[Federal Register Volume 65, Number 242 (Friday, December 15, 2000)]
[Proposed Rules]
[Pages 78455-78461]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 00-31722]


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FEDERAL COMMUNICATIONS COMMISSION

47 CFR Parts 1, 21, 61, 73, 74 and 76

[OMD Docket No. 00-205; FCC 00-421]


Adoption of a Mandatory FCC Registration Number

AGENCY: Federal Communications Commission.

ACTION: Proposed rules.

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SUMMARY: The Commission proposes to amend its rules to require persons 
and entities doing business with the agency to obtain a unique 
identifying number, called the FCC Registration Number (FRN), through 
the Commission Registration System (CORES), and to provide the number 
when doing business with the agency. The FRN requirement is being 
proposed to better manage the Commission's financial systems and comply 
with various statutes governing the financial management of agency 
accounts.

DATES: The agency must receive comments on or before January 16, 2001, 
and reply comments on or before January 29, 2001.

FOR FURTHER INFORMATION CONTACT: Mark A. Reger, Chief Financial Officer 
(202) 418-1924 (policy and technical issues); Laurence H. Schecker, 
Office of

[[Page 78456]]

General Counsel (202) 418-1720 (legal issues).

SUPPLEMENTARY INFORMATION:
    1. By this document, the Commission proposes to amend its rules to 
require persons and entities doing business with the Commission to 
obtain a unique identifying number called the FCC Registration Number 
(FRN) to be obtained, or in some cases assigned, through the Commission 
Registration System (CORES). It will enable the Commission to better 
manage the financial systems of the agency and improve compliance with 
various statutes that govern the financial operations of the Federal 
government. The FRN requirement will also allow the Commission to 
improve the efficiency of its own processes to the benefit of the 
public.
    2. The Commission is required in a variety of contexts to manage 
and collect substantial sums of money, including annual regulatory fees 
and application fees (47 U.S.C. 158 and 159) and civil monetary 
penalties (47 U.S.C. 503; 47 CFR 1.80). The Commission also auctions 
radio and television licenses through competitive bidding and 
administers the collection of payments for these licenses (47 U.S.C. 
309(j)). In addition, the Commission directs the collection of mandated 
contributions to the Universal Service Fund (USF) and other statutory 
programs (47 U.S.C. 254(d); 47 CFR 54.706).
    3. In operating these programs, the Commission is subject to a 
variety of federal statutes designed to ensure that the Government's 
financial management systems consistently and accurately report assets, 
liabilities, revenues and expenditures. See, e.g., 31 U.S.C. 3512(b); 4 
CFR 102.1(a) and 102.17. In particular, the Debt Collection Improvement 
Act of 1996 (DCIA), Public Law 104-134, 110 Stat. 1321 (1996), codified 
at 31 U.S.C. 3701, et seq., sought to address congressional concerns 
that debts owed to the Federal government were not being properly 
collected. See United States v. Texas, 507 U.S. 529, 536-37 (1993) 
(Debt Collection Act was passed ``in order to strengthen the 
Government's hand in collecting its debts''). Recently, review by the 
Commission's Office of Inspector General (OIG) and by the General 
Accounting Office (GAO) revealed areas in need of improvement in the 
Commission's collection systems.
    4. In the course of reviewing its collection activities, the 
Commission has already established a Revenue Accounting and Management 
Information System (RAMIS), an internal revenue management system that 
supports application and regulatory fee accounting, spectrum auction 
loan portfolio management, accounting for auction proceeds, accounting 
for enforcement actions, and other accounts receivable of the 
Commission. RAMIS replaces various independent financial management 
systems currently in use by the Commission. When developing RAMIS, it 
became clear that entities doing business with the Commission were 
identified in various ways that made unified accounting and revenue 
management difficult.
    5. To address this problem, the Commission decided to assign a 
unique 10-digit identifying number called the FCC Registration Number 
