item 29. If applicable, indicate that the Applicant has uploaded an attachment that includes a statement of how the application qualifies for streamlined processing under section 63.12 of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 30. If applicable, Indicate whether the Applicant has uploaded an attachment providing the information and certifications required by section 63.18(i) through (m) of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 31. If applicable, indicate that the Applicant has uploaded a statement supporting its waiver request and identifying the rule number(s) involved, along with other material information by checking the “Yes” box. If not applicable, check N/A box.
Confidential Treatment of Attachments
Item 32. If the Applicant is requesting confidential treatment for any of its attachments, answer this question “yes.” Otherwise, answer “no.”
If the Applicant answers “yes” in item 31 then it must upload a supporting statement for the “confidential treatment request(s)” identifying the applicable rule(s) and providing other supporting materials or information. The Applicant must also upload both the Redacted Public version and the Non-Redacted Confidential version of the attachment(s) in the Attachments section which follows below.
The Applicant(s) can upload attachments in this section of the application. The Applicant(s) will identify the attachment(s) with a short name 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 this item, the Applicant may use the upload button to upload its attachments. After uploading, the Applicant can describe 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 in the attachment 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.
National Security/Law Enforcement Certification Statements
Item 33. In order to submit the application, the Applicant must certify acknowledgement of the following national security and law enforcement requirements by clicking on the single indicated checkbox. If there are multiple applicants, each applicant must certify acknowledgement of these requirements in their Supplements A.
These national security and law enforcement requirements include the obligations to:
Comply with all applicable Communications Assistance for Law Enforcement Act (CALEA) requirements and related rules and regulations, including any and all FCC orders and opinions governing the application of CALEA, pursuant to the Communications Assistance for Law Enforcement Act and the Commission’s rules and regulations in Title 47, part 1, subpart Z;
Make communications to, from, or within the United States, as well as records thereof, available in a form and location that permits them to be subject to a valid and lawful request or legal process in accordance with U.S. law, including but not limited to:
o The Wiretap Act, 18 U.S.C. § 2510 et seq.;
o The Stored Communications Act, 18 U.S.C. § 2701 et seq.;
o The Pen Register and Trap and Trace Statute, 18 U.S.C. § 3121 et seq.; and
o Other court orders, subpoenas or other legal process;
Designate a point of contact who is located in the United States and is a U.S. citizen or lawful U.S. permanent resident, for the execution of lawful requests and as an agent for legal service of process (note that these contacts were designated in Item 3 of this application);
Ensure the continuing accuracy and completeness of all information submitted, whether at the time of submission of the application or subsequently in response to either the Commission or the Committee’s request, as required under section 1.65(a) of the Commission’s rules, and to inform the Commission and the Committee of any substantial and significant changes while an application is pending;
Ensure that after the application is no longer pending for purposes of section 1.65 of the Commission’s rules, it will notify the Commission and the Committee of any changes in the authorization holder or licensee information and/or contact information promptly, and in any event within thirty (30) days; and
Fulfill the conditions and obligations set forth in the certifications set out in section 63.18(q) of the Commission’s rules or in the grant of an application or authorization and/or that if the information provided to the United States Government is materially false, fictitious, or fraudulent, it may be subject to all remedies available to the United States Government, including but not limited to revocation and/or termination of the Commission’s authorization or license, and criminal and civil penalties, including penalties under 18 U.S.C. § 1001.
General Certification Statements
Item 34. By checking the box at the end of this Item and submitting this form:
The Transferee certifies that for any country in which the Transferee affiliated with a foreign carrier as defined in section 63.09(d) and (e) of the Commission’s rules that is not a member of the World Trade Organization, it has demonstrated in an attachment whether the foreign carrier has market power or lacks market power under the criteria in section 63.10(a) of the Commission’s rules.
The Transferee certifies that it has not agreed to accept special concessions directly or indirectly from a foreign carrier with respect to any U.S. international route where the foreign carrier possesses sufficient market power on the foreign end of the route to affect competition adversely in the U.S. market and will not enter into such agreements in the future.
The Transferee will designate an agent for service in the District of Columbia if required by section 413 of the Communications Act within 30 days of providing service.
The Transferee certifies that it has provided, in an attachment, a narrative description of the transaction, provided all the required information and certifications, and a complete statement setting forth the facts that show how the assignment or transfer will serve the public interest, as required under section 214 of the Communications Act and sections 63.18 and 63.24 of the Commission’s rules.
