ATTACHMENT D

INSTRUCTIONS FOR COMPLETING FCC FORM 601 And FORM 602

*Applicants are strongly encouraged to use the format below to submit
FCC Form 601 and exhibits to Form 601 as required by our rules.
Following this format will help expedite processing of FCC Form 601 and
minimize follow-up requests for missing information. Applicants seeking
tribal lands bidding credits must comply with the instructions contained
in Part IV of this Attachment.*

#  {#section .unnumbered}

# I. FCC FORM 601 GENERAL REQUIREMENTS {#i.-fcc-form-601-general-requirements .unnumbered}

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).

Applicants must file FCC Form 601 electronically. An applicant who fails
to submit the required FCC Form 601 application(s) by **6:00 p.m. ET on
March 16, 2004**, 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) through the
    Internet at **http://wireless.fcc.gov/uls**. Select the **Online
    Filing** button from this page.

> You may also connect to ULS Online Filing by establishing a direct
> dial-up connection to ULS by pointing your web browser to
> **http://wireless.fcc.gov/uls** and selecting the ULS Online Filing
> button. (Follow the instructions set forth in **Attachment F** 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 or later) 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.  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
    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*, 16 FCC Rcd 18793 (2001),
> <http://wireless.fcc.gov/uls/releases/da012452.txt>. For technical
> assistance contact the FCC Technical Support Hotline at (202) 414-1250
> (voice) or (202) 414-1255 (TTY). All telephone calls are recorded.

3.  After you have entered the FRN and password correctly, you will see
    the "My Licenses" page displaying the applicant's existing licenses
    (if any) and related information. To apply for a new license, click
    the **Apply for a New License** navigation link on the left-hand
    side of the page.

4.  On the Select Service page, choose the Auction ID dropdown menu.
    Then select the following auction ID:

> **Auction 55 -- YD -- SMR, 896--901 / 935--940 MHz, Auctioned**
>
> Click **Continue.**

5.  Supply the information requested by FCC Form 601 and the
    Commission's Rules.

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

> ***Note:*** The Online Filing function of ULS triggers the automatic
> downloading of certain Java files by your Web browser. These files
> will enable your system to communicate securely with ULS. To operate
> correctly, you must grant permission for these files to be downloaded
> and installed on your system. Please see
> <http://wireless.fcc.gov/uls/support/gettingconnected.html> for more
> information on this feature.

6.  After supplying all the requested information, fill in your
    signature information at the bottom of the page and click
    **Continue**.

7.  The following page 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.

8.  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.

9.  When finished uploading attachments, close the Attachment window.
    Then click **Continue**. At this point you may either choose **Print
    Preview**, to review your application, or choose **Submit** to file
    it with the Commission.

10. You will receive a confirmation page when you press the **Submit**
    button. Note the file number for your records. Choose "Return to
    License Manager." You may use the link at the top left of any page
    in License Manager to logout.

**Updating an Application**

You may re-access your application to make changes during the 10-day
filing window following the close of the auction:

-   If you quit your application at any time prior to submitting it, it
    will be saved in ULS. To continue working on a saved application,
    login to ULS License Manager, choose the My Applications link from
    the menu on the left side of the page, and click on the Saved link.
    Then click the link next to your saved application. On the next
    page, "Application At A Glance," choose the **Continue** button
    under the Work on This Application menu. Saved applications for an
    auctionable service [must be]{.underline} completed within the
    specific filing window of the auction.

-   Once you click the **Submit** button, ULS will assign a file number
    to the application. To make changes to a submitted application, log
    in to ULS License Manager with the Applicant's FRN and password.
    Choose the "My Applications" link from the left side of the page.
    Then choose the Submitted applications link. 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. You
    must click the **Submit** prior to the close of the 10-day filing
    window.

Note: To change any information on your application **after** the 10-day
filing window has closed, log in to ULS License Manager with the
applicant's FRN and Password**.** Choose the My Application link from
the 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.

FCC rules contain limitations on filing of major amendments after the
March 16, 2004, deadline that may affect the applicant\'s legal rights.
Acceptance of an amendment by ULS does not indicate that the amendment
is allowed under the rules. Applicants are advised to consult FCC rules
in this regard prior to filing an amendment. Once the FCC has granted a
request for a license, you can change that license by requesting a
modification.