(FRN) that will be used when doing business with the FCC. The 
Commission Registration System (CORES) was chosen as the mechanism to 
assign the FRN. CORES went on-line July 19, 2000, to permit the public 
to obtain FRNs on a voluntary basis. The Commission strongly 
recommended that the public begin using the FRN with all payments, 
including on applications, with regulatory fee payments, waiver 
petitions, auction payments, forfeiture remittances, and other payments 
and collections. In this proceeding, we propose to require those 
entities doing business with the Commission obtain an FRN and supply it 
on certain submissions to the Commission.
    6. The need for the FRN. We propose to create a new subpart to Part 
1 of our rules that will contain the FRN rules proposed herein, and 
cross-reference to the new subpart where appropriate in our rules. 
These proposed rules would make the use of the FRN mandatory in certain 
circumstances so that anyone not yet assigned an FRN or who has not yet 
obtained one must obtain one. These proposed rules would also address 
when the FRN will have to be provided with a filing. This will reduce 
the number of identifiers used by public entities in an effort to 
simplify their interaction with the Commission.
    7. The reports of our own Inspector General and the GAO clearly 
indicated the need for a reassessment of our recordkeeping of monies 
collected. The collection of regulatory and application fees, auction 
payments, auction loan payments, and other monies due to the United 
States must be processed expeditiously and recorded properly. We 
tentatively conclude that the FRN will provide us with an improved 
mechanism for properly recording and tracking payments made to the 
Commission. The FRN will enable us to maintain the integrity and 
efficiency of the Commission's collection systems, correct the 
deficiencies identified in our accounting systems, improve customer 
service, and increase our efficiency. The FRN will enable us to ensure 
that fee payers' accounts are properly credited, resulting in fewer 
letters requesting confirmation of payment and making it easier for us 
to respond to inquiries. The FRN will enable us to assure that entities 
that claim to be exempt from paying fees are validly entitled to the 
exemption. The information entered into the CORES system will also 
eliminate repetitive collection of data and will enable the Commission 
by electronic mail to inform the public of refunds and send other 
informational alerts. The Commission intends to use the information to 
verify that entities doing business with the Commission have made 
proper payments, and to mail annual fee schedules and other materials.
    8. While the FRN will be used with all FCC licensing and filing 
systems, it will not replace call signs, license numbers, certification 
numbers, or other numbers in authorization of service documents. 
Moreover, the CORES system will not replace the Commission's licensing 
or filing databases as a source of information about licensees. The FRN 
relates to the licensee, not the license, so that modification of a 
license does not affect the FRN or require the licensee to obtain a new 
FRN. However, if a license is transferred, the new license holder must 
have its own separate FRN.
    9. Who Must Obtain an FRN? We propose that anyone doing business 
with the Commission, as that term is defined by the DCIA, 31 U.S.C. 
7701(c)(2), must obtain an FRN. Thus, all businesses and individuals 
that file applications with the Commission--whether feeable or non-
feeable--or make any payments of any type to the Commission will be 
required to obtain an FRN and provide it to the Commission in its 
filings. We note that this includes entities making contributions to 
the USF. The requirement applies not only to fee payers, but also to 
anyone filing an application who would pay a fee except for an 
exception in our rules or the statute, such as amateur radio operators, 
not-for-profit entities, and state and local governments. See 47 CFR 
1.1114 and 1.1162. CORES registration will help us keep track of 
entities that claim they are exempt from paying fees. We include non-
feeable items to facilitate compliance with the DCIA, which requires 
that anyone doing business with the federal government provide a 
taxpayer identifying number (TIN) to the government. See 31 U.S.C. 
7701(c)(1). An FRN for these types of

