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International Section 214 Application Filing Guidelines
Any person or entity that seeks to provide U.S.-international common carrier service (also referred to as U.S.-international “telecommunications service”) must obtain prior Commission approval pursuant to Section 214 of the Communications Act of 1934 by filing an International Section 214 Application with the Commission that contains the information required by Section 63.18 of the Commission’s rules. No person or entity shall offer U.S.-international telecommunications service before Commission grant of the application or operate other than in accordance with the terms and conditions of the international Section 214 authorization.
In addition, any person or entity that has received Commission authorization to provide U.S.-international telecommunications service must obtain prior Commission approval before the authorization holder consummates a substadntial transfer of control or assigns its international Section 214 authorization or other regulated assets (such as customer accounts) to any other person or entity, including another authorized U.S.-international carrier. Applications for Commission consent to transfer control or assign an international Section 214 authorization shall be filed in accordance with the requirements of Section 63.24 of the Commission’s rules.
The following information provides general guidelines to assist applicants in providing the information and certifications required in applications for International Section 214 – New Authorization and International Section 214 – Transfer of Control/Assignment of Authorization.
Applicants that require additional information about Commission requirements applicable to applicants and authorized providers of U.S.-international common carrier service should contact the International Bureau’s Policy Division at (202) 418-1460. The Commission staff is available to provide general guidance to applicants about how the Commission’s rules and policies may apply to the specific factual circumstances of the applicant. The staff will not, however, give official interpretations of the rules and policies, nor will it engage in discussions based upon hypothetical scenarios. Priority for the staff is to work on applications pending before the Commission. Applicants seeking an official interpretation from the Commission may file a petition for declaratory ruling pursuant to Section 1.2 of the Commission’s rules. 47 C.F.R. § 1.2.
CONTENT REQUIREMENTS OF INTERNATIONAL SECTION 214 APPLICATIONS
The information that must be included in an application for international Section 214 authorization is specified in Section 63.18 of the Commission’s rules, 47 C.F.R. § 63.18. The information required to be included in an application to assign or transfer control of an international Section 214 authorization is specified in Section 63.24 of the rules, 47 C.F.R. § 63.24.
Applicants are under an obligation to maintain the continuing accuracy and completeness of information furnished in a pending application. See 47 C.F.R. § 1.65. The Commission also may request further information as necessary pursuant to Section 63.51(a) of the Commission’s rules, 47 C.F.R. § 63.51(a). If an applicant does not timely respond to Commission requests for additional information, the Commission may dismiss the application without prejudice, and the applicant may file again with a complete application. 47 C.F.R. § 63.51(b).
International Section 214 – New Authorization (47 C.F.R. § 63.18)
As discussed below in the Step-by-Step Filing Instructions, you will be brought to the application itself after completing Step 3. Identifying information for the Applicant will be pre-filled in Item 1 of the application. If the contact information is also pre-filled in Item 2, you may change that information for purposes of filing the application.
Item 3: Fill in the Applicant’s place of organization (that is, identify the Government, State, or Territory under the laws of which the Applicant is organized). In the case of an individual Applicant, provide the Applicant’s citizenship (including countries for which the Applicant may have dual citizenship).
Item 4: If the Applicant is filing for authority on behalf of another entity, e.g., a subsidiary, list the name(s) of such company(ies) and place(s) of organization in Item 4.
Item 5: Check the Service Type(s) for which the Applicant seeks authority. An applicant may apply for any or all of the authority provided for in paragraph (e) of § 63.18 in the same application. However, applicants may choose to file separate applications for services not subject to streamlined processing.
The available service types are as follows:
Applicants seeking to provide facilities-based U.S.-international common carrier services shall check the Service Type “Global or Limited Global Facilities-Based Authority (47 C.F.R. § 63.18(e)(1).” An applicant should select this service type if it contemplates providing U.S.-international service using circuits in which it holds an ownership, indefeasible-right-of-user, or leasehold interest in bare capacity in the U.S. end of an international facility, regardless of whether the underlying facility is a common carrier or non-common carrier submarine cable or a satellite system.
Each Applicant for facilities-based authority under Section 63.18(e)(1) shall certify in an Attachment to the application that the Applicant will comply with the terms and conditions contained in Sections 63.21 and 63.22 of the Commission’s rules. Sections 63.21 and 63.22 specify the general terms and conditions applicable to U.S.-international facilities-based carriers. For example:
The Exclusion List currently prohibits authorized carriers: (1) from serving Cuba without complying with the separate filing requirements of the Commission’s Public Notice Report DA 10-112 (2010); and using non-U.S.-licensed satellite systems that are not on the "Permitted Space Station List," http://transition.fcc.gov/ib/sd/se/permitted.html. See also http://transition.fcc.gov/ib/sd/ka_band.html.
