[Federal Register Volume 66, Number 179 (Friday, September 14, 2001)]
[Rules and Regulations]
[Pages 47890-47897]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 01-22969]


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FEDERAL COMMUNICATIONS COMMISSION

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

[OMD Docket No. 00-205; FCC 01-246]


Adoption of a Mandatory FCC Registration Number

AGENCY: Federal Communications Commission.

ACTION: Final rules.

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SUMMARY: The Commission amends 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 adopted to 
better manage the Commission's financial systems and comply with 
various statutes governing the financial management of agency accounts.

DATES: Effective December 3, 2001.

FOR FURTHER INFORMATION CONTACT: Mark A. Reger, Chief Financial Officer 
(202) 418-1924 (policy and technical issues); Laurence H. Schecker, 
Office of General Counsel (202) 418-1720 (legal issues).

SUPPLEMENTARY INFORMATION: By this document, the Commission amends its 
rules to require persons and entities doing business with the 
Commission to obtain a unique identifying number called the FCC 
Registration Number (FRN) and supply it when doing business with the 
Commission.
    This proceeding was instituted as a step in our efforts to better 
manage our financial systems, to improve

[[Page 47891]]

compliance with various statutes that govern the financial operations 
of the Federal government, and to improve the efficiency of agency 
processes for the benefit of the public. We have considered the eight 
comments and two reply comments received in response to the Notice of 
Proposed Rulemaking (NPRM), 65 FR 78455 (Dec. 15, 2000). In this order, 
we adopt a new subpart W to part 1 of our rules, 47 CFR part 1, and 
cross-reference this new subpart where appropriate in our other rules, 
to require persons and entities doing business with the Commission to 
acquire an FRN and to provide it with all applications or feeable 
filings as well as other transactions involving the payment of money. 
The rules are set forth in the rule changes, and are substantially as 
we proposed in the NPRM. We have made various editorial changes and 
changes in response to the comments received as discussed in this 
decision.

