************************ ************************ ******** NOTICE ************************ ************************ ******** This document was converted from WordPerfect to ASCII Text format. Content from the original version of the document such as headers, footers, footnotes, endnotes, graphics, and page numbers will not show up in this text version. All text attributes such as bold, italic, underlining, etc. from the original document will not show up in this text version. Features of the original document layout such as columns, tables, line and letter spacing, pagination, and margins will not be preserved in the text version. If you need the complete document, download the WordPerfect version or Adobe Acrobat version, if available. ************************ ************************ ***************** PUBLIC NOTICE FEDERAL COMMUNICATIONS COMMISSION 445 12th STREET, N.W. WASHINGTON, D.C. 20554 News Media Information: (202) 418-0500 Fax-On-Demand: (202) 418-2830 Internet: http://www.fcc.gov ftp.fcc.gov DA 99-650 April 2, 1999 WIRELESS TELECOMMUNICATIONS BUREAU TO BEGIN USE OF UNIVERSAL LICENSING SYSTEM (ULS) FOR AUCTIONED 900 MHZ SPECIALIZED MOBILE RADIO SERVICE BEGINNING APRIL 19, 1999 On April 19, 1999, the Wireless Telecommunications Bureau (Bureau) will begin use of the Universal Licensing System (ULS) for licensing activity relating to MTA licenses in the 900 MHz Specialized Mobile Radio service that were initially awarded in Auction No. 7 (Auctioned 900 MHz SMR). ULS is the interactive licensing database developed by the Bureau to consolidate and replace eleven existing licensing systems used to process applications and grant licenses in wireless services. ULS provides numerous benefits, including fast and easy electronic filing, improved data accuracy through automated checking of applications, and enhanced electronic access to licensing information. The deployment of Auctioned 900 MHz SMR in ULS is part of the Bureau's ongoing phased deployment of ULS in all wireless services. Note: This Public Notice pertains only to MTA-based 900 MHz SMR licenses that were initially awarded by auction. Incumbent site-based 900 MHz SMR licenses are not being converted to ULS at this time. Conversion of site-based licenses will occur in a later phase of ULS deployment, and will be announced by separate public notice. Overview of Conversion of Auctioned 900 MHz SMR Beginning April 19, 1999, applicants and licensees in the Auctioned 900 MHz SMR service will be able to use ULS forms for electronic filing of new station applications, license modifications, application amendments, license renewals, license cancellations, application withdrawals, requests for duplicate licenses, administrative updates, notifications, extensions of time, and transfer and assignment applications. As part of the conversion process, all existing licensing data relating to Auctioned 900 MHz SMR licenses will be transferred to the ULS database, and all applications and notifications in this service filed on or after April 19, 1999 will be entered into the ULS database and processed through the new system. Licensing data concerning Auctioned 900 MHz SMR will be available to the public via ULS and will no longer be updated in the pre-ULS database. Pursuant to 47 C.F.R.  1.913(b), effective October 19, 1999 all filings regarding Auctioned 900 MHz SMR licenses must be filed electronically in accordance with the electronic filing instructions provided by ULS. TIN Registration As mandated by the Debt Collection Improvement Act of 1996, the Commission has required all wireless licensees to register their Taxpayer Identification Numbers (TINs) in ULS. Auctioned 900 MHz SMR licensees who have not previously registered their TINs and selected user passwords in ULS must do so before filing applications or updating licensing information in the new system. All Auctioned 900 MHz SMR applicants and licensees must submit their TINs with their applications regardless of whether they file electronically or manually, and regardless of whether they file ULS forms or pre-ULS forms. Applicants may put their TIN(s): in the appropriate block on the form, if one is provided; at the top right hand corner of the first page of the form, if no block is provided; or at the top right hand corner of the first page of filing (e.g., pro forma notification, consummation letters, address corrections, etc.) if a form is not used. Failure to register the applicant's TIN prior to filing an application will result in delayed processing of the application. The Bureau urges applicants and licensees to electronically register TINs. This can be done at the FCC's ULS Internet site at http://www.fcc.gov/wtb/uls by clicking on the "ULS Call Sign Registration" link. Note: Auctioned 900 MHz SMR applications filed manually and received on or after April 19, 1999 that do