Applicants seeking to provide U.S.-international common carrier services by reselling other carriers’ authorized U.S.-international common carrier services shall check the Service Type “Global or Limited Global Resale Authority.” In general, a grant of global or limited global resale authority authorizes the carrier to resell the U.S.-international facilities-based or resold services provided by any authorized U.S.-international common carrier.
Each Applicant for resale authority under Section 63.18(e)(2) shall certify in an Attachment to the application that the Applicant will comply with the terms and conditions contained in Sections 63.21 and 63.23 of the Commission’s rules. Sections 63.21 and 63.23 specify the general terms and conditions applicable to U.S.-international resale carriers. For example:
If an applicant is applying for international Section 214 authority to provide common carrier services not specifically covered by Sections 63.18 (e)(1) or (e)(2), it must file an application for specific authorization under Section 63.18 (e)(3).
The Applicant shall include in Attachment 2 to the application a description of the services to be provided and the facilities to be used. The Applicant shall also certify that it will comply with the terms and conditions contained in Sections 63.21 (conditions applicable to all international Section 214 authorizations), and 63.22 (conditions applicable to facilities-based international common carriers) and/or 63.23 (conditions applicable to resale-based international common carriers), as appropriate.
Applications to provide facilities-based service to Cuba. Cuba continues to be identified on the Exclusion List as a country for which a separate application is required pursuant to Section 63.18(e)(3). We will process applications for the provision of telecommunications services to Cuba on a non-streamlined basis and coordinate with the U.S. Department of State before acting on the application. The Commission’s procedures are specified in a public notice issued on January 21, 2010 by the International Bureau. These procedures implement revised policy guidance from the U.S. Department of State on licensing for the provision of telecommunications services between the United States and Cuba. See Modification of Process to Accept Applications for Service to Cuba and Related Matters, Public Notice, DA 10-112, 25 FCC Rcd 436 (Int’l Bur. 2010) (attaching letter from Ambassador Philip Verveer, U.S. Coordinator for International Communications and Information Policy, U.S. Department of State to Julius Genachowski, Chairman, Federal Communications Commission (dated Jan. 12, 2010)).
Item 8: This item requires the Applicant to supply a “Caption” for the Application, that is, a description of the authority requested. For example, “Application for authority to Provide International Facilities-Based Service (excluding Cuba) and Resold Service to All International Points.”
Item 9: This item requires the Applicant to state whether it requests streamlined processing of its application. See discussion of streamlined processing below.
Item 10: This Item is no longer relevant and does not require a response.
Items 11-14: These items require the Applicant to provide certain information and certifications related to its ownership and any affiliations that it may have with a foreign carrier. See Sections 63.09, 63.18(h), and 63.18(i) through (m).
Item 15: This item requires the Applicant to include the following information in Attachment 2 --
Item 16: This item requires the Applicant to certify that no party to the application is subject to a denial of Federal benefits pursuant to Section 5301 of the Anti-Drug Abuse Act of 1988. (See 21 U.S.C. § 853a).
Item 17: This item requires the Applicant to certify that it has not agreed to accept special concessions directly or indirectly from any foreign carrier with respect to any U.S. international route where the foreign carrier possesses market power on the foreign end of the route and will not agree to enter into such agreements in the future. See 47 C.F.R. § 63.14.
Items 18-19: These items require the Applicant to provide the name and title of the person signing the application on its behalf (this person must have the legal authority to do so, such as an officer in the case of a corporation, or the sole proprietor in the case of a sole proprietorship).
International Section 214 – Transfer of Control/Assignment of Authorization (47 C.F.R. § 63.24)
Any person or entity that has received Commission authorization to provide U.S.-international telecommunications service must obtain prior Commission approval before the authorization holder consummates a substantial transfer of control or assignment (including an assignment of its international Section 214 authorization or sale of other regulated assets (such as customer accounts)) to any other person or entity, including another authorized U.S.-international carrier. Applications for Commission consent to transfer control or assign an international Section 214 authorization shall be filed in accordance with the requirements of Section 63.24 of the Commission’s rules. Applications must be filed electronically via IBFS using the above-referenced form, “International Section 214 – Transfer of Control/Assignment of Authorization.”
Applicants may apply to transfer or assign multiple international Section 214 authorizations that they hold, e.g., separate facilities-based and resale-based Sections 214 authorizations, on a single application and under a single fee. However, a separate application must be filed and a separate fee must be paid for each authorization holder of record.
