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Table of Contents

1\. Introduction [1](#introduction)

1.1. Purpose [1](#purpose)

1.2. Scope [1](#scope)

2\. Process [2](#process)

3\. Application File Format [3](#application-file-format)

4\. Record Types [4](#record-types)

4.1. Input Data [4](#input-data)

4.1.1. Record Type CE [4](#record-type-ce)

4.1.2. Record Type CA [4](#record-type-ca)

4.2. Output Data [7](#output-data)

4.3. Status Codes [9](#status-codes)

5\. File Naming Conventions [10](#file-naming-conventions)

5.1. Application File [10](#application-file)

5.2. Response Files [10](#response-files)

List of Tables

**Table 1 Format of the CE Record [4](#__RefHeading___Toc78882429)**

Table 2 FRC Applicant Information [4](#__RefHeading___Toc78882430)

Table 3 Session Response 8

Table 4 Application Response 8

List of Figures

Figure 1 - Order of Record Types in Application File
[3](#__RefHeading___Toc78882425)

# Introduction

This document explains how a COLEM can file a batch Form 605 FRC
application including those that will require fees to be paid. COLEMs
may only file applications related to Commercial licenses via electronic
batch. Any applications filed via batch for Restricted will be rejected.
This document is an update of the previous COLEM instructions in that it
addresses applications which require fees. The inclusion of fees has
added additional data fields to the RA record type.

## Purpose 

The purpose is to enable COLEMs to file an application including those
requiring fees and receive an electronic.

## Scope

This document describes input file record types and output file record
types.

# Process

Electronic batch filing by COLEMs for Commercial will follow the same
approach as used by VECs for electronic batch filing of Amateur
applications. HTTPS will be used to send application files and to
receive response files from ULS.

Every day ULS will process all application files received from COLEMs
since the last processing time. A COLEM will be able to send more than
one application file per day. The COLEM will be responsible for ensuring
that each application file sent is uniquely named and correctly
formatted. Files will be processed every hour between the hours of 3:30
AM and 11:30 PM. Assuming there are no problems with an application,
most Commercial applications will be automatically granted, if no fees
are due.

For each application file, the first step ULS will take is to verify the
file format. If there is any problem with the format of the file, e.g.,
an unprintable character contained in the data, the file will not be
processed. A response file (refer to sections 5 and 6 below) will be
created with an appropriate error code indicating the file could not be
processed at all.

Assuming the format is acceptable; the actual application file content
will be processed. When ULS has finished processing the file, the
response file will be posted on the HTTPS site for pick up by the COLEM
and emailed to the COLEM. The response file is not encrypted. The
response file will contain either positive confirmation, including file
number and serial number, or appropriate error messages.

# Application File Format

The Application File is an ASCII file (DOS or Windows text file) with
variable length records containing only printable characters. The file
consists of two record types. The contents of each record type is
pipe-separated, i.e., there is a \"\|\" that separates each data field
in the record from the data field next to it. Each record type starts
with a unique two-character record type code. The length of each record
is dependent upon the actual data contents of the fields in that record.
The last data field of the record is not followed by a \"\|\".

The file must start with one COLEM record (record type CE). This allows
ULS to recognize the COLEM submitting the subsequent application
records. The CE record should be followed by one application data record
for each application (record type CA).

CE... identifies the COLEM submitting the applications

CA... contains first applicant's data

CA... contains second applicant's data

CA... contains third applicant's data

CA... contains fourth applicant's data

1.  []{#__RefHeading___Toc78882425 .anchor}Order of Record Types in
    Application File

If an applicant requests a waiver, the applicant must provide an
attachment file to the COLEM. The actual attachment must be faxed or
mailed to the FCC separately.

If an applicant answered yes to question #8 on Form 605, the applicant
should provide a file with the attachment to the COLEM. Fax the
attachment to Gettysburg and set position 27 in the CE record to 'Y'.
Please write the applicant's licensee ID, TIN, or FRN (whichever was
used to file the application) and file number or call sign, if
available, on the fax to identify it.

