FAQ-One-Time Information Collection for International Section 214 Authorization Holders

Answer

On April 20, 2023, the Federal Communications Commission (Commission) adopted an Order (FCC 23-28) requiring all International Section 214 Authorization Holders (Authorization Holders) to provide foreign ownership information in a one-time collection (One-Time Information Collection). 

• The Order directed each Authorization Holder to identify its 10% or greater direct or indirect Foreign Interest Holders that hold such equity and/or voting interests, or a controlling interest, in the Authorization Holder (Reportable Foreign Ownership) as of thirty (30) days prior to the filing deadline. 
• The Order required each Authorization Holder to certify as to the accuracy of the information provided. 

Answer

The entity or individual that currently holds the International Section 214 Authorization must respond to the One-Time Information Collection before the filing deadline.  Below are examples of who is responsible for responding to the One-Time Information Collection if an assignment or transfer of control occurred.

• Assignment - If Company A assigned its International Section 214 Authorization to Company B, Company B now holds the Authorization. 
  • Company B is required to respond to the One-Time Information Collection.
• Transfer of Control – If Company Y, the owner of Authorization Holder X, sells its interest in Authorization Holder X to Company Z, Authorization Holder X continues to hold the Authorization. 
  • Authorization Holder X is required to respond to the One-Time Information Collection.

Answer

All International Section 214 Authorization Holders must provide all of the current Authorization File Numbers associated with their FCC Registration Number (FRN) and identify whether they have Reportable Foreign Ownership.

• Identify Reportable Foreign Ownership.  Unless an Authorization Holder qualifies for an Exemption, as discussed below, each Authorization Holder must identify:

• • Each foreign individual and/or entity (including a government organization) that directly and/or indirectly holds 10% or greater equity and/or voting interests, or a controlling interest, in the Authorization Holder (Reportable Foreign Ownership) as of thirty (30) days prior to the filing deadline.

• No Reportable Foreign Ownership.  If applicable, the Authorization Holder must certify that it does not have 10% or greater direct or indirect Foreign Interest Holders that hold such equity and/or voting interests or any controlling interest (Reportable Foreign Ownership) in the Authorization Holder as of thirty (30) days prior to the filing deadline.

• Officer Must Certify.  An officer of the Authorization Holder must certify to the truth and accuracy of all information provided in response to the One-Time Information Collection. 

Answer

Yes, the Authorization Holder can review the questions before starting the form. 

• To do so, Authorization Holders may file a surrender letter in the International Communications Filing System (ICFS) before the filing deadline. 
• Authorization Holders that file a surrender letter before the filing deadline do not need to respond to the One-Time Information Collection.

Answer

If an Authorization Holder files a surrender letter before the filing deadline, the Authorization Holder does not need to respond to the One-Time Information Collection.  An Authorization Holder that no longer needs or uses its authorization(s) is strongly encouraged to surrender its International Section 214 Authorizations before the filing deadline. 

• Filing a Surrender Letter in ICFS.  An Authorization Holder may file a surrender letter in the International Communications Filing System (ICFS).  The Commission does not have a specific rule on surrender letters but it is customary for the Authorization Holder to upload a letter surrendering the International Section 214 Authorization in ICFS for its Authorization File Number(s).

• • Link to ICFS.  To file a surrender letter, the Authorization Holder may visit the ICFS homepage at https://www.fcc.gov/icfs. 
    • The Authorization Holder should file the surrender letter in ICFS as a “Letter” under “Pleadings and Comments.” 
  • Information in the Surrender Letter.  In the surrender letter, it is customary for the Authorization Holder to provide: 
    • The Authorization File Number(s) that the Authorization Holder is surrendering;
    • Information as to whether the Authorization Holder has existing customers;
    • An explanation as to what is happening and/or will happen to the customers. 

• • • • For example, whether the carrier has filed a notification of discontinuance pursuant to Section 63.19 of the Commission’s rules, or whether the carrier has other International Section 214 Authorizations that it will use to continue providing service to its customers.

• • • An Authorization Holder that does not file a surrender letter before the filing deadline must respond to the One-Time Information Collection, even if the Authorization Holder no longer needs or uses its International Section 214 Authorization.  

Answer

Each Authorization Holder must complete and submit the form online.

Each Authorization Holder must log into the online filing system with its username and password for the FCC User Registration System. 

Answer

Authorization Holders should prepare for the form and review the technical information below before answering the questions in the One-Time Information Collection. 

