**Before the**

**FEDERAL COMMUNICATIONS COMMISSION**

**Washington, D.C. 20554**

In the Matter of )

) MD Docket No. 00-205

Adoption of a Mandatory )

FCC Registration Number )

**NOTICE OF PROPOSED RULEMAKING**

Adopted: November 29, 2000 Released: December 1, 2000

**COMMENT DATE: 30 days from date of publication in the Federal
Register**

**REPLY COMMENT DATE: 45 days from date of publication in the Federal
Register**

By the Commission:

1.  By this Notice, 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.

    **I. BACKGROUND**

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[^1] and civil monetary penalties.[^2] The
    Commission also auctions radio and television licenses through
    competitive bidding and administers the collection of payments for
    these licenses.[^3] In addition, the Commission directs the
    collection of mandated contributions to the Universal Service Fund
    (USF) and other statutory programs.[^4]

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.[^5] In particular,
    the Debt Collection Improvement Act of 1996 (DCIA) sought to address
    congressional concerns that debts owed to the Federal government
    were not being properly collected.[^6] 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. [^7]

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.[^8] 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.

    **II. REQUIRING THE FCC REGISTRATION NUMBER**

6.  [The need for the FRN.]{.underline} 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,[^9] 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?]{.underline} We propose that anyone doing
    business with the Commission, as that term is defined by the DCIA,
    [^10] 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.[^11] 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,[^12] which
    requires that anyone doing business with the federal government
    provide a taxpayer identifying number (TIN) to the government.[^13]
    An FRN for these types of 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,[^14] 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,[^15] 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.[^16] 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.[^17] 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,[^18] 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.[^19] 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.]{.underline} 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.[^20] 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?]{.underline} 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.[^21] 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?]{.underline} 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 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 C.F.R. § 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?]{.underline} 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.]{.underline} 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,[^22]
    regulatory fees,[^23] and applications generally.[^24] 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. [^25] 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**.**[^26] 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.

24. 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.

25. 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.

26. 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.[^27] 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.[^28] There are therefore
    different processing and fee payment arrangements.[^29] Finally,
    there are limits on what actions we may take once a tariff
    publication has become effective.[^30] 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.

27. [Authority.]{.underline} 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."[^31] 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. [^32] 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.

    **III. PROCEDURAL MATTERS AND ORDERING CLAUSES**

28. [Paperwork Reduction Act]{.underline}. 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.

29. [Regulatory Flexibility Act.]{.underline} 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.

30. [Ex Parte Matters.]{.underline} 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 C.F.R. 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 C.F.R.
    1.1206(b)(2), as revised. Additional rules pertaining to oral and
    written presentations are set forth in section 1.1206(b).

31. [Comment Filing.]{.underline} Interested parties may file comments
    on or before \[30 days from date of publication in the Federal
    Register\] and reply comments on or before \[45 days from date of
    publication in the Federal Register\]. Comments may be filed using
    the Commission\'s Electronic Comment Filing System (ECFS) or by
    filing paper copies.[^33] 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 ecfs@fcc.gov, 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, S.W., Room TW-A325,
    Washington, DC 20554. Parties should reference MD Docket No. 00-205
    in their comments.

32. 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, S.W., Washington, D.C. 20554. Copies of comments and
    reply comments will also be available through the Commission's
    duplicating contractor, International Transcription Service, Inc.
    (ITS, Inc.), 1231 20^th^ Street, N.W., Washington, D.C. 20036, (202)
    857-3800, TTY (202) 293-8810.

33. [Further Information]{.underline}. 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. For further information concerning
    registering for an FRN, contact the CORES Administrator toll-free at
    1-877-480-3201, or by e-mail at \<CORES@fcc.gov\>. For further
    information concerning legal aspects of this Notice, contact
    Laurence H. Schecker, Office of General Counsel, Administrative Law
    Division, 1-202-418-1720, or by e-mail at \<lschecke@fcc.gov\>.