[[Page 78457]]

entities will also enable us to better respond to fee inquiries from 
these entities. We also propose to permit counsel and representatives 
of entities doing business with the Commission to obtain an FRN, but 
seek comment on this proposal. Finally, in certain instances when we 
cannot reasonably expect the party to obtain an FRN, discussed below, 
we propose to assign one.
    10. To ease the transition to CORES, we assigned FRNs to entities 
already in the Universal Licensing System (ULS) TIN Registration 
database and whose service has been converted to ULS. This procedure 
assigned separate FRNs to hundreds of thousands of entities. In 
addition, the spectrum auction loan portfolio currently uses a Customer 
Information File (CIF) number to collect payment data from the debtors. 
Each bill to the debtor refers to this number and we already request 
that it be included in the payment information to assure proper credit. 
We will be converting from this number to the FRN. Auction licenses 
issued through ULS will probably already have a FRN assigned during the 
data conversion. Those entities that do not currently have an FRN based 
on these conversions can obtain one from our website, by mailing FCC 
Form 160 to the Commission, or by sending Form 160 along with an 
application or payment.
    11. Some foreign entities are already registered in the ULS, and 
will be assigned an FRN as described above. We propose that those 
foreign entities that have not obtained TINs will be assigned an FRN by 
the CORES administrator.
    12. An unusual category of fees is fees collected under the Freedom 
of Information Act (FOIA), 5 U.S.C. 552. Our rules generally require 
that a FOIA requestor represent its willingness to pay applicable FOIA 
fees, and when the fee amount is determined a bill is issued. We 
receive FOIA requests from businesses and individuals, some of which 
regularly interact with the Commission and others that do not. We seek 
comment on whether FOIA requestors which have an FRN should have to 
provide it to the Commission when making a FOIA request, or for other 
FOIA requestors, whether an FRN should be assigned by the Commission 
upon issuance of a bill for the applicable FOIA fee. In a similar vein, 
we seek comment on whether due diligence requesters, who must pay 
research and copying fees, should have to acquire an FRN and provide it 
to the Commission.
    13. Another unusual category is entities against which a forfeiture 
has been assessed. See 47 U.S.C. 501, et seq. Often these entities or 
individuals will have an FRN by virtue of their prior dealings with the 
Commission, but there may be many instances when an individual or 
business has not previously obtained an FRN. When we issue a notice of 
apparent liability (NAL) or other forfeiture-related order, we will 
attempt to discern the party's FRN. If the party does not have one, we 
will assign one and notify the party. Parties making forfeiture 
payments should submit the FRN of the party to whom the forfeiture was 
issued, regardless of whether the forfeiture is being paid directly by 
the subject or by counsel on behalf of a client. Similarly, parties to 
consent decrees involving voluntary contributions to the United States 
Treasury should also submit the FRN with their payments.
    14. Multiple FRN issues. When we announced CORES, and held a forum 
discussing the implementation of CORES, we indicated that the system 
was designed to permit each entity with a separate TIN to obtain a 
separate FRN. We also indicated that FRNs could be obtained for as many 
separate business operations as an entity may require in its judgment, 
including a separate registration number for subsidiaries or sub-
agencies, customers, or clients, even if these entities have the same 
TIN. In addition, an entity that has one TIN but many subdivisions that 
hold licenses or authorizations from the Commission may wish to have 
different FRNs for each subdivision. We include these proposals in this 
Notice.
    15. We do not wish to create a situation in which one entity has 
obtained many FRNs, and uses a different FRN for different or even the 
same transaction. We are concerned that if we permit representatives or 
counsel to obtain and provide an FRN, we will still not know on whose 
behalf a payment is being made. Separate FRNs for related entities 
might complicate any future attempts to determine whether all related 
entities have paid all debts owed to the Commission. Limitations in 
CORES, RAMIS, and the Commission's filings systems may also require a 
different approach. We therefore seek comments on whether we should 
limit the number of FRNs that an entity may obtain, and whether we 
should penalize entities that abuse CORES by obtaining multiple FRNs. 
We also seek comment on whether we should include in our rules 
requirements that would address these issues, or adopt a new form that 
would enable us to identify and link all related entities.
    16. What is included in CORES? The information collected by CORES 
includes entity name, entity type, TIN, contact address, and e-mail 
address. CORES is a system of records that contains identifying 
information about individuals and is subject to the Privacy Act. The 
information in CORES is for Commission use only and will not be 
published or distributed, although CORES has a query search that allows 
the general public to find the FRN, name, date and time of 
registration. CORES information may be shared with other governmental 
organizations as authorized under the DCIA and for other routine uses 
as described in the Privacy Act notice. CORES is designed so that TINs 
will not be available to the public. Accordingly, members of the 
general public will not be able to access CORES using TINs. Only a 
small number of Commission employees will have access to TIN 
information in conjunction with their work.
    17. We will require that information provided to CORES must be kept 
current by the entities that secure the FRN. Changes and updates may be 
made to the password, name, address, contact representative name, 
contact address, contact telephone number and contact e-mail address 
on-line by visiting the FCC's web page or manually by filing FCC Form 
161 (CORES Update/Change Form). The various licensing systems in use at 
the Commission will continue to be the source for a licensee's official 
mailing address on a specific license.
    18. When must the FRN be including in a filing with the Commission? 
We propose that FRNs must be provided with any filings requiring 
payment of a fee. FCC Form 159, used in both electronic and paper 
filings requiring fees, has been modified to accommodate this 
requirement. In addition, we propose that any filing not requiring a 
fee but requiring a TIN under the DCIA must include an FRN. FCC Form 
162 is the appropriate vehicle for providing the FRN in these 
instances. We also seek comment on whether we should attempt to develop 
a comprehensive list of items requiring the FRN, but caution that this 
may difficult to do.
    19. We invite the public to submit in comments any questions 
concerning specific circumstances in which the FRN must be provided. 
However, we note that certain filers, such as commenters in rulemakings 
and members of the public and others petitioning to deny or objecting 
to the issuance of a Commission authorization, need not obtain or 
submit an FRN, even if they have one, in order to participate in the 
Commission proceeding. Letters, reports that do not require payment of 
a fee, or electronic mail communications to the Commission do not 
generally require an FRN. Persons