not contain TIN(s) as specified in appendices A and B (attached) will be dismissed without prejudice. Manual TIN registration requires FCC Form 606 (TIN Registration Form), which can be obtained from the Internet at http://www.fcc.gov/formpage.html or by calling the FCC's Forms Distribution Center at 1-800-418-FORM (3676) (outside the Washington, D.C. area) or 202-418-3676 (in the Washington, D.C. area). To protect licensee privacy, registered TINs will not be made available to the public. However, TIN information may be released to the U.S. Treasury Department for purposes of compliance with the Debt Collection Act. If filed manually, Form 606 should be mailed to: Federal Communications Commission Information Technology Division Attention: Kathy McLucas 1270 Fairfield Road Gettysburg, PA 17325-7245 New Application Procedures and Use of ULS Forms for Auctioned 900 MHz SMR Auctioned 900 MHz SMR applicants and licensees will be subject to the following filing procedures as of April 19, 1999: Application Filings Other Than Assignments of Authorization and Transfers of Control  Form 601 Filing Procedures Form 601 (OMB Approval Number 3060-0798) is used for filing new station applications, license modifications, application amendments, license renewals, license cancellations, application withdrawals, requests for duplicate licenses, administrative updates, and requests for special temporary authority. Form 601 replaces letter requests and Forms 405, 464, 464-A, 489, 600 and 900. Form 601 is also designed to be used to request a waiver or extension of time in conjunction with an application or license, and in lieu of Form 405 or 900 for renewal applications and Form 489 for notifications and minor modifications. On February 16, 1999, revised editions of ULS forms were made available for use in ULS. The revised Form 601 is available electronically in ULS and manually through the FCC's forms distribution channels, and is designated by the appropriate OMB control number and an edition date of "February 1999." Auctioned 900 MHz SMR applicants and licensees should use the February 1999 edition of Form 601, except that manual Form 601 filers may use the November 1998 edition until further notice. We will dismiss without prejudice any manually filed Form 601 with an edition date prior to November 1998. For instructions on filing Form 601 electronically, point your web browser to http://www.fcc.gov/wtb/uls. For instructions on filing Form 601 manually, see "Manually Filed Applications" below.  Use of Pre-ULS Forms Applicants and licensees in the Auctioned 900 MHz SMR services may continue to use existing (pre-ULS) forms until six (6) months after the effective date of the ULS rules, i.e., until August 12, 1999, but the Bureau strongly urges Auctioned 900 MHz SMR applicants and licensees to use Form 601, and to file electronically. We will dismiss without prejudice any letter requests or pre-ULS forms filed August 12, 1999 or later. The choice of application form and filing method will affect applications in the following way: (1) Form 601 filed electronically -- the most efficient filing method; will result in expedited treatment compared to filing manually. (2) Form 601 filed manually -- will result in expedited treatment compared to filing old forms or letter requests. (3) Old forms or letter requests filed manually -- not recommended; will result in slower processing than the options described above. In the event that Auctioned 900 MHz SMR applicants elect to use pre-ULS forms during the transition period, as of April 19, 1999, they must provide certain additional required information with their applications (including TIN information) as set forth in Appendix A. Applications filed on or after April 19, 1999 that do not contain the information prescribed in Appendix A will be dismissed without prejudice. Transfer and Assignment Filing Procedures  Form 603 Filing Procedures Form 603 (OMB Approval Number 3060-0800) is used for filing applications for assignment of license and transfer of control. Form 603 replaces Form 490. Form 603 is used in lieu of Form 489 to notify the Commission that an approved assignment or transfer has been consummated, or to request an extension of time to consummate the transaction. Because of the significant changes in the February 1999 edition of Form 603 from prior versions, Auctioned 900 MHz SMR licensees and applicants must use the February 1999 edition of Form 603. This form is available electronically in ULS and manually through the FCC's forms distribution channels, and is designated by an edition date of "February 1999." We will dismiss without prejudice any manually filed Form 603 with an edition date prior to February 1999 and any transfer of control application filed on former Form 604, which has been discontinued.  