The Applicant 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 under § 1.2002(c) of the rules, or to Federal, State or local governmental entities or subdivisions thereof. See 47 CFR § 1.2002(c)).
The Transferee 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.
Parties Authorized to Sign
Note that the Assignee/Transferee is considered the main or lead applicant for the application, and it will be able to sign only the Assignee/Transferee signature block. After the Assignee/Transferee signs, it should log out of ICFS. The entities identified as the Licensee and Assignor/Transferor at the beginning of the application should then log into ICFS. They will have a message in their ICFS inbox indicating that an application is waiting. The Licensee/Assignor/Transferor should check the My Filings tab for the application, click on it and review. The Licensee/Assignor/Transferor cannot edit any part of the application other than its signature block. All applicants are encouraged to confer with each other to be sure the application information is accurate and complete. Then the Licensee/Assignor/Transferor should sign the appropriate signature blocks and log out. Once all signature block have been completed and the rest of the application is complete (including all necessary attachments), the Assignee/Transferee can log in and submit the application.
Item 35. The Authorization Holder must 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.
Item 36. The Transferor must 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.
Item 37. The Transferee must 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 312(a)), AND/OR FORFEITURE (U.S. Code, Title 47, Section 503).
Instructions for Pro Forma (Non-Substantive) Transfer of Control
Item 13. Indicate whether the transfer of control is voluntary or involuntary by checking the appropriate box.
Item 13.a. If the transfer is involuntary, identify the type of involuntary transfer by checking the appropriate box. If “other” is selected as the type of involuntary transfer, the basis for the transfer being involuntary.
Item 13.b. Enter the date of the event causing the involuntary transfer of control in the text box provided. If the date entered is prior to 30 days before the current date, the Applicant must upload an attachment explaining why the filing was not provided to the Commission no later than thirty days (30) or less after the event causing the involuntary transfer in accordance with section 63.24(g) of the Commission’s rules.
Related Filings
Item 14. Indicate whether there is a separately filed request related to this transaction filed by the Applicant by checking the “Yes” or “No” box. If yes, the applicant must enter the related IBFS, ULS, or Docket Number in the appropriate text box provided.
Transaction Information
Item 15. Enter the consummation date of the transaction in the text box provided. If the date entered is prior to 30 days before current date, the Applicant must upload an attachment explaining why the notification was not provided to the Commission no later than 30 days after the consummation date.
Item 16. By checking the box, the Assignee certifies that the assignment or transfer of control was pro forma, as defined in section 63.24 of the Commission’s rules, and together with all previous pro forma transactions, does not result in a change of the authorization holder’s ultimate control. In an attachment, provide an explanation for this certification.
Item 17. The Applicant must enter the AuthID(s)/file number(s) of the International Section 214 authorization(s) for which the Transferee seeks to transfer in the chart provided.
Foreign Ownership
Item 18. The Applicant must indicate whether or not any individual or entity that is not a U.S. citizen holds a 10% or greater direct or indirect equity or voting interest, or a controlling interest, in itself or any other Applicant by checking the “Yes” or “No” box.
Item 18.a. If “Yes” then, the Applicant must indicate whether the Applicant qualifies for exclusion from referral to the Executive Branch because (1) the only reportable foreign ownership is through wholly owned intermediate holding companies and the ultimate ownership and control is held by U.S. citizens or entities; (2) the Applicant has an existing international section 214 authorization that is conditioned on compliance with an agreement with an Executive Branch agency concerning national security and/or law enforcement, there are no new reportable foreign owners of the Applicant since the effective date of the agreement, and the Applicant agrees to continue to comply with the terms of that agreement; and/or (3) the Applicant was reviewed by the Executive Branch within 18 months of the filing of the application and the Executive Branch had not previously requested that the Commission condition the Applicant’s international section 214 authorization on compliance with an agreement with an Executive Branch agency concerning national security and/or law enforcement and there are no new reportable foreign owners of the Applicant since that review. Per Section 1.40001(a)(2)(i) of the Commission’s rules (47 CFR § 1.40001(a)(2)(i)), pro forma notifications and applications with reportable foreign ownership are generally excluded from Executive Branch referral, so the pro forma Applicant should answer “Yes” to Q19a. Pro forma applicants are not required to submit an additional specific showing that they qualify for exclusion from referral, provided the pro forma notification/application is otherwise complete.
If the Applicant does qualify for exclusion from referral, the Applicant(s) must attach a specific showing in its application that it qualifies for the exclusion(s). Attachments can be added in the Attachments section of the application below.