34. Accordingly, IT IS ORDERED THAT, 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.

35. IT IS FURTHER ORDERED that 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.

    FEDERAL COMMUNICATIONS COMMISSION

    Magalie Roman Salas

    Secretary

APPENDIX

Proposed Rule Changes

Part 1 of Title 47 of the Code of Federal Regulations is proposed to be
amended as follows:

**Part 1 -- PRACTICE AND PROCEDURE**

1.  Section 1.42 is proposed to be amended by adding a new
    subsection (c) as follows:

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(c) Rules governing the FCC Registration Number (FRN) are contained in
    Subpart W of this part.

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2.  Section 1.77 is proposed to be amended by adding as a second
    sentence to the introductory paragraph the following sentence:

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).

3.  Section 1.221(f) is proposed to be amended by renumbering
    subsection (f) as subsection (f)(1), and adding a new subsection
    (f)(2) following the note to subsection (f)(1) as follows:

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(2) When a fee is required to accompany a written appearance as
    described in subsection (f)(1), the written appearance must also
    contain the appropriate FCC Registration Number (FRN) in conformance
    with subpart W of Part 1 of these rules. 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.

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4.  Section 1.721(a) is proposed to be amended by deleting the word
    "and" at the end of subsection 1.721(a)(13), adding the word "and"
    at the end of subsection 1.721(a)(14), and adding a new
    subsection (15) as follows:

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(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.

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```
5.  Section 1.934(d) is proposed to be amended by deleting the word "or"
    at the end of subsection 1.934(d)(2), adding the word "or" at the
    end of subsection 1.934(d)(3), and adding a new subsection (4) as
    follows.

\(4\) The FCC Registration Number (FRN) has not been provided.

6\. A new subpart W is proposed as follows:

Subpart W -- FCC Registration Number

**§ 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.

**§ 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

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(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 subsections 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.

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(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).

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(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).

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(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.

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(d) An FRN may be assigned by the Commission, which will promptly notify
    the entity of the assigned FRN.

**§ 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.

**§ 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.

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(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**

Part 21 of Title 47 of the Code of Federal Regulations is proposed to be
amended as follows:

7\. Section 21.20(a) is amended by deleting "or" after the semicolon
following subparagraph (9), inserting "or" after subparagraph (10), and
inserting a new subparagraph (11) as follows:

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

**PART 61 \-- Tariffs**

Part 61 of Title 47 of the Code of Federal Regulations is proposed to be
amended as follows:

8\. Section 61.1(b) is proposed to be revised to read as follows:

(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.

9\. Section 61.15(a) is proposed to be amended by adding a new
subsection (4) as follows:

9.  \(4\) Include the FCC Registration Number (FRN) of the carrier on
    whose behalf the cover letter is submitted. See subpart W of Part 1
    of this Title.

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10. Section 61.33(a) is proposed to be amended by deleting the word
    "and" at the end of subsection (3), adding the word "and" at the end
    of subsection (4), and adding a new subsection (5) as follows:

\(5\) Include the FCC Registration Number (FRN) of the carrier on whose
behalf the letter is submitted. See subpart W of Part 1 of this Title.

**PART 73 -- Radio Broadcast Services**

Part 73 of Title 47 of the Code of Federal Regulations is proposed to be
amended as follows:

9.  Section 73.1010(a) is proposed to be amended by adding a new
    subsection (10) as follows:

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(10) Subpart W, "FCC Registration Number". (§§ 1.8001 -- 1.8005.)

**PART 74 -- Experimental Radio, Auxiliary, Special Broadcast and Other
Program Distributional Services**

Part 74 of Title 47 of the Code of Federal Regulations is proposed to be
amended as follows:

10. Section 74.5(a) is proposed to be amended by adding a new
    subsection (7) as follows:

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(7) Subpart W, "FCC Registration Number". (§§ 1.8001 -- 1.8005.)

**PART 76 -- Multichannel Video and Cable Television Service**

Part 76 of Title 47 of the Code of Federal regulations is proposed to be
amended as follows:

11. Section 76.1610 is proposed to be amended by adding a new
    subsection (f) as follows:

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(e) The operator's FCC Registration Number (FRN) as required under
    subpart W of Part 1 of this Title.