The Authorization Holder should: 

1. Ensure it knows its FRN(s) and current International Section 214 Authorization File Number(s) associated with each FRN. 
   • To determine its FRN, the Authorization Holder should visit the Commission Registration System (CORES) webpage, and search for the Authorization Holder’s FRN using other identifying information specified in the CORES search functions.
   2. Review the Commission’s Order and Notice of Proposed Rulemaking (FCC 23-28) and the Office of International Affairs’ Order (DA 23-745) and Public Notice (DA 23-746) addressing an Exemption (as discussed below). 
   3. Review these FAQs and the Instructions.
      • The Instructions are available.
   4. Review and understand the technical information, as discussed below.
   5. Compile all of the information required by the One-Time Information Collection before starting the form. 
   6. Have all of the information required by the collection in front of it before starting the form.

Answer

The Authorization Holder should review and understand the following technical information before starting the One-Time Information Collection.

• The Filer is Unable to Go Back to Previously Answered Questions.  The filer cannot go back and review earlier responses after moving to the next question. 

• The System Will Provide A Copy of the Filer’s Answers to the Questions Only After the Filer Submits the Completed Form.  A PDF document with the Authorization Holder’s  answers will be available only after the filer completes and submits the survey.

• Carefully Review Answers Before Continuing to the Next Question.  Because an officer of the Authorization Holder must certify to the truth and accuracy of its responses at the end of the form, we encourage the filer to carefully review the answer to each question before moving to the next question. 

• Copies of Questions and Responses.  The Authorization Holder may save a copy of each response before continuing to the next question. 
  • For example, the Authorization Holder may print a copy of each response or take a screen shot of each answer before moving to the next question.  

• Timing Out After One Hour of Inactivity.  The One-Time Information Collection will time out after one hour of inactivity.  If this occurs, an email containing a link will be sent to the Authorization Holder that will allow it to complete the One-Time Information Collection. 
  • An email containing the link will be sent to the email address that the Authorization Holder used to log into the online system.
  • If the email address of the Authorization Holder’s Certifying Official was entered in response to Question 3.b. beforehand, an email containing the link will also be sent to the Certifying Official’s email address.

• Do Not Use the Back Button on the Browser.  If the Authorization Holder clicks on the “Back” button of the browser or directly opens an embedded link, the Authorization Holder will be directed out of the form, and automatically will time out of the system after one hour of inactivity.  The Authorization Holder will need to either:
  • Use the link that will be provided in an email to complete the One-Time Information Collection (see “Timing Out After One Hour of Inactivity”), or
  • Use the link provided on the One-Time Information Collection webpage to log into the system and respond to each question again starting at the beginning of the form.    

• How to Open Embedded Links.  To open embedded links in any part of the form, “right click” on a link and select “Open Link in New Tab.”  If the Authorization Holder instead directly clicks on and opens an embedded link, the Authorization Holder will be directed out of the form, and automatically will time out of the system after one hour of inactivity.  The Authorization Holder will need to either:
  • Use the link that will be provided in an email to complete the One-Time Information Collection (see “Timing Out After One Hour of Inactivity”), or
  • Use the link provided on the One-Time Information Collection webpage to log into the system and respond to each question again starting at the beginning of the form.

Answer

The Authorization Holder should enable cookies on its browser to save its progress.  To save its progress if the Authorization Holder needs to exit the One-Time Information Collection before submitting its responses, the Authorization Holder should ensure that cookies are enabled on its browser before beginning the One-Time Information Collection.

• An Authorization Holder’s progress will not be saved if, for example:

• • Cookies are disabled and the Authorization Holder exits the One-Time Information Collection before submitting its responses, or
  • The Authorization Holder exits the One-Time Information Collection before submitting its responses and it then clears cookies in its browser.

Answer

All Authorization Holders must have an FRN to file their responses to the One-Time Information Collection. 

• An FRN is the 10-digit number assigned to all individuals and entities that transact business with the Commission.  An FRN must be provided any time an Authorization Holder submits an application in ICFS. 
• Authorization Holder Does Not Have an FRN.  If an Authorization Holder does not have an FRN, the Authorization Holder must obtain an FRN through the Commission Registration System (CORES) webpage at https://apps.fcc.gov/cores/userLogin.do. 
  • An entity that holds an International Section 214 Authorization should identify itself as an “Entity” in CORES.
  • For additional assistance, submit a help request at https://www.fcc.gov/wireless/available-support-services or call the FRN Help Desk at (877) 480-3201 (Monday-Friday, 8 a.m.-6 p.m. ET). 
  • After obtaining its FRN, the Authorization Holder should complete the following steps: 
    • • The Authorization Holder must send an email to ICFSInfo@fcc.gov to request that FCC staff add the FRN to its current Authorization File Number(s) in ICFS.
      • The Authorization Holder will need to provide its FRN, current Authorization File Number(s), and telephone number in the email to FCC staff. 
      • Once FCC staff update the information in ICFS, FCC staff will inform the Authorization Holder by email that it can complete the One-Time Information Collection. 
      • The Authorization Holder can also check whether its FRN is associated with its current Authorization File Number(s) in ICFS at: https://www.fcc.gov/icfs. 
  • If the Authorization Holder has further questions, it can send an email to ICFSInfo@fcc.gov.

