ATTACHMENT D

INSTRUCTIONS FOR COMPLETING FCC FORM 601

*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.*

# 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
by **6:00 p.m. ET on October 4, 2002**, 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 {#ii.-filing-fcc-form-601-electronically .unnumbered}

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 the 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.

For instructions on assigning existing call signs to your FRN, see
Attachment E. 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**

> **44 - WZ - Lower 700 MHz Bands**

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 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.
    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.

# 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 Word, Word Perfect, and ASCII text files only. To
submit a graphic image, first import it into a Word or PDF 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]{.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 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]{.smallcaps} {#exhibit-a-ownership-information .unnumbered}

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, 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 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. 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: 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).

-   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:** Applicants 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.
Applicants are 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; s*ee also* Wireless Telecommunications Bureau
Answers Frequently Asked Questions Concerning Reporting of Ownership
Information on FCC Form 602, *Public Notice*, 14 FCC Rcd 8261, 8264
(1999).

### [EXHIBIT B: FOREIGN OWNERSHIP]{.smallcaps} {#exhibit-b-foreign-ownership .unnumbered}

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*: 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 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 Chief, Policy Division, International Bureau, at (202)
418-1460.

**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. Section 27.702(a) of the Commission's
Rules establishes the following designated entities as eligible for
small business provisions: an entrepreneur, a very small business, a
small business, a consortium of entrepreneurs, a consortium of very
small businesses, and a consortium of small businesses in the Lower 700
MHz Bands auction (Auction No. 44). *See* 47 C.F.R. § 27.702(a); *see
also* Reallocation and Service Rules for the 698 -- 746 Spectrum MHz
Band (Television Channels 52-59), WT Docket 01-74, *Report and Order*,
17 FCC Rcd 1022 (2002) ("*Lower 700 MHz Report and Order*") (rel.
January 18, 2002).

**Entrepreneurs under Section 27.702(a)(1):** An entrepreneur is an
entity that, together with its affiliates and controlling interests, has
average gross revenues not exceeding **\$3 million** for the preceding
three years. This definition applies only with respect to licenses in
Block C (710-716 MHz and 740-746 MHz) as specified in § 27.5(c)(1).
*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),
27.702(b).

**Very Small Businesses under Section 27.702(a)(2):** A very small
business is an entity that, together with its affiliates and 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)**,**
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), 27.702(b).

**Small Businesses under Section 27.702(a)(3):** A small business 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(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), 27.702(b).

**Consortium of Entrepreneurs, Consortium of Very Small Businesses, and
Consortium of Small Businesses under Section 27.702(a)(4):** 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 an entrepreneur. *See*
47 C.F.R. § 27.702(a)(4). Each mutually independent small business has
to have average gross revenues not exceeding **\$3 million** for the
preceding three years. *See* 47 C.F.R. §§ 1.2110(b)(3)(i), 27.702(a)(4).
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). 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. § 27.702(a)(4). 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), 27.702(a)(4). 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 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. § 27.702(a)(4). 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), 27.702(a)(4). 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).

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:

**For Entrepreneurs, Very Small Businesses and Small Businesses:** For
purposes of determining whether an entity is an entrepreneur, a very
small business or a 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 must 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).

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 A Consortium of Entrepreneurs, A Consortium of Small and A
Consortium of Very Small Businesses:** Applicants that applied as an
entrepreneur, a very small business, or a small business consortium as
defined in Sections 1.2110(b)(3)(i) and 27.702(a)(4) of the Commission's
Rules, 47 C.F.R. §§ 1.2110(b)(3)(i), 27.702(a)(4), must compute and
indicate gross revenues as outlined above for *each* entrepreneur, very
small business or small business in the consortium. That is, each
business entity comprising the entrepreneur, very small business or
small business consortium must qualify and show gross revenues
separately. The average gross revenues of all of the entrepreneur, very
small business or small businesses in the consortium shall not be
aggregated. *See* 47 C.F.R. §§ 1.2110(b)(3)(i), 27.702(a)(4).

(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 {#exhibit-d-agreements-other-instruments .unnumbered}

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 an entrepreneur, very small business
small business or a consortium of entrepreneurs, consortium of very
small businesses, or 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]{.smallcaps} {#exhibit-e-confidentiality-requests .unnumbered}

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.

### EXHIBIT F: WAIVER REQUESTS {#exhibit-f-waiver-requests .unnumbered}

**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 {#exhibit-h-miscellaneous-information .unnumbered}

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 {#iv.-instructions-for-applicants-seeking-tribal-lands-bidding-credits .unnumbered}

**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 Cellular
Market Area (CMA) (or Metropolitan Statistical Area (MSAs) and Rural
Statistical Areas (RSAs)), 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."

Applicants indicating that they intend to serve a qualifying tribal land
in any market(s) within the application 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, applicants must amend their application to provide the requisite
tribal information and provide the applicant certification. Applicants
seeking a tribal lands bidding credit for some, but not all, markets in
which they were the high bidder are encouraged to submit two
applications. One application will include markets in which the
applicant intends to apply for a tribal lands bidding credit. The other
application will include those markets in which the applicant is not
seeking a tribal lands bidding credit.