[[Page 78458]]

searching databases such as ULS to verify information will not require 
the FRN to search the database. Also, pleadings will not require an FRN 
so long as no fee is required.
    20. We propose that counsel or other representatives that makes fee 
payments on behalf of one or more clients should provide their FRN and 
the FRN of the client or clients with the payments. Counsel and 
representatives should take care to ensure that when making payments on 
behalf of clients, they identify the client and the amount being paid, 
ensure that the client's FRN is included, and ensure that the FRN 
provided is the proper one for their client. We seek comment on this 
proposal. We also propose to amend section 1.221(f) of our Rules, 47 
CFR 1.221(f), to require that when a written appearance that must be 
accompanied by a fee payment is required, counsel must provide an FRN.
    21. In feeable complaint proceedings, we tentatively conclude that 
either the complainant (or in a multiple party complaint, the lead 
complainant) and the counsel on behalf of the complainants should 
submit their FRNs. We seek comment on whether all complainants in 
feeable complaint proceedings should provide their FRN.
    22. How will the FRN be reported? The FRN will be included 
primarily on the FCC Form 159 that is required whenever a fee is paid. 
In addition, all FCC application forms will be amended either as they 
come up for renewal under the Paperwork Reduction Act (PRA) or if other 
changes are made to the paper forms to include a field for the FRN. 
Applications and electronic filings requiring an FRN have been or will 
be amended to include a field for the FRN. For non-feeable items 
requiring an FRN, or if there is no application form but the FRN is 
required, the FRN can be provided on FCC Form 162.
    23. Failure to provide the FRN. Except as described below, we 
propose to reject filings that require an FRN but do not include it. We 
have such a standard currently for application fees (47 CFR 1.1109, 
1.1112 and 1.1116), regulatory fees (47 CFR 1.1157 and 1.1164), and 
applications generally (47 CFR 1.764). We tentatively conclude a 
similar standard is required for the FRN. As discussed above, the FRN 
will be required on the FCC Form 159 filed with fee payments, on all 
application forms as amended to include the FRN, or on FCC Form 162 to 
accompany forms that have not yet been amended to require the FRN or 
applications that do not have specific forms. Our rules already address 
the completeness of applications. E.g., 47 CFR 5.65(a); 25.112(a)(1); 
25.527; 73.3564(a)(1); and 78.20(a).
    24. Failure to include the FRN would render the application 
incomplete. We propose that when an application is filed without an 
FRN, we will not accept the application. The application may be re-
submitted with the FRN, but we propose that the date the re-submitted 
application is received by the Commission or its agent will be 
considered the date of filing. If an application is resubmitted with 
the FRN after the specified deadline for filing, it will be considered 
late-filed and subject to appropriate action. If an application is 
accepted and it is later discovered that it lacks the FRN, failure to 
include the FRN will be deemed grounds for dismissal. Application fees 
may be retained as we do in other circumstances in which applications 
are dismissed as defective. Compare 47 CFR 1.1113 with 47 CFR 1.1108. 
Because application processes vary among our Bureaus, we propose to 
include in Part 1 Subpart W a generally applicable rule concerning the 
handling of filings that omit the FRN, and appropriate cross-references 
to this new subpart. We seek comment on whether this approach is 
sufficient, or whether we need to amend individual rules governing 
specific applications. Such comments should specifically identify which 
rules are believed to require amendment. We also seek comment on how to 
handle any auction up-front payments, down payments, or auction loan 
payments made without an FRN, but note that auction registration will 
require an FRN. We also seek comment on whether the failure of counsel 
or a representative to provide his or her FRN should affect the status 
of an application or filing.
    25. The next filing of regulatory fees will occur in September 
2001, and we will consider in the next rulemaking proceeding to 
establish regulatory fees how to handle circumstances in which the 
regulatory fee is paid but the FRN is not provided.
    26. We seek comment on what should happen if a complainant in a 
feeable complaint proceeding fails to submit the FRN. We tentatively 
conclude that in such cases, failure to submit the FRN may result in 
dismissal. However, we will permit Commission staff the discretion to 
allow a party to correct this omission within a reasonable period of 
time, as determined by the staff. In the case of forfeiture proceedings 
and consent decrees involving voluntary contributions, we intend to 
retain the forfeiture payments in cases where the subject fails to 
provide its obtained or assigned FRN.
    27. Tariff publications present unique issues. Some are filed 
electronically, some on paper, and still others are filed on diskette 
with an accompanying paper cover letter or other transmittal. See 47 
CFR 61.13, et seq. (tariff publications filed electronically through 
ETFS); 47 CFR 61.1, et seq. (publications filed on paper or diskette). 
Regardless of how the publication is filed, the payment of the 
applicable fee is made separately, either electronically or by mail. In 
addition, there are varying notice periods for tariff publications to 
become effective, ranging from a maximum of 120 days to the same day. 
See 47 U.S.C. 203(b) (maximum 120 days notice); 204(a)(3) (seven or 
fifteen days' notice for local exchange carriers); and 226(h)(1)(A) 
(``changes in [informational tariff] rates, terms, or conditions shall 
be filed no later than the first day on which the changed rates, terms, 
or conditions are in effect''); 47 CFR 61.23(c) (one day's notice for 
non-dominant carriers). There are therefore different processing and 
fee payment arrangements. See generally 47 CFR 61.13 et seq., 61.18, et 
seq., 61.28, et seq., and 61.31, et seq. Finally, there are limits on 
what actions we may take once a tariff publication has become 
effective. See, e.g., 47 U.S.C. 204(a) (suspension and investigation of 
tariff publications) and 205(a) (action on unlawful tariff 
publications). We propose the following actions regarding the FRN and 
tariff publications. We propose to modify the ETFS so that a carrier 
authorized to use that system will be required to provide not only its 
regular password and login but also its assigned FRN and FRN password 
to gain access. Also, both the paper and electronic versions of the 
Form 159, which accompany fee payments, have been amended to include a 
field for the FRN. In addition, the FRN will be required on the cover 
letter or other transmittal accompanying each tariff publication. We 
seek comment on how we should treat tariff publications that omit a 
valid FRN. For example, should such publications be rejected, declared 
unlawful, or be subject to other action.
    28. Authority. Section 4(i) of the Communications Act, 47 U.S.C. 
154(i), authorizes the Commission ``to perform any and all acts, make 
such rules and regulations, and issue such orders, not inconsistent 
with this chapter, as may be necessary in the execution of its 
functions.'' See New England Tel. & Tel. Co. v. FCC, 826 F.2d 1101, 
1108 (D.C. Cir. 1987) (section 4(i) serves as the Communications Act's 
``necessary and proper clause''); see also 47 U.S.C. 303(r) (authority 
to prescribe rules and regulations to implement the