The Need for the Identifying Number

    In the NPRM we explained at length the need to adopt a 10-digit 
unique identifier, the FRN, and our choice of the Commission 
Registration System (CORES) as the mechanism for assigning the FRN to 
entities doing business with the Commission. No commenting parties 
questioned our view that we needed to take steps to improve the 
management of our financial systems. A mandatory FRN is part of a long-
range solution to better manage our financial systems. Adoption of a 
new requirement such as the FRN will engender implementation issues. We 
intend to address any problems that arise from the implementation of 
the CORES expeditiously. We appreciate the comments that pointed out 
existing and potential problems, and welcome the opportunity to address 
those concerns.
    While many commenting parties generally support the FRN, the FCBA 
urged the Commission ``not to impose any new FRN requirements without 
taking a simultaneous, comprehensive look at its proposal in the 
context of the other `numbers,' `passwords,' and `identifiers' already 
in use at the Commission.'' As we have noted, we believe we must 
implement the FRN requirement as soon as possible. Both the General 
Accounting Office and the Commission's own Inspector General have 
concluded that the Commission must improve its collection systems. 
Adopting a mandatory FRN is among the first steps necessary to correct 
deficiencies in our financial management systems that have come to our 
attention.
    The FRN will have multiple benefits to the Commission and the 
public. The FRN will enable us to ensure that fees are recorded and 
credited to the proper party. This will result in fewer letters 
requesting confirmation of payments and make it easier for us to 
respond to inquiries. The FRN will enable us to keep better records of 
entities that are exempt from paying fees. It will help us to maintain 
the integrity and efficiency of our collection systems and correct 
deficiencies identified in our accounting systems. The FRN will 
eliminate repetitive collection of data while providing us with a 
database to provide electronic mailings, such as annual fee materials 
and other informational mailings, to the public doing business with the 
Commission.
    One of the main reasons we are adopting the FRN requirement is to 
facilitate compliance with the Debt Collection Improvement Act of 1996 
(DCIA), sections 8 and 9 of the Communications Act, and the regulations 
implementing these statutes. These statutes and regulations permit us 
to withhold the processing or ultimate grant of a license, application, 
or other authorization where the applicant has not paid the application 
fees or is delinquent in its debts to the Commission. The FRN, in 
conjunction with the Revenue Accounting and Management Information 
System (RAMIS), will enable us to perform fee and debt sufficiency 
checks to better manage our collection and revenue systems.
    We realize that the manner in which our electronic systems have 
developed has resulted in a multiplicity of numbers, passwords and 
identifiers. For the reasons noted, we cannot afford to delay this 
necessary step toward improved financial management of the agency's 
receivables. Indeed, the creation of a single unique customer 
identification number is the best approach to solving a long-standing 
problem. Using the FRN as a unique customer identifier will improve 
communication between the Commission's various electronic systems by 
automating fee sufficiency checks and by facilitating other systems' 
party validation processes. Implementing the FRN is the first step 
toward streamlining this aspect of electronic filing services for our 
customers. The Commission has placed a very high priority on the 
development of a common data structure for all systems to use for new 
development as well as enhancements to existing systems. One of our 
long-range goals is to replace unnecessary numbers of other identifiers 
with the FRN. As the electronic filing systems incorporate the CORES 
and the FRN into their application process, the need to maintain 
registration information in multiple systems will be eliminated. In FY 
2002, we plan to initiate a review to determine how to simplify the 
passwords and identifiers used by the agency's electronic systems, as 
suggested by the FCBA.
    Disney commented on problems concerning the revised FCC Form 159 
and the Commission's existing payment and electronic filing systems. 
While there have been problems with the revised Form 159, those 
deficiencies are being corrected. In particular, we will have Form 159 
available in Adobe Acrobat format to allow users to prepare the form on 
line. This will resolve many if not all problems encountered thus far 
with Form 159. We encourage the public to utilize the electronic 
version of Form 159.
    The NAB correctly observed that the CORES does not allow a licensee 
to check on the status of an application. The CORES was never intended 
to serve as an application tracking system. That function is performed 
by individual licensing systems. The CORES is a registration system and 
database used to ensure that entities are meeting applicable fee 
requirements and are current in all financial obligations. The various 
Bureau and Office filing systems are being reprogrammed to incorporate 
the FRN, but those systems remain the vehicle for checking application 
status.
    NECA commented that the administrator of the Commission's schools 
and libraries support mechanism, the Universal Service Administrative 
Company (USAC), also uses the acronym ``FRN.'' Specifically, USAC 
assigns a ``Funding Request Number'' to each individual request for 
discounted services submitted by a school or library. USAC, schools and 
libraries, and the service providers who provide the discounted 
services all use the FRN to track the individual funding requests. 
Service providers are also required to reference specific USAC Funding 
Request Numbers when submitting invoices to USAC for reimbursement of 
the discounted portion of the services they provide to schools and 
libraries. In addition, service providers are required to list their 
Service Provider Identification Number, which is a provider-specific 
identification number assigned by USAC for tracking purposes.
    We recognize that there could be some confusion to the extent that 
service providers were required to include both the USAC Funding 
Request Numbers and the Commission FRN on the same request for 
reimbursement. To minimize this

[[Page 47892]]

potential confusion, we are working with USAC to develop a relational 
database system that will allow the correlation of a service provider's 
Service Provider Identification Number assigned by USAC with the FRN 
assigned by the Commission. This database system will obviate the need 
for service providers to supply a Commission FRN when seeking 
reimbursement from USAC. In conjunction with USAC, we will also take 
steps to educate carriers and the public about this matter to eliminate 
any confusion.

Multiple FRNs

    We sought comment on whether we should limit the number of FRNs 
that an entity may obtain and whether we should penalize entities that 
abuse the CORES by obtaining multiple FRNs. We agree with the 
commenters that indicated we should not limit the number of FRNs that 
may be obtained. This will permit members of a corporate family to 
obtain individual FRNs, whether or not those entities have different 
taxpayer identifying numbers (TINs). We wish to allow entities to 
organize their dealings with the Commission along logical business 
lines. We will not adopt the proposal for a sub-group identification 
number as a means for linking related entities because the Commission 
can link entities through the TIN information.
    Our decision to allow multiple FRNs means that entities will be 
responsible for ensuring that the proper FRN is used for the payment 
being submitted to the Commission. While all transactions for a license 
should use the FRN obtained by the entity for that license so that a 
link between and among transactions is maintained, the licensing 
bureaus and offices will not reject subsequent applications or filings 
that provide different FRNs over the life cycle of the license, unless 
improper use of multiple FRNs by the entity is found. If an entity 
applies for a license using one FRN and remits regulatory fees or other 
payments using another FRN, it will appear in the database that the 
entity did not pay the proper fees. We caution, however, that in 
individual circumstances, if we find that entities are obtaining 
multiple FRNs for purposes of not paying fees or evading regulatory 
responsibilities, we will take appropriate action, such as revoking 
duplicative FRNs or other appropriate action.

