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Commission Document Attachment

DA-11-1269A6

ATTACHMENT E

INSTRUCTIONS FOR COMPLETING FCC FORM 601 AND FCC FORM 602

This attachment contains instructions for filing FCC Form 601, Application for Wireless
Telecommunications Bureau Radio Service Authorization, including Schedule B for Geographically
Licensed Services (“FCC Form 601”), and the FCC Form 602, FCC Ownership Disclosure Information
for the Wireless Telecommunications Services (“FCC Form 602”).
The Commission’s rules require that within ten business days after the release of this Public Notice, in
this case by 6:00 p.m. Eastern Time (ET) on August 11, 2011, each winning bidder must electronically
file its FCC Forms 601 and 602.
Most of the information provided on a winning bidder’s short-form application (“FCC Form 175”) will be
pre-filled to its long-form application (FCC Form 601) in the on-line filing process, such as:
·
designated entity information, including revenue and/or bidding credit percentage information;
and
·
agreement information submitted in the FCC Form 175, including the name of the parties to the
agreement(s).
If an applicant has a FCC Form 602 in the Commission’s Universal Licensing System (“ULS”) prior to
the FCC Form 601 filing deadline, the applicant is responsible for checking to ensure that the information
on the FCC Form 602 on file with the Commission is complete and accurate. If an applicant needs to file
a new or updated FCC Form 602 to reflect ownership changes submitted in the bidder’s FCC Form 175 or
to make additional updates, ULS can pre-fill the applicable ownership information from the FCC Form
175 into the FCC Form 602. Instructions for filing the FCC Form 602 are provided in Section V of this
attachment.
An applicant will be able to update any information that pre-fills to its FCC Form 601 and FCC Form 602
and is responsible for checking to ensure that all information in its FCC Form 601 and FCC Form 602,
including information pre-filled from its FCC Form 175 submission, is complete and accurate prior to
submission.

I.

FCC FORM 601 GENERAL REQUIREMENTS

Each applicant is strongly encouraged to use the format below to submit FCC Form 601 and exhibits to
FCC Form 601 as required by the Commission’s rules. Following this format will help expedite
processing of FCC Form 601 and minimize follow-up requests for missing or clarifying information.

Each applicant bears full responsibility for the timely and complete submission of its long-form
application (FCC Form 601). Each applicant should read the instructions on the FCC Form 601 carefully
and should consult the Commission’s rules to ensure that, in addition to the materials described below, all
the information that is required under the rules is included with its long-form application. Each applicant
is also responsible for the continuing accuracy and completeness of information furnished in its pending
application.1 Incomplete or defective applications may be returned to the applicant.2


1 See 47 C.F.R. § 1.65.
2 See 47 C.F.R. § 1.934(a), (d), (f); see also 47 C.F.R. § 1.933(b).
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A winning bidder must file its FCC Form 601 electronically prior to 6:00 p.m. Eastern Time (ET) on
August 11, 2011
. An applicant that fails to submit a long-form application by this deadline 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.3

Number of Forms To Be Filed.

An applicant 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 names(s). However, an
applicant seeking tribal lands bidding credits in one or more markets, but not all markets, is encouraged to
submit two applications in order to separate those markets in which the applicant intends to apply for a
tribal lands bidding credit from those markets in which the applicant is not seeking tribal lands bidding
credit.
The CSEA/Part 1 Report and Order modified the procedures by which a winning bidder that is a
consortium applies for a license.4 In particular, (a) each member or group of members of a winning
consortium seeking separate licenses will be required to file a separate FCC Form 601 for its/their
respective license(s) and, in the case of a license to be partitioned or disaggregated, the member or group
filing the applicable FCC Form 601 shall provide the parties’ partitioning or disaggregation agreement
with the FCC Form 601; (b) two or more consortium members seeking to be licensed together shall first
form a legal business entity; and (c) any such entity must meet the applicable eligibility requirements in
the Commission’s rules for small business status.5 Each consortium member must use the consortium’s
FCC Registration Number (“FRN”) when filing its separate FCC Form 601.6 Within 10 business days
after the grant of an FCC Form 601, each licensee must substitute its individual FRN for that of the
consortium.7

II.

FILING FCC FORM 601

Basic Guidelines for Filing FCC Form 601


Some of the data entry fields on the FCC Form 601 will be pre-filled with information from the
FCC Form 175.

