*Pages 1--12 from Microsoft Word - 27452.doc* C- 1 ATTACHMENT C INSTRUCTIONS FOR COMPLETING FCC FORM 601 & 602 In completing the FCC Form 601, the applicant is strongly encouraged to use the format below in submitting the information, as exhibits to the FCC Form 601, required by our rules. Following this format will help expedite the processing of the FCC Form 601 and minimize the need for requesting missing information. An applicant seeking a tribal land bidding credit must comply with the instructions contained in Part IV of this Attachment. I. FCC FORM 601 GENERAL REQUIREMENTS The applicant bears full responsibility for submission of a timely and complete FCC Form 601 application. The applicant should read the instructions on the FCC Form 601 carefully and should consult the rules to ensure that, in addition to the materials described below, all the information that is required under our rules is included with their FCC Form 601 application. The applicant is responsible for the continuing accuracy and completeness of information furnished in a pending application. See 47 C. F. R. § 1.65. An incomplete or defective application may be returned to the applicant. See 47 C. F. R. § 1.934( a), (d); see also 47 C. F. R. § 1.933( b). An applicant that fails to submit the required FCC Form 601 application by 6: 00 p. m. ET on May 16, 2003, and fails to establish good cause for any late- filed submission, shall be deemed to have defaulted and will be subject to the default payments set forth in Section 1.2104( g) of the Commission’s Rules. See 47 C. F. R. §§ 1.2104( g), 1.2107( c). II. FILING FCC FORM 601 ELECTRONICALLY 1. Access the Commission’s Universal Licensing System (ULS) Online Filing through the Internet at http:// wireless. fcc. gov/ uls. Select the Online Filing button from this page. You may also connect to ULS Online Filing by establishing a direct dial- up connection to ULS, by pointing your web browser to http:// wireless. fcc. gov/ uls, and selecting the ULS Online Filing button. (Follow the instructions set forth in Attachment E to this Public Notice on accessing ULS through a direct dial- up connection.) Note: You may use Netscape Communicator (v. 4.5, 4.51, 4.61, 4.7x) or Internet Explorer (v. 5.5- 6.2) browser software to electronically register and file FCC Form 601 through ULS. You can download Netscape Communicator free of charge by accessing the Netscape download site at http:// home. netscape. com/ download/ archive. html. You may also download Internet Explorer at http:// www. microsoft. com/ windows/ ie/ downloads/ default. asp. 2. At the ULS Online Filing login screen, enter the applicant’s FCC Registration Number (FRN) and password. Click Continue. Alternately, you may provide your TIN/ SGIN and password. ULS will verify you have a valid FRN or otherwise prompt you to obtain an FRN through the Commission Registration System (CORES). Note: You must login to ULS with the FRN used to identify the applicant on Form 175. 1 C- 2 For instructions on assigning existing call signs to your FRN, see Attachment D. For additional information on the FRN, see All Universal Licensing System and Antenna Structure Registration Applicants must use their FCC Registration Number( s), effective December 3, 2001, Public Notice, DA 01- 2452, (October 23, 2001), http:// wireless. fcc. gov/ uls/ releases/ da012452. txt. Contact Technical Support at (202) 414- 1250 if you have problems accessing ULS. 3. Click on the Select New Filing button to begin filing your application. 4. Select Application Purpose “New” from the drop- down list and click on Continue. 5. Select the following option from the Auction ID drop- down list and click Continue: 46 – WS- 1670- 1675 Mhz Band Nationwide license 6. Supply the information requested by FCC Form 601 and the Commission’s Rules. If you plan to file a request for waiver or exception to the Commission’s Rules, select “Yes” for the third question. 7. After supplying all the requested information, fill in your signature at the bottom of the page and click Continue. 8. The following screen lists the market won by the applicant at the auction. Select the market you want to apply for in this application by clicking on the box to the right of the market name. If you intend to seek tribal lands bidding credits, see Section IV of this Attachment. 9. After the market has been selected, click on the Attachments button, and upload the required attachments as described in the following section. Be sure to use the standard attachment types and file descriptions set forth herein. 10. When finished uploading attachments, close the Attachment window. After uploading each of the required attachments, click on the Continue button. At this point, you may either choose Print Preview, to review your application or choose Submit to file it with the Commission. 