Security Concerns

    Disney expressed security concerns over the use of a single FRN as 
an identifier. Although Disney agrees with NAB that the Commission 
should ``assess its electronic filing and database systems on a 
holistic level,'' Disney felt that using a single common identifier or 
reference number for all filings raises significant (but unidentified) 
security concerns. Our licensing and other electronic systems have 
appropriate password protections. As in any other electronic system, 
password security in the CORES is vital. We do not, however, believe 
that any unique security issues are raised in this context.
    Cingular commented that FRNs cannot be deleted, a prospect it 
believes is troubling if duplicate FRNs are assigned. The CORES does 
not permit the same FRN to be assigned more than once. Nor does the 
CORES allow the public to delete FRNs. However, the CORES has been 
revised to allow entries to be placed on inactive status by the CORES 
Administrator on our own or at the request of the public. Thus, when an 
entity informs the CORES help desk that they want to have an FRN de-
activated, that FRN will no long appear when a search of the database 
is conducted.

Assignment of FRNs

    Cingular urged that the Commission only assign FRNs upon request 
through the CORES or after submission of an FCC Form 160. When the 
CORES became operational in 2000, licenses in the Universal Licensing 
System (ULS), our largest database, were automatically assigned FRNs. 
That process, which was a one-time occurrence, is now complete. The 
Commission does not expect to perform any future data conversions and, 
as Cingular recommends, will rely on entities to request FRNs through 
the CORES. When the FRN becomes mandatory, an entity's FRN and other 
relevant data from the CORES will automatically fill in Form 159. As 
Disney pointed out, this process will substantially reduce data entry 
errors.
    As we proposed in the NPRM, if we cannot reasonably expect a party 
to obtain an FRN, we will assign one. In the enforcement context, we 
note that the FRN is a primary element in the forfeiture tracking 
system. Many recipients of enforcement actions are current customers of 
the Commission and will already have an FRN issued for prior 
transactions. Commission staff will research the CORES to determine if 
a FRN exist for the alleged violator, and if none exists the staff will 
assign an FRN and include that FRN on the outgoing correspondence. 
Those who do not have a FRN will be assigned one by the enforcing 
bureau and will be requested to submit it with the payment of a fine or 
forfeiture or other payment. Entities making voluntary contributions, 
such as those made pursuant to a consent decree, must acquire an FRN.
    The ARRL commented that foreign nationals and non-United States 
citizens who are not employed in the United States hold amateur 
licenses but have no social security number (SSN). The CORES has made 
provision for the registration of foreign nationals by providing the 
ability to register without a TIN. For foreign entities that do not yet 
have a TIN, the CORES will assign a nine-digit personal identification 
number (PIN) to the entity. The PIN will appear on the final 
registration confirmation page. Indeed, many of these persons were 
already registered in the ULS and were assigned a PIN as a substitute 
for a TIN. They were transferred automatically into the CORES. ARRL 
also stated that unincorporated amateur radio clubs have no TIN. 
Unincorporated amateur radio clubs owned by United States citizens that 
were not converted from ULS into the CORES will be required to supply a 
club trustee's TIN in order to obtain an FRN. Finally, ARRL asked that 
we amend our proposed rules to alert entities with assigned TINs to use 
that number, but we conclude that such instructions are best included 
in appropriate CORES fact sheets.
    Entities being billed for fulfillment of a FOIA request will be 
provided with a Form 160 to be returned with their remittance. 
Similarly, due diligence requestors who send in requests and must pay 
research and copying fees will be provided with a Form 160. However, 
those who personally appear at the Reference Center and pay fees to 
make copies of Commission records will not have to obtain or provide an 
FRN.