The application consists of data entry fields as well as “yes or no” questions. You must respond to
all of the questions on the application. If you respond “Yes” to a question, you may be required
to file an attachment explaining the specific circumstances (see form for specific instructions).

An “Attachments” link is provided for uploading attachment files. You are responsible for filing
all required attachments.


3 See 47 C.F.R. §§ 1.2104(g), 1.2107(c).
4 Implementation of the Commercial Spectrum Enhancement Act and Modernization of the Commission's
Competitive Bidding Rules and Procedures, WT Docket No. 05-211, Report and Order, 21 FCC Rcd 891, 911-12
¶¶ 51-52 (2006) (“CSEA Report and Order”).
5 47 C.F.R. § 1.2107(g).
6 See 47 C.F.R. § 1.2107(g)(1)(i).
7 See 47 C.F.R. § 1.2107(g)(1)(ii).
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Applications must be completed within the specific filing window of the auction, in this case
prior to 6:00 p.m. Eastern Time (ET) on August 11, 2011.

Prior to submitting an application, you may click the “Reference Copy” link (where available) to
create a preview of your completed application.

Once a FCC Form 601 has been submitted, if you re-open the application, you must re-submit the
application (by clicking the

Submit Application

button again), even if no changes are made to
the application. If you do not click on the

Submit Application

button ULS will treat the
application as not yet submitted.

Step-by-Step Instructions for Filing FCC Form 601

1. Access ULS through the Internet at http://wireless.fcc.gov/uls. Select the

Log In

button in the
Online Filing section from this page.

Note

: Go to http://esupport.fcc.gov/index.htm?job=getting_connected for information on
compatible operating systems and browser software.
2. On the ULS License Manager Login page, enter the applicant’s FRN and password. Click

Submit

. ULS will verify that you have entered a valid FRN or otherwise prompt you to obtain an
FRN.

Note

: You must login to ULS with the same FRN used to file your FCC Form 175.
For additional information on the FRN, see “All Universal Licensing System and Antenna
Structure Registration Applicants Must Use Their FCC Registration Number(s), Effective
December 3, 2001,” Public Notice, 16 FCC Rcd 18793 (2001), available at
http://wireless.fcc.gov/uls/releases/da012452.txt" title="http://wireless.fcc.gov/uls/releases/da012452.txt">http://wireless.fcc.gov/uls/releases/da012452.txt. For assistance, contact the FCC Support Center
at (877) 480-3201, option four; TTY: (202) 414-1255. To provide quality service and ensure
security, all telephone calls are recorded.
3. After entering the FRN and password correctly, the “My Applications” page or the “My
Licenses” page displays the applicant’s existing applications or licenses (if any) and related
information. To apply for a new license, click the “Apply for a New License” link in the left-
hand navigation menu.
4. On the Select Service page, choose the Auction Winner dropdown menu. Then select the
following auction ID:
92 – WY – 700 MHz Band (Blocks A and B)
Click

Continue.

5. Supply the information requested by FCC Form 601 and the Commission’s rules. Complete the
questions on the pages as they appear, following the onscreen prompts and instructions. Use the
buttons at the bottom of each page to continue to the next page or go back to the previous page.
Provide attachments as instructed by clicking the “Attachments” link at the top of the page.
Attachment requirements are described in Section III of this document. Be sure to use the
standard attachment types and file descriptions set forth herein.
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6. If you plan to file a request for a waiver or exception to the Commission’s rules, select “Yes” for
the appropriate question on the Application Information page and enter the number of rule
waivers being requested. Then upload an exhibit that includes citations to the specific rule
sections and the circumstances for justifying the waiver request(s). Refer to the guidelines below
for Exhibit F: Waiver Requests.
7. On the Markets page, the system pre-fills the Markets Summary table with data for the license(s)
the applicant won in the selected auction with the same radio service code. The “Include in
Application” column contains a checkbox for each license won. Initially, all checkboxes are
selected indicating that you want to include all the licenses won in this application. To unselect a
license, clear its checkbox and click

Save

. The checkbox lets you apply for the winning licenses
in batches, rather than all in one application. This is important if licenses were won in multiple
radio services and/or you intend to seek a tribal lands bidding credit in some but not all markets.
Click