Answer

• FRN is Associated with Current Authorization File Number(s).  If an Authorization Holder has an FRN associated with a current Authorization File Number(s) in ICFS, the Authorization Holder must submit a response to the One-Time Information Collection using that specific FRN. 
  • The Authorization Holder should not obtain a new FRN. 
  • An Authorization Holder can determine the FRN associated with its current Authorization File Number(s) by accessing records associated with the Authorization File Number(s) in ICFS at: https://www.fcc.gov/icfs.

• FRN is Not Associated with Current Authorization File Number(s).  If an Authorization Holder has an FRN, but the FRN is not associated with a current Authorization File Number(s) in ICFS, the Authorization Holder must contact FCC staff to add the FRN to its current Authorization File Number(s) in ICFS.  Below, are the steps:

• • The Authorization Holder must send an email to ICFSInfo@fcc.gov to request that FCC staff add the FRN to its current Authorization File Number(s) in ICFS.
  • The Authorization Holder will need to provide its FRN, current Authorization File Number(s), and telephone number in the email to FCC staff. 
  • Once FCC staff update the information in ICFS, FCC staff will inform the Authorization Holder by email that it can complete the One-Time Information Collection. 
  • The Authorization Holder can also check whether its FRN is associated with its current Authorization File Number(s) in ICFS at: https://www.fcc.gov/icfs. 
    • If the Authorization Holder has further questions, it can send an email to ICFSInfo@fcc.gov.

Answer

If an Authorization Holder has multiple FRNs, the Authorization Holder must file separate responses to the One-Time Information Collection for each FRN and the Authorization File Number(s) associated with that FRN. 

• The Authorization Holder must use the link to the online form that is provided on the One-Time Information Collection webpage to file a separate response for each FRN. 

• The link to the online form

Answer

To start a new form for an FRN(s) with a different FCC Username Account(s), the Authorization Holder must: 

• Clear the browsing data and cookies in its web browser each time before it clicks on the link on the One-Time Information Collection webpage.  By doing this, the Authorization Holder will be back at the log-in page. 

• The Authorization Holder can then enter its username/email address to start a new form with a different email address and for a different FRN. 

• The Authorization Holder should follow these instructions for each respective FRN. 

• If the Authorization Holder is not able to get back to the log-in page, email the FCC’s Office of International Affairs, Telecommunications & Analysis Division with your telephone number at fcc-evolving-risks@fcc.gov.  A staff member will call you to trou

Answer

• All responses, including any personally identifiable information (PII) provided, will be made publicly available in IB Docket No. 23-119 and associated with the Authorization Holder’s International Section 214 Authorization(s) in ICFS, except to the extent that any material or information is afforded confidential treatment.  For more information about the Commission’s uses and disclosures of such information, see https://www.fcc.gov/sites/default/files/sor-fcc-ib-1.pdf.  

Answer

The Commission is currently considering in a Notice of Proposed Rulemaking in IB Docket No. 23-119 whether to cancel the authorizations of carriers that fail to timely respond to the One-Time Information Collection and to impose forfeitures or other measures where a carrier fails to respond in a timely or complete manner. 

Answer

As stated in section 1.46 of the Commission’s rules, it is the policy of the Commission that extensions of deadlines are not routinely granted.  47 CFR § 1.46(a).  Authorization Holders should not expect the Commission to grant an extension of time or a waiver.  Whether an extension of time or a waiver is granted will depend on the facts and circumstances presented in the extension or waiver request.  

It is important for all Authorization Holders to file by the deadline.  The Commission is currently considering in aNotice of Proposed Rulemakingin IB Docket No. 23-119 whether to cancel the authorizations of carriers that fail to timely respond to the One-Time Information Collection and to impose forfeitures or other measures where a carrier fails to respond in a timely or complete manner.

Answer

Willful false statements on this form are punishable by fine and/or imprisonment (U.S. Code, Title 18, Section 1001), and/or revocation of any station license or construction permit (U.S. Code, Title 47, Section 312(a)(1)), and/or forfeiture (U.S. Code, Title 47, Section 503).