TINs

    We agree with Cingular that collecting TINs as well as the FRN on 
Form 159 is redundant. Once the FRN is mandatory and we have built a 
database of TIN information in the revenue system as required by the 
DCIA, we anticipate that the Form 159 will be revised to eliminate the 
TIN and other redundant information. Further, the entity database in 
the revenue system will be loaded from the CORES system and we will be 
able to associate all FRNs that apply to one TIN. In the future, the 
Commission would like to see the reporting of TIN information limited 
to the registration in the CORES and only require the TIN during the 
licensing process in unusual circumstances. The Commission will rely on 
the industry to maintain accurate information about contacts, mailing 
addresses and TIN information in the CORES database. Verizon

[[Page 47893]]

Wireless asks for 90 days to update information in the CORES database. 
We will not set a time limit for this requirement, but advise that the 
information should be kept current in order to ensure proper crediting 
of payments. We hope that with future revisions to our systems, when 
information is updated in one system all systems will receive the 
update, as Verizon Wireless requests.
    Verizon Wireless and Sprint questioned why the Commission chose not 
to use TINs as the identifier of choice. The TIN for individuals is the 
SSN, and, because of privacy requirements, could not be used as an 
identifier. While the TINs for business entities are not generally 
confidential, as Cingular points out, in some circumstances such TINs 
are also sensitive.

When Must FRNs be Obtained?

    As we noted in the NPRM, FRNs must be obtained by anyone who is 
doing business with the Commission as that term is defined in the DCIA. 
This requirement is reflected in rule Sec. 1.8002(a) adopted in this 
Order. We stated, ``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 
also noted that anyone who does not pay a fee because of an exception 
in our rules or the statute had to acquire and provide an FRN to enable 
us to keep track of entities that claim an exemption from paying fees.

When Must FRNs be Provided?

    Cingular commented that the Commission should clearly identify when 
FRNs must be provided. The Commission will issue public notices as 
Bureaus modify their systems to require an FRN and will specify the 
forms or other filings that will require providing either the FRN or a 
Form 162. The Commission will include this information in the 
Frequently Asked Questions for the CORES. A list of specific instances 
in which the FRN must be provided will be compiled and the CORES 
website will link to the list. We have changed the language of proposed 
rule Sec. 1.8003 to reflect our plans to issue more specific guidance 
as to when the FRN must be provided. We wish to repeat, as we noted in 
the Notice of Proposed Rulemaking, 65 FR 78455 (Dec. 15, 2000), that 
certain submissions to the Commission do not require the FRN, including 
comments filed in rulemaking proceedings, petitions to deny, petitions 
objecting to the issuance of a Commission authorization, letters and 
electronic mail communications, and reports that do not require a fee. 
Additionally, database searches will not require an FRN.
    NECA questioned the proposal to require an FRN on non-feeable 
tariff submissions. The Commission may not issue a license or provide a 
benefit without a TIN for the applicant. As we explained in the NPRM, 
non-feeable applications require the FRN to facilitate compliance with 
the DCIA, which does not distinguish between licensees and applicants 
who pay fees and those who do not. Therefore requiring an FRN for non-
feeable transactions is logical and necessary.
    Cingular commented that the applicant and not the payer is 
responsible for submitting payment to the Commission, and thus it is 
unnecessary for counsel or representatives paying fees on behalf of 
applicants to submit their FRNs. The FRN of both counsel or other payer 
and all entities on whose behalf payment is made must be provided. The 
FRN of the applicant or licensee must be submitted, of course, to 
enable us to determine that the applicant has paid the proper fees. The 
FRN must be submitted by counsel or others paying on behalf of 
applicants to allow us to refund excess remittances where appropriate 
to the payer who made the payment rather than to the applicant or 
licensee.
    NECA questions why it must provide the FRNs for the sometimes 
hundreds of subscribers to its group tariffs. As we have just 
explained, we need both the FRN of the entity making the filing with 
the Commission and the parties on whose behalf the filing is made. 
Thus, NECA must provide its FRN on the group tariff filings. It must 
also obtain the FRNs of the subscribing carriers and provide them to us 
with each tariff filing so we can know which carriers are parties to 
the tariff. NECA is responsible for any fees associated with the tariff 
filing. This obligation of a filing entity to provide FRNs for each 
carrier covered by a ``group'' tariff also applies to other ``group'' 
tariffs such as those filed by GVNW Consulting, Inc. and John 
Staurulakis, Inc.
    The NAB further comments that the Commission can already identify 
the licensee who is submitting its regulatory fees by the call sign and 
that the Commission can fill in or correct the FRN without returning 
the filing. We disagree because call signs are unreliable for 
identifying entities in this context. Call signs are often changed and 
may be assigned to other entities when a station changes hands. 
Providing a valid FRN will ensure that payments are credited to the 
proper entity and appropriately remain the responsibility of the payer 
or the licensee.
    The Disney Company sought assurance that payments may be made on 
behalf of an entity and that those entities receive credit for its 
payments. No changes are being made to the accepted practice of 
permitting payments to be made by third parties. However, we will 
require such submission to contain the FRNs for the payer and for the 
applicant(s) or licensee(s) on whose behalf the payment is being made. 
The Commission will credit the payment to the applicant or licensee and 
link it to the payer.