In addition to obtaining the Commission’s prior approval before consummating a substantial transfer of control or assignment, the assignee/transferee has a duty to notify the Commission no later than 30 days after either consummation of the assignment or transfer, or of a decision not to consummate the proposed transaction. 47 C.F.R. § 63.24(e)(4).
Where a transfer of control or assignment is pro forma (i.e., not substantial), the Section 214 authorization holder is not required to seek prior Commission approval but must comply with the notification requirements for pro forma transactions in Section 63.24. A pro forma assignment or transfer of control involves no change in the ultimate control of the authorization holder as set forth in Section 63.24(d), e.g., one wholly-owned subsidiary of a corporation transfers or assigns a Section 214 authorization to another wholly-owned subsidiary of the same corporation.
A pro forma assignee or a carrier that is the subject of a pro forma transfer of control must file a notification with the Commission no later than 30 days after the assignment or transfer is completed. Notifications must be filed electronically via IBFS using the above-referenced form, “International Section 214 – Transfer of Control/Assignment of Authorization.”
As discussed below in the Step-by-Step Filing Instructions, you will be brought to the form, “International Section 214 – Transfer of Control/Assignment of Authorization,” after completing Step 3. Identifying information for the Applicant will be pre-filled in Item 1 of the application. If the contact information is also pre-filled in Item 2, you may change that information for purposes of filing the application.
We note that additional Commission approval may be needed in transactions that involve radio station licenses (including wireless and space or earth station licenses) or that present additional issues, such as permissible foreign ownership of radio station licenses pursuant to Section 310(b) of the Communications Act. Transactions involving the substantial transfer of control or sale of assets of a company providing domestic, interstate telecommunications service also require prior Commission consent under rules applicable to providers of U.S.-domestic telecommunications service. See Implementation of Further Streamlining Measures for Domestic Section 214 Authorizations, CC Docket No. 01-150, FCC 02-78 (rel. Mar. 21, 2002). See also 47 C.F.R. §§ 63.01-04.
Applicants filing transfer of control or assignment applications may want to consult the Commission’s transactions team website (within the Office of the General Counsel’s homepage) regarding the Commission’s review of major transfers of control or assignments.
PROCESSING OF INTERNATIONAL SECTION 214 APPLICATIONS
The International Bureau’s Policy Division issues bi-weekly public notices announcing applications for international Section 214 authority that are accepted for filing on a streamlined basis. The Policy Division issues separately, on an as-needed basis, public notices of applications for international Section 214 authority that are accepted for filing on a non-streamlined basis. The Commission coordinates with relevant Executive Branch agencies where an applicant is a foreign citizen or foreign-organized entity, or where a foreign citizen or foreign-organized entity holds or would hold a 10 percent or greater direct or indirect equity and/or voting interest in the applicant.
An application that is eligible for streamlined processing will be granted fourteen days after issuance of the public notice announcing that the application has been accepted for filing on a streamlined basis. 47 C.F.R. § 63.12(a). The applicant may begin operating on the fifteenth day after issuance of the accepted for filing public notice, in accordance with the specific terms and conditions of the authorization granted and the Commission’s generally applicable rules and policies. The public notice of the grant of authorization will appear in the next available Actions Taken Public Notice (ATPN), which will represent the applicant’s international Section 214 certificate. 47 C.F.R. § 63.12(b). See also 47 U.S.C. § 214.
A complete application is eligible for streamlined processing except in the circumstances specified in Section 63.12(c) of the Commission’s rules. The Commission reserves the right to remove an application from streamlined processing. In such a case, the Commission will inform the applicant in writing (by e-mail at the email address(es) listed in the application), within fourteen days after the date of public notice listing the application as accepted for filing on a streamlined basis (AFFPN), that the application is not eligible for streamlined processing. 47 C.F.R. § 63.12(c)(3). The Commission will also provide public notice in the next available AFFPN that the application has been removed from streamlined processing.
Applications that are not Eligible for Streamlined Processing (47 C.F.R. §§ 63.12 (d))
If an application is deemed complete but, upon initial review, is deemed not eligible for streamlined processing, the Commission will issue a public notice accepting the application for filing on a non-streamlined basis. In such a case, and in the case of an application that is initially accepted for filing on a streamlined basis but later removed from streamlining, the applicant shall not commence operation unless and until the Commission acts on the application by formal written order or by Public Notice, and then only in accordance with the specific terms and conditions of the authorization granted and the Commission’s generally applicable rules and policies.