Answer

An officer of the Authorization Holder must certify to the truth and accuracy of all information provided in response to the One-Time Information Collection.  An officer of the Authorization Holder is, for example, a corporate officer, managing partner, or sole proprietor. 

For purposes of this filing, the entry of the official’s name shall constitute that official’s electronic signature to the certification.  By signing, the official certifies that the official has examined the filing and that, to the best of the official’s knowledge, information and belief, all statements of fact contained in the filing are true and correct.

Answer

Because an officer of the Authorization Holder must certify to the truth and accuracy of its responses at the end of the form, we encourage the Authorization Holder to carefully review its answer to each question before moving to the next question.  Below are the steps if an Authorization Holder needs to correct an error on any question before it certifies and submits its responses to the One-Time Information Collection:  

• The Authorization Holder should send an email to Evolving.Risks_RetakeLink@fcc.gov and request a new link to retake the One-Time Information Collection (retake link).
• The Authorization Holder will need to provide its FRN in the email. 
• Once FCC staff close the Authorization Holder’s One-Time Information Collection session associated with the FRN, the Authorization Holder will receive an automated email that contains a retake link that the Authorization Holder should use to complete the One-Time Information Collection. 
• The Authorization Holder will have the ability to view and modify its current responses through the retake link.
  • An email containing the retake link will be sent to the email address that the Authorization Holder used to log into the online system.
  • If the email address of the Authorization Holder’s Certifying Official was entered in response to Question 3.b., an email containing the retake link will also be sent to the Certifying Official’s email address.
• The Commission will consider only a filer’s most recent submission of the One-Time Information Collection before the deadline.

Answer

• If the Authorization Holder needs to correct its response to the One-Time Information Collection after submission, the Authorization Holder can submit new responses before the deadline on January 22, 2024 by 11:59 pm Eastern Time (ET). 
• If the Authorization Holder needs to correct its response after submission, IT MUST use the link:
  • On the confirmation webpage at the end of the One-Time Information Collection or
  • In the email from the most recent submission. 
• An email containing the retake link will be sent to:
  • (1) the email address that the Authorization Holder used to log into the online system, and
  • (2) the email address of the Authorization Holder’s Certifying Official.
• The email will include a PDF copy of the answers that the Authorization Holder submitted in response to the questions in the One-Time Information Collection.  
• An Authorization Holder may find it helpful to retain the PDF copy of the responses if the Authorization Holder needs to correct its previous responses to the One-Time Information Collection.
  • An officer of the Authorization Holder must certify to the truth and accuracy of all information in the corrected submission provided in response to the One-Time Information Collection.
  • Such corrected submission will replace the Authorization Holder’s previous erroneous submission.
• The Commission will consider only a filer’s most recent submission of the One-Time Information Collection before the deadline.

IMPORTANT NOTE:  After submitting the form, if the Authorization Holder needs to correct its response, it must use the retake link provided in the email from the most recent submission.  It should not use the original link provided on the One-Time Information Collection webpage, which would generate a new response. 

Answer

• One-Time Information Collection.  For questions about the One-Time Information Collection, email the FCC’s Office of International Affairs, Telecommunications & Analysis Division at fcc-evolving-risks@fcc.gov. 
• FCC Registration Numbers (FRNs).  For questions relating to FRNs, submit a help request at https://www.fcc.gov/wireless/available-support-services or call the FRN Help Desk at (877) 480-3201 (Monday-Friday, 8 a.m.-6 p.m. Eastern time (ET)).  Additional information regarding FRNs can be found on the Commission Registration System (CORES) webpage at https://apps.fcc.gov/cores/userLogin.do. 
• ICFS.  Additional information regarding ICFS can be found on the ICFS homepage at https://www.fcc.gov/icfs.  For questions relating to ICFS, email ICFSInfo@fcc.gov or call ICFS Help Line at (202) 418-2222 (Monday-Friday, 8:30 a.m.-4:30 p.m. ET).
• Requesting a Retake Link to Correct Errors Prior to Submission.  If an Authorization Holder needs to correct an error on any question before it certifies and submits its responses to the One-Time Information Collection, the Authorization Holder can send an email to Evolving.Risks_RetakeLink@fcc.gov to request a new link to retake the One-Time Information Collection.

Answer

For purposes of this One-Time Information Collection, a “reportable Foreign Interest Holder” is a foreign individual(s) and/or entity(ies) (including a government organization) that directly and/or indirectly holds 10% or greater equity and/or voting interests, or a controlling interest, in the Authorization Holder (Reportable Foreign Ownership). 