Effect of Not Providing FRNs

    We wish to encourage compliance with the requirement to submit the 
FRN because it is necessary to the process of providing accurate links 
to the applicant, payer and service being requested and will facilitate 
compliance with the DCIA and other financial reporting requirements. 
There are some special circumstances, discussed below, that require a 
departure from our general rule that correct FRNs must be 
contemporaneously provided with the filings.
    Cingular, Verizon, NAB, FCBA and Qwest suggested allowing filers a 
brief window to correct applications filed without the requisite FRN. 
Cingular asserts that ``there simply is no public interest benefit 
associated with dismissing an otherwise timely filed auction payment, 
renewal applicant, or other filing for failure to provide an FRN 
without providing the applicant an opportunity to cure the oversight.'' 
Verizon and FCBA did not recommend any specific number of days for re-
submission of a defective FRN filing. Qwest on the other hand 
recommended five calendar days for the re-submission.
    After careful consideration, we do not adopt the suggestion that 
all filers be given a grace period to supply an omitted FRN or correct 
an incorrect FRN. Electronic filing systems have been or will be 
modified so those filings cannot be accomplished without supplying a 
correct FRN. Attempts to file electronically without a FRN will result 
in a reminder to the filer that the FRN is required, and, if the filer 
does not yet have a FRN, the filer will be directed to the CORES 
website. This scenario includes those wishing to participate in 
auctions. Thus, in electronic filing circumstances, no grace period is 
necessary. For paper filings in instances where no time-critical

[[Page 47894]]

deadline is involved (``Time critical deadline'' means requests that 
must be filed by a specific deadline or be dismissed as untimely (i.e., 
applications filed in response to a ``window'' or ``cut-off'' list 
established by the Commission), the rejection of a feeable application 
for lack of an FRN has no impact on the filer except for the minor 
inconvenience of having to refile the application. No grace period is 
necessary in those circumstances, either. This is consistent with the 
approach currently in our rules that provide for the return of 
applications not accompanied by properly completed Form 159s and are 
considered filed when refiled. In those limited circumstances where 
there is a time-critical deadline and applications may be filed on 
paper, we will grant paper filers a grace period of 10 business days 
following notification to the filer by Commission staff to correct 
omitted or FRNs. Also, we will afford the 10-day grace period for 
appearances in hearing proceedings. The filer will be notified of the 
omission or FRN, and informed of the deadline for submitting the 
correct FRN. If FRN is provided during the grace period, the filing 
date will be the original date of submission. Except for filing of 
tariff publications, if the FRN is not provided, the filing will be 
returned. The proposed rules have been changed to reflect our final 
disposition of this issue.

Return of Filings With Defective FRNs

    FCBA also comments that defective FRN filings should be returned to 
the affected licensee's identified authorized representative. The 
Commission will continue its practice of returning defective 
applications and payments to the payer listed on the remittance form.