[^1]: [See]{.underline} 47 U.S.C. § 159 and [Assessment and Collection
    of Regulatory Fees for Fiscal Year 2000]{.underline}, MD Docket No.
    00-58, FCC 00-240 (rel. July 7, 2000) (regulatory fees); 47 U.S.C. §
    158 and [Amendment of the Schedule of Application Fees Set Forth in
    Sections 1.1102 through 1.1107 of the Commission's
    Rules]{.underline}, 13 FCC Rcd 13614 (1998) (application fees).

[^2]: [See, e.g.,]{.underline} 47 U.S.C. § 503; 47 C.F.R. § 1.80; [see
    also]{.underline} [Forfeiture Policy Statement and Amendment of
    Section 1.80 of the Rules to Incorporate the Forfeiture
    Guidelines]{.underline}, 12 FCC Rcd 17087 (1997), [recon.
    denied]{.underline}, 15 FCC Rcd 303 (1999).

[^3]: [See]{.underline} 47 U.S.C. § 309(j).

[^4]: [See]{.underline} 47 U.S.C. § 254(d); 47 C.F.R. § 54.706.

[^5]: [See, e.g.,]{.underline} 31 U.S.C. § 3512(b) (establishment and
    maintenance of systems of accounting and internal controls); 4
    C.F.R. § 102.1(a) (requiring agencies to "take aggressive action, on
    a timely basis, collect all claims of the United States"); 4 C.F.R.
    § 102.17 (requiring agencies to establish procedures to identify the
    causes of overpayments, delinquencies, and defaults, and the
    corrective actions needed).

[^6]: Pub. L. No. 104-134, 110 Stat. 1321 (1996), codified at 31 U.S.C.
    §§ 3701, [et seq.]{.underline} [See]{.underline} [United States v.
    Texas]{.underline}, 507 U.S. 529, 536-37 (1993) (Debt Collection Act
    was passed "in order to strengthen the Government's hand in
    collecting its debts").

[^7]: [Special Review of the Commission's Collection System]{.underline}
    (OIG undated) (www.fcc.gov/Bureaus/

    Inspector_General/Reports/rep98-7.txt); [Special Review Audit Report
    of CMRS Regulatory Fees]{.underline} (OIG undated)
    (www.fcc.gov/Bureaus/Inspector_General/Reports/rep98-8.txt); [Final
    Report on the Audit of the FCC's Implementation of the
    GPRA]{.underline} (OIG Mar. 26, 1999)
    (www.fcc.gov/Bureaus/Inspector_General/ Reports/ rep99-1.txt);
    [Report on Audit of the FCC Civil Monetary Penalty
    Program]{.underline} (OIG Aug. 1, 2000) (www.fcc.gov/Bureaus/
    Inspector_General/Reports/civilmonetary.txt); [FCC Does Not Know if
    All Required Fees Are Collected]{.underline}, GAO/RCED-99-216 (GAO
    Aug. 31, 1999).

[^8]: [See]{.underline} [New Commission Registration System (CORES) to
    be Implemented July 19]{.underline}, *Public Notice*, DA 00-1596
    (July 19, 2000), [published at]{.underline} 65 Fed. Reg. 45775 (July
    25, 2000).

[^9]: The Commission's electronic systems include the Cable Operations
    and Licensing System (COALS); the Electronic Tariff Filing System
    (ETFS), the International Bureau Electronic Filing Licensing System
    (IBFS); the Mass Media Bureau's Broadband Licensing System (BLS),
    the Consolidated Database System (CDBS), and Call Sign Reservation
    System (CSRS); the Equipment Authorization System (EAS); the
    Experimental Licensing System (ELS); and the Universal Licensing
    System (ULS).

[^10]: The DCIA, 31 U.S.C. § 7701(c)(2), states that "a person shall be
    considered to be doing business with a federal agency if the person
    is ---

    a lender or servicer in a Federal guaranteed or insured loan program
    administered by the agency;

    an applicant for, or recipient of, a Federal license, permit,
    right-of-way, grant, or benefit payment administered by the agency
    or insurance administered by the agency;

    a contractor of the agency;

    assessed a fine, fee, royalty or penalty by the agency; and

    in a relationship with the agency that may give rise to a receivable
    due to that agency, such as a partner of a borrower in or a
    guarantor of a Federal direct or insured loan administered by the
    agency."