Any applicant that intends to apply for tribal lands bidding credits
must do so by the filing deadline for the long-form applications.
Applicants will not be permitted to amend their applications after the
filing deadline to indicate that they intend to seek a tribal lands
bidding credit for a market. 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. Applicants that
elect 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 applications 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.

-   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 markets
    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 markets. Click **Continue**.

-   ULS will present a drop-down list consisting of the markets 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 in each market and the square kilometers of each tribal land
    within that market. For each market 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 each market
automatically, 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(f)(3)(iii), (iv); *see also* In
the Matter of 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, 11803, at ¶ 25 (2000) ("*Tribal
Lands Order*"). If multiple spectrum blocks are won in the same market,
the 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. *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) ("*Tribal Lands Public Notice*").

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 {#exhibit-x-tribal-government-certification .unnumbered}

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 ("RSA582,
North Dakota 3 - Barnes")).

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); s*ee also Tribal Lands
Public Notice*, 15 FCC Rcd at 24840.

### Exhibit Y: Tribal Lands Waiver Requests  {#exhibit-y-tribal-lands-waiver-requests .unnumbered}

**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; *see
also* *Tribal Lands Order*, 15 FCC Rcd at 11805, ¶ 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 11805, ¶ 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*. 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. In addition, the Description Field should indicate
the market to which the waiver request pertains (*e.g.*, Exhibit Y:
Tribal Lands Waiver Requests (RSA582)).

### Exhibit Z: Applicant Certification {#exhibit-z-applicant-certification .unnumbered}

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 {#v.-fcc-form-602 .unnumbered}

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, 1.207(f). If an
applicant already has an FCC Form 602 on file, and it is complete and
accurate, it is not necessary to file another FCC Form 602.

As of September 10, 2002, electronic filing for FCC Form 602 became
available. *See* "Wireless Telecommunications Bureau Announces
Availability of Electronic Filing of FCC Form 602," *Public Notice,* DA
02-2211 (rel. September 10, 2002). An applicant may elect to file FCC
Form 602 either electronically or manually. However, we encourage all
applicants to file electronically in order to reduce the potential of
errors and to receive instant confirmation of receipt of FCC Form 602.
No matter which method of filing is utilized, FCC Form 602 must be on
file with the Commission by the filing deadline for the FCC Form 601.

**Electronic Filing**

1\) To access electronic filing go to
[http://wireless.fcc.gov/licensing/ownership/]{.underline} and click the
\"Online Filing" link.

2\) 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.

3\) Complete the information on the Filer Information Screen, which
corresponds to questions 1-4 and 6 on the Main Form of FCC Form 602, and
click **Save**. The information entered for the Filer will be displayed
on the Ownership Information page.

4\) 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.

5\) To submit the filing to the Commission, click the **Submit** button,
which appears at the bottom of most screens within Ownership Filing.
When the filing is submitted successfully, a confirmation screen will
display the filer's FRN and the submission date.

6\) From the Confirmation Page, select **Print Preview** to print a
hard-copy version of FCC Form 602. (The Print Preview may be used to
upload the filing as Exhibit A for FCC Form 601.)

7\) 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 most 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.

**Manual Filing**

If an applicant elects to file FCC Form 602 manually, it must arrive at
the Commission's Gettysburg office by the filing deadline for the FCC
Form 601 (*i.e.,* it is not sufficient to mail FCC Form 602 on the last
day of the FCC Form 601 filing period).

The only version of FCC Form 602 that will be accepted is the August
2002 version. Any prior version of FCC Form 602 will not be accepted and
will be returned to the contact listed on the FCC Form 602. Commission
staff will enter manually filed FCC Form 602s into the electronic filing
system. FCC Form 602 must be complete; otherwise, it may be returned to
the contact listed on Form 602 for corrections prior to being entered
into the electronic filing system. Below are several reasons why a
manually filed FCC Form 602 would be returned:

-   Invalid FRNs or missing FRNs for any party listed on FCC Form 602.

-   Information is referenced from another FCC Form 602 (*i.e.,* the
    information is not provided on the applicant's FCC Form 602).

-   The authorized signature is missing.

Manually filed forms must be submitted to the following address:

> **U.S. Postal Service Delivery:**
>
> Federal Communications Commission
>
> 1270 Fairfield Road
>
> Gettysburg, PA 17325
>
> **Overnight Delivery Service or Hand Delivery:**
>
> Federal Communications Commission
>
> 1120 Fairfield Road
>
> Gettysburg, PA 17325

For additional information about filing FCC Form 602, *see* "Wireless
Telecommunications Bureau Answers Frequently Asked Questions Concerning
Reporting of Ownership Information on FCC Form 602," *Public Notice*, 14
FCC Rcd 8261 (1999).

[^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 90 days of filing their long-form application.
    *See* discussion in Section IV. The applicant does not need to
    include these attachments in applications in which the applicant is
    not including markets where a tribal lands bidding credit is being
    sought.

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

[^3]: *See id.*

[^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).