***Note:*** Please send data using conventional capitalization instead
of sending all data in uppercase.

# Record Types

There are two input record types and two output record types.

## Input Data

The input data file consists of two records are record type CE and CA.

### Record Type CE

The first record in every file must be a CE record. The format of the CE
record is defined in the table below.

1.  []{#__RefHeading___Toc78882429 .anchor}Format of the CE Record

  -----------------------------------------------------------------------------
  Position   Data Element               Definition   Content
  ---------- -------------------------- ------------ --------------------------
  1          Record Type                char(2)      \"CE\"

  2          COLEM Code                 char(2)      

  3          Filing Date                date         mm/dd/yyyy
  -----------------------------------------------------------------------------

Example: CE\|02\|04/28/2001

### Record Type CA

A CA record represents one application. A data file can contain one or
more CA record types.

2.  []{#__RefHeading___Toc78882430 .anchor}FRC Applicant Information

+------+-------------------------+----------+-------------------------+
| **Po | **Data Element**        | **Defi   | **Content**             |
| siti |                         | nition** |                         |
| on** |                         |          |                         |
+======+=========================+==========+=========================+
| 1    | Record Type             | char(2)  | \"CA\"                  |
+------+-------------------------+----------+-------------------------+
| 2    | Pending File Number for | char(14) | Form 605 box 4          |
|      | Withdrawals or          |          |                         |
|      | Amendments              |          |                         |
+------+-------------------------+----------+-------------------------+
| 3    | Call Sign/Serial \#     | char(10) | Form 605 box 5          |
+------+-------------------------+----------+-------------------------+
| 4    | Social Security Number  | char(9)  | Form 605 box 9a.        |
|      | (or Licensee ID)        |          |                         |
|      |                         |          | If sending SSN or       |
|      |                         |          | Licensee ID, do not     |
|      |                         |          | send FRN in position    |
|      |                         |          | 26.                     |
+------+-------------------------+----------+-------------------------+
| 5    | Date of Birth           | date     | Form 605 box 11a        |
|      |                         |          |                         |
|      |                         |          | mm/dd/yyyy              |
+------+-------------------------+----------+-------------------------+
| 6    | First Name              | char(20) | Form 605 box 11         |
+------+-------------------------+----------+-------------------------+
| 7    | MI Name                 | char(1)  | Form 605 box 11         |
+------+-------------------------+----------+-------------------------+
| 8    | Last Name               | char(20) | Form 605 box 11         |
+------+-------------------------+----------+-------------------------+
| 9    | Name Suffix             | char(3)  | Form 605 box 11         |
+------+-------------------------+----------+-------------------------+
| 10   | Attention To            | char(35) | Form 605 box 14         |
+------+-------------------------+----------+-------------------------+
| 11   | Street Address          | char(60) | Form 605 box 16         |
+------+-------------------------+----------+-------------------------+
| 12   | PO Box                  | char(20) | Form 605 box 15         |
+------+-------------------------+----------+-------------------------+
| 13   | City                    | char(20) | Form 605 box 17         |
+------+-------------------------+----------+-------------------------+
| 14   | State                   | char(2)  | Form 605 box 18         |
+------+-------------------------+----------+-------------------------+
| 15   | Zip Code                | char(9)  | Form 605 box 19         |
+------+-------------------------+----------+-------------------------+
| 16   | Telephone Number        | char(10) | Form 605 box 21         |
+------+-------------------------+----------+-------------------------+
| 17   | Fax Number              | char(10) | Form 605 box 22         |
+------+-------------------------+----------+-------------------------+
| 18   | Email Address           | char(50) | Form 605 box 23         |
+------+-------------------------+----------+-------------------------+
| 19   | Application Purpose     | char(2)  | Form 605 box 2          |
|      | Code                    |          |                         |
+------+-------------------------+----------+-------------------------+
| 20   | Operator Class          | char(2)  | Form 605 Schedule E box |
|      |                         |          | 1                       |
+------+-------------------------+----------+-------------------------+
| 21   | Valid                   | char(1)  | Y/N; based on content   |
|      | Signature/Certification |          | of Form 605 box 28      |
|      |                         |          | Signature block         |