[^11]: [See]{.underline} 47 C.F.R. §§ 1.1114 and 1.1162.

[^12]: [See]{.underline} [Amendment of Parts 0, 1, 13, 22, 24, 26, 27,
    80, 87, 90, 95, 97, and 101 of the Commission's Rules to Facilitate
    the Development and Use of the Universal Licensing System in the
    Wireless Telecommunications Services]{.underline}, 13 FCC Rcd 21027,
    21088-89 (1998) (the DCIA does not distinguish between licensees and
    applicants who pay fees and those who do not), [on
    reconsideration]{.underline}, 14 FCC Rcd 11476 (1999) ([ULS
    Reconsideration]{.underline}).

[^13]: [See]{.underline} 31 U.S.C. § 7701(c )(1). For businesses, the
    TIN is generally the Employer Identification Number (EIN). For
    individuals, the TIN is the Social Security Number (SSN).

[^14]: The circumstances in which these persons might have to provide
    the FRN are discussed *infra*.

[^15]: [See]{.underline} \<www.fcc.gov\> at the CORES link.

[^16]: [See]{.underline} [ULS Reconsideration]{.underline}, 14 FCC Rcd
    at 11489 n.62.

[^17]: [See]{.underline} 47 C.F.R. §§ 0.461(b)(2) and 0.465(c)(2) (FOIA
    requestor must specify fees it is willing to pay); 0.467(g) (fee to
    be paid to the Financial Management Division, Office of Managing
    Director); and 0.469 (Commission may require advance payments of
    FOIA fees).

[^18]: [See]{.underline} 47 C.F.R. §§ 0.460 and 0.467.

[^19]: [See]{.underline} 47 U.S.C. §§ 501, [et seq.]{.underline}

[^20]: [See]{.underline} footnote 8, *supra*.

[^21]: 5 U.S.C. § 552a; [see]{.underline} [Privacy Act System of
    Records]{.underline}, 65 Fed. Reg. 18103 (Apr. 6, 2000) (CORES);
    [see also]{.underline} [Privacy Act System of Records]{.underline},
    65 Fed. Reg. 18105 (Apr. 6, 2000) (RAMIS).

[^22]: 47 C.F.R. §§ 1.1109, 1.1112, 1.1116.

[^23]: 47 C.F.R. §§ 1.1157, 1.1164.

[^24]: 47 C.F.R. § 1.764.

[^25]: [E.g.]{.underline}, 47 C.F.R. §§ 5.65(a); 25.112(a)(1); 25.527;
    73.3564(a)(1); and 78.20(a).

[^26]: [Compare]{.underline} 47 C.F.R. § 1.1113 [with]{.underline} 47
    C.F.R. § 1.1108.

[^27]: [See]{.underline} 47 C.F.R. § 61.13, *et seq.* (tariff
    publications filed electronically through ETFS); 47 C.F.R. §§ 61.1,
    *et seq*. (publications filed on paper or diskette).

[^28]: [See]{.underline} 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 C.F.R. § 61.23(c) (one day's notice for non-dominant
    carriers).

[^29]: [See generally]{.underline} 47 C.F.R. §§ 61.13 *et seq.,* 61.18,
    *et seq*., 61.28, *et seq.*, and 61.31, *et seq.*

[^30]: [See, e.g]{.underline}., 47 U.S.C §§ 204(a) (suspension and
    investigation of tariff publications) and 205(a) (action on unlawful
    tariff publications).

[^31]: [See]{.underline} [New England Tel. & Tel. Co. v.
    FCC]{.underline}, 826 F.2d 1101, 1108 (D.C. Cir. 1987) (section 4(i)
    serves as the Communications Act's "necessary and proper clause");
    [see also]{.underline} 47 U.S.C. § 303(r) (authority to prescribe
    rules and regulations to implement the Communications Act).

[^32]: 47 U.S.C. §§ 158(f) and 159(f)(1).

[^33]: [See]{.underline} [Electronic Filing of Documents in Rulemaking
    Proceedings]{.underline}, 13 FCC Rcd 11322 (1998).