If the Applicant checked the “No” box indicating that it does not qualify for exclusion from referral, each Applicant with reportable foreign ownership shall prepare and submit responses to standard questions, prior to or at the same time the Applicant files its application with the Commission, pursuant to part 1, subpart CC, of the Commission’s rules, to the Committee for the Assessment of Foreign Participation in the United States Telecommunications Services Sector (Committee). The required information shall be submitted separately from this application and shall be submitted directly to the Committee. Applicants submitting responses to the standard questions must also submit a complete and unredacted copy of this and any related FCC application(s), including the file number(s) and docket number(s), to the Committee within three (3) business days of filing it with the Commission. Detailed instructions for completing and sending the standard question responses and a copy of the FCC application(s) can be found on the Office of International Affairs website (https://www.fcc.gov/international-affairs).
If the Applicant checked the “No” box indicating that it does not qualify for exclusion from referral, the Applicant must acknowledge that it is aware of its obligation to submit the standard question responses and copy of the application(s) to the Committee by checking the box at the end of Item 19.
Ownership Information
Item 19. Indicate whether any person or entity holds a 10% or greater direct or indirect equity or voting interest in the Applicant, pursuant to section 63.18(h) of the Commission’s rules, by checking “Yes’ or No.” If “Yes,” in the designated column in the chart provide the following:
name of the person or entity that directly or indirectly owns at least ten percent of the equity of the Applicant (“Interest Holder”);
postal address of interest holder;
country name(s) for dual or more citizenship;
principal business of interest holder;
name of entity in which Interest Holder has a 10% or greater interest and indicate whether it is a direct or indirect interest;
percentage of equity interest by the Interest Holder to the nearest 1%; and
percentage of voting interest 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 direct or indirect ownership of the Applicant.
If “Yes,” also upload an attachment with a detailed ownership listing responding to 63.18(h) of the Commission’s rules.
Item 20. Indicate whether the Authorization Holder will have any interlocking directorates with a foreign carrier, pursuant to section 63.18(h) of the Commission’s rules by checking the “Yes” or “No” box.
Foreign Carrier Affiliation
Item 21. Indicate whether the Assignee is a foreign carrier or affiliated with a foreign carrier as defined in section 63.09(d) and I of the Commission’s rules by checking the “Yes” or “no” box. . If “Yes,” upload an attachment providing the information and certification required by 47 CFR § 63.18(i) through (m).
Item 21.a. If “Yes,” provide information regarding the foreign carrier affiliation in the table provided and, in an attachment, provide the information and certifications required by section 63.18(i) through (m) of the Commission’s rules. In the designated column, provide the following information:
provide the name of the affiliated carrier;
use the drop-down menu to select the country in which the affiliation occurs.
indicate the type of affiliation:
The Applicant is a foreign carrier in that country;
The Applicant controls a foreign carrier in that country;
An entity that owns more than 25% of the applicant, or that controls the Applicant, controls a foreign carrier in that country;
Two or more foreign carriers (or parties that control foreign carriers) own, in the aggregate, more than 25 percent of the applicant and are parties to, or the beneficiaries of, a contractual relation (e.g., a joint venture or market alliance) affecting the provision or marketing of international basic telecommunications services in the United States; or
N/A, and provide an explain, if needed.
indicate whether the Applicants seek to provide international telecommunications service to this country by checking “Yes” or “No.”
indicate whether country is a member of the World Trade Organization by checking “Yes” or “No.” Add additional rows to provide information for all foreign carrier affiliations as necessary.
Item 21.b. If “Yes” to Item 21, indicate whether the Applicant seeks to be classified as non-dominant on any route listed in the application pursuant to section 63.10 of the Commission’s rules by checking the “Yes” or “No” box. If “No,” go to Item 21.e. If “Yes,” the Applicant must respond to Items 21.c. and 21.d.
Item 21.c. If “Yes” to Item 21.b., identify the routes for which the Applicant is requesting to be classified as a “non-dominant” carrier by selecting the route(s) from the drop down menu.
Item 21.d. If “Yes” to Item 21.b., indicate whether the Applicant has uploaded an attachment providing information to demonstrate that it qualifies for non-dominant classification under section 63.10 of the Commission’s rules by checking the “Yes” or “No” box.
Item 21.e. If “No” to Item 21.b., from the drop down menu, select the countries of the routes where the Applicant agrees to the requirements of section 63.10(c), (d) & (e).
