# Attachment D

**INSTRUCTIONS FOR COMPLETING FCC FORM 601**

## I. GENERAL REQUIREMENTS

**In completing the FCC Form 601, applicants are strongly encouraged to
use the format below in submitting the information 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**.
**Applicants seeking tribal land bidding credits must comply with the
instructions contained in Part D of this Attachment.**

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 consult the rules to
ensure that, aside from the materials described below, all information
required under our rules is included with their FCC Form 601
applications. **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). Each applicant is responsible for the continuing accuracy and
completeness of information furnished in a pending application. *See* 47
C.F.R. § 1.65.

An applicant that fails to submit the required FCC Form 601 application
by **6:00 p.m. ET on December 21, 2000**, 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.** Filers applying for multiple licenses
are not required to submit a separate application for each market if
**all** filing requirements associated with the application are
identical **except** for the market designator and market name. Under
these circumstances, applicants may submit *one* FCC Form 601 Main Form
and Schedule B. Applicants seeking a tribal land bidding credit for one
or more markets are encouraged to submit two applications. One
application would include markets in which the applicant intends to
apply for a tribal land bidding credit. The other application would
include those markets in which the applicant is not seeking a tribal
land bidding credit. Further information on this process will be
contained in a separate public notice to be released shortly.

**Frivolous Pleadings.** The Commission reminds parties to our
proceedings and their attorneys that the Commission intends to fully use
its authority to discourage and deter the filing of frivolous pleadings.
*See* "Commission Taking Tough Measures Against Frivolous Pleadings,"
*Public Notice*, 11 FCC Rcd. 3030 (1996).

## II. FILING FCC FORM 601 ELECTRONICALLY

-   To reach the ULS Online Filing Screen, establish a direct dial-up
    connection to the Commission's Universal Licensing System (ULS) by
    pointing your web browser to ***http://wtbwww05.fcc.gov*** and
    selecting the ULS Filing button. (Follow the instructions set forth
    in Attachment E to this Public Notice on accessing ULS through a
    direct dial-up connection).\
    \
    You may also connect to the ULS Online Filing Screen through the
    Internet at ***http://www.fcc.gov/wtb/uls***. Select the ULS Filing
    button from this page.\
    \
    **Note**: We recommend that you use Netscape Communicator 4.73
    (Internet web 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/***.

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-   At the ULS Online Filing Screen, enter the applicant's Taxpayer
    Identification Number (TIN), Subgroup Identification Number (SGIN)
    if one was selected/assigned at TIN registration, and Password. Then
    click on "Continue." (See Attachment E for instructions on
    registering your TIN).\
    \
    **Note**: The TIN provided must be the same one used to identify the
    applicant when filing Form 175. Contact Technical Support at (202)
    414-1250 if you have problems accessing ULS.

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-   Click on the "Select New Filing" button to begin filing your
    application.

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-   Select Application Purpose "New" from the drop-down list and click
    on "Continue."

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-   Select Auction ID "36 -- SMR, 806-821/851-866 MHz, Auctioned" from
    the Auction ID drop-down list and click on "Continue."

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-   Supply the information requested by the Form 601.

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-   If you plan to file a request for waiver or exception to the
    Commission's Rules, select "Yes" for the third question on this
    page.

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-   If the TIN of the Real-Party-in-Interest to the application differs
    from the TIN used to access ULS for the application, you must
    register the Real-Party-in-Interest's TIN prior to submitting the
    application. You will not be able to submit the application if you
    supply an unregistered TIN for the Real-Party-in-Interest.

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-   After supplying all the requested information, fill in your
    signature at the bottom of the page and click on "Continue."

-   The following screen lists all of the markets won by the applicant
    at the auction. 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 intend to apply for tribal land bidding credits, *see infra*
    Part IV.

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-   After the market(s) have been selected, click on the "Attachments"
    button and upload the required attachments as described *infra*. Be
    sure to use the standard attachment types and file descriptions set
    forth herein.

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-   When finished uploading attachments, close the Attachment window.
    After uploading each of the required attachments, click on the
    "Continue" button. At this point, you can either "Print Preview"
    your application, or "Submit" it to the Commission.