+------+-------------------------+----------+-------------------------+
| 22   | Proof of Passing        | char(1)  | Y/N to indicate if the  |
|      | Certificate             |          | applicant passed the    |
|      |                         |          | appropriate test        |
+------+-------------------------+----------+-------------------------+
| 23   | Requested Expiration    | mmdd     | Form 605 box 6          |
|      | Date                    |          |                         |
|      |                         |          | Not valid for operator  |
|      |                         |          | class PG                |
+------+-------------------------+----------+-------------------------+
| 24   | Waiver Request          | char(1)  | Form 605 box 7          |
+------+-------------------------+----------+-------------------------+
| 25   | Attachments             | char(1)  | send Y if application   |
|      |                         |          | includes an attachment  |
|      |                         |          | that will be faxed or   |
|      |                         |          | mailed, else send null  |
|      |                         |          | if no attachment; Form  |
|      |                         |          | 605 box 8               |
+------+-------------------------+----------+-------------------------+
| 26   | FCC Registration Number | numeric  | Form 605 box 9c         |
|      | (FRN)                   | 10,0     |                         |
|      |                         |          | **Note:** value must be |
|      |                         |          | a valid FRN in CORES    |
+------+-------------------------+----------+-------------------------+
| 27   | Attachment to be Faxed  | char(1)  | Always send null        |
+------+-------------------------+----------+-------------------------+
| 28   | Ship Radar Endorsement  | char(1)  | Form 605 Schedule E box |
|      |                         |          | 2                       |
+------+-------------------------+----------+-------------------------+
| 29   | Six Months Service      | char(1)  | Form 605 Schedule E box |
|      | Endorsement             |          | 2                       |
+------+-------------------------+----------+-------------------------+
| 30   | DM Serial Number for    | char(10) | Form 605 Schedule E box |
|      | DO/DM Consolidation     |          | 1a                      |
+------+-------------------------+----------+-------------------------+
| 31   | Photo Included          | char(1)  | Send "Y" if a photo is  |
|      |                         |          | being sent              |
+------+-------------------------+----------+-------------------------+
| 32   | **\***Licensee Name     | char(1)  | If the licensee name in |
|      | Change                  |          | position 6-9 is         |
|      |                         |          | different than what is  |
|      |                         |          | on the license, this    |
|      |                         |          | field must be sent as   |
|      |                         |          | N.                      |
|      |                         |          |                         |
|      |                         |          | If you are not changing |
|      |                         |          | the name, send this as  |
|      |                         |          | Null.                   |
|      |                         |          |                         |
|      |                         |          | Form 605 box 13         |
+------+-------------------------+----------+-------------------------+
| 33   | Personal Security       | va       | Definition Code         |
|      | Question Code           | rchar(4) |                         |
|      |                         |          | Custom PSQ 1            |
|      |                         |          |                         |
|      |                         |          | Original City of Birth  |
|      |                         |          | 2                       |
|      |                         |          |                         |
|      |                         |          | Pet's Name 3            |
|      |                         |          |                         |
|      |                         |          | Corp Internal Employee  |
|      |                         |          | ID 4                    |
|      |                         |          |                         |
|      |                         |          | Mother's Maiden Name 5  |
+------+-------------------------+----------+-------------------------+
| 34   | Custom Personal         | var      | If the applicant        |
|      | Security Question       | char(60) | chooses to use a custom |
|      |                         |          | security question, it   |
|      |                         |          | will be sent in this    |
|      |                         |          | position.               |
+------+-------------------------+----------+-------------------------+
| 35   | PSQ Answer              | var      | The answer to the       |
|      |                         | char(60) | applicant's security    |
|      |                         |          | question will be sent   |
|      |                         |          | in this position.       |
+------+-------------------------+----------+-------------------------+