[[Page 78459]]

Communications Act). Pursuant to section 8 and 9 of the Communications 
Act, as amended, we have broad authority to ``prescribe appropriate 
rules and regulations'' in the assessment and collection of charges and 
fees. 47 U.S.C. 158(f) and 159(f)(1). See also 47 U.S.C. 309(j) 
(Commission is authorized to prescribe rules to implement competitive 
bidding for spectrum); 47 U.S.C. 254(d) (carrier contributions to USF). 
We believe these provisions of the Communications Act authorize us to 
require entities interacting with the Commission to obtain and provide 
the FRN to us.
    29. Paperwork Reduction Act. We have obtained Office of Management 
and Budget (OMB) approval under the Paperwork Reduction Act (PRA) for 
the information collections related to CORES and the FRN. FCC Form 159 
has been amended to include the FRN under OMB Control Number 3060-0589. 
FCC Form 160, the CORES Registration Form, received OMB approval under 
OMB Control Number 3060-0917. FCC Form 161, the CORES Update Form, 
received OMB approval under OMB Control Number 3060-0918. FCC Form 162, 
the CORES Certification Form, received OMB approval under OMB Control 
Number 3060-0919. Providing the FRN for non-feeable items, and a 
blanket request to update any other FCC forms to include the FRN, was 
obtained from OMB in OMB Control Number 3060-0728. As FCC forms are 
modified, the FRN requirement will be included when we seek OMB 
approval for the modifications. We may, as a result of comments 
received in this proceeding and our further consideration of these 
matters, adopt reporting or recordkeeping requirements subject to the 
PRA. We will seek OMB approval for such information collections at that 
time.
    30. Regulatory Flexibility Act. We hereby certify, and tentatively 
conclude we will be able to so certify if we adopt these rules in final 
form, that the rules proposed in this Notice will not, if promulgated, 
have a significant economic impact on a substantial number of small 
entities. 5 U.S.C. 605(b). The rules require certain entities or 
individuals to obtain an FRN. A substantial number of entities doing 
business with the Commission automatically received their FRN by virtue 
of their prior registration in the ULS. We have proposed to make it 
extremely simple, and virtually cost-free, for anyone else to obtain an 
FRN. Nor do we believe the proposed rule amendments establishing 
penalties for failure to provide the FRN will have a significant 
economic impact on a substantial number of small entities. Our rules 
already generally provide for penalties when applications are not 
substantially complete. The proposed rule amendments simply conform our 
rules to the new FRN requirement. Therefore, the rules will not have a 
significant economic impact. We invite comments on this tentative 
conclusion.
    31. Ex Parte Matters. This proceeding will be treated as a 
``permit-but-disclose'' proceeding subject to the ``permit-but-
disclose'' requirements under Section 1.1206(b) of the rules. 47 CFR 
1.1206(b), as revised. Ex parte presentations are permissible if 
disclosed in accordance with Commission rules, except during the 
Sunshine Agenda period when presentations, ex parte or otherwise, are 
generally prohibited. Persons making oral ex parte presentations are 
reminded that a memorandum summarizing a presentation must contain a 
summary of the substance of the presentation and not merely a listing 
of the subjects discussed. More than a one or two sentence description 
of the views and arguments presented is generally required. See 47 CFR 
1.1206(b)(2), as revised. Additional rules pertaining to oral and 
written presentations are set forth in section 1.1206(b).
    32. Comment Filing. Comments may be filed using the Commission's 
Electronic Comment Filing System (ECFS) or by filing paper copies. 
Comments filed through ECFS may be sent as an electronic file via the 
Internet to www.fcc.gov/e-file/ecfs.html>. Generally, only one copy of 
an electronic submission must be filed. When completing the transmittal 
screen, commenters should include their full name, Postal Service 
mailing address, and the applicable docket or rulemaking number. 
Parties may also submit an electronic comment by Internet e-mail. To 
receive filing instructions for e-mail comments, commenters should send 
an e-mail to [email protected]>, and should include the following words in 
the body of the message, ``get form your e-mail address>.'' A sample 
form and directions will be sent in reply. Parties who choose to file 
by paper must file an original and four copies of each filing. If 
participants want each Commissioner to receive a personal copy of their 
comments, an original plus nine copies must be filed. All filings must 
be sent to the Commission's Secretary, Magalie Roman Salas, Office of 
the Secretary, Federal Communications Commission, 445 12th Street, SW., 
Room TW-A325, Washington, DC 20554. Parties should reference MD Docket 
No. 00-205 in their comments.
    33. All relevant and timely comments will be considered by the 
Commission before final action is taken in this proceeding. Comments 
and reply comments will be available for public inspection during 
regular business hours in the Reference Information Center (Room CY-
A257) of the Federal Communications Commission, The Portals, 445 
Twelfth Street, SW., Washington, DC 20554. Copies of comments and reply 
comments will also be available through the Commission's duplicating 
contractor, International Transcription Service, Inc. (ITS, Inc.), 1231 
20th Street, NW., Washington, DC 20036, (202) 857-3800, TTY (202) 293-
8810.
    34. Further Information. Additional information concerning CORES is 
found in the Frequently Asked Question portion of the CORES homepage on 
our Internet site, located at www.fcc.gov> and by clicking on the CORES 
link.
    35. Pursuant to Sections 4(i), 8(f), 9(f)(1), 254(d), 303(r), and 
309(j) of the Communications Act of 1934, as amended, 47 U.S.C. 154(i), 
158(f), 159(f)(1), 254(d), 303(r), and 309(j), and 31 U.S.C. 
7701(c)(1), this Notice of Proposed Rulemaking is hereby adopted.
    36. The Commission's Consumer Information Bureau, Reference 
Information Center, shall send a copy of this Notice of Proposed 
Rulemaking, including the Initial Regulatory Flexibility Analysis, to 
the Chief Counsel for Advocacy of the Small Business Administration.