> *[Basic Guidelines for Filing Form 601 Online:]{.underline}*

-   Some of the data entry fields on the online application form may be
    pre-filled with information from the Form 175 process for
    auctionable applications.

```{=html}
<!-- -->
```
-   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** 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 and
    complete it at a later date if necessary. Saved applications usually
    must be completed within 30 days; however, applications for an
    auctionable service [must be]{.underline} completed within the
    specific filing window of the auction, in this case before 6:00 p.m.
    ET on March 16, 2004.

-   Prior to submitting an application, you may click the **Print
    Preview** button (where available) to create a preview of your
    completed application.

## Technical Support {#technical-support .unnumbered}

For technical assistance with installing or using FCC software, contact
the FCC Technical Support Hotline at (202) 414-1250 (voice) 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 calls to the FCC Technical
Support Hotline are recorded.

# ORGANIZATION OF APPLICATION EXHIBITS

**Form 601 and Rule-Related Exhibits.** Any exhibits to be attached to
an application in response to a question on the Main Form or Schedule B
of FCC Form 601 or as specified in the Commission's Rules, should be
identified as specified in the instructions to the FCC Form 601.
Applicants should use the Attachment screen provided within the
electronic filing software to submit these exhibits as uploaded files
and should select the appropriate attachment type. The electronic filing
software will accept many different types of computer files. See
http://wireless.fcc.gov/uls/support/help/help_attach.html for a full
list of acceptable file formats. Do not add password protection to
attached files.

Any exhibits to be attached to an application as a result of our rule
requirements should be uploaded and identified as follows:

[Title]{.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: 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:** Applicants 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:** Applicants 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
(*i.e.*, for a current FCC Form 602 filed prior to September 10, 2002).
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.

### [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, applicant should
provide the following information:

*Item (1) Percentage of Interest*: Identify each foreign owner's
percentage of ownership in the applicant.

*Item (2) Country of Origin and Address*: List each foreign owner's
country of origin and principal place of business.

*Item (3) Public Interest Statement*: Demonstrate how allowing the
applicant to hold the requested license is consistent with the
Commission's policies pursuant to Section 310(b)(4) of the
Communications Act of 1934, as amended. In the *Foreign Participation
Order*,[^4] the Commission stated that there is a presumption that
indirect foreign ownership of common carrier radio licenses by entities
whose home markets are World Trade Organization (WTO) members is in the
public interest. If more than twenty-five percent of the ownership of an
entity that controls a common carrier radio license is attributable to
parties whose home markets are non‑WTO member countries, the Commission
will evaluate whether those markets offer effective competitive
opportunities to U.S. investors.[^5]

*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.[^6] 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.[^7]
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**

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.[^8] In the *900 MHz* *Second Order on
Reconsideration and Seventh Report and Order*, the Commission adopted
bidding credits to promote and facilitate the participation of small
businesses in the competitive bidding for licenses in the 900 MHz SMR
service. [^9]

[]{.mark}

**Small Businesses under Section 90.814(b)(1)(i):** A small business
under Section 90.814(b)(1)(i) is an entity that, together with its
affiliates and controlling interests, has average annual gross revenues
not exceeding **\$3 million** for the preceding three years. *See* 47
C.F.R. § 90.814(b)(1)(i). Small businesses that meet the definition of
Section 90.814(b)(1)(i) are eligible for bidding credits of **fifteen
percent (15%)** to lower the cost of their winning bids. *See* 47 C.F.R.
§§ 90.810, 90.814(b)(1)(i).

[]{.mark}

**Small Businesses under Section 90.814(b)(1)(ii):** A small business
under Section 90.814(b)(1)(ii) 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. § 90.814(b)(1)(ii). Small businesses that meet the definition of
Section 90.814(b)(1)(ii) are eligible for bidding credits of **ten
percent (10%)** to lower the cost of their winning bids. *See* 47 C.F.R.
§§ 90.810, 90.814(b)(1)(ii).