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-   ULS will assign a file number to the application. If you wish to
    change anything on the submitted application **during** the filing
    window, access the ULS Online Filing Screen and enter your TIN,
    SGIN, and Password. On the next screen, click on the file number of
    the desired application in Complete status.\
    \
    If you wish to change anything **after** the filing deadline, you
    may enter 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**

**Main Form-Related Exhibits.** Any exhibits to be attached to an
application in response to a question on the FCC Form 601 Main Form or
on Schedule B 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 then select the appropriate attachment type. The
electronic filing software will accept a variety of file formats
including Word, Word Perfect, Adobe PDF, and ASCII text.

**Rule-Related Exhibits.** Any exhibits to be attached to an application
as a result of our rule requirements should be uploaded and identified
as follows:

[Title]{.underline} [Required From]{.underline}

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 G: Tribal Government Certification If Applicable[^1]

Exhibit H: Tribal Land Waiver Requests If Applicable[^2]

Exhibit I: Rural Telephone Companies, and Minority-Owned

and Women-Owned Businesses If Applicable

Exhibit J: Miscellaneous Information If Applicable

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
page number of the exhibit, and the total number of pages of the
exhibit. Applicants should use the Attachment screen to upload each
exhibit file and select the appropriate attachment type. The recommended
titles listed above should be entered in the File Description field on
the Attachment screen. Applicants are requested not to add password
protections to attached files.

##### [Exhibit A: Ownership]{.smallcaps}

Section 1.2112 of the Commission\'s rules requires each applicant to
make full and complete disclosure with regard to the real party or
parties-in-interest and as to all matters required to be disclosed by
the application form. *See* 47 C.F.R. § 1.2112. To provide this
information, applicants should upload a file, select Attachment Type
"Ownership" and enter "**Exhibit A: Ownership**" in the File Description
field on the Attachment screen.

Applicants should provide the information concerning the identity of the
applicant (*i.e.,* real party- or parties-in-interest), and ownership
interests held in the applicant and in investors in the applicant in the
format described below. Each 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: General Information.** Applicant must indicate the
applicant\'s form of business organization. In addition,

-   If the interest holder is a corporation, provide the name and
    address of the corporate office and the name and title of an
    officer, director or authorized contact.

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-   If the applicant is a general partnership, provide the name,
    address, and citizenship of all partners, and the share or interest
    participation in the partnership.

-   If the applicant is a limited partnership, provide the name,
    address, and citizenship of each limited partner whose interest in
    the applicant is equal to or greater than ten percent (as calculated
    according to the percentage of equity paid in and the percentage of
    distribution of profits and losses).

-   If the applicant is a limited liability corporation, provide the
    name, address, and citizenship of each of its members whose interest
    in the applicant is equal to or greater than ten percent.

-   If the interest holder is a trust, provide the name and address of
    the trustee.

**Part 2: Direct Ownership.** Applicant must identify all persons or
entities that ***directly*** hold a ten percent or more interest in the
applicant. *See* 47 C.F.R. § 1.2112(a). For each ten percent interest
holder listed, applicants should provide the following information:

*Item (1) [Name and address]{.underline}:* Identify the name and address
of the interest holder. If the interest holder is an individual, provide
the name and address of that person, and indicate whether the interest
holder is a partner, officer, director, attributable stock holder, or
key manager (*e.g.,* CEO, General Manager) of the applicant.

*Item (2) [Principal Business]{.underline}:* Describe the interest
holder\'s principal business and its relationship to the applicant.

*Item (3) [Relationship to Other Interest Holder]{.underline}:* Indicate
whether the interest holder is related to any other ten percent or
greater interest holder by blood or marriage, and provide the name of
the related interest holder.

*Item (4) [Amount Held]{.underline}:* Specify the amount held (*e.g.,*
number of shares of stock and percentage of total ownership) for each
type of interest specified.

*Item (5) [Type of Interest Held]{.underline}:* Indicate whether the
interest held is in the form of stocks, bonds, warrants, debt
instruments, partnership, etc. If interests are held in stock, specify
the class of stock and any voting rights associated with the stock. If
the interests are held in a partnership, indicate whether the interests
are limited or general partnership interests.