Continue

.
8. The next page must be completed by applicants seeking tribal lands bidding credits. If you are
applying for markets in which you intend to seek tribal lands bidding credits, see Section IV of
this attachment.
9. Agreement information that was provided on an applicant’s FCC Form 175 will be pre-filled into
its FCC Form 601. Applicants should carefully review this information to confirm that it is
complete and accurate. An applicant can edit any information that was pre-filled, delete existing
agreements, and/or add additional agreements, if needed. In addition, if the applicant has entered
into, intends to enter into, or is in the process of negotiating any agreements that could affect its
designated entity status, you must answer the appropriate question “Yes” on the Agreement
Information page, and list the agreement name, agreement type, and parties to the agreement.
Further, each applicant must summarize its agreements, and provide a copy of each such
agreement as part of Exhibit D. Refer to the guidelines below for Exhibit D: Agreements &
Other Instruments.
10. For applicants seeking a designated entity bidding credit, revenue information for the Applicant,
Disclosable Interest Holder(s), and Affiliate(s) will be pre-filled from its FCC Form 175 into the
FCC Form 601. Each applicant is responsible for ensuring that the information is complete and
accurate. Applicants can edit any revenue information that was pre-filled. If there have been
changes to the Applicant, Disclosable Interest Holder(s) and Affiliate(s) revenue information or
additional information needs to be added, answer the appropriate question “Yes” on the Revenue
and Asset Information for Applicant page and attach an exhibit with the additional information
and a summarization of the revenue changes from the figures submitted with the FCC Form 175.
Refer to the guidelines below for Exhibit C: Designated Entities. The “Yes” answer will enable
the revenue data fields and allow edits or additions to the revenue information for the Applicant.
Continue to the Revenue and Asset Information for Disclosable Interest Holder(s) page and the
Revenue and Asset Information for Affiliate(s) page to edit any information pre-filled from its
FCC Form 175 or delete and add additional entities and their revenue information.

Note:

ULS requires a valid FRN for each of the Disclosable Interest Holders and Affiliates
added, or pre-filled from the FCC Form 175, to the FCC Form 601 filing.
11. Information required by section 1.2110(j) of the Commission’s rules regarding Attributable
Material Relationships must be included in Exhibit C. Refer to the guidelines below for
Exhibit C: Designated Entities.
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12. Continue completing the questions on the pages as they appear, following the onscreen prompts
and instructions until you reach the Summary page. Use the view and edit capabilities to review
the application to confirm that it is complete and accurate. Correct information as necessary.
Once you are confident that the application is ready for certification and submission, click on the

Continue to Certify

button.
13. The Certification page provides General Certification Statements. By “signing” this form, an
applicant certifies that the statements listed in this section are true, complete, correct, and made in
good faith. To submit the application to the FCC, click the

Submit Application

button.
14. After the application has been submitted, a Confirmation page displays a file number. Applicants
should print a copy of the Confirmation page for their records by choosing the Print option from
the File menu of the Web browser. Applicants can also print a copy of their complete application
by selecting the Reference Copy link. Use the

Log Out

link at the top left of the page to exit
ULS online filing.

Updating an FCC Form 601

Changes before FCC Form 601 Deadline.

An applicant may access its application to make changes
until the

August 11, 2011

, filing deadline using the following steps:
·
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, log in 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. Click
the link next to your saved application. On the next page, “Application At A Glance,” choose the

Continue

link under the “Work on This Application” menu. Saved applications for an
auctionable service must be completed and submitted within the 10-day filing window. Any
application that is not submitted by the deadline will not be reviewed by the Commission.
·
Once you click the

Submit Application

button, ULS will assign a file number to the application.
To make changes to a submitted application, log in to ULS License Manager. 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 Application

button
prior to the close of the 10-day filing window.

Important:

If you open an application after you have clicked the

Submit Application

button,
even if you make no changes to the application, you must click the

Submit Application

button
again. If you do not, ULS will treat the application as not yet submitted.

Changes after FCC Form 601 Deadline.

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 the filing window has closed constitute an
amendment(s) to the application in ULS. Commission rules contain limitations on the filing of
major amendments after the

August 11, 2011

, deadline that may affect the applicant’s legal
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rights.8 Acceptance of an amendment by ULS does not indicate that the amendment is allowed
under the Commission’s rules. Applicants are advised to consult Commission’s rules in this
regard prior to filing an amendment. Once the Commission has granted a request for a license,
you may request a modification.