Exceptions to the FRN Rule

    There will be exceptions to this general rule that FRNs must be 
provided at the time of the filing: appearances in feeable hearing 
proceedings, emergency authorizations, civil monetary payments and 
consent decrees, and tariff filings. We have changed appropriate rules 
to reflect these exceptions.
    Emergency authorization applications (including special temporary 
authorizations in emergency situations) should contain the applicant's 
FRN, but will not be rejected without it due to the emergency nature of 
such filings. An FRN will have to be supplied by the applicant or the 
Commission will assign one before action is taken on the request.
    As explained in the NPRM, tariff publications present unique issues 
in part because they are filed in different formats and the related 
fees are paid separately from the filings. Accordingly, we sought 
comment on how we should treat tariff publications that omit a valid 
FRN should the provision of FRNs with such filings become mandatory. We 
also examined what action should be taken if an FRN is omitted from the 
fee payment related to the filing of a tariff publication.
    As of the effective date of this order, carriers or their 
representatives will not be able to make electronic filings of tariff 
publications unless they use a valid FRN and the related password to 
obtain access to the Electronic Tariff Filing System (ETFS). In those 
instances where an FRN is found to be invalid or the filing entity does 
not have an FRN, access to the ETFS will be denied and the system will 
provide an automatic message explaining the procedures to obtain an FRN 
and including a link to the CORES system. In addition, as of the 
effective date, the carrier FRN must be included in the transmittal or 
other cover letter accompanying each tariff publication. If the carrier 
FRN is not included in that letter, the Commission may take such action 
as it deems appropriate including but not limited to rejection of the 
related tariff publication if it has not yet become effective, 
declaring the tariff publication unlawful if it has already become 
effective, or giving the carrier or carrier representative with up to 
ten (10) business days from the filing date to amend the transmittal or 
other cover letter to include a valid FRN.
    The filing of many tariff publications with the Commission requires 
the payment of fees by carriers or their representatives. At this time, 
such fees must be paid to the lockbox bank. As of the effective date of 
this order, carriers or their representatives will be required to 
include the carrier FRN on the Remittance Advice Form with the payment 
of these fees. If fees for more than one carrier are paid at the same 
time, the FRN for each carrier must be provided clearly. However, in 
some instances the FCC Form 159 is not included with that payment. For 
example, when an electronic funds transfer is used to pay a tariff 
filing fee, an FCC Form 159 ordinarily is not included with that 
payment although the information ordinarily included on the Form 159, 
including the FRN, must be transmitted to the lockbox bank as part of 
the transaction. In such instances, as of the effective date of this 
order, the correct carrier(s) FRN(s) must be included with each fee 
payment on behalf of each carrier. If the lockbox bank receives a fee 
payment without an FRN, that fee payment shall be credited to the 
account of the Commission and the related payment information forwarded 
to the Commission staff for additional processing. If one or more of 
the carrier FRNs required to be included with the payment are missing 
or invalid, the Commission may take such action as it deems appropriate 
including but not limited to rejection of the related tariff 
publication if it has not yet become effective, declaring the tariff 
publication unlawful if it has already become effective, or giving the 
carrier or carrier representative up to ten (10) business days from the 
filing date to provide a valid FRN.

FRN Assistance

    As we noted in the NPRM, additional information concerning the 
CORES is found in the Frequently Asked Question portion of the CORES 
homepage on our Internet site, located at www.fcc.gov> by clicking on 
the CORES link. For further information concerning registering for an 
FRN, contact the CORES Administrator toll-free at 1-877-480-3201, or by 
e-mail at [email protected]>.

Final Regulatory Flexibility Certification

    The Regulatory Flexibility Act of 1980, as amended (RFA), requires 
that a regulatory flexibility analysis be prepared for notice and 
comment rulemaking proceedings, unless the agency certifies that ``the 
rule will not, if promulgated, have a significant economic impact on a 
substantial number of small entities.'' In the NPRM we made this 
certification. No comments were received concerning this proposed 
certification. We conclude that this certification is appropriate for 
the rules adopted here. 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 will the adopted rule amendments establishing penalties for 
failure to provide the FRN 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. Accordingly, we certify, pursuant to section 605(b) of the RFA, 
5 U.S.C. 605(b), that the rules adopted herein will not have a 
significant economic

[[Page 47895]]

impact on a substantial number of small entities. The Commission will 
send a copy of this Order, including a copy of this Final Regulatory 
Flexibility Certification in a report to Congress pursuant to the 
Congress Review Act. In addition, this Order and final certification 
will be sent to the Chief Counsel for Advocacy of the Small Business 
Administration and will be published in the Federal Register.

Paperwork Reduction Act

    We previously obtained all requisite approvals under the Paperwork 
Reduction Act for the information collections proposed in the NPRM.
    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 33 U.S.C. 
7701(c)(1), Parts 1, 21, 61, 73, 74, and 76 of the Commission's Rules 
are amended as set forth in the rule changes.

List of Subjects

 47 CFR Part 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.
William F. Caton,
Deputy Secretary.

Rule Changes

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

PART 1--PRACTICE AND PROCEDURE

    1. The authority citation for part 1 continues to read as follows:

    Authority: 47 U.S.C. 151, 154(I), 154(j), 155, 225, 303(r), 309, 
and 325(e).