*Item (6) [Interests Held on Behalf of Others]{.underline}:* If an
interest is held in trust, or on behalf of another person or entity,
identify the party for whom the interest is held.

**Part 3: Indirect Ownership.** Applicant must identify all persons or
entities that **indirectly** hold a ten percent or more interest in the
applicant, as determined by successive multiplication of the ownership
percentages in each link in the vertical ownership chain, except that if
the ownership percentage for any link exceeds fifty percent or
represents actual control, it shall be reported as if it were a one
hundred percent interest. For each person or entity listed, provide the
same information listed in *Items (1)-(6)* above as is requested for
direct interests.

**Part 4: Other Disclosable Interests and Entities.**

-   Applicant must list any FCC-regulated business ten percent or more
    of whose stock, warrants, options or debt securities are owned by
    the applicant or an officer, director, attributable stockholder or
    key management personnel of the applicant. *See* 47 C.F.R.
    §1.2112(a)(1). This list must include a description of each such
    business' principal business and a description of each business'
    relationship to the applicant.

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-   Applicant must list any party holding a ten percent or greater
    interest in any entity holding or applying for any FCC-regulated
    business in which a ten percent or more interest is held by another
    party which holds a ten percent or more interest in the applicant.
    *See* 47 C.F.R. § 1.2112 (a)(3). This list must include a
    description of their principal business and a description of each
    business' relationship to applicant.

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-   To comply with 47 C.F.R. § 1.2112(a)(5), which requires the
    applicant to account for all controlling interests, applicant must
    list the names, addresses, and citizenship of all persons or
    entities meeting the definition of "affiliate," as discussed in the
    *Auction No. 36 Public Notice* at Section II.C.2, to the extent that
    such entities are not previously included in Parts 1, 2, and 3 of
    Exhibit A. *See, e.g.*, "Auction of Licenses for 800 MHz Specialized
    Mobile Radio (SMR) Service Frequencies in the Lower 80 Channels:
    Auction Notice and Filing Requirements for 2,800 Licenses in the 800
    MHz SMR Service Frequencies Lower 80 Channels; Auction Rescheduled
    from September 13, 2000 to November 1, 2000; Minimum Opening Bids
    and Other Procedural Issues," *Public Notice*, DA 00-1388, at
    Section II.C (rel. June 23, 2000) ("*Auction No. 36 Public
    Notice*").

**Note:** Applicants may provide information required in Parts 1 through
4 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 Taxpayer Identification Number (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. Applicants are reminded, however,
that a current FCC Form 602 must be filed, or be on file, with the
Commission's Gettysburg address.

##### [Exhibit B: Foreign Ownership]{.smallcaps}

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,
applicants should provide the following information:

*Item (1) [Percentage of Interest]{.underline}*: Identify each foreign
owner\'s percentage of ownership in the applicant.

*Item (2) [Country of Origin and Address]{.underline}*: List each
foreign owner\'s country of origin and principal place of business.

*Item (3) [Public Interest Statement]{.underline}*: 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*,[^3] the Commission indicated that there is a strong presumption
that indirect foreign ownership of common carrier radio licensees by
entities whose home markets are in countries that are members of the
World Trade Organization (WTO) serves the public interest. Therefore,
the Commission concluded that, in most cases of investments from WTO
member countries, processing of requests to exceed the twenty-five
percent benchmark in Section 310(b)(4) can be streamlined. If more than
twenty-five percent of the ownership of an entity that controls a common
carrier radio licensee is attributable to parties whose home markets are
in non‑WTO member countries, the Commission will evaluate whether those
markets offer effective competitive opportunities to U.S. investors in
the same service sector. *See Foreign Participation Order*, 12 FCC Rcd.
23891, 23935-42, 23946, at ¶¶ 97‑118, 131.