**Consortium of Small Businesses under Section 90.814(b)(2):** 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 either definition of a small
business in Section 90.814(b)(1) of the Commission's rules. A consortium
of small businesses is eligible for bidding credits of **fifteen percent
(15%)** to lower the cost of its winning bids if each consortium member
individually satisfies the small business criteria defined in Section
90.814(b)(1)(i) of the Commission's rules. A consortium of small
businesses is eligible for bidding credits of **ten percent (10%)** to
lower the cost of its winning bids if each consortium member
individually satisfies the small business criteria defined in Section
90.814(b)(1)(ii) of the Commission's rules.[^10]

[]{.mark}

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 Small Businesses:** For purposes of determining whether an entity
is 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 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), 1.2112(b)(2)(iii).

**For a Consortium of Small Businesses:** Applicants that applied as a
consortium of small businesses as defined in Section 90.814(b)(2) of the
Commission's Rules, 47 C.F.R. § 90.814(b)(2), must compute and indicate
gross revenues as outlined above for *each* small business in the
consortium. That is, each business entity comprising the small business
consortium must qualify and show gross revenues separately. The average
gross revenues of all of the small businesses in the consortium shall
not be aggregated. *See* 47 C.F.R. §§ 1.2110(b)(3)(i), 90.814(b)(2).

(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 a small business or a consortium of small
businesses, including the establishment of *de facto* and *de jure*
control. *See* 47 C.F.R. § 1.2112(b)(2)(i). Such agreements and
instruments include, but are not limited to, articles of incorporation
and bylaws, shareholder agreements, voting or other trust agreements,
partnership agreements, management agreements, joint marketing
agreements, franchise agreements, and any other relevant agreements
(including letters of intent), oral or written. *See* 47 C.F.R. §
1.2112(b)(2)(i). These applicants also must list and summarize any
investor protection agreements, including rights of first refusal,
supermajority clauses, options, veto rights, and rights to hire and fire
employees and to appoint members to boards of directors or management
committees. *See* 47 C.F.R. § 1.2112(b)(2)(ii).

To comply with these requirements, applicants may submit either the
agreements themselves or a detailed summary of those agreements.
Applicants should upload the information in a file, select Attachment
Type "Other" and enter "**Exhibit D: Agreements & Other Instruments**"
in the File Description field on the Attachment screen. Applicants
choosing to submit the agreements may elect to seek confidentiality for
those documents pursuant to Section 0.459 of the Commission's Rules.
*See* 47 C.F.R. § 0.459; *see also* discussion of confidentiality
requests under "Confidentiality Requests" below.

### [EXHIBIT E: CONFIDENTIALITY REQUESTS]{.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 G: MISCELLANEOUS INFORMATION {#exhibit-g-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 G: 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 Major
Trading Area (MTA), go to the Auction website at
**http://wireless.fcc.gov/auctions** and click on "Tribal Land Credits,"
and then click on "Cross References." Instructions for applying for
tribal lands bidding credits through ULS are also provided at the
above-referenced website. Click on "Tribal Land Credits," and then click
on "ULS Application Instructions." For additional information on the
tribal land bidding credit, applicants should review the Commission's
rule making proceeding regarding tribal land bidding credits and related
public notices.[^11]

Applicants indicating that they intend to serve a qualifying tribal land
in any market(s) within the application will have an additional 180 days
after the long-form application deadline within which to secure the
necessary certifications from tribal authorities. Within this 180-day
period, applicants must amend their application to provide the requisite
tribal information and provide the applicant certification.[^12]
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
update 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 update their applications to delete the request for the
tribal lands bidding credit.

**Updating the Long Form Application**:

> To update a Form 601 application during the filing window, see
> "Updating an Application" in Section II above. To update a Form 601
> application after it has been officially reviewed by the Commission
> (within the 180-day period), the applicant must re-enter ULS. *See* 47
> C.F.R. § 1.2110(f)(3)(ii).

1.  Access the Commission's Universal Licensing System (ULS) through the
    Internet at **http://wireless.fcc.gov/uls**. Select the **Online
    Filing** button from this page.

2.  At the Log In page, enter the applicant's FCC Registration Number
    (FRN) and password. Click **Submit**.

> **Note**: An FRN is required to access ULS. See **Attachment E** for
> additional information.

3.  Choose the My Applications link from the left side of the page. Then
    choose the Pending applications link.

4.  Click on the file number of your application to view the Application
    At a Glance page. Click the Update link from the Work on This
    Application menu on the right side of the page to load Form 601.