11. ULS will assign a file number to the application. To change anything on the submitted application during the filing window, access ULS Online Filing from the ULS homepage and enter your FRN and Password or your TIN/ SGIN and password. On the next screen, click on the file number of the desired application listed in “Complete” status. 12. To change any information after the filing deadline, enter your FRN and Password or your TIN/ SGIN and password on the Online Filing Screen, select application purpose “Amendment,” and select the file number of the application you wish to modify. III. ORGANIZATION OF APPLICATION EXHIBITS Form 601- and Rule- Related Exhibits. Any exhibits to be attached to an application in response to a question on the Main Form or Schedule B of FCC Form 601 or as specified in the Commission’s Rules should be identified as specified in the instructions to the FCC Form 601. Applicant should use the Attachment screen provided within the electronic filing software to submit these exhibits as uploaded files and should select the appropriate attachment type. The electronic filing software will accept Word, Word Perfect, and ASCII text files only. To submit a graphic image, first import it into a Word or PDF 2 C- 3 document. See http:// wireless. fcc. gov/ uls/ support/ help/ help_ attach. html for a full list of acceptable file formats. Do Not add password protection to attached files. Any exhibits to be attached to an application as a result of our rule requirements should be uploaded and identified as follows: Title Required From Exhibit A: Ownership All Applicants Exhibit B: Foreign Ownership If Applicable Exhibit C: Designated Entities Designated Entity Applicants Exhibit D: Agreements & Other Instruments If Applicable Exhibit E: Confidentiality Requests If Applicable Exhibit F: Waiver Requests If Applicable Exhibit H: Miscellaneous Information If Applicable Exhibit X: Tribal Government Certification If Applicable 1 Exhibit Y: Tribal Lands Waiver Requests If Applicable 2 Exhibit Z: Applicant Certification If Applicable 3 As specified in the instructions to the FCC Form 601, each page of each exhibit must be identified with the number or letter of the exhibit, the number of the page of the exhibit, and the total number of pages of the exhibit. EXHIBIT A: OWNERSHIP INFORMATION Section 1.2112 of the Commission’s Rules requires that each applicant for a license shall disclose fully the real party- or parties- in- interest. See 47 C. F. R. § 1.2112( a). To provide this information, applicant should upload a file, select Attachment Type “Ownership,” and enter “Exhibit A: Ownership” in the File Description field on the Attachment Screen. Applicant should provide the information concerning the applicant (i. e., real party- or parties- in- interest), and the ownership interests held in the applicant and in investors in the applicant, in the format described below. The application shall be clear and complete in itself without cross- reference to information previously filed. All pages should be clearly labeled to indicate the Exhibit and Item number to which those pages relate. Part 1: Direct Ownership: Applicant must provide information regarding its direct ownership as follows: € General Rule: The applicant must provide the name, address, and citizenship of any party holding 10 percent or more of stock in the applicant, whether voting or nonvoting, common or preferred, including the specific amount of the interest or percentage held. See 47 C. F. R. § 1.2112( a)( 1). 1 An applicant seeking a tribal lands bidding credit must attach all tribal government certifications, applicant certifications, and waiver exhibits, as applicable, within 90 days of filing their long- form application. See discussion in Section IV. The applicant does not need to include these attachments in an application in which a tribal lands bidding credit is not being sought. 2 See id. 3 See id. 3 C- 4 € If the applicant is a general partnership, provide the name, address, and citizenship of each partner, and the share or interest participation in the partnership. See 47 C. F. R. § 1.2112( a)( 3). € If the applicant is a limited partnership, provide the name, address, and citizenship of each limited partner whose interest in the applicant is 10 percent or greater (as calculated according to the percentage of equity paid in or the percentage of distribution of profits and losses). See 47 C. F. R. § 1. 