Non pro forma transactions: In the case of non-pro forma transactions, Form 603 may be accessed electronically by both parties to the transaction. The electronic filing process is initiated by the assignor/transferor, who fills out the assignor/transferor portions of the form and identifies the call signs that are subject to the assignment or transfer. ULS then enables the assignor/transferor to "forward" the application electronically to the assignee/transferee, who fills out the assignee/transferee portions of the form (but cannot alter information entered by the assignor/transferor), signs and returns it electronically to the assignor/transferor. The assignor/transferor then may sign and submit the application, provided it makes no further changes, or may make further changes and resend it to the assignee/transferee.  Notification of consummation: Form 603, Schedule D provides for notification of consummation of an assignment or transfer that was previously consented to by the Commission, and Form 603, Schedule E may be used to request an extension of time to consummate  Pro forma forbearance notification: Form 603 enables the applicant to specify that it is filing a notification of a pro forma assignment or transfer that does not require prior Commission approval pursuant to the Commission's forbearance procedures.  Transfer/assignment applications affecting multiple services: If a transfer or assignment transaction involves both licenses in services that have been converted to ULS and licenses in other wireless services that have not yet been converted, the applicant must file separate applications for ULS (one application per TIN) and non-ULS-based licenses, and the Bureau recommends that the latter be filed on pre-ULS forms. This requirement is temporary until the databases for all wireless services have been converted to ULS. For instructions on filing Form 603 electronically, point your web browser to http://www.fcc.gov/wtb/uls. For instructions on filing Form 603 manually, see "Manually Filed Applications" below. Notification of Consummation Now Required The new rules for ULS require that notification of consummation of transfers of control and assignments of license be filed with the Commission on Form 603. Under prior rules, Auctioned 900 MHz SMR licensees were not subject to a consummation notification requirement; the legacy database was changed to reflect the new owner when the Commission issued its consent to the transfer or assignment. Our February 10, 1999 Public Notice waived this new requirement for Auctioned 900 MHz SMR licensees (as well as others) prior to conversion to ULS. Now that the conversion is complete, this waiver is terminated for Auctioned 900 MHz SMR licensees effective April 19, 1999. This means that licensees must file a notification of consummation (via ULS or manually) for applications consented to by the Bureau on or after April 19, 1999. These actions will appear on the ULS Weekly Public Notice as status "C" (consented to by the Bureau.) The waiver, however, still applies to applications consented to by the Bureau prior to April 19, 1999.  Use of Pre-ULS Forms Applicants and licensees in the Auctioned 900 MHz SMR services may continue to file assignment and transfer applications and notifications using existing (pre-ULS) forms until six (6) months after the effective date of the ULS rules, i.e., until August 12, 1999, but the Bureau strongly urges Auctioned 900 MHz SMR applicants and licensees to use Form 603, and to file electronically. We will dismiss without prejudice any letter requests or pre-ULS forms filed August 12, 1999 or later. In the event that Auctioned 900 MHz SMR applicants elect to use pre-ULS forms for transfers and assignments during the transition period, as of April 19, 1999, they must provide certain additional required information with their applications (including TIN information) as set forth in Appendix B. Applications filed on or after April 19, 1999 that do not contain the information prescribed in Appendix B will be dismissed without prejudice. Ownership Information (Form 602) Form 602 (OMB Approval Number 3060-0799) collects required ownership information from applicants and licensees in auctionable wireless services that are subject to the ownership disclosure requirements set forth in Section 1.2112(a) of the Commission's rules. Auctioned 900 MHz SMR applicants or licensees must file Form 602 in conjunction with the filing of an initial license application, renewal application, or application for assignment or transfer, unless the applicant or licensee already has an updated Form 602 on file. Applicants and licensees are required to submit only a single FCC Form 602. Once the applicant or licensee files initially, it has no obligation to file the form with subsequent applications, regardless of service, so long as the ownership information on the previous