5.  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**.

6.  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.**

7.  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."

8.  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). 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.[^13]

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 180-day period, the applicant must amend its long-form
application to provide the required tribal government certifications for
each tribal land identified in the application. *See* 47 C.F.R. §
1.2110(f)(3)(ii)(A). The tribal government certifications **must be
signed** by an officer, allotment owner(s), or corporate officer of the
tribal lands, Indian allotment, or Alaska Native land, respectively, and
uploaded as an Adobe Portable Document Format (PDF). Each tribal
government certification should be attached separately by selecting
Attachment Type "Tribal Government Certification" and entering
"**Exhibit X: Tribal Government Certification**" in the Description
Field on the Attachment Screen. In addition, the Description Field
should indicate the market and tribal lands to which the certification
pertains (*e.g.*, "Exhibit X: Tribal Government Certification ("MTA024,
Seattle, Colville Reservation")).

A tribal government certification must state that:

1.  The tribal area to be served by the winning bidder is a
    federally-recognized Indian tribe's reservation, Pueblo, Colony,
    Alaska Native region, or Indian allotment, and has a wireline
    telephone subscription rate at or below seventy (70) percent;

2.  The tribal government has not and will not enter into an exclusive
    contract with the applicant precluding entry by other carriers, and
    will not unreasonably discriminate among wireless carriers seeking
    to provide service on the qualifying tribal land; and

3.  The tribal government will permit the applicant to site facilities
    and provide service on its tribal land.

*See* 47 C.F.R. § 1.2110(f)(3)(ii)(A)(1)-(3).

### Exhibit Y: Tribal Lands Waiver Requests  {#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. These
waiver requests are subject to the percentage cap on tribal lands
bidding credits, and waivers will not be granted in excess of the
applicable cap. This waiver request must demonstrate that the
infrastructure costs exceed the amount of the standard bidding credit as
calculated by ULS. The applicant will need to supply a detailed showing
of the projected infrastructure costs, including a certification by an
independent auditor that the estimated costs are reasonable. Each tribal
land waiver request should be attached separately by selecting
Attachment Type "Tribal Lands Waiver Requests" and entering "**Exhibit
Y: Tribal Lands Waiver Requests**" in the Description Field on the
Attachment Screen. In addition, the Description Field should indicate
the market and tribal lands to which the waiver request pertains (e.g.,
Exhibit Y: Tribal Lands Waiver Requests ("MTA024, Seattle, Colville
Reservation").

### 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 March
16, 2004 deadline for the FCC Form 601. *See* 47 C.F.R. §§ 1.919,
1.2107(f). If an applicant already has an FCC Form 602 on file, and it
is complete and accurate, it is not necessary to electronically file
another FCC Form 602. *See* 47 C.F.R. § 1.919. Applicants are reminded
that the FCC Form 602 must now be filed electronically.[^14]

**Electronic Filing**

1.) Access the Ownership homepage,
<http://wireless.fcc.gov/licensing/ownership/>, on the WTB website, or
click the **Ownership** link listed under the console of orange buttons
on the ULS homepage, <http://wireless.fcc.gov/uls>.

2.) From the Ownership page click the **Online Filing** button.

3.) On the next page, enter the FRN and password of the filer and select
**Continue.** The Filer Information screen will appear. **Note:** If the
Applicant listed on FCC Form 601 is listed as the filer on the ownership
filing, provide the same FRN as provided on FCC Form 601.

4.) Complete the information on the Filer Information Screen; then click
**Save**. The information entered for the Filer will be displayed on the
Ownership Information page.

5.) Use the links on the far right of the Ownership Information page, as
needed, to

-   Add an FCC Regulated Business of the Filer (corresponds to question
    5 on the Main Form)

-   Add a Disclosable Interest Holder (corresponds to questions 1-9 on
    Schedule A)

-   Add an FCC Regulated Business of a Disclosable Interest Holder
    (corresponds to question 10 on Schedule A)

Repeat each of these steps as often as necessary.

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

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

8.) Once an Ownership Filing has been submitted, it can be updated as
often as needed. Follow these steps:

-   Log in to Ownership Filing with the FRN and password of the filer.

-   On the Ownership Data screen, select the **Update** button to the
    right of the filing.