*Item (4) [Petitions for Declaratory Ruling]{.underline}*: 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 short form 175
applications that they are either in compliance with the foreign
ownership requirements of Section 310 or that they have filed a request
for relief of those requirements that is pending with the Commission.
*See* 47 CFR 1.2105(a)(2)(v). Similarly, where foreign ownership is at
issue, applicants must indicate in their long form 601 application that
they have either 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 acted upon favorably 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
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 Member countries
that do not raise any other potentially complex foreign ownership
issues. Note, however, the possibility that the Commission may find
reason to conclude that a particular petition of this type is not
eligible for streamlines processing. Petitions requesting a ruling
involving one or more foreign owners that are not from a WTO member
country are not eligible for streamlined processing, and these
petitioners should contact the Telecommunications Division of the
International Bureau well in advance of the close of the auction 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) 418-1460.

**Note:** There is no need to include an Exhibit B if the applicant
responded \"No\" to Questions 40 through 44.

##### [Exhibit C: Designated Entities]{.smallcaps}

Pursuant to Commission rules, small businesses and very small businesses
are eligible for bidding credits of twenty-five percent and thirty-five
percent respectively, to lower the cost of their winning bids. *See* 47
C.F.R. §§ 90.910(a), 1.2110(e)(2)(i), (ii). Small businesses and very
small businesses are defined in 47 C.F.R. § 90.912(b). Applicants that
are not claiming eligibility for bidding credits as a designated entity
do not need to submit Exhibit C. We nonetheless note that we are
interested in the status of applicants as rural telephone companies,[^4]
or as minority-owned or women-owned businesses for statistical purposes.

In order to demonstrate eligibility for 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 identify the
applicant\'s claimed eligibility status and provide the gross revenues,
separately and in the aggregate for the applicant, the applicant's
affiliates, the applicant's controlling interests, and, if a consortium
of small businesses, the members of the joint venture, for the most
recently completed three calendar or fiscal years preceding the filing
of the applicant\'s FCC Form 175 based on audited financial statements.
*See* 47 C.F.R. § 90.913(b)(1); *see also Auction No. 36 Public Notice*,
DA 00-1388, at Section II.C.2.

If the applicant does not have audited financial statements to document
the gross revenues figures provided, it must provide a certification
from its chief financial officer or its equivalent that the gross
revenue figures indicated in its FCC Forms 175 and 601 applications are
true, full, and accurate, and that the applicant does not have the
audited financial statements that are otherwise required under our
rules. *See* 47 C.F.R. §§ 90.912(c), 1.2110(m).

**[For Small Businesses.]{.underline}** Applicants claiming status as a
small business must compute gross revenues in accordance with section
90.912 of the Commission's rules. *See* 47 C.F.R. § 90.912. A small
business is an entity that, together with its affiliates and controlling
interests,[^5] has average annual gross revenues that are not more than
**\$15 million** for the preceding three years. *See* 47 C.F.R. §
90.912(b). Gross revenues for each year for the applicant and each of
its affiliates and controlling interests (and, if a consortium of small
businesses, the members of the joint venture) should be separately
identified and followed by the computed average total gross revenues for
each over those years and the combined average gross revenues of the
applicant, the applicant's affiliates, the applicant's controlling
interests over those years. *See* 47 C.F.R. § 90.912(b)(3). For purposes
of determining whether an entity meets the definition, the gross
revenues of the entity, its affiliates, and its controlling interests
shall be considered on a cumulative basis and aggregated. *See* 47
C.F.R. §§ 90.912(b)(3), 90.913(b)(1). The status of the applicant as a
minority-owned or women-owned business also is requested, but for
statistical purposes only.

**[For Very Small Businesses.]{.underline}** Applicants claiming status
as a very small business must compute gross revenues in accordance with
section 90.912(b)(2) of the Commission's rules. *See* 47 C.F.R. §
90.912(b)(2). A very small business is an entity that, together with its
affiliates and controlling interests,[^6] has average gross revenues
that are not more than **\$3 million** for the preceding three years.
*See* 47 C.F.R. § 90.912(b)(2). Gross revenues for each year for the
applicant and each of its affiliates and controlling interests (and, if
a consortium of very small businesses, the members of the joint venture)
should be separately identified and followed by the computed average
total gross revenues for each over those years and the combined average
gross revenues of the applicant, the applicant's affiliates, the
applicant's controlling interests over those years. *See* 47 C.F.R. §
90.912(b)(3). For purposes of determining whether an entity meets the
definition, the gross revenues of the entity, its affiliates, and its
controlling interests shall be considered on a cumulative basis and
aggregated. *See* 47 C.F.R. §§ 90.912(b)(3), 90.913(b)(1). The status of
the applicant as a minority-owned or women-owned business also is
requested, but for statistical purposes only.