**\* Note: In ULS, a name change indicates a sale (or transfer of
control) of the license(s) to another party and for which proper
Commission approval has not been received or proper notification not
provided and that is what this field is used for. This is why this field
is sent as N. For example, a name change due to marriage does not meet
this criteria.**

Example 1 -- Application for new license using FRN and choosing a custom
personal security question:

CA\|\|\|\|12/15/1948\|Elliott\|\|Jones\|\|\|21 Condor
Ave\|\|Portland\|OR\|93088\|\|\|\|

NE\|PG\|Y\|Y\|\|\|\|0004283443\|\|\|\|\|Y\|\|1\|Favorite Color\|Blue

Example 2 -- Application for new license using TIN and security question
2:

CA\|\|\|L23121234\|10/06/1969\|William\|A\|Bauer\|II\|\|5 Vinegar Hill
Rd\|\|Gales Ferry\|

CT\|06335\|2033382668\|2033382696\|billb@mynet.com\|NE\|T2\|Y\|Y\|\|\|\|\|\|Y\|Y\|\|Y\|\|2\|\|Arlington

Example 3 -- Licensee Changes Name and security question 3:

CA\|\|PG1359470\|\|01/01/1950\|Ann\|Brown\|700 N VALLEY
PKWY\|\|LEWISVILLE\|TX\|75077\|\|\|\|MD\|PG\|Y\|Y\|\|N\|N\|0001234567\|\|Y\|N\|\|N\|N\|3\|\|Spot

> In the above example, Ann Smith holds license PG1359470. Ann got
> married and changed her last name to Brown. Even though she changed
> her name, position 32 Licensee Name Change, is sent as an N. The rule
> is if there is no name change to send the field as null. If there is a
> name change the rule is to send it as an N. Never send it as a Y.

Ann also selected security question 3 to use in the event that she
forgets her password. In the event that she forgets her password she
will be prompted with question 3 'What is your pet's name'. If she
answers the recorded answer of Spot Ann will be able to continue with
the login process.

If an applicant does not want to provide a social security number to the
COLEM, the applicant should register with CORES prior to this filing in
order to be assigned an FRN. To register, the applicant should go to
//www.fcc.gov/ and click on CORES.

## Output Data

The output data is contained in a Response File. The response file is an
ASCII file (DOS or Windows text file) with variable length records
containing only printable characters. The file consists of two record
types. The contents of each record type is pipe-separated, i.e., there
is a \"\|\" that separates each data field in the record from the data
field next to it. Each record type starts with a unique two-character
record type code. The length of each record is dependent upon the actual
data contents of the fields in that record. The last data field of the
record is not followed by a \"\|\".

The file will always start with an RS record. (If ULS could not process
the file at all, then the response file will only contain an RS record.)
In most cases, following the RS record will be one RA record per
application received.

RS... contains exam information to identify the contents

RA... status of first application

RA... status of second application

RA... status of third application

Exhibit 2. Order of Record Types in Response File

3.  **Session Response**

  -----------------------------------------------------------------------------
  Position   Data Element               Definition   Content
  ---------- -------------------------- ------------ --------------------------
  1          Record Type                char(2)      \"RS\"

  2          COLEM Code                 char(2)      From the Application File

  3          Session Date               Date         mm/dd/yyyy
  -----------------------------------------------------------------------------

**Example:** RS\|L\|02/28/1999

4.  Application Response

  ----------------------------------------------------------------------------
  Position   Data Element               Definition   Content
  ---------- -------------------------- ------------ -------------------------
  1          Record Type                char(2)      \"RA\"

  2          ULS File Number            char(14)     Assigned by ULS if status
                                                     code is zero or if
                                                     amendment to existing
                                                     file number else it will
                                                     be null

  3          Applicant First Name       char(20)     from CA record

  4          Applicant MI               char(1)      from CA record

  5          Applicant Last Name        char(20)     from CA record

  6          Applicant Suffix           char(3)      from CA record

  7          Zip Code                   char(9)      from CA record

  8          Call Sign                  char(10)     if already licensed

  9          FRN                        numeric 10,0 

  10         Status Code                Integer      Indicates that the
                                                     application was accepted
                                                     for filing or indicates
                                                     the error(s) that kept
                                                     the application from
                                                     being accepted for
                                                     filing.