List of Subjects

47 CFR Parts 1

    Administrative practice and procedure; reporting and recordkeeping 
requirements.

47 CFR Parts 21, 61, 73, 74 and 76

    Reporting and recordkeeping requirements

    Federal Communications Commission
Shirley Suggs,
Chief, Publications Group.

Rule Changes

    For the reasons discussed in the preamble, the Federal 
Communications Commission proposed to amend 47 CFR Parts 1, 21, 61, 73, 
74, and 76 as follows:

PART 1--PRACTICE AND PROCEDURE

    1. The authority citations for part 1 continue to read as follows:

    Authority: 47 U.S.C. 151, 154(j), 155, 255, 303(r), 309.


[[Page 78460]]


    2. Section 1.42 is amended by adding a new paragraph (c) to read as 
follows:


Sec. 1.42  Applications, reports complaints; cross-reference.

* * * * *
    (c) Rules governing the FCC Registration Number (FRN) are contained 
in Subpart W of this part.
    3. Section 1.77 is amended by adding a new sentence following the 
first sentence in the introductory text as follows:


Sec. 1.77  Detailed application procedures; cross-reference.

     * * * Applicants should also refer to the Commission rules 
regarding the payment of statutory charges (subpart G of this part) and 
the use of the FCC Registration Number (FRN) (see subpart W of this 
part).
* * * * *
    4. Section 1.221 is amended by redesignating paragraph (f) as 
paragraph (f)(1), designating the note as ``Note to paragraph 
(f)(1):'', and adding a new paragraph (f)(2) to read as follows:


Sec. 1.221  Notice of hearing; appearances.