filing of Form 602 has not changed. Form 602 is not available electronically at the present time, and therefore must be filed manually. Form 602 should be filed as follows: Federal Communications Commission 1270 Fairfield Road Gettysburg, PA 17325-7245 There is no fee associated with filing Form 602. During the transition period that pre-ULS forms are allowed, applicants and licensees required to file Form 602 may continue to file Form 430 in lieu of Form 602, provided that they include as an attachment to the form all ownership information required to be reported pursuant to Section 1.2112(a) of the rules. Application Fees Applicants using ULS to file electronically remain subject to existing application fees where applicable under current rules. ULS, however, will simplify the process of submitting fees to the Commission and greatly reduce the potential for insufficient fees to be submitted. When an applicant submits its application online, ULS will assign a file number and will pre-fill fee information on FCC Form 159, including the correct fee amount due, the payment type code and the Confirmation File Number in the FCC Code 2 box. ULS will then allow the applicant to print a copy of the application as submitted, and instruct the applicant on how to print out the pre-filled Form 159 so that it can be mailed to Mellon Bank. If problems arise while trying to print Form 159, call the FCC Technical Support Hotline for assistance in completing Form 159. For electronic filers, the FCC Confirmation File Number must always be shown in the FCC Code 2 box of the Form 159. The Form 159 and accompanying fee must be received by Mellon within 10 calendar days of filing the application. In the near future, ULS will be capable of accepting credit card payments online. The Bureau will release a public notice and provide information on its website when this option becomes available. Where to Send Payments for Electronically-filed Applications All payments for electronically-filed applications should be sent to: Federal Communications Commission ULS Electronic Filings P.O. Box 358994 Pittsburgh, PA 15251-5994 Where to Send Manually-filed Applications Manually-filed Renewal Only applications that require fees should be sent to: Federal Communications Commission Wireless Telecommunications Bureau P.O. Box 358245 Pittsburgh, PA 15251-5245 All other manually-filed applications that require fees should be sent to: Federal Communications Commission ULS Application Processing P.O. Box 358130 Pittsburgh, PA 15251-5130 All manually-filed applications and letter requests that do not require fees should be sent to: Federal Communications Commission ULS Application Processing 1270 Fairfield Road Gettysburg, PA 17325-7245 Copies of FCC Forms 601, 602, and 603 can be obtained by calling the Commission's Forms Distribution Center at 1-800-418-3676 (outside the Washington, D.C. area) or 202-418-3676 (in the Washington, D.C. area). Copies of these forms can also be obtained via the Internet at http://www.fcc.gov/formpage.html. For Further Information or Assistance For general information about ULS, including answers to frequently asked questions regarding submitting applications, finding the status of pending applications, and searching the ULS database, the Commission recommends first consulting the ULS webpage at http://www.fcc.gov/wtb/uls. Those having specific questions not addressed on the webpage may contact Commission staff via phone or e-mail as described below. FCC Technical Support Hotline: (202) 414-1250, or via e-mail at ulscomm@fcc.gov. Contact the Technical Support Hotline about questions concerning computer access to ULS, TIN registration, uploading files, or submitting attachments in ULS. The hotline is available Monday through Friday, from 8 a.m. to 6 p.m. Eastern Time. In order to provide better service to ULS users and ensure the security of the electronic filing system, all calls to the hotline are recorded. ULS Licensing Support and Forms Information: 1-888-CALL-FCC (225-5322), choose option #2. E-mail questions may be sent to ulshelp@fcc.gov. Contact Licensing Support with questions about which application purpose(s) are appropriate for a particular filing, what information is being requested on a ULS form or schedule, or any other ULS-related licensing matter. ULS Licensing Support is available Monday through Friday, from 8:00 am to 5:30 pm EST. Comments on ULS should be sent via the Internet to: ulscomm@fcc.gov. APPENDIX A Filing Requirements for Applications (Other Than Transfers or Assignments) on Pre-ULS Forms Auctioned 900 MHz SMR applicants and licensees who are filing applications on pre-ULS forms must comply with the following requirements for applications filed April 19, 1999 or later: Applicant TIN Form 601 requires the applicant to provide its Taxpayer Identification Number (TIN). See