    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), 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 FCC Registration Number (FRN) in conformance with 
subpart W of this part. The presiding judge will notify the party 
filing the appearance of the omitted FRN and dismiss the applicant with 
prejudice for failure to prosecute if the written appearance is not 
resubmitted with the FRN within ten (10) business days of the date of 
notification.
* * * * *

    5. Section 1.721 is amended by removing the word ``and'' at the end 
of paragraph (a)(13), by removing the period and by adding ``; 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 FCC Registration Number as 
required by Part 1, subpart W will result in dismissal of the 
complaint.
* * * * *

    6. Section 1.934 is amended by removing the word ``or'' at the end 
of paragraph (d)(2), and by removing the period and by adding ``; 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).
Sec. 1.8002 Obtaining an FRN.
Sec. 1.8003 Providing the FRN in Commission filings.
Sec. 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 
Commission, see 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, including someone 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 THE 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) A business may obtain as many FRNs as it deems appropriate for 
its business operations. Each subsidiary with a different TIN must 
obtain a separate FRN. Multiple FRNs shall not be obtained to evade 
payment of fees or other regulatory responsibilities.
    (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, including someone who is exempt from

[[Page 47896]]

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 or other payment. A list of applications and other 
instances where the FRN is required will be posted on our Internet site 
and linked to the CORES page.


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 paragraph (d) of this section or in other 
Commission rules, filings subject to the FRN requirement and submitted 
without an FRN will be returned or dismissed.
    (c) Where the Commission has not established a filing deadline for 
an application, a missing or invalid FRN on such an application may be 
corrected and the application resubmitted. Except as provided in 
paragraph (d) of this section or in other Commission rules, the date 
that the resubmitted application is received by the Commission with a 
valid will be considered the official filing date.
    (d) Except for the filing of tariff publications (see 47 CFR 
61.1(b)) or as provided in other Commission rules, where the Commission 
has established a filing deadline for an application and that 
application may be filed on paper, a missing or invalid CORESID on such 
an application may be corrected within ten (10) business days of 
notification to the filer by the Commission staff and, in the event of 
such timely correction, the original date of filing will be retained as 
the official filing date.

PART 21--DOMESTIC PUBLIC FIXED RADIO SERVICES

    8. The authority citation for Part 21 continues to read as follows:

    Authority: Secs. 1, 2, 4, 201-205, 208, 215, 218, 303, 307, 313, 
403, 404, 410, 602, 48 Stat. as amended, 1064, 1066, 1070-1073, 
1076, 1077, 1080, 1082, 1083, 1087, 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 removing the period and by adding ``; 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) * * *
    (1) The application does not contain the FCC Registration Number 
(FRN) as required under subpart W of part 1 of this part.

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 subpart G of part 1 of this title) and the 
use of FCC Registration Numbers (FRNs) (see subpart W of part 1 of this 
title). 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. Where an FRN has been omitted from 
a cover letter or transmittal accompanying a tariff publication filed 
under this part or the FRN included in that letter is invalid, the 
submitting carrier or carrier representative shall have ten (10) 
business days from the date of filing to amend the cover letter or 
transmittal to include a valid FRN. If within that ten (10) business 
day period, the carrier or carrier representative amends the cover 
letter or transmittal to include a valid FRN, that FRN shall be deemed 
to have been included in the letter as of its original filing date. If, 
after the expiration of the ten (10) business day period, the cover 
letter or transmittal has not been amended to include a valid FRN, the 
related tariff publication may be rejected if it has not yet become 
effective, declared unlawful if it has become effective, or subject to 
other action.
* * * * *

    12. Section 61.15 is amended by removing the period and adding a 
semicolon at the end of paragraph (a)(3) and 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(s) on 
whose behalf the cover letter is submitted. See subpart W of part 1 of 
this title.
* * * * *

    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(s) 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 by adding a semi-colon at the end of 
paragraph (a)(3) and adding ``; 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(s) on 
whose behalf the letter is submitted. See part 1, subpart W of this 
chapter.
* * * * *

PART 73--RADIO BROADCAST SERVICES

    15. The authority citation for part 73 continues to read as 
follows:

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

    16. The authority citation for part 74 continues to read as 
follows:

    Authority: 47 U.S.C. 154, 303, 307, 336(F), and 559.

    17. 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) * * *

[[Page 47897]]

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

PART 76--MULTICHANNEL VIDEO AND CABLE TELEVISION SERVICE

    18. The authority citation for part 76 continues 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, 572, 573.

    19. Section 76.1610 is amended by adding 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. 01-22969 Filed 9-13-01; 8:45 am]
BILLING CODE 6712-01-P