2112( a)( 2). € If the applicant is a limited liability company, provide the name, address, and citizenship of each of its members whose interest in the applicant is 10 percent or greater. See 47 C. F. R. § 1.2112( a)( 4). Part 2: Indirect Ownership: Applicant must identify all parties holding indirect ownership interests in the applicant, as determined by successive multiplication of the ownership percentages for each link in the vertical ownership chain, that equals 10 percent or more of the applicant, except that if the ownership percentage for an interest in any link in the chain exceeds fifty percent or represents actual control, it shall be treated and reported as if it were a one hundred percent interest. See 47 C. F. R. § 1.2112( a)( 5). Part 3: Other Disclosable Interests and Entities: Applicant must list any FCC- licensed entity or applicant for an FCC license in which the applicant or any of the parties identified in Sections 1.2112( a)( 1)-( 5) of the Commission’s Rules owns 10 percent or more of stock, whether voting or nonvoting, common or preferred. This list must include a description of each such entity’s principal business and a description of each entity’s relationship to the applicant. See 47 C. F. R. § 1.2112( a)( 6). Note: Applicant may provide information required in Parts 1 through 3 above by scanning and attaching a copy of their current FCC Form 602 (in Adobe PDF) as an exhibit to FCC Form 601. To avoid inadvertent disclosure of TIN information, applicants submitting a copy of FCC Form 602 as an attachment to FCC Form 601 should not include TIN information on the copy of FCC Form 602 or should block out this information. Applicant is reminded, however, that a current FCC Form 602, must be filed, or be on file, by the filing deadline for the FCC Form 601. See discussion in Section V. EXHIBIT B: FOREIGN OWNERSHIP If the applicant has responded “yes” to either Question 40, 41, 42, 43, or 44 on the FCC Form 601, it must explain the circumstances regarding foreign ownership in the applicant. To provide this information, the applicant should select Attachment Type “Ownership” and enter “Exhibit B: Foreign Ownership” in the File Description field on the Attachment Screen. For every direct or indirect foreign owner, applicant should provide the following information: Item (1) Percentage of Interest: Identify each foreign owner’s percentage of ownership in the applicant. Item (2) Country of Origin and Address: List each foreign owner’s country of origin and principal place of business. Item (3) Public Interest Statement: Demonstrate how allowing the applicant to hold the requested license is consistent with the Commission’s policies pursuant to Section 310( b)( 4) of the Communications Act of 1934, as amended. In the Foreign Participation Order, 4 the Commission stated that there is a 4 Rules and Policies on Foreign Participation in the U. S. Telecommunications Market, IB Docket No. 97- 142, Market Entry and Regulation of Foreign- Affiliated Entities, IB Docket No. 95- 22, Report and Order and Order on 4 C- 5 presumption that indirect foreign ownership of common carrier radio licenses by entities whose home markets are World Trade Organization (WTO) Members is in the public interest. If more than twenty-five percent of the ownership of an entity that controls a common carrier radio license is attributable to parties whose home markets are non- WTO member countries, the Commission will evaluate whether those markets offer effective competitive opportunities to U. S. investors. See Foreign Participation Order, 12 FCC Rcd 23891, 23935- 42, 23946, at ¶¶ 97- 118, 131. Item (4) Petitions for Declaratory Ruling: As explained in the Commission’s Foreign Participation Order, licensees must seek the Commission’s prior approval before accepting indirect foreign ownership that causes them to exceed Section 310( b)( 4) ’s twenty- five percent benchmark. See id. In keeping with this pre- approval process, an auction applicant is required to certify in their FCC Form 175 application that they either are in compliance with the foreign ownership requirements of Section 310 or that they have filed a request for relief from those requirements that is pending with the Commission. See 47 C. F. R. § 1.2105( a)( 2)( v), (vi). Similarly, where foreign ownership is at issue, an applicant must indicate in their FCC Form 601 application that they either have received a declaratory ruling that grants them permission to exceed the statutory benchmark of Section 310( b)( 4) or that they have a request currently pending at the Commission. Applicant is advised that petitions for declaratory ruling to exceed the Section 310( b)( 4) benchmark must be granted before any license for which the applicant is a high bidder may be granted. Petitions for a declaratory ruling to exceed the Section 310( b)( 4) twenty- five- percent statutory benchmark should be addressed to the Secretary, with a copy to the Telecommunications Division of the International Bureau, and must be filed in paper form. There is no fee associated with such a filing. Applicant should be aware that, under the relevant precedent, including the Commission’s Foreign Participation Order, streamlined processing is possible for petitions involving investment from WTO Members that do not raise any other potentially complex foreign ownership issues. The Commission may conclude that a particular petition of this type is not eligible for streamlined processing. If more than twenty- five percent of the ownership of an entity that controls a common carrier radio license is attributable to parties whose home markets are non- WTO Members, such petitions are