Most definitions applicable to the authorization of U.S.-international telecommunications services are contained in Section 63.09 of the Commission’s rules. 47 C.F.R. § 63.09. Definitions are also found in Section 3 of the Communications Act. 47 U.S.C. § 153.
International Section 214 applications must be filed electronically using the International Bureau Filing System (IBFS). The following information summarizes the steps for filing an application using IBFS, including paying the applicable fee. For current information on international Section 214 application filing fees, fee codes, and mailing addresses (where the applicant does not choose to pay the fee electronically), refer to the International Bureau’s most recent Fee Filing Guide, which can be found at http://www.fcc.gov/encyclopedia/application-processing-fees. There is an application fee for new international Section 214 applications (ITC-214), substantive assignments and transfers of control of an authorization (ITC-ASG and ITC-T/C, respectively), and requests for special temporary authority (ITC-STA). There is no application fee for pro forma (i.e., non-substantive) assignments and transfers of control of an authorization (ITC-ASG and ITC-T/C, respectively), amendments to an application (ITC-AMD), or modifications of an existing international section 214 authorization (ITC-MOD). Once a feeable application is filed, the filing fee must be paid and processed before the Commission can start processing the application. Any requests for return or refund of fees must be made pursuant to Sections 0.231 and 1.1115 of the Commission’s rules, as appropriate. 47 C.F.R. §§ 0.231, 1.1115.
Step-by-Step Filing Instructions. Before you start the application filing process in IBFS, you should prepare all required attachments, and be prepared to provide answers to each of the questions in the application. If there is no activity during the IBFS filing process for a period exceeding 15 minutes (once you have started the filing process described below), IBFS will log you out and will not save any information that you have entered.
Step 1. Go to www.fcc.gov/ibfs. You will be prompted to put in your FCC Registration Number (FRN) and password at the log-in screen. If you don’t already have an FRN, click here to create one. If you already have an FRN, but cannot remember the password, click here to have your password reset or call 1-877-480-3201 (Monday – Friday, 8am-6pm ET) to speak with a representative.
Step 2. After entering your FRN and password, click on “Go.” This will bring you to the screen entitled “MyIBFS Workspace”. This screen is where you can begin filing any of the applications available in IBFS. To begin, click the drop-down menu entitled “Start New Application/Action;” scroll down to “International Telecommunications” and then select from the list of applications “International Section 214 – New Authorization.” Or, if you are filing any of our other available applications, scroll down to select the appropriate application. Next, click “Go” to the right of the drop-down menu.
Step 3. The next screen will prompt you to enter the Applicant’s FRN and password which may be different from the FRN and password used to login. (In cases of transfers of control/assignments of an authorization, you must enter the FRNs and Passwords of the Applicant, the Transferee/Assignee, and the Transferor/Assignor). In certain circumstances, some of these parties may be one and the same. For example, in an assignment application, the authorization holder will also be the Assignee. There is a check box you should mark if the contact information is the same as the Applicant’s identifying information. (Note that when you get to the application, you will always be able to edit the contact information whether or not you placed a check in the box. However, any information associated with the FRNs you put in cannot be edited in the application. You will need to go to the CORES website and login to update any incorrect information associated with the FRNs.) After inputting all of the appropriate FRNs and Passwords, click “Prefill CORES Data” to continue.
Step 4. After completing Step 3., you will be brought to the application itself. Identifying information for the Applicant(s) and the contact information will be pre-filled (Items 1 and 2 of the application). You can change the contact information for purposes of filing this application.
An explanation of the other information required by the applications for “International Section 214 – New Authorization” and “International Section 214 – Transfer of Control/Assignment of Authorization” can be found above in the section entitled “How to Answer Questions on the International Section 214 Application,” but there are a few things listed below you should be aware of:
Step 5. After completing the application, click on “Validate” which can be found at the top and bottom of the application screen. This will save your filing and ensure all fields have been completed. This does not file the application. Also note that, if you have not answered every question, you will not be permitted to validate and you will be returned to the section of the application that you need to complete.
Step 6. After validating, use the attachment buttons at the bottom of the page to upload any attachments requested in, and applicable to, your application.
Step 7. After uploading your attachments, click on “menu” (next to “Validate” on the screen). This brings you to your application management page, which should list your application as “VALID.” (The application management page is entitled “Other IBFS Applications for [name of Applicant].”) You can access your application management page at any time, after logging into IBFS, by clicking on the “Other IBFS Applications” tab located on the “MyIBFS Workspace” page about halfway down on the far right).