* * * * *
    (f) * * *
    (2) When a fee is required to accompany a written appearance as 
described in paragraph (f)(1) of this section, the written appearance 
must also contain the appropriate FCC Registration Number (FRN) in 
conformance with subpart W of this part. The presiding judge may 
dismiss a written appearance that does not contain the FRN. The 
presiding judge may dismiss the applicant with prejudice for failure to 
prosecute if the written appearance is not resubmitted with the FRN 
within the original 20-day filing period.
* * * * *
    5. Section 1.721 is amended by removing the word ``and'' at the end 
of paragraph (a)(13), and adding the word ``and'' at the end of 
paragraph (a)(14), and by adding a new paragraph (15) to read as 
follows:


Sec. 1.721  Format and content of complaints.

* * * * *
    (a) * * *
    (15) A FCC Registration Number is required under Part 1, Subpart W. 
Submission of a complaint without the appropriate FCC Registration 
Number as required by Part 1, subpart W may result in dismissal of the 
complaint. The staff may, at its discretion, require the complainant to 
correct the omission of the FCC Registration Number within a reasonable 
period of time as specified by the Commission staff.
* * * * *
    6. Section 1.934 is amended by removing the word ``or'' at the end 
of paragraph (d)(2), and adding the word ``or'' at the end of paragraph 
(d)(3), and by adding a new paragraph (d)(4) to read as follows:


Sec. 1.934  Defective applications and dismissal.

* * * * *
    (d) * * *
    (4) The FCC Registration Number (FRN) has not been provided.
* * * * *
    7. Add a new subpart W to read as follows:

Subpart W--FCC Registration Number

Sec.
1.8001  FCC Registration Number (FRN).
1.8002  Obtaining an FRN.
1.8003  Providing the FRN in Commission filings.
1.8004  Penalty for failure to provide the FRN.


Sec. 1.8001  FCC Registration Number (FRN).

    (a) The FCC Registration Number (FRN) is a 10-digit unique 
identifying number that is assigned to entities doing business with the 
Commission.
    (b) The FRN is obtained through the Commission Registration System 
(CORES) over the Internet at the CORES link at www.fcc.gov> or by 
filing FCC Form 160.


Sec. 1.8002  Obtaining an FRN.

    (a) The FRN must be obtained by anyone doing business with the 
government as defined in 31 U.S.C. 7701(c)(2), including but not 
limited to
    (1) Anyone required to pay statutory charges under subpart G of 
this part;
    (2) Anyone applying for a license who is exempt from paying 
statutory charges under subpart G of this part, see Secs. 1.1114 and 
1.1162;
    (3) Anyone participating in a spectrum auction;
    (4) Anyone holding or obtaining a spectrum auction license or loan; 
and
    (5) Anyone paying statutory charges on behalf of another entity or 
person.
    (b)(1) When registering for an FRN through CORES, an entity's name, 
entity type, contact name and title, address, and taxpayer identifying 
number (TIN) must be provided. For individuals, the TIN is the social 
security number (SSN).
    (2) Information provided when registering for an FRN must be kept 
current by registrants either by updating the information on-line at 
the CORES link at www.fcc.gov> or by filing FCC Form 161 (CORES Update/
Change Form).
    (c) An FRN may be obtained separately by each subsidiary of a 
business, at the discretion of the business entity. Each subsidiary 
with a different TIN must obtain a separate FRN.
    (d) An FRN may be assigned by the Commission, which will promptly 
notify the entity of the assigned FRN.


Sec. 1.8003  Providing the FRN in Commission Filings.

    The FRN must be provided with any filings requiring the payment of 
statutory charges under subpart G of this Part, anyone applying for a 
license who is exempt from paying statutory charges under subpart G of 
this Part, anyone participating in a spectrum auction, making up-front 
payments or deposits in a spectrum auction, anyone making a payment on 
an auction loan, anyone making a contribution to the Universal Service 
Fund, and anyone paying a forfeiture.


Sec. 1.8004  Penalty for Failure to Provide the FRN.

    (a) Electronic filing systems for filings that require the FRN will 
not accept a filing without the appropriate FRN. If a party seeks to 
make an electronic filing and does not have an FRN, the system will 
direct the party to the CORES website to obtain an FRN.
    (b) Except as provided in other Commission rules, filings subject 
to the FRN requirement and submitted without an FRN may be returned or 
dismissed. A missing FRN may be corrected and the filing resubmitted. 
Except in feeable complaint proceedings, for purposes of determining 
whether the filing is timely, the date the resubmitted application is 
received by the Commission or its agent with the FRN will be considered 
the date of filing.

PART 21--DOMESTIC PUBLIC FIXED RADIO SERVICES

    8. The authority citations for part 21 continue to read as follows:

    Authority: Secs. 1, 2, 4, 201-205, 208, 215, 218, 303, 307, 313, 
403, 410, 602, 48 Stat. As amended, 1064, 1066, 1070-1073, 1076, 
1077, 1080, 1082, 1083, 1094, 1098, 1102; 47 U.S.C. 151, 154, 201-
205, 208, 215, 218, 303, 307, 313, 314, 403, 404, 602; 47 U.S.C. 
552, 554.