not eligible for streamlined processing, and these petitioners should contact the Telecommunications Division of the International Bureau to discuss processing of their petitions. Inquiries regarding compliance with Section 310 of the Communications Act and the filing and processing of petitions for declaratory ruling should be directed to Claudia Fox, Chief of the Policy and Facilities Branch, Telecommunications Division, International Bureau, at (202) 418- 1527. EXHIBIT C: DESIGNATED ENTITIES Pursuant to Section 1.2110( f)( 1) of the Commission’s Rules, the Commission may award bidding credits (i. e., payment discounts) to eligible designated entities qualifying as small and very small businesses and consortia of small and very small businesses under the Commission’s individual service rules. See 47 C. F. R. §§ 1.2110( f)( 1), (2). Section 27.906( a) of the Commission’s Rules establishes the following designated entities as eligible for small business provisions: a very small business, a small business, a consortia of very small businesses, and a consortia of small businesses in the 1670- 1675 MHz Band Auction (Auction No. 46). See 47 C. F. R. § 27.906( a); see also Service Rules Report and Order, 17 FCC Rcd 9980. Small Businesses under Sections 1.2110( f) and 27.906( a)( 2): A small business is an entity that, together with its affiliates and controlling interests, has average gross revenues that are not more than $40 million Reconsideration, 12 FCC Rcd. 23891 (1997) (“ Foreign Participation Order”), Order on Reconsideration, 15 FCC Rcd. 18158 (2000). 5 C- 6 for the preceding three years. See 47 C. F. R. §§ 1.2110( f)( 2)( ii), 27.906( a)( 2). Small businesses are eligible for bidding credits of fifteen percent (15%) to lower the cost of their winning bids. See 47 C. F. R. §§ 1.2110( f)( 2)( ii), 27.906( b). Consortia of Small Businesses under Section 27. 906( a)( 3): A consortium of small businesses is a conglomerate organization formed as a joint venture between or among mutually independent business firms, each of which individually satisfies the definition of a small business. See 47 C. F. R. § 27.906( a)( 3). Each mutually independent small business has to have average gross revenues that are not more than $40 million for the preceding three years. See 47 C. F. R. §§ 1.2110( b)( 3)( i), 27.906( a)( 3). Consortia of Small businesses are eligible for bidding credits of fifteen percent (15%) to lower the cost of their winning bids. See 47 C. F. R. §§ 1.2110( f)( 2)( ii), 27.906( b). Very Small Businesses under Section 27.906( a)( 1): A very small business is an entity that, together with its affiliates and controlling interests, has average gross revenues that are not more than $15 million for the preceding three years. See 47 C. F. R. §§ 1.2110( f)( 2)( i), 27.906( a)( 1). Very small businesses are eligible for bidding credits of twenty- five percent (25%) to lower the cost of their winning bids. See 47 C. F. R. §§ 1.2110( f)( 2)( i), 27.906( b). Consortia of Very Small Businesses under Sections 27.906( a)( 3): A consortium of very small businesses is a conglomerate organization formed as a joint venture between or among mutually independent business firms, each of which individually satisfies the definition of a very small business. See 47 C. F. R. § 27.906( a)( 3). Each mutually independent very small business has to have average annual gross revenues that are not more than $15 million for the preceding three years. See 47 C. F. R. §§ 1.2110( b)( 3)( i), 27.906( a)( 3). Consortia of very small businesses are eligible for bidding credits of twenty- five percent (25%) to lower the cost of their winning bids. See 47 C. F. R. §§ 1.2110( f)( 2)( i), 27.906( b). In order to demonstrate eligibility for any such designated entity status, applicant must upload a file, select Attachment Type “Ownership” and enter “Exhibit C: Designated Entities” in the File Description field on the Attachment screen. In the exhibit, applicant should include the applicable information: (i) Identify the applicant’s claimed eligibility status. (ii) Calculate the Gross Revenues: For Small and Very Small Businesses: For purposes of determining whether an entity is an small or very small business, the gross revenues of the applicant, its affiliates, its controlling interests, and affiliates of its controlling interests shall be considered on a cumulative basis and aggregated. See 47 C. F. R. §§ 1.2110( b)( 1), 1.2112( b)( 2)( iii). To comply, provide in accordance with Section 1.2110( n) of the Commission’s Rules, 47 C. F. R. § 1.2110( n), the gross revenues for the most recently completed three calendar or fiscal years preceding the filing of the applicant’s FCC Form 175, separately for the applicant, each of its affiliates, each of its controlling interests, and each of the affiliates of its controlling interests. See 47 C. F. R. § 1.2112( b)( 2)( iii); see also 47 C. F. R. § 1.2110( b)( 3), (n). Gross revenues shall mean all income received by an entity, whether earned or passive, before any deductions are made for costs of doing business, as evidenced by audited financial statements. If the applicant does not use audited financial statements, its gross revenues may be certified by its chief financial officer or its equivalent and must be prepared in accordance with Generally Accepted Accounting Principles. If an entity was not in existence for all or part of the preceding three years, gross revenues shall be evidenced by the audited financial statements of the entity’s predecessor- in- interest or, if there is no identifiable predecessor- in-interest, unaudited financial statements certified by the applicant as accurate. See 47 C. F. R. § 1.2110( n). 