Step 8. To file: Scroll down the menu of “Form Titles” to find your application for “International Section 214 – New Authorization.” (Or, if you are filing something other than an application for International Section 214 – New Authorization,” scroll down until you see the application you’d like to file). Then select the radial button to the left of that application. After selecting the radial button for the appropriate application, click on “File a Form” found at both the top and bottom of the screen. You will be brought to the screen showing that you’ve successfully filed, with your submission id number. Please be sure to keep a record of the Submission id number. You can use the Submission id number to locate your application and/or payment until IBFS assigns a File Number to your application (e.g., ITC-214-20150102-XXXXX. This IBFS File Number is illustrative of a File Number that would be assigned to an application for International Section 214 – New Authorization filed on January 2, 2015).
Step 9. Press return to main menu to pay your fee. You will be returned to your application management page (see Step 7 above).
Step 10. Payment: Scroll down to find your application. The status (right hand column) should have changed from “Valid” to “Filed Awaiting Payment or Fee Verification.” Click the radial button to the left of the application you wish to pay for and click on “Form 159 Menu” located at the top and bottom of the screen. On the next page, select again the application you want to pay for by putting a check mark in the box to the left of the application and click on “Continue with Form 159” (at the bottom of screen). Please disable pop-up blocker before clicking on “Continue with Form 159” as the next screen will be a pop-up. You will know that pop-up blocker needs to be disabled if you are brought straight back to the menu screen instead of another screen popping up asking for an FRN and Password.
On the next screen, enter the FRN and Password of the payer (again, the payer’s FRN and Password may be the same as or different than any of the previous FRNs/Passwords used).
How you proceed on the next screen is determined by how you’d like to pay. The option on the left side of the screen allows you to pay electronically by using your bank’s routing number and checking number. The option on the right allows you to pay electronically by using a credit/debit card, and the option at the bottom of the screen allows you to print the pre-filled Form 159 and mail it to U.S. Bank with a check.
Continue with the payment option of your choice and your application is complete.
If at any time you have questions about this process, you can call Adrienne Downs at (202) 418-0412.
To file a Supplement or other document relevant to your international Section 214 application after initial filing, you can use the IBFS filing module for non-docketed pleadings, which is available at http://licensing.fcc.gov/myibfs/. Click on Pleadings and Comments, which appears on the left side of the screen under “Quick Search.” If your application has been docketed by the Commission, you must also submit the filing in the appropriate docket via the Commission’s Electronic Comment Filing System (ECFS).
Parties that desire to file comments or other pleadings in the record of a pending international Section 214 application can also use the IBFS filing module for non-docketed pleadings, which is available at http://licensing.fcc.gov/myibfs/. Click on Pleadings and Comments, which appears on the left side of the screen under the “Quick Search.” If the relevant application has been docketed by the Commission, you must submit the filing in the appropriate docket via the Commission’s Electronic Comment Filing System (ECFS).
To begin, go to http://licensing.fcc.gov/myibfs/. Click on Pleadings and Comments, which appears on the left side of the screen under “Quick Search.” This will bring you to the page that asks for the information of the person or company making the submission. The first drop-down box asks what kind of submission is being filed. Select the most applicable one. The second question asks if the filer is requesting confidential treatment of the supplement.
The third section on this page allows you to put in FRNs to make entering the filer’s identifying information easier (and the information for the filer’s contact) by importing the data from CORES. You are not required to enter an FRN, but all of the fields must be completed before moving on.
Once the filer/contact information has been completed click “Next Step.”
On this screen, you can enter the call sign(s)/file number(s) that the submission needs to be uploaded into. Once they are entered, click “Add File Numbers to Pleading List.” Note that you have ten fields to enter call signs or file numbers. If you need more than ten, click “Add File Numbers to Pleading List” once you have your first ten entered and they will become black for you to add more if needed. Once all call sign(s)/file number(s) have been added to the list at the bottom, click “Next Step” to continue. (The “Next Step” button won’t appear until at least one call sign or file number has been added to the list.)
On the final page you upload the submission itself. You can have as few or as many documents attached as wanted although you need at least one. You can use the “Replace/Attach” button in the right-hand column to add or edit any of the attachments and the “Delete Attachment” button at the bottom of the list to help with adding/removing/editing any of your attachments.
Once you’ve finished uploading all necessary attachments, click “Submit” to be brought to your confirmation page. This confirms the filing of your supplement and should be kept in your records. One final note, while it is not necessary, it is sometimes helpful to send a courtesy copy to FCC staff to confirm we received the supplement. Courtesy copies can be sent to Adrienne.Downs@fcc.gov.
|last reviewed/updated on Monday, 26-Jan-15 10:33:55|
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