• See 47 CFR § 63.18(h); Order at para. 18 & n.73; Process Reform for Executive Branch Review of Certain FCC Applications and Petitions Involving Foreign Ownership, IB Docket No. 16-155, Report and Order, 35 FCC Rcd 10927, 10985, Appx. B, para. 11 (2020); Process Reform for Executive Branch Review of Certain FCC Applications and Petitions Involving Foreign Ownership, IB Docket No. 16-155, Erratum, 35 FCC Rcd 13164, 13173, para. 11 (2020).

Answer

For the purposes of the One-Time Information Collection, each Authorization Holder is required to identify Reportable Foreign Ownership where any interest holder (including a government organization) has a place of organization in (for entities) or is a citizen of (for individuals) any foreign country or countries. 

Answer

In the One-Time Information Collection, each Authorization Holder is required to identify Reportable Foreign Ownership where any interest holder (including a government organization) has a place of organization in or is a citizen of a country that meets the Department of Commerce’s definition of a “foreign adversary.”

A “foreign adversary” is defined in the Department of Commerce’s rule, 15 CFR § 7.4.  These are:

1. The People’s Republic of China, including the Hong Kong Special Administrative Region (China)
2. Republic of Cuba (Cuba)
3. Islamic Republic of Iran (Iran)
4. Democratic People’s Republic of Korea (North Korea)
5. Russian Federation (Russia), and
6. Venezuelan politician Nicolás Maduro (Maduro Regime).

An Authorization Holder must also identify Reportable Foreign Ownership from non-“foreign adversary” countries.

Answer

For the purposes of the One-Time Information Collection, the Authorization Holder can refer to section 63.18(h), Note to paragraph (h), of the Commission’s rules to determine attribution of ownership interests in the Authorization Holder that are held indirectly by any party through one or more intervening entities.

 

• For example, if A owns 30 percent of company X, which owns 60 percent of company Y, which owns 26 percent of “carrier,” then X’s interest in “carrier” would be 26 percent (the same as Y’s interest because X’s interest in Y exceeds 50 percent), and A’s interest in “carrier” would be 7.8 percent (0.30 × 0.26 because A’s interest in X is less than 50 percent).  See 47 CFR § 63.18(h), Note to paragraph (h). 

Answer

An Authorization Holder should refer to the Public Notice or Order that granted the Authorization Holder’s application subject to the express condition that the applicant abide by the commitments and undertakings contained in the mitigation agreement with the Executive Branch agencies.  

• ICFS is available at https://www.fcc.gov/icfs.

Answer

For an Authorization Holder to qualify for the Exemption:

1. The Authorization Holder must have filed an application for an initial International Section 214 Authorization, modification, or substantial (not a pro forma filing) assignment or transfer of control of the authorization that was reviewed by the Executive Branch agencies and was granted by the Commission on or after January 22, 2021.
2. There are no reportable Foreign Interest Holders of the Authorization Holder other than those disclosed in the application (including any amendment), and there are no changes to the reportable Foreign Interest Holders disclosed in the application (including any amendment) as of December 23, 2023.

To qualify for the Exemption, there must be no changes to the reportable Foreign Interest Holders disclosed in the application (including any amendment), including but not limited to:

• No change in the reported citizenship(s), including dual or multiple citizenships, and/or place(s) of organization of any reportable Foreign Interest Holder;
• No removal of any reportable Foreign Interest Holder from an Authorization Holder’s chain of ownership; and
• No change in a reportable Foreign Interest Holder’s ownership interests to less than 10% equity and/or voting interests or less than a controlling interest.

To qualify for the Exemption, the Authorization Holder will also need to supply the File Number of the application that fulfills all of these requirements.  If more than one application fulfills all of these requirements, the Authorization Holder should supply the most recent File Number (i.e., the File Number of the application that was granted most recently). 

The type of applications that fulfill the Exemption are applications for:

• An initial International Section 214 Authorization;
• Modification of the Authorization;
• Substantial Assignment of the Authorization;
• Substantial Transfer of Control of the Authorization

 

Answer

If more than one application fulfills all of the requirements for the Exemption, the Authorization Holder should provide the most recent File Number.  The most recent File Number is the File Number of the application that was granted most recently.

NOTE:  Do not provide the File Number of an amendment associated with an application.

Answer

No.  Pro forma assignment and transfer of control notifications do not fulfill the requirements for the Exemption.  Section 63.24 of the Commission’s rules provides information with regard to substantial assignments or transfers of control and pro forma assignments or transfers of control.  47 CFR § 63.24.

Answer

Yes.  An Authorization Holder that qualifies for the Exemption must respond to the One-Time Information Collection and answer the relevant questions.

See the filing instructions for detailed instructions on how to answer specific questions.