*Pages 1--13 from Microsoft Word - 32220* E- 1 ATTACHMENT E INSTRUCTIONS FOR COMPLETING FCC FORM 601 AND FORM 602 Applicants are strongly encouraged to use the format below to submit FCC Form 601 and exhibits to Form 601 as required by our rules. Following this format will help expedite processing of FCC Form 601 and minimize follow up requests for missing information. Applicants seeking tribal lands bidding credits must comply with the instructions contained in Part IV of this Attachment. I. FCC FORM 601 GENERAL REQUIREMENTS Applicants bear full responsibility for submission of timely and complete FCC Form 601 applications. Applicants 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 applications. Each applicant is responsible for the continuing accuracy and completeness of information furnished in a pending application. See 47 C. F. R. § 1.65. Incomplete or defective applications 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( s) by 6: 00 p. m. ET on October 17, 2003, and fails to establish good cause for any late- filed submissions, 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). Number of Forms To Be Filed. Applicants applying for multiple licenses may submit one FCC Form 601 (including all required schedules, attachments, and exhibits) if all filing requirements associated with the application are identical except for the market designator( s) and market name( s). An applicant seeking tribal lands bidding credits in one or more, but not all markets, however, is encouraged to submit two applications in order to separate those markets in which the applicant intends to apply for tribal lands bidding credits from those markets in which the applicant is not seeking tribal lands bidding credits. 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 G 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 the applicant’s TIN/ SGIN and password. 1 E- 2 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. For instructions on assigning existing call signs to your FRN, see Attachment F. 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, 16 FCC Rcd. 18793 2001), http:// wireless. fcc. gov/ uls/ releases/ da012452. txt. Contact Technical Support at (202) 414- 1250 if you have problems accessing ULS. 3. After you have entered your FRN or TIN/ SGIN and password correctly, you will see one of the following screens: • If you have completed applications filed within the current business day for non- auctionable applications or within the initial filing window for New auctionable applications, or you have existing incomplete applications, a Work- In- Progress screen appears listing these applications. To create a new application, click the Select New Filing button and proceed to Step 4. • If you do not have existing applications as described in the paragraph above, the Work- In-Progress screen will not appear. Proceed directly to step 4. 4. Select Application Purpose “New” from the drop- down list and click Continue. 5. Select one of the following options from the Auction ID drop- down list and click Continue: 50 - CN - PCS Narrowband 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 information at the bottom of the page and click Continue. 8. The following screen lists all of the markets won by the applicant at the auction that have the same radio service code. Select the market( s) you want to apply for in this application by clicking on the box to the right of the market name. If you are applying for markets in which you intend to seek tribal lands bidding credits, see Section IV of this Attachment. 9. After the market( s) have 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. Then click Continue. At this point you may either choose Print Preview, to review your application, or choose Submit to file it with the Commission. 2 E- 3 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 amend. 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. Applicants 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 many different types of computer files. 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. 1 Applicants applying for markets where they are seeking a tribal lands bidding credit must attach all tribal government certifications, applicant certifications, and waiver exhibits, as applicable, within 180 days of filing their long- form application. See discussion in Section IV. Applicants do not need to include these attachments in applications in which tribal lands bidding credits are not being sought. 2 See id. 3 See id. 3 E- 5 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 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, auction applicants are required to certify in their FCC Form 175 applications 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, applicants must indicate in their FCC Form 601 applications 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. Applicants are 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. Applicants 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 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 Reconsideration, 12 FCC Rcd. 23891 (1997) (“ Foreign Participation Order”), Order on Reconsideration, 15 FCC Rcd. 18158 (2000). 5 E- 6 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. In the Narrowband Second Report and Order, the Commission adopted two tiers of bidding credits to promote and facilitate the participation of small businesses in the competitive bidding for licenses in the narrowband PCS service. 5 Very Small Businesses: A very small business is an entity that, together with its affiliates, its controlling interests, and the affiliates of its controlling interests has average gross revenues not exceeding $15 million for the preceding three years. See 47 C. F. R. § 1.2110( f)( 2)( ii). 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)( ii). Small Businesses: A small business is an entity that, together with its affiliates, its controlling interests, and the affiliates of its controlling interests has average gross revenues not exceeding $40 million for the preceding three years. See 47 C. F. R. § 1.2110( f)( 2)( iii). 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)( iii). Consortium of Very Small Businesses and Consortium of Small Businesses: 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. § 1.2110( c)( 6). Each mutually independent very small business has to have average annual gross revenues not exceeding $15 million for the preceding three years. See 47 C. F. R. § 1.2110( b)( 3)( i). A consortium of very small businesses is eligible for bidding credits of twenty- five percent (25%) to lower the cost of its winning bids. See 47 C. F. R. § 1.2110( f)( 2)( ii). 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. § 1.2110( c)( 6). Each mutually independent small business has to have average gross revenues not exceeding $40 million for the preceding three years. See 47 C. F. R. § 1.2110( b)( 3)( i). A consortium of small businesses is eligible for bidding credits of fifteen percent (15%) to lower the cost of its winning bids. See 47 C. F. R. § 1.2110( f)( 2)( iii). In order to demonstrate eligibility for any such designated entity status, applicants 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, applicants should include the applicable information: (i) Identify the applicant’s claimed eligibility status. (ii) Calculate the Gross Revenues: 5 See Amendment of the Commission’s Rules to Establish New Personal Communications Services, Narrowband PCS, Second Report and Order and Second Further Notice of Proposed Rule Making, 15 FCC Rcd 10456, 10478 ¶ 44 (2000). 6 E- 8 EXHIBIT D: AGREEMENTS & OTHER INSTRUMENTS All applicants 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). Applicants 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 business or a consortium of 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). These applicants 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). To comply with these requirements, applicants may submit either the agreements themselves or a detailed summary of those agreements. Applicants 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. Applicants 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 Applicants 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. Applicants 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. (Applicants 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: Applicants 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. 8 E- 9 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. Applicants 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. 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 APPLICANTS SEEKING TRIBAL LANDS BIDDING CREDITS Filing the Long- Form Application: Winning bidders interested in receiving a tribal lands bidding credit must indicate on the long- form application (FCC Form 601, Schedule B) each market for which 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 in each Major Trading Area (MTA), 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. 6 Applicants indicating that they intend to serve a qualifying tribal land in any market( s) within the application will have an additional 180 days after the long- form application deadline within which to secure the necessary certifications from tribal authorities. Within this 180- day period, applicants must amend their application to provide the requisite tribal information and provide the applicant certification. 7 6 See Extending Wireless Telecommunications Services to Tribal Lands, WT Docket No. 99- 266, Second Report and Order and Second Further Notice of Proposed Rulemaking, 18 FCC Rcd 4775 (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). 7 The Commission, in a Second Report and Order, extended the tribal lands certification period from 90 days to 180 9 E- 11 winning bid amounts for the spectrum blocks serving tribal lands will be aggregated and the bidding credit limit will be applied against the aggregated amount. 8 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 180- 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 (“ BEA003, Chicago, Band of Potawatomi Pokagon”)). 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; 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 8 See “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, 24839 (2000). 11