Application Fees
Item 22. 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 athttps://www.fcc.gov/licensing-databases/fees/application-processing-fees , by calling the FCC’s Form Distribution Center at (800) 418-FORM (3676), or by faxing your request to the FCC’s Fax Information System at 1-866-418-0232.
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.
Waivers
Item 23. Indicate whether this application includes a request for waiver of the Commission’s rules by checking “Yes” or “No.” If “Yes,” the Applicant must provide an explanation for the waiver request in an attachment, along with other material information.
Item 23.a. If “Yes” to 23, list the rules for which a waiver is sought. The Applicant may attach the waiver request statement by clicking the button in Item 23b or in the Attachments/Confidential Treatment of Attachments that follows.
Attachments
Item 24. Indicate the Applicant has uploaded an attachment describing the transaction and explaining how it meets the Commission’s rules and that this transaction is in the public interest by checking the box.
Item 25. If applicable, indicate that the Applicant has uploaded an attachment to provide a detailed ownership listing responding to section 63.18(h) of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 26. If applicable, indicate that the Applicant has uploaded an attachment identifying any interlocking directorates with a foreign carrier, pursuant to section 63.18(h) of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 27. If applicable, indicate that the Assignee has uploaded must information to demonstrate that it qualifies for non-dominant classification under section 63.10 of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 28. Indicate that the Transferee uploaded an explanation for its certification that the assignment or transfer of control was pro forma, as defined in section 63.24 of the Commission’s rules, and together with all previous pro forma transactions, does not result in a change of the authorization holder’s ultimate control.
Item 29. Indicate that the Applicant has uploaded an explanation as to why the pro forma notification was not provided to the Commission no later than thirty days (30) or less after the consummation in accordance with section 63.24(f) of the Commission’s rules
Item 30. Indicate whether the Applicant has uploaded a statement showing that its application qualifies for exclusion from referral to the Executive Branch under section 1.40001(a)(2) of the Commission’s rules information by checking “Yes” or if not applicable, by checking “N/A.” As a result of this being a pro forma filing, there is no need to submit an additional statement about qualifying for exclusion from referral (provided the Applicant has met all other pro forma filing requirements as set forth in this application), and the Applicant can select N/A.
Item 31. If applicable, indicate that the Applicant has uploaded an attachment that includes a statement of how the application qualifies for streamlined processing under section 63.12 of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 32. If applicable, Indicate whether the Applicant has uploaded an attachment providing the information and certifications required by section 63.18(i) through (m) of the Commission’s rules by checking the “Yes” box. If not applicable, check N/A box.
Item 33. If applicable, indicate that the Applicant has uploaded a statement supporting its waiver request and identifying the rule number(s) involved, along with other material information by checking the “Yes” box. If not applicable, check N/A box.
Confidential Treatment of Attachments
Item 34. Indicate whether the Applicant is requesting confidential treatment of an attachment(s) under section 0.459 of the Commission’s rules by checking the “Yes” or “No” box.
The Applicant acknowledges it must upload a supporting statement for the “confidential treatment request(s)” identifying the applicable rule(s) and providing other supporting materials or information AND acknowledges it must upload both the Redacted Public version and the Non-Redacted Confidential version of the attachment(s) by checking the box.
In the table provided, for each attachment that the Applicant has uploaded, the Applicant must list each attachment and assign a number to each attachment in the first column; in the second column, provide a search description of the attachment; and in the third column indicate whether the Applicant is requesting confidential treatment of the attachment by checking the confidential box or leaving the confidential box unchecked.
If the confidential box is checked, then the public version of the Confidential Treatment Request (with supporting statement, identifying the applicable rules and other supporting materials and information) is an attachment and must be listed in the same attachment table and a description must be provided in the table. In addition, the Applicant must upload the public version of the Confidential Treatment Request (with supporting statement, identifying the applicable rules and other supporting materials and information) by using the upload button provided.
Also, if the confidential box is checked, then the public redacted version of the filing is an attachment and must be listed in the same attachment table and a description must be provided in the table. In addition, the Applicant must upload the public redacted filing by using the upload button.
Also, if the confidential box is checked, then the confidential non-redacted filing is an attachment and must be listed in the same attachment table and a description must be provided in the table. In addition, the Applicant must upload the non-redacted filing by using the upload button. Note: Confidential attachments will not be made public until FCC staff make a determination.
National Security/Law Enforcement Certification Statements
Item 35. In order to submit the application, the Applicant must certify acknowledgement of the following national security and law enforcement requirements by clicking on the single indicated checkbox. If there are multiple applicants, each applicant must certify acknowledgement of these requirements in their Supplements A.