6 C- 7 Calculate the average gross revenues separately for the applicant, each affiliate, each of it’s controlling interests, and each affiliate of the applicant’s controlling interests for those three years. Provide the aggregate average gross revenues for the applicant, its affiliates, its controlling interests, and affiliates of its controlling interest for those three years. See 47 C. F. R. §§ 1.2110( b)( 1), 1.2112( b)( 2)( iii). For Consortia of Small and Very Small Businesses: An applicant that applied as a small or very small business consortia as defined in Sections 1.2110( b)( 3)( i) and 27.906( a)( 3) of the Commission’s Rules, 47 C. F. R. §§ 1.2110( b)( 3)( i), 27.906( a)( 3), must compute and indicate gross revenues as outlined above for each small or very small business in the consortium. That is, each business entity comprising the small or very small business consortium must qualify and show gross revenues separately. The average gross revenues of all of the small or very small businesses in the consortium shall not be aggregated. See 47 C. F. R. §§ 1. 2110( b)( 3)( i), 27.906( a)( 3). (iii) Controlling Interests and Affiliates: All controlling interests and affiliates, as defined by the Commission’s Rules, must be included in the gross revenue calculations discussed above. See 47 C. F. R. § 1.2110( c)( 2), (c)( 5). Please note the following: € Officers and directors of the applicant or of an entity that controls the applicant are considered to have a controlling interest in the applicant. See 47 C. F. R. § 1.2110( c)( 2)( ii)( F). € Any person who manages the operations of an applicant pursuant to a management agreement may be considered to have a controlling interest in the applicant. See 47 C. F. R. § 1.2110( c)( 2)( ii)( H). € Any licensee or its affiliate who enters into a joint marketing arrangement with an applicant or its affiliate may be considered to have a controlling interest in the applicant. See 47 C. F. R. § 1.2110( c)( 2)( ii)( I). (iv) Minority- Owned and Women- Owned Business and Rural Telephone Companies We are interested in the status of applicants as minority- owned and women- owned businesses and rural telephone companies for statistical purposes, even if the applicant is ineligible for bidding credits. See 47 C. F. R. § 1.2110( c)( 3), (4). EXHIBIT D: AGREEMENTS & OTHER INSTRUMENTS Applicant must provide a detailed explanation of the terms and conditions and parties involved in any bidding consortia, joint ventures, partnerships or other agreements or arrangements entered into relating to the competitive bidding process prior to the time the bidding was completed. See 47 C. F. R. § 1.2107( d). Applicant claiming designated entity status must list and summarize all agreements or instruments (with appropriate references to specific provisions in the text of such agreements and instruments) that support the applicant’s eligibility as a small or very small business or a consortium of small or very small businesses, including the establishment of de facto and de jure control. See 47 C. F. R. § 1.2112( b)( 2)( i). Such agreements and instruments include, but are not limited to, articles of incorporation and bylaws, shareholder agreements, voting or other trust agreements, partnership agreements, management agreements, joint marketing agreements, franchise agreements, and any other relevant agreements (including letters of intent), oral or written. See 47 C. F. R. § 1.2112( b)( 2)( i). The applicant also must list and summarize any investor protection agreements, including rights of first refusal, supermajority clauses, options, veto rights, and rights to hire and fire employees and to appoint members to boards of directors or management committees. See 47 C. F. R. § 1.2112( b)( 2)( ii). 