Form 601, Item 10. Applicants using pre-ULS forms must provide this information in the upper right hand corner of the form or as an attachment. To maintain the confidentiality of this information, applicants placing TIN information on an attachment should prominently display in the heading of the attachment that the attachment contains TIN information. Real Party-in-Interest Information (Form 600 and 415 filers only) Form 601 requires applicants to identify the real-party-in-interest (RPI) to the application and provide the RPI's TIN. See Form 601, Items 14, 15. Applicants using Form 415 or Form 600 must provide this information as follows: in the "Applicant Name" block, the name of the RPI (if different from the applicant) should be placed in parentheses immediately after the applicant name. Applicants must also provide the RPI's TIN (if different from the applicant's TIN) in parentheses immediately following the applicant TIN. Example: Name: Joe's Plumbing, Inc. (RPI: Joseph Industries, Inc.) TIN: XXXXXXXXX (RPI: XXXXXXXXX)" Note: If the applicant is also the real-party-in-interest to the application, separate RPI and RPI TIN information need not be provided. General Certification Statements (Form 600 filers only) Form 601 contains the following general certifications, some of which vary from the certifications on Form 600:  The applicant waives any claim to the use of any particular frequency or of the electromagnetic spectrum as against the regulatory power of the United States because of the previous use of the same, whether by license or otherwise, and requests an authorization in accordance with this application.  The applicant certifies that grant of this application would not cause the applicant to be in violation of any pertinent cross-ownership, attribution, or spectrum cap rule.* * If the applicant has sought a waiver of any such rule in connection with this application, it may make this certification subject to the outcome of the waiver request.  The applicant certifies that all statements made in this application and in the exhibits, attachments, or documents incorporated by reference are material, are part of this application, and are true, complete, correct, and made in good faith.  The applicant certifies that neither it nor any party to the application is subject to a denial of Federal 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 Section 1.2002(b) of the rules, 47 CFR  1.2002(b), for the definition of "party to the application" used in this certification.  The applicant certifies that it either (1) has an updated Form 602 on file with the Commission, (2) is filing an updated Form 602 simultaneously with this application, or (3) is not required to file Form 602 under the Commission's Rules. Applicants using Form 600 must attach the above certifications to the form, or must add an attachment to the application certifying as follows: "In accordance with Section 1.923(a) of the Commission's rules, the applicant certifies to all General Certification Statements contained on FCC Form 601." APPENDIX B Filing Requirements for Transfer and Assignment Applications on Pre-ULS Forms Auctioned 900 MHz SMR applicants and licensees who are filing transfer or assignment applications on a pre-ULS form (Form 490) must comply with the following requirements for applications filed April 19, 1999 or later: Assignee/Transferee TIN Form 603 requires the assignee/transferee to provide its Taxpayer Identification Number (TIN). See Form 603, Item 45a. Applicants using Form 490 must provide this information in the upper right hand corner of the form or as an attachment. To maintain the confidentiality of this information, applicants placing TIN information on an attachment should prominently display in the heading of the attachment that the attachment contains TIN information. Assignee/Transferee Real Party in Interest Information Form 603 requires the assignee/transferee to identify the real-party-in-interest (RPI) to the application and provide the RPI's TIN. See Form 603, Items 48 and 49. Applicants using Form 490 must provide this information as follows: in the "Assignee/Transferee Name" block, the name of the RPI (if different from the applicant) should be placed in parentheses immediately after the applicant name. Applicants must also provide the RPI's TIN (if different from the applicant's TIN) in parentheses immediately following the applicant TIN. Example: Name: Joe's Plumbing, Inc. (RPI: Joseph Industries, Inc.) TIN: XXXXXXXXX (RPI: XXXXXXXXX)" Note: If the assignee/transferee is also the real-party-in-interest to the application, separate RPI and RPI TIN information need not be provided. Related Transactions Form 603 requires the parties to identify whether the transaction that is the subject of the application also involves transfer or assignment of other Commission