ATTACHMENT C

INSTRUCTIONS FOR COMPLETING FCC FORM 601 & 602

*In completing the FCC Form 601, the applicant is strongly encouraged to
use the format below in submitting the information, as exhibits to the
FCC Form 601, required by our rules. Following this format will help
expedite the processing of the FCC Form 601 and minimize the need for
requesting missing information. An applicant seeking a tribal land
bidding credit 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}

The applicant bears full responsibility for submission of a timely and
complete FCC Form 601 application. The applicant 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 application. The applicant is responsible for the continuing
accuracy and completeness of information furnished in a pending
application. *See* 47 C.F.R. § 1.65. **An incomplete or defective
application 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 May 16, 2003**, and fails to establish good cause
for any late-filed submission, 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).

# 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 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 D. 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:**

> **46 -- WS- 1670-1675 Mhz Band Nationwide license**

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 the market won by the applicant at the
    auction. Select the market you want to apply for in this application
    by clicking on the box to the right of the market name. If you
    intend to seek tribal lands bidding credits, see Section IV of this
    Attachment.

9.  After the market has 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.
Applicant 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, applicant should upload a file, select Attachment Type
"Ownership," and enter "**Exhibit A: Ownership**" in the File
Description field on the Attachment Screen.

Applicant 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. The 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:** Applicant 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.
Applicant is reminded, however, that a current FCC Form 602, must be
filed, or be on file, by the filing deadline for the FCC Form 601. *See*
discussion in Section V.

### [EXHIBIT B: FOREIGN OWNERSHIP]{.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. *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, an
auction applicant is required to certify in their FCC Form 175
application 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, an applicant must indicate in their FCC Form 601
application 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. Applicant is 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. Applicant 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 qualifying as small and very small
businesses and consortia of small and very small businesses under the
Commission's individual service rules. *See* 47 C.F.R. §§ 1.2110(f)(1),
(2). Section 27.906(a) of the Commission's Rules establishes the
following designated entities as eligible for small business provisions:
a very small business, a small business, a consortia of very small
businesses, and a consortia of small businesses in the 1670-1675 MHz
Band Auction (Auction No. 46). *See* 47 C.F.R. § 27.906(a); *see also*
*Service Rules* *Report and Order*, 17 FCC Rcd 9980.

**Small Businesses under Sections 1.2110(f) and 27.906(a)(2):** A small
business is an entity that, together with its affiliates and controlling
interests, has average gross revenues that are not more than **\$40
million** for the preceding three years. *See* 47 C.F.R. §§
1.2110(f)(2)(ii), 27.906(a)(2). 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)(ii), 27.906(b).

**Consortia of Small Businesses under Section 27.906(a)(3):** 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. § 27.906(a)(3). Each mutually independent small business
has to have average gross revenues that are not more than **\$40
million** for the preceding three years. *See* 47 C.F.R. §§
1.2110(b)(3)(i), 27.906(a)(3). Consortia of 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)(ii),
27.906(b).

**Very Small Businesses under Section 27.906(a)(1):** A very small
business is an entity that, together with its affiliates and controlling
interests, has average gross revenues that are not more than **\$15
million** for the preceding three years. *See* 47 C.F.R. §§
1.2110(f)(2)(i**),** 27.906(a)(1). 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)(i), 27.906(b).

**Consortia of Very Small Businesses under Sections 27.906(a)(3):** 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. § 27.906(a)(3). Each mutually
independent very small business has to have average annual gross
revenues that are not more than **\$15 million** for the preceding three
years. *See* 47 C.F.R. §§ 1.2110(b)(3)(i), 27.906(a)(3). Consortia of
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)(i), 27.906(b).

In order to demonstrate eligibility for any such designated entity
status, applicant 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, applicant should include
the applicable information:

(i) Identify the applicant's claimed eligibility status.

(ii) Calculate the Gross Revenues:

**For Small and Very Small Businesses:** For purposes of determining
whether an entity is an small or very 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 may 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 Consortia of Small and Very Small Businesses:** An applicant that
applied as a small or very small business consortia as defined in
Sections 1.2110(b)(3)(i) and 27.906(a)(3) of the Commission's Rules, 47
C.F.R. §§ 1.2110(b)(3)(i), 27.906(a)(3), must compute and indicate gross
revenues as outlined above for *each* small or very small business in
the consortium. That is, each business entity comprising the small or
very small business consortium must qualify and show gross revenues
separately. The average gross revenues of all of the small or very small
businesses in the consortium shall not be aggregated. *See* 47 C.F.R. §§
1.2110(b)(3)(i), 27.906(a)(3).

(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}

Applicant 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).

Applicant 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 or very small business or a
consortium of small or very 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). The applicant 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, applicant may submit either the
agreements themselves or a detailed summary of those agreements.
Applicant 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. An applicant
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}

Applicant 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. An applicant 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. (An applicant 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: Applicant 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.
Applicant 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 APPLICANT SEEKING TRIBAL LANDS BIDDING CREDITS {#iv.-instructions-for-applicant-seeking-tribal-lands-bidding-credits .unnumbered}

**Filing the Long-Form Application:** A winning bidder interested in
receiving a tribal lands bidding credit must indicate on the long-form
application (FCC Form 601, Schedule B) 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, 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.[^5]

An applicant indicating that they intend to serve a qualifying tribal
land 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, the applicant must amend their
application to provide the requisite tribal information and provide the
applicant certification.

An applicant that intends to apply for tribal lands bidding credits must
do so by the filing deadline for the long-form applications. An
applicant will not be permitted to amend their application after the
filing deadline to indicate that they intend to seek a tribal lands
bidding credit. However, it is possible for an applicant to amend an
application to indicate that they no longer intend to seek tribal lands
bidding credits. An applicant that elects 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
application 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 market
    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 market. Click **Continue.**

-   ULS will present a drop-down list consisting of the market 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 and the square kilometers of each tribal land. 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 automatically,
according to the size (in square kilometers) of the tribal territory,
and in compliance with the bidding credit limit. *See* 47 C.F.R. §
1.2110(f)(3)(iii), (iv).

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 ("Acoma
Pueblo")).

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.

### 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, 1.2107(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.[^6]

**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. 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, which
corresponds to questions 1-4 and 6 on the Main Form of FCC Form 602.
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 appropriate screens within 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]: An applicant 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 an application in
    which a tribal lands bidding credit is not 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).

[^5]: *See* Extending Wireless Telecommunications Services to Tribal
    Lands, WT Docket No. 99-266, *Second Report and Order and Second
    Further Notice of Proposed Rulemaking*, FCC 03-51 (rel. March 14,
    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).

[^6]: Beginning December 10, 2002, electronic filing of FCC Form 602 via
    the 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).