These national security and law enforcement requirements include the obligations to:
Comply with all applicable Communications Assistance for Law Enforcement Act (CALEA) requirements and related rules and regulations, including any and all FCC orders and opinions governing the application of CALEA, pursuant to the Communications Assistance for Law Enforcement Act and the Commission’s rules and regulations in Title 47, part 1, subpart Z;
Make communications to, from, or within the United States, as well as records thereof, available in a form and location that permits them to be subject to a valid and lawful request or legal process in accordance with U.S. law, including but not limited to:
o The Wiretap Act, 18 U.S.C. § 2510 et seq.;
o The Stored Communications Act, 18 U.S.C. § 2701 et seq.;
o The Pen Register and Trap and Trace Statute, 18 U.S.C. § 3121 et seq.; and
o Other court orders, subpoenas or other legal process;
Designate a point of contact who is located in the United States and is a U.S. citizen or lawful U.S. permanent resident, for the execution of lawful requests and as an agent for legal service of process (note that these contacts were designated in Item 3 of this application);
Ensure the continuing accuracy and completeness of all information submitted, whether at the time of submission of the application or subsequently in response to either the Commission or the Committee’s request, as required under section 1.65(a) of the Commission’s rules, and to inform the Commission and the Committee of any substantial and significant changes while an application is pending;
Ensure that after the application is no longer pending for purposes of section 1.65 of the Commission’s rules, it will notify the Commission and the Committee of any changes in the authorization holder or licensee information and/or contact information promptly, and in any event within thirty (30) days; and
Fulfill the conditions and obligations set forth in the certifications set out in section 63.18(q) of the Commission’s rules or in the grant of an application or authorization and/or that if the information provided to the United States Government is materially false, fictitious, or fraudulent, it may be subject to all remedies available to the United States Government, including but not limited to revocation and/or termination of the Commission’s authorization or license, and criminal and civil penalties, including penalties under 18 U.S.C. § 1001.
General Certification Statements
Item 36. By checking the box at the end of this Item and submitting this form,
The Transferee certifies that for any country in which the Assignee affiliated with a foreign carrier as defined in section 63.09(d) and (e) of the Commission’s rules that is not a member of the World Trade Organization, it has demonstrated in an attachment whether the foreign carrier has market power or lacks market power under the criteria in section 63.10(a) of the Commission’s rules.
The Transferee certifies that it has not agreed to accept special concessions directly or indirectly from a foreign carrier with respect to any U.S. international route where the foreign carrier possesses sufficient market power on the foreign end of the route to affect competition adversely in the U.S. market and will not enter into such agreements in the future.
The Transferee will designate an agent for service in the District of Columbia if required by section 413 of the Communications Act within 30 days of providing service.
The Transferee certifies that it has provided, in an attachment, a narrative description of the transaction, provided all the required information and certifications, and a complete statement setting forth the facts that show how the assignment or transfer will serve the public interest, as required under section 214 of the Communications Act and sections 63.18 and 63.24 of the Commission’s rules.
The Applicant 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 under § 1.2002(c) of the rules, or to Federal, State or local governmental entities or subdivisions thereof. See 47 CFR § 1.2002(c)).
The Transferee 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.
Parties Authorized to Sign
Note that the Assignee/Transferee is considered the main or lead applicant for the application, and it will be able to sign only the Assignee/Transferee signature block. After the Assignee/Transferee signs, it should log out of ICFS. The entities identified as the Licensee and Assignor/Transferor at the beginning of the application should then log into ICFS. They will have a message in their ICFS inbox indicating that an application is waiting. The Licensee/Assignor/Transferor should check the My Filings tab for the application, click on it and review. The Licensee/Assignor/Transferor cannot edit any part of the application other than its signature block. All applicants are encouraged to confer with each other to be sure the application information is accurate and complete. Then the Licensee/Assignor/Transferor should sign the appropriate signature blocks and log out. Once all signature block have been completed and the rest of the application is complete (including all necessary attachments), the Assignee/Transferee can log in and submit the application.
Item 37. The Authorization Holder must 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.
Item 38. The Transferor must 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.
Item 39. The Transferee must 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 312(a)), AND/OR FORFEITURE (U.S. Code, Title 47, Section 503).
August 2024
| File Type | application/vnd.openxmlformats-officedocument.wordprocessingml.document |
| File Modified | 0000-00-00 |
| File Created | 2024-09-06 |