7 C- 8 To comply with these requirements, applicant may submit either the agreements themselves or a detailed summary of those agreements. Applicant should upload the information in a file, select Attachment Type “Other” and enter “Exhibit D: Agreements & Other Instruments” in the File Description field on the Attachment screen. An applicant choosing to submit the agreements may elect to seek confidentiality for those documents pursuant to section 0.459 of the Commission’s Rules. See 47 C. F. R. § 0.459; see also discussion of confidentiality requests under “Confidentiality Requests” below. EXHIBIT E: CONFIDENTIALITY REQUESTS Applicant should be aware that all information required by the Commission’s Rules in connection with applications to participate in spectrum auctions is necessary to determine the applicants’ qualifications and, as such, will be available for public inspection. Required proprietary information may be redacted, and confidentiality may be sought pursuant to Section 0.459 of the Commission’s Rules. See 47 C. F. R. § 0.459. An applicant requesting confidential treatment for any information required as a condition to participate in the auction must follow the procedures set out in Section 0.459 of the Commission’s Rules. See 47 C. F. R. § 0.459. (An applicant submitting confidentiality requests should be aware that 47 C. F. R. § 0.459 was recently amended to set out more clearly what should be contained in a request that information not be made routinely available for public inspection. See Examination of Current Policy Concerning the Treatment of Confidential Information Submitted to the Commission, GC Docket No. 96- 55, Report and Order, 13 FCC Rcd 24816 (1998)). Because the required information bears on an applicant’s qualifications, the Commission envisions that confidentiality requests will not be granted routinely. If an applicant has sought confidential treatment of any information, it must attach a statement explaining the request and referencing the particular information for which confidential treatment has been requested. To provide this information, applicants should upload this statement as a file, select Attachment Type “Confidentiality” and enter “Exhibit E: Confidentiality Requests” in the File Description field on the Attachment Screen. Note: Applicant must select Attachment Type “Confidentiality” for the particular exhibit for which they are requesting confidential treatment. Otherwise, the attachment will be available for public inspection. EXHIBIT F: WAIVER REQUESTS Note: This part does not apply to tribal lands waiver requests. For tribal lands waiver requests, see Section IV, “Exhibit Y: Tribal Lands Waiver Requests.” In the event that a winning bidder wishes to file a request for waiver, the request should be filed with the corresponding application. Applicant should upload this waiver request as a file, select Attachment Type “Waiver” and enter “Exhibit F: Waiver Requests” in the File Description field on the Attachment screen. Waiver requests filed after the submission of the FCC Form 601 may result in a delay of the processing of the application. If a request for waiver is filed separately from the FCC Form 601, such request must refer to the corresponding application, including its file number. 8 C- 9 EXHIBIT H: MISCELLANEOUS INFORMATION In the event that a winning bidder wishes to provide any additional information that does not fall within any of the other exhibits, these documents or files should be submitted by selecting Attachment Type “Other” and entering “Exhibit H: Miscellaneous Information” in the File Description field on the Attachment Screen. IV. INSTRUCTIONS FOR APPLICANT SEEKING TRIBAL LANDS BIDDING CREDITS Filing the Long- Form Application: A winning bidder interested in receiving a tribal lands bidding credit must indicate on the long- form application (FCC Form 601, Schedule B) they will seek the credit by clicking on the appropriate box. See 47 C. F. R. §§ 1.2107( e), 1.2110( f)( 3). For a list of the tribal lands, go to the Auction website at http:// wireless. fcc. gov/ auctions and click on “Tribal Land Credits,” and then click on “Cross References.” Instructions for applying for tribal lands bidding credits through ULS are also provided at the above- referenced website. Click on “Tribal Land Credits,” and then click on “ULS Application Instructions.” For additional information on the tribal land bidding credit, applicants should review the Commission’s rule making proceeding regarding tribal land bidding credits and related public notices. 5 An applicant indicating that they intend to serve a qualifying tribal land will have an additional 90 days after the long- form application deadline within which to secure the necessary certifications from tribal authorities. Within this 90- day period, the applicant must amend their application to provide the requisite tribal information and provide the applicant certification. An applicant that intends to apply for tribal lands bidding credits must do so by the filing deadline for the long- form applications. An applicant will not be permitted to amend their application after the filing deadline to indicate that they intend to seek a tribal lands bidding credit. However, it is possible for an applicant to amend an application to indicate that they no longer intend to seek tribal lands bidding credits. An applicant that elects to seek the tribal lands bidding credit when they initially submit the long-form application, but then subsequently decide not to seek the credit, should amend their application to delete the request for the tribal lands bidding credit. Amending the Long Form Application: Within the 90- day period, the applicant must re- enter ULS to amend the long- form application. See 47 C. F. R. § 1.2110( f)( 3)( ii). € Enter the applicant’s FRN and password or TIN/ SGIN and password into the ULS Filing Screen. Note: An FRN is required to access ULS. See Attachment E for additional information. 