*Pages 1--12 from Microsoft Word - 50824.doc* D- 2 You may also connect to ULS Online Filing by establishing a direct dial- up connection. To establish a direct dial up connection, configure your dial- up network to dial 800- 844- 2784. Then point your Web browser to http:// wireless. fcc. gov/ uls and select the ULS Online Filing button. Note: Connecting to the FCC Network requires at a minimum the following hardware: Pentium 133 CPU; 32 MB RAM; VGA monitor; 28.8 Kbps, Hayes- compatible modem; and a mouse or other pointing device. For both Internet and direct dial- up connections, you may use the following browser software to register and file FCC Form 601 through ULS: Internet Explorer (v. 5.5 or later) and Netscape Communicator (v. 4.7x). You can download Netscape Communicator free of charge from the Netscape download site at http:// browser. netscape. com/ ns8/ download/ archive47x. jsp/. Download Internet Explorer at http:// www. microsoft. com/ windows/ ie/ downloads/ default. asp. 2. On the ULS License Manager Login page, enter the applicant’s FCC Registration Number (FRN) and password. Click Submit. ULS will verify you have a valid FRN or otherwise prompt you to obtain an FRN. Note: You must login to ULS with the FRN used to identify the applicant on FCC Form 175. 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), available at http:// wireless. fcc. gov/ uls/ releases/ da012452. txt. For assistance contact the FCC Support Center at (877) 480- 3201, option four; TTY: (202) 414- 1255. To provide quality service and ensure security, all telephone calls are recorded. 3. After you have entered the FRN and password correctly, you will see either the “My Application” page or the “My Licenses” page displaying the applicant’s existing applications or licenses (if any) and related information. To apply for a new license, click the Apply for a New License link in the left- hand navigation menu. 4. On the Select Service page, choose the Auction Winner dropdown menu. Then select the following auction ID: # 60 – WZ – 700 MHz Lower Band Click Continue. 5. Supply the information requested by FCC Form 601 and the Commission’s Rules. Complete the questions on the pages as they appear, following the onscreen prompts and instructions. Use the buttons at the bottom of each page to continue to the next page or go back to the previous page. Provide attachments as instructed by clicking the Attachments link at the top of the page. Attachment requirements are described in Section III of this document. Be sure to use the standard attachment types and file descriptions set forth herein. 6. If you plan to file a request for a waiver or exception to the Commission’s Rules, select “Yes” for the appropriate question on the Application Information page. 7. On the Markets page, the system pre- fills the Markets Summary table with data for the licenses this applicant has won in the selected auction. The Include In Application column contains a checkbox for each license, where a check indicates that you want to include the license in this application. Initially, all checkboxes are selected. To unselect a license, clear its checkbox. The checkbox lets you apply for the winning licenses in stages, rather than all at once. Click Continue. 2 D- 4 left side of the page. Then click Pending applications. Click on the file number of your application, and choose the Update link from the Work on This Application menu on the right side of the page. Important: Changes made on an application after it has been submitted to the Commission in ULS constitute an amendment( s) to the application. Commission rules contain limitations on filing of major amendments after the August 19, 2005, deadline that may affect the applicant's legal rights. 1 Acceptance of an amendment by ULS does not indicate that the amendment is allowed under the Commission’s rules. Applicants are advised to consult Commission’s rules in this regard prior to filing an amendment. Once the Commission has granted a request for a license, you may request a modification. Basic Guidelines for Filing FCC Form 601 Online: • Some of the data entry fields on the online application form may be prefilled with information from the FCC Form 175 process for auctionable applications. • The online application consists of data entry fields as well as “yes or no” questions. You must respond to all of these questions on the application. If you respond “Yes” to a question, you may be required to file an attachment explaining the specific circumstances (see form for specific instructions). • An Attachments link button is provided for uploading attachment files. You are responsible for filing all required attachments. • An Errors screen will list any erroneous or incomplete information you have provided. Click Return, make your corrections, and then click Continue again. You can save your application, by clicking on Save, and complete it at a later date if necessary. Applications for an auctionable service must be completed within the specific filing window of the auction, in this case before 6: 00 p. m. ET on August 19, 2005. • Prior to submitting an application, you may click the Print Preview button (where available) to create a preview of your completed application. Technical Support For technical assistance with installing or using FCC software, contact the FCC Technical Support Hotline at (877) 480- 3201, option nine; (202) 414- 1250; or (202) 414- 1255 (TTY). The FCC Technical Support Hotline is available Monday through Friday from 8 a. m. to 6 p. m. Eastern Time. There are no weekend hours and the hotline is closed on all Federal holidays. To provide quality service and ensure security, all telephone calls are recorded. III. ORGANIZATION OF APPLICATION EXHIBITS FCC 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 select the Attachments link provided within the electronic filing software to connect to the Attachments page. Select the appropriate attachment type from the pull- down menu, enter the correct attachment description 1 See 47 C. F. R. §§ 1.927, 1. 2107( c). 4 D- 7 approval process, auction applicants are required to certify in their FCC Form 175 applications either that they 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. 