-   Update necessary information, and then click the **Submit** button,
    which appears at the bottom of appropriate Ownership Filing screens.
    When the filing is submitted successfully, a confirmation screen
    will display the filer's FRN and the date of submission.

**Note:** For additional information regarding electronic filing of
ownership information, use the **Help** button, located on the top right
of any screen within Ownership Filing.

[^1]: Applicants applying for markets where they are seeking a tribal
    lands bidding credit must attach all tribal government
    certifications, applicant certifications, and waiver exhibits, as
    applicable, within 180 days of filing their long-form application.
    *See* discussion in Section IV. Applicants do not need to include
    these attachments in applications in which tribal lands bidding
    credits are not being sought. *See* Extending Wireless
    Telecommunications Services to Tribal Lands, WT Docket No. 99-266,
    *Second Report and Order and Second Further Notice of Proposed
    Rulemaking*, 18 FCC Rcd 4775, 4778-79, ¶ 10 (2003) *("Tribal Lands
    Second Report and Order")*.

[^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).

[^5]: *See Foreign Participation Order,* 12 FCC Rcd at 23935-42, 23946,
    ¶¶ 97‑118, 131.

[^6]: *Id*.

[^7]: *See* 47 C.F.R. §§ 1.2105(a)(2)(v), (vi).

[^8]: ^?^ 47 C.F.R. § 1.2105(f)(1).

[^9]: ^?^ Amendment of Parts 2 and 90 of the Commission's Rules to
    Provide for the Use of 200 Channels Outside the Designated Filing
    Areas in the 896-901 MHz and 935-940 MHz Bands Allotted to the
    Specialized Mobile Radio Service, *900 MHz* *Second Order on
    Reconsideration and Seventh Report and Order*, 11 FCC Rcd 2639, at
    2705-07, ¶¶ 164-65 (1995) ("*900 MHz* *Second Order on
    Reconsideration and Seventh Report and Order").*

[^10]: 47 C.F.R. § 90.814(b)(1)-(2).

[^11]: *See* Extending Wireless Telecommunications Services to Tribal
    Lands, WT Docket No. 99-266, *Second Report and Order and Second
    Further Notice of Proposed Rulemaking*, 18 FCC Rcd 4775 (2003);
    Extending Wireless Telecommunications Services to Tribal Lands, WT
    Docket No. 99-266, *Report and Order and Further Notice of Proposed
    Rule Making*, 15 FCC Rcd 11794 (2000); "Wireless Telecommunications
    Bureau Announces Enhancements to the Universal Licensing System to
    Help Winning Bidders of FCC Auctions File for Tribal Land Bidding
    Credits," *Public Notice*, 16 FCC Rcd 5355 (2001); "Wireless
    Telecommunications Bureau Releases Additional Information Regarding
    the Procedures for Obtaining a Tribal Lands Bidding Credit and List
    of Tribal Lands," *Public Notice*, 15 FCC Rcd 24838 (2000);
    "Wireless Telecommunications Bureau Announces Availability of
    Bidding Credits For Providing Wireless Services To Qualifying Tribal
    Lands: Tribal Land Bidding Credits To Be Available Beginning In
    Auction No. 36 (800 MHz Specialized Mobile Radio (SMR) Lower 80
    Channels) And In Future Auctions," *Public Notice*, 15 FCC Rcd 18351
    (2000).

[^12]: 47 C.F.R. § 1.2110(f)(3)(ii)(A)(2003).

[^13]: *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).

[^14]: Beginning December 10, 2002, electronic filing of FCC Form 602
    via ULS became mandatory. *See* "Wireless Telecommunications Bureau
    Reminds Filers of Effective Date for Mandatory Electronic Filing of
    FCC Form 602," *Public Notice*, 17 FCC Rcd 22934 (2002). For more
    information on FCC Form 602, *see also* "Wireless Telecommunications
    Bureau Announces Revised Version of FCC Form 602 is Now Available,"
    *Public Notice*, 17 FCC Rcd 16197 (2002); "Wireless
    Telecommunications Bureau Answers Frequently Asked Questions
    Concerning Reporting of Ownership Information on FCC Form 602,"
    *Public Notice*, 14 FCC Rcd 8261 (1999).