5 See Extending Wireless Telecommunications Services to Tribal Lands, WT Docket No. 99- 266, Second Report and Order and Second Further Notice of Proposed Rulemaking, FCC 03- 51 (rel. March 14, 2003); Extending Wireless Telecommunications Services to Tribal Lands, WT Docket No. 99- 266, Report and Order and Further Notice of Proposed Rule Making, 15 FCC Rcd 11794 (2000); “Wireless Telecommunications Bureau Announces Enhancements to the Universal Licensing System to Help Winning Bidders of FCC Auctions File for Tribal Land Bidding Credits,” Public Notice, 16 FCC Rcd 5355 (2001); “Wireless Telecommunications Bureau Releases Additional Information Regarding the Procedures for Obtaining a Tribal Lands Bidding Credit and List of Tribal Lands,” Public Notice, 15 FCC Rcd 24838 (2000); “Wireless Telecommunications Bureau Announces Availability of Bidding Credits For Providing Wireless Services To Qualifying Tribal Lands: Tribal Land Bidding Credits To Be Available Beginning In Auction No. 36 (800 MHz Specialized Mobile Radio (SMR) Lower 80 Channels) And In Future Auctions,” Public Notice, 15 FCC Rcd 18351 (2000). 9 C- 10 € Select “Amendment” from the drop- down list and click Continue. € Select the file number for the application to be amended. € The system will display the first page of the long- form 601. If you are requesting a waiver pertaining to the tribal lands information or bidding credit, select “yes” for the third question on this page. Click Continue when done. € ULS will present a table, the Schedule B, consisting of the market selected by the applicant on the initial long- form application, along with the box indicating whether or not tribal lands bidding credit is being sought for the market. Click Continue. € ULS will present a drop- down list consisting of the market where a tribal lands bidding credit is being sought. Select the market for which you have tribal government certifications and click “Edit Tribal Lands.” € ULS also will provide the names of the federally recognized tribal lands and the square kilometers of each tribal land. Where a tribal lands bidding credit is being sought, the applicant must mark the tribal lands that it intends to serve and attach a signed, tribal government certification from each of the federally recognized tribal governments and an applicant certification. See “Exhibit X: Tribal Government Certification” and “Exhibit Z: Applicant Certification.” ULS will calculate the bidding credit amount for automatically, according to the size (in square kilometers) of the tribal territory, and in compliance with the bidding credit limit. See 47 C. F. R. § 1.2110( f)( 3)( iii), (iv). If the applicant is seeking a bidding credit in excess of the amount calculated pursuant to Section 1.2110( f)( 3), the applicant must submit a waiver request, pursuant to Section 1.925 of the Commission’s Rules. See 47 C. F. R. § 1.925. Each waiver request will be evaluated on a case- by- case basis. See “Exhibit Y: Tribal Lands Waiver Requests.” EXHIBIT X: TRIBAL GOVERNMENT CERTIFICATION Within the 90- day period, the applicant must amend its long- form application to provide the required tribal government certifications for each tribal land identified in the application. See 47 C. F. R. § 1.2110( f)( 3)( ii)( A). The tribal government certifications must be signed by an officer, allotment owner( s), or corporate officer of the tribal lands, Indian allotment, or Alaska Native land, respectively, and uploaded as an Adobe Portable Document Format (PDF). Each tribal government certification should be attached separately by selecting Attachment Type “Tribal Government Certification” and entering “Exhibit X: Tribal Government Certification” in the Description Field on the Attachment Screen. In addition, the Description Field should indicate the market and tribal lands to which the certification pertains (e. g., “Exhibit X: Tribal Government Certification (“ Acoma Pueblo”)). A tribal government certification must state that: 1. The tribal area to be served by the winning bidder is a federally- recognized Indian tribe’s reservation, Pueblo, Colony, Alaska Native region, or Indian allotment, and has a wireline telephone subscription rate at or below seventy (70) percent; 10 C- 11 2. The tribal government has not and will not enter into an exclusive contract with the applicant precluding entry by other carriers, and will not unreasonably discriminate among wireless carriers seeking to provide service