**[For Small Business & Very Small Business Consortia.]{.underline}**
Applicants that applied as a **small business consortia** or **very
small business consortia** as defined in section 90.912 (b)(4), (5) must
compute and indicate gross revenues as outlined above for **each** small
or very small business in the consortium. *See* 47 C.F.R. §
90.912(b)(4), (5). That is, each business entity comprising the small or
very small business consortia must qualify and show gross revenues
separately. *See* 47 C.F.R. §§ 90.912(b)(4), (5), 90.913(b)(1). The
gross revenues of each small or very small business shall not be
aggregated. *See* 47 C.F.R. § 1.2110(b)(3)(i).

##### [Exhibit D: Agreements & Other Instruments]{.smallcaps}

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 into which
the applicant has entered 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 and other 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, a very small
business, or a consortium of small or very small businesses under
sections 90.912 and 90.913 of the Commission\'s rules, including the
establishment of *de facto* and *de jure* control. *See* 47 C.F.R. §§
90.912, 90.913, 1.2112(b)(2). 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. § 90.913(b)(2). These
applicants must also 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. §§ 90.913(b)(3), 1.2112(b).

To comply with these requirements, applicants may either submit the
agreements themselves or submit a detailed description of those
agreements with proprietary information excluded. 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. If applicants choose to
submit the agreements, they can redact proprietary information or can
seek confidentiality for those documents pursuant to section 0.459 of
the Commission\'s rules, 47 C.F.R. § 0.459 (*see* discussion of
confidentiality requests under **"Confidentiality Requests"** below).

##### [Exhibit E: Confidentiality Requests]{.smallcaps}

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.
Nonetheless, required proprietary information may be redacted, and
confidentiality may be sought pursuant to 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 47 C.F.R. § 0.459. Applicants submitting confidentiality requests
should be aware that 47 C.F.R. § 0.459 was amended to set out more
clearly what should be contained in a request that information not be
routinely available for public disclosure. *See* "Examination of Current
Policy Concerning the Treatment of Confidential Information Submitted to
the Commission," *Report and Order*, GC Docket No. 96-55, 13 FCC Rcd.
24816 (1998). Because the required information bears on an applicant\'s
qualifications, the Commission envisions that confidentiality requests
will not be routinely granted.

If an applicant has sought confidential treatment of any information, it
must attach a statement which explains the request and references the
particular information for which confidential treatment has been
requested. The applicant 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. There is no need to include an Exhibit E stating
there is no confidentiality request.

In addition, 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]{.smallcaps} 

**NOTE: This part** **does not apply** **to** **tribal land waiver
requests. S*ee infra* "Exhibit H: Tribal Land Waiver Requests," at
D-13.**

In the event a winning bidder wishes to file a request for waiver, all
such requests should be filed with the corresponding application.
Applicants should upload a document describing the waiver request,
select Attachment Type "Waiver" and enter "**Exhibit F: Waiver
Requests**" in the File Description field on the Attachment screen.
There is no need to include an Exhibit F stating there are no waiver
requests.

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.

IV. **Instructions for Applicants Seeking TRIBAL LAND BIDDING CREDITS**

[Filing the Long-Form Application]{.underline}: 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(e)(3)(i).

Applicants should be aware that if they indicate that they intend to
serve a qualifying tribal land in any market(s) within the application,
the entire application will be delayed for a minimum of 90 days in order
to allow the applicant time to acquire certification(s) from the
federally-recognized tribal government(s). Applicants seeking a tribal
lands bidding credit for one or more markets are encouraged to submit
two applications. One application would include markets in which the
applicant intends to apply for a tribal land bidding credit. The other
application would include those markets in which the applicant is not
seeking a tribal land bidding credit. Further information on this
process will be contained in a separate public notice to be released
shortly.