  11         Payment Type Code          char(4)      

  12         Quantity                   int          

  13         Fee Amount                 money        Whole dollar amounts
  ----------------------------------------------------------------------------

If an application has multiple errors, there will be one RA record for
each error.

***Example 1 -- Response record where application was Granted and no
fees are due:***

RA\|0000162008\|John\|S\|Smith\|Jr\|11375\|PG00000524\|0003215669\|G\|\|\|

***Example 2 -- Response record where application was Accepted and fees
are due:***

RA\|0000162008\|John\|S\|Smith\|Jr\|11375\|PG00000524\|0003215669\|2\|PACS\|1\|50

***Example 3 -- Response record where application was accepted and no
fee is due but it is not yet processed because it was not filed on a
business day:***

RA\|0000162009\|Jane\|\|Doe\|\|21403\|\|0004125599\|0\|\|\|

***Example 4 -- Response record where application was accepted and a fee
is due but it is not yet processed because it was not filed on a
business day:***

RA\|0000162009\|Jane\|\|Doe\|\|21403\|\|0004125599\|0\|PADM\|1\|50

***Example 5 -- Response record where application was rejected and
contains an error code:***

RA\|\|Mary\|\|Brown\|\|11372\|\|\|60\|\|\|

***Note:*** Refer to web site
http://www.fcc.gov/wtb/uls/ebf/errcodes.txt for the status codes and
their meanings.

## Status Codes

The following is a sample of codes that may be returned on the
Application Response records. A complete files of codes is available
separately. Assuming the file format has the correct file format and
therefore could be processed, there will be at least one "RA" record per
"CA" record received. If the application data on the "CA" record is
complete, a processing status code ("G" for granted, "D" for dismissed,
etc.) will be returned indicated that the application was processed. If
the application is accepted for filing, you can download the FRC data
from the [www.fcc.gov](http://www.fcc.gov/) or you can access ULS and do
an application search to check its status.

An updated list of error codes is available at
http://www.fcc.gov/wtb/uls/ebf/errcodes.txt.

# File Naming Conventions

## Application File

The Application File being sent to the FCC must be [uniquely
named]{.underline}. In order to ensure uniqueness, the file name must
have the following format ccmmddnn.dat where *cc* is the COLEM code,
*mmdd* is the month and day the file is sent and *nn* is a unique
sequential number. The *mmdd* is not used to determine the receipt date
is simply a mechanism for naming files, so if you create the file today
and send it tomorrow, there is no need to change the *mmdd*. If you
submit a file with a name of a file that had been processed previously,
regardless of whether the content is the same or different, the response
file will contain the error code 13020, "Duplicate filename. File not
processed."

The receipt date of the applications within the file will be determined
by the date and time, the file is physically received at the FCC, i.e.,
the date it is saved on an FCC server. The *nn* is to allow a COLEM to
send more than one file on the same day, for example, the first file
could be 01, the second 02 and so on. Regardless of what software the
COLEM uses to create this file, there is probably a "SAVE AS" menu
option or, if using a data base, an EXPORT command. In either case,
choose the file type described as "MD DOS Text" or "Text Only". If your
software enables you to do so, change the file type to "dat". If it does
not allow this change, after the file is saved, you can use Windows 3.1
File Manager, Win 95/98 Explorer or DOS commands to rename it from
*vmmddnn*.txt to vmmddnn.dat.

## Response Files

The response file that the FCC will return to you will have the same
name as the file you sent and a file extension of "rsp", i.e.,
*ccmmddnn*.rsp. This file can be opened by any software that can open a
file ending in "txt".