on the qualifying tribal land; and 3. The tribal government will permit the applicant to site facilities and provide service on its tribal land. See 47 C. F. R. § 1.2110( f)( 3)( ii)( A)( 1)-( 3). EXHIBIT Y: TRIBAL LANDS WAIVER REQUESTS Request for an additional bidding credit: If the applicant is seeking a credit in excess of the amount calculated according to Section 1.2110( f)( 3), the applicant must submit a waiver request, pursuant to Section 1.925 of the Commission’s Rules. See 47 C. F. R. § 1.925. These waiver requests are subject to the percentage cap on tribal lands bidding credits, and waivers will not be granted in excess of the applicable cap. This waiver request must demonstrate that the infrastructure costs exceed the amount of the standard bidding credit as calculated by ULS. The applicant will need to supply a detailed showing of the projected infrastructure costs, including a certification by an independent auditor that the estimated costs are reasonable. Each tribal land waiver request should be attached separately by selecting Attachment Type “Tribal Lands Waiver Requests” and entering “Exhibit Y: Tribal Lands Waiver Requests” in the Description Field on the Attachment Screen. EXHIBIT Z: APPLICANT CERTIFICATION The applicant must attach a certification stating that it will comply with the buildout requirements set forth in § 1.2110( f)( 3)( vi) of the Commission’s Rules and that it will consult with the tribal government regarding the siting of facilities and deployment of service on the tribal land. See 47 C. F. R. § 1.2110( f)( 3)( ii)( B). V. FCC FORM 602 A current FCC Form 602 must be on file with the Commission by the filing deadline for the FCC Form 601. See 47 C. F. R. §§ 1.919, 1.2107( f). If an applicant already has an FCC Form 602 on file, and it is complete and accurate, it is not necessary to electronically file another FCC Form 602. See 47 C. F. R. § 1.919. Applicants are reminded that the FCC Form 602 must now be filed electronically. 6 Electronic Filing 1.) Access the Ownership homepage, http:// wireless. fcc. gov/ licensing/ ownership/ on the WTB website, or click the Ownership link listed under the console of orange buttons on the ULS homepage, http:// wireless. fcc. gov/ uls. 2.) From the Ownership page click the Online Filing button. 6 Beginning December 10, 2002, electronic filing of FCC Form 602 via the ULS became mandatory. See “Wireless Telecommunications Bureau Reminds Filers of Effective Date for Mandatory Electronic Filing of FCC Form 602,” Public Notice, 17 FCC Rcd 22934 (2002). For more information on FCC Form 602, see also “Wireless Telecommunications Bureau Announces Revised Version of FCC Form 602 is Now Available,” Public Notice, 17 FCC Rcd 16197 (2002); “Wireless Telecommunications Bureau Answers Frequently Asked Questions Concerning Reporting of Ownership Information on FCC Form 602,” Public Notice, 14 FCC Rcd 8261 (1999). 11 C- 12 3.) On the next page, enter the FRN and password of the filer and select Continue. The Filer Information screen will appear. If the Applicant listed on FCC Form 601 is listed as the filer on the ownership filing, provide the same FRN as provided on FCC Form 601. 4.) Complete the information on the Filer Information Screen, which corresponds to questions 1- 4 and 6 on the Main Form of FCC Form 602. Then click Save. The information entered for the Filer will be displayed on the Ownership Information page. 5.) Use the links on the far right of the Ownership Information page, as needed, to € Add an FCC Regulated Business of the Filer (corresponds to question 5 on the Main Form) € Add a Disclosable Interest Holder (corresponds to questions 1- 9 on Schedule A) € Add an FCC Regulated Business of a Disclosable Interest Holder (corresponds to question 10 on Schedule A) Repeat each of these steps as often as necessary. 6.) To submit the filing to the Commission, click the Submit button, which appears at the bottom of appropriate screens within Ownership Filing. When the filing is submitted successfully, a confirmation screen will display the filer’s FRN and the submission date. 7.) From the Confirmation Page, select Print Preview to print a hard- copy version of FCC Form 602. (The Print Preview may also be used to upload the filing as Exhibit A for FCC Form 601.) 8.) Once an Ownership Filing has been submitted, it can be updated as often as needed. Follow these steps: € Log in to Ownership Filing with the FRN and password of the filer. € On the Ownership Data screen, select the Update button to the right of the filing. € Update necessary information, and then click the Submit button, which appears at the bottom of appropriate Ownership Filing screens. When the filing is submitted successfully, a confirmation screen will display the filer’s FRN and the date of submission. Note: For additional information regarding electronic filing of ownership information, use the Help button, located on the top right of any screen within Ownership Filing. 12