If you intend on applying for tribal lands bidding credits, you must do
so by the filing deadline for the long-form applications. ULS will not
allow applicants to amend their applications to indicate that they
intend to seek a tribal land bidding credit for a market after the
filing deadline. However, it is possible for applicants to amend an
application to indicate that they no longer intend to seek tribal lands
bidding credits in a particular market.

> [Amending the Long Form Application]{.underline}: Within the 90-day
> period, the applicant must re-enter ULS to amend the long-form
> application. *See* 47 C.F.R. § 1.2110(e)(ii).

-   Enter the applicant's Taxpayer Identification Number (TIN), Subgroup
    Identification Number (SGIN) if one was selected/assigned at TIN
    registration, and Password into the ULS Filing Screen.

-   Click on "Select New Filing."

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-   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 land information or
    bidding credit, select "yes" for the third question on this page.
    Click on "Continue" when done.

-   ULS will present a table consisting of the markets selected by the
    applicant on the initial long-form application as markets where a
    tribal lands bidding credit is being sought. In addition to the
    market, it will provide the names of the federally recognized tribal
    lands in each market and the square kilometers of each tribal land
    within that market. The applicant must mark the tribal lands it
    intends to serve and attach a signed, tribal government
    certification from each of the federally-recognized tribal
    governments. *See infra* "Exhibit G: Tribal Government
    Certification," at D-13.

-   

-   

ULS will automatically calculate the bidding credit amount for each
market according to the size (in square kilometers) of the tribal
territory within the market, and in compliance with the bidding credit
limit. *See* 47 C.F.R. § 1.2110(e)(3)(iii), (iv); *see also* In the
Matter of Extending Wireless Telecommunications Services to Tribal
Lands, *Report and Order and Further Notice of Proposed Rule Making*,
FCC 00-209, 15 FCC Rcd. 11,794, 11803, at ¶ 25 ("*Tribal Lands Order*").

-   If the applicant is seeking a bidding credit in excess of the amount
    calculated pursuant to Section 1.2110(e)(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* *infra* "Exhibit H:
    Tribal Land Waiver Requests," at D-13.

**NOTE: For technical reasons, applicants will not be able to amend
their applications to specify the tribal lands to be served and provide
tribal government certifications for each market until December 18,
2000.**

### [Exhibit G: Tribal Government Certification]{.smallcaps}

Further information regarding certification from the tribal government,
for purposes of obtaining a tribal lands bidding credit, will be
contained in a public notice to be released shortly.

#### [Exhibit H: Tribal Land Waiver Requests]{.smallcaps} 

[Request for an additional bidding credit]{.underline}: If the applicant
is seeking a credit in excess of the amount calculated according to
Section 1.2110(e)(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; *see also* *Tribal Lands Order*, 15 FCC Rcd. at 11,805, at ¶ 29.
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. *See Tribal Lands Order*, 15 FCC Rcd. at 11,805, at ¶
29. This waiver request must demonstrate that the infrastructure costs
exceed the amount of the standard bidding credit as calculated by ULS.
*See id*. 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. *See id*.

[^1]: Applicants applying for markets where they are seeking a tribal
    lands bidding credit must amend their application within 90 days of
    the close of the filing deadline to attach any tribal government
    certifications and waiver exhibits. *See* discussion *infra* Part
    IV. The applicant does not need to include these attachments in
    applications in which the applicant is not including markets where a
    tribal land bidding credit is being sought.

[^2]: ^?^ *See id.*

[^3]: "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*, FCC 00-339 (rel. Sept. 19, 2000).

[^4]: For a definition of rural telephone companies, see 47 C.F.R.
    1.2110(c)(4).

[^5]: For a discussion of the recently adopted controlling interest
    standard, see In the Matter of Amendment of Part 1 of the
    Commission's Rules -- Competitive Bidding Procedures, *Order on
    Reconsideration of the Third Report and Order, Fifth Report and
    Order, and Fourth Further Notice of Proposed Rule Making*, FCC
    00-274 (rel. Aug. 14, 2000).

[^6]: *See id.*