    9. Section 21.20 is amended by removing the word ``or'' at the end 
of paragraph (b)(9), and by adding the word ``or'' at the end of 
paragraph (b)(10), and by adding a new paragraph (b)(11) to read as 
follows:


Sec. 21.20  Defective applications.

* * * * *
    (b) * * *

[[Page 78461]]

    (11) The application does not contain the FCC Registration Number 
(FRN) as required under Part 1, Subpart W of this chapter.
* * * * *

PART 61--TARIFFS

    10. The authority citations for part 61 continue to read as 
follows:

    Authority: Secs. 1, 4(I), 4(j), 201-205, and 403 of the 
Communications Act of 1934, as amended; 47 U.S.C. 151, 154(i), 
154(j), 201-205, and 403, unless otherwise noted.

    11. Section 61.1 is amended by revising paragraph (b) to read as 
follows:


Sec. 61.1  Purpose and application.

* * * * *
    (b) Tariff publications filed with the Commission must conform to 
the rules in this part and with Commission rules regarding the payment 
of statutory charges (see part 1, subpart G of this chapter) and the 
use of FCC Registration Numbers (FRNs) (see part 1, subpart W of this 
chapter). Failure to comply with any provisions of these rules may be 
grounds for rejection of the non-complying publication, a determination 
that it is unlawful or other action.
* * * * *
    12. Section 61.15 is amended by adding a new paragraph (a)(4) to 
read as follows:


Sec. 61.15  Letters of transmittal and cover letters.

* * * * *
    (a) * * *
    (4) Include the FCC Registration Number (FRN) of the carrier on 
whose behalf the cover letter is submitted. See part 1, subpart W of 
this chapter.
* * * * *
    13. Section 61.21 is amended by adding a new paragraph (a)(3) to 
read as follows:


Sec. 61.21  Cover letters.

* * * * *
    (a) * * *
    (3) All cover letters and letters of transmittal shall include the 
FCC Registration Number (FRN) of the issuing carrier on whose behalf 
the letter is submitted. See part 1, subpart W of this chapter.
* * * * *
    14. Section 61.33 is amended by removing the word ``and'' at the 
end of paragraph (a)(3), and adding the word ``and'' at the end of 
paragraph (a)(4), and by adding a new paragraph (a)(5) to read as 
follows:


Sec. 61.33  Letters of Transmittal.

    (a) * * *
    (5) Include the FCC Registration Number (FRN) of the carrier on 
whose behalf the letter is submitted. See part 1, subpart W of this 
chapter.
* * * * *

PART 73--RADIO BROADCAST SERVICES

    15.The authority citations for part 73 continue to read as follows:

    Authority: 47 U.S.C. 154, 303, 334 and 336.

    16. Section 73.1010 is amended by adding a new paragraph (a)(9) to 
read as follows:


Sec. 73.1010  Cross reference to rules in other parts.

    (a) * * *
    (9) Part 1, Subpart W of this chapter, ``FCC Registration Number''. 
(Secs. 1.8001--1.8005.)
* * * * *

PART 74--EXPERIMENTAL RADIO, AUXILIARY, SPECIAL BROADCAST AND OTHER 
PROGRAM DISTRIBUTIONAL SERVICES

    17. The authority citations for part 74 continue to read as 
follows:

    Authority: 47 U.S.C. 154, 303, 307, and 554.

    18. Section 74.5 is amended by adding a new paragraph (a)(7) to 
read as follows:


Sec. 74.5  Cross-reference to rules in other parts.

    (a) * * *
    (7) Part 1, Subpart W of this chapter, ``FCC Registration Number''. 
(Secs. 1.8001--1.8005.)
* * * * *

PART 76--MULTICHANNEL VIDEO AND CABLE TELEVISION SERVICE

    19. The authority citations in part 76 continue to read as follows:

    Authority: 47 U.S.C. 151, 152, 153, 154, 301, 302, 303, 303a, 
307, 308, 309, 312, 317, 325, 503, 521, 522, 531, 532, 534, 535, 
536, 537, 543, 544, 544a, 545, 548, 549, 552, 554, 556, 558, 560, 
561, 571, 572, 573.

    20. Section 76.1610 amended by adding a new paragraph (f) to read 
as follows:


Sec. 76.1610  Change of operational information.

* * * * *
    (f) The operator's FCC Registration Number (FRN) as required under 
part 1, subpart W of this chapter.
* * * * *
[FR Doc. 00-31722 Filed 12-14-00; 8:45 am]
BILLING CODE 6712-01-P