5 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 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 If changes or additional information need to be added regarding the revenue information for the Applicant, Disclosable Interest Holder( s) and Affiliate( s) that will be pre- filled from the FCC Form 175 into the FCC Form 601, please provide them by uploading a file, selecting Attachment Type “Ownership” and entering “Exhibit C: Designated Entities” in the Description field on the Attachments page. Although this information is pre- filled from the FCC Form 175, applicants should confirm that the designated entity information is correct. In determining whether the designated entity information is correct please refer to the guidelines below. 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. Section 27.702 of the Commission’s Rules establishes the following categories of designated entities as eligible for bidding credits: small businesses, very small businesses, entrepreneurs, a consortia of small businesses, very small businesses, or entrepreneurs in the Lower 700 MHz Band Auction (Auction No. 60). See 47 C. F. R. § 27. 702. Small Businesses: A small business is an entity that, together with its affiliates and controlling interests, has had average gross revenues not exceeding $40 million for the preceding three years. See 47 C. F. R. §§ 1.2110( f)( 2)( iii), 27.702( a)( 3). 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). Very Small Businesses: A very small business is an entity that, together with its affiliates and controlling interests, has had average annual gross revenues not exceeding $15 million for the preceding three years. See 47 C. F. R. §§ 1.2110( f)( 2)( ii), 27.702( a)( 2). 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). 5 See 47 C. F. R. § 1.2105( a)( 2)( v), (vi). 7 D- 8 Entrepreneurs: An entrepreneur is an entity that, together with its affiliates and controlling interests, has had average gross revenues not exceeding $3 million for the preceding three years. See 47 C. F. R. §§ 1.2110( f)( 2)( i), 27.702( a)( 1). Entrepreneurs are eligible for bidding credits of thirty- five percent (35%) to lower the cost of their winning bids. See 47 C. F. R. § 1.2110( f)( 2)( i). Consortia of Small Businesses, Very Small Businesses, and Entrepreneurs: 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; i. e., each consortium member is an entity that, together with its affiliates and controlling interests, has 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), 27.702( b). 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; i. e., each consortium member is an entity that, together with its affiliates and controlling interests, has had average 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), 27.702( b). A consortium of entrepreneurs 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 entrepreneur; i. e., each consortium member is an entity that, together with its affiliates and controlling interests, has had average gross revenues not exceeding $3 million for the preceding three years. See 47 C. F. R. §§ 1.2110( b)( 3)( i). A consortium of entrepreneurs is eligible for bidding credits of thirty- five percent (35%) to lower the cost of its winning bids. See 47 C. F. R. §§ 1.2110( f)( 2)( i), 27.702( b). For Small Businesses, Very Small Businesses, Entrepreneurs: For purposes of determining whether an applicant is a small business, a very small business, or an entrepreneur, 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). In accordance with Section 1.2110( n) of the Commission’s rules, 47 C. F. R. § 1.2110( n), provide 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)( v); see also 47 C. F. R. § 1.2110( b)( 1)( i). 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 must be certified by its chief financial officer or the 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). Calculate the average gross revenues separately for the applicant, each affiliate, each of its 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)( i), 1.2112( b)( 2)( v). For a Consortium of Small Businesses, Very Small Businesses, and Entrepreneurs: Applicants that applied as a consortium of small businesses, very small businesses, or entrepreneurs as defined in Section 1.2110( b)( 3)( i) of the Commission’s rules, 47 C. F. R. § 1.2110( b)( 3)( i), must compute and indicate gross 8 D- 10 agreements will appear on the FCC Form 601, along with the collusion- based agreements pre- filled from the FCC Form 175. To comply with these requirements, all agreements must be listed on the FCC Form 601 and applicants must provide a summary of these agreements. Applicants, however, may submit the agreements themselves, instead of providing a detailed summary of the 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 Attachments page. 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 is necessary to determine the applicants’ qualifications to be a Commission licensee 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. (Applicants submitting confidentiality requests should be aware that section 0.459 was 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 Attachments page. 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. EXHIBIT F: WAIVER REQUESTS In the event an applicant wishes to file a request for waiver of a Commission rule, see 47 C. F. R. § 1.925, 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 Attachments page. 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. 10 D- 12 7. Update necessary information, following the onscreen instructions and prompts. To complete your changes, select the Certify Filing button, which appears at the bottom of the appropriate Ownership Filing pages. When the filing is submitted successfully, a confirmation page will display the filer’s FRN and the date of submission. ULS Ownership Filing displays this Confirmation page for your records. We strongly recommend you print a copy of this page. You may print the Confirmation page by choosing the Print option from the File menu of your Web browser. You may also choose to print a copy of the complete application you have just submitted by selecting Reference Copy. Your new ULS Ownership filing has been given a filing number. Any future reference to this application must be made using the filing number. Note: For additional instructions regarding electronic filing of ownership information, use the Help button, located on the top right of any page within Ownership Filing. 12