licenses that are not included on the form and for which Commission approval is required. See Form 603, Items 7a, 7b. Applicants using Form 490 must add an attachment to the application containing the following information:  "The transaction that is the subject of this application [does] [does not] also involve transfer or assignment of other Commission licenses held by the assignor/transferor or affiliates of the assignor/transferor (e.g., parents, subsidiaries, or commonly controlled entities) that are not included on this form and for which Commission approval is required." Partitioning/Disaggregation Form 603, Schedule B requires parties to a partitioning or disaggregation transaction to identify which party is responsible for meeting applicable construction/coverage requirements after partitioning or disaggregation occurs. See Form 603, Schedule B, Items 6, 7. Applicants using pre-ULS forms for partitioning and/or disaggregation must provide this information in an attachment. General Certification Statements Form 603 contains the following general certifications, some of which vary from the certifications on pre-ULS transfer and assignment forms: Assignor/Transferor Certification Statements  The Assignor or Transferor certifies either (1) that the authorization will not be assigned or that control of the license will not be transferred until the consent of the Federal Communications Commission has been given, or (2) that prior Commission consent is not required because the transaction is subject to streamlined notification procedures for pro forma assignments and transfers by telecommunications carriers. See Memorandum Opinion and Order, 13 FCC Rcd. 6293 (1998).  The Assignor or Transferor certifies that all statements made in this application and in the exhibits, attachments, or documents incorporated by reference are material, are part of this application, and are true, complete, correct, and made in good faith. Assignee/Transferee Certification Statements  The Assignee or Transferee certifies either (1) that the authorization will not be assigned or that control of the license will not be transferred until the consent of the Federal Communications Commission has been given, or (2) that prior Commission consent is not required because the transaction is subject to streamlined notification procedures for pro forma assignments and transfers by telecommunications carriers. See Memorandum Opinion and Order, 13 FCC Rcd. 6293 (1998).  The Assignee or Transferee waives any claim to the use of any particular frequency or of the electromagnetic spectrum as against the regulatory power of the United States because of the previous use of the same, whether by license or otherwise, and requests an authorization in accordance with this application.  The Assignee or Transferee certifies that grant of this application would not cause the Assignee or Transferee to be in violation of any pertinent cross-ownership, attribution, or spectrum cap rule.* * If the applicant has sought a waiver of any such rule in connection with this application, it may make this certification subject to the outcome of the waiver request.  The Assignee or Transferee agrees to assume and abide by all the conditions imposed on the Assignor or Transferor under the subject authorization(s), unless the Federal Communications Commission pursuant to a request made herein otherwise allows, except for liability for any act done by, or any right accrued by, or any suit or proceeding had or commenced against the Assignor or Transferor prior to this assignment.  The Assignee or Transferee certifies that all statements made in this application and in the exhibits, attachments, or documents incorporated by reference are material, are part of this application, and are true, complete, correct, and made in good faith.  The Assignee or Transferee certifies that neither it nor any party to the application is subject to a denial of Federal 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 Section 1.2002(b) of the rules, 47 CFR  1.2002(b), for the definition of "party to the application" used in this certification.  The applicant certifies that it either (1) has an updated Form 602 on file with the Commission, (2) is filing an updated Form 602 simultaneously with this application, or (3) is not required to file Form 602 under the Commission's Rules. Applicants using Form 490 must attach the above certifications to the form, or must add an attachment to the application certifying as follows: "In accordance with Section 1.923(a) of the Commission's rules, the transferor/assignor certifies to all Transferor/Assignor Certification Statements contained on FCC Form 603." "In accordance with Section 1.923(a) of the Commission's rules, the assignee/transferee certifies to all Transferee/Assignee Certification Statements contained on FCC Form 603."