Technical Support with Filing FCC Form 601

For technical assistance with filing the FCC Form 601, contact the ULS Technical Support Hotline at
(877) 480-3201, option 2, (717) 338-2888, or (717) 338-2824 (TTY). The ULS Technical Support
Hotline is available Monday through Friday from 8:00 a.m. to 6:00 p.m. ET. There are no weekend
hours, and the hotline is closed on all Federal holidays. To provide quality service and ensure security, all
telephone calls are recorded.

III.

ORGANIZATION OF APPLICATION EXHIBITS

FCC Form 601 and Rule-Related Exhibits.

Any exhibits to be attached to an application in response to
a question on the Main Form or Schedule B of FCC Form 601 or as specified in the Commission’s rules
should be identified as specified in the instructions to the FCC Form 601. Applicants should select the
Attachments link to connect to the Attachments page. Select the appropriate attachment type from the
pull-down menu, enter the correct attachment description (listed below) in the text box provided, browse
for your file, and click on the

Add Attachment

button. The electronic filing software will accept many
different types of computer files. For a full list of acceptable file formats, see
http://esupport.fcc.gov/attachments.htm#types" title="http://esupport.fcc.gov/attachments.htm#types">http://esupport.fcc.gov/attachments.htm#types. Do not add password protection to attached files.
Provide exhibit attachments in ULS as applicable. Any exhibits to be attached to an application as a
result of Commission rule requirements should be identified as follows:
Title
Exhibit A: Ownership
Exhibit B: Foreign Ownership
Exhibit C: Designated Entities
Exhibit D: Agreements & Other Instruments
Exhibit E: Confidentiality Requests
Exhibit F: Waiver Requests
Exhibit G: Miscellaneous Information
Exhibit X: Tribal Lands Bidding Credit Waiver Requests9
Exhibit Y: Tribal Government Certification10
Exhibit Z: Tribal Lands Bidding Credit Applicant Certification11


8 47 C.F.R. §§ 1.927, 1.2107(c).
9 An applicant applying for a tribal lands bidding credit, for any markets for which it was the winning bidder, must
attach all tribal government certifications, applicant certifications, and waiver exhibits, as applicable, within 180
days of filing its long-form application. See discussion in Section IV. An applicant does not need to include these
attachments in an application in which tribal lands bidding credits are not being sought. See Extending Wireless
Telecommunications Services to Tribal Lands, 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”).
10 Id.
11 Id.
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As specified in the instructions to the FCC Form 601, each page of each exhibit must be identified with
the letter of the exhibit, the number of the page of the exhibit, and the total number of pages of the
exhibit. For example, “Exhibit A, Page 1 of 10”.

EXHIBIT A: OWNERSHIP INFORMATION

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. This requirement may be fulfilled by providing
an attachment referencing the file number, date, and name of filer of the appropriate FCC Form 602. For
information regarding the filing of the FCC Form 602, see Section V of this attachment. To provide this
information, applicants should upload the file, select Attachment Type “Ownership,” and enter “

Exhibit
A: Ownership

” in the Description field on the Attachments page.
Although ownership information can be provided by referencing the FCC Form 602, applicants should
confirm that their FCC Form 602 accurately reflects all information discussed below and as required
under section 1.2112 of the Commission’s rules.

Direct Ownership.

An 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)(2).
·
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)(4).
·
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 either
the percentage of equity paid in or the percentage of distribution of profits and losses). See 47
C.F.R. § 1.2112(a)(3). In addition, if the applicant is a limited partnership, provide the name,
address, and citizenship of each general partner, and the share or interest participation in the
partnership. See 47 C.F.R. § 1.2112(a)(1).
·
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)(5).

Indirect Ownership.

Applicants must identify all parties holding a 10 percent or greater indirect
ownership interest in the applicant, as determined by successive multiplication of the ownership
percentages for each link in the vertical ownership chain. 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)(6).

Other Disclosable Interests and Entities.

Applicants must list any Commission-licensed or regulated
entity or applicant for a Commission license or authorization 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 ownership
interest, 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)(7).
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Complex Ownership Situations.

To facilitate the long-form review process, applicants whose
ownership structures involve multiple layers are encouraged to provide a narrative and organizational
chart detailing the relationships of the various entities.

EXHIBIT B: FOREIGN OWNERSHIP

If the applicant has responded “Yes” to Question 48a and “Yes” to Question 48b on the FCC Form 601, it
must attach to the application an exhibit that identifies the citation(s) of the applicable declaratory
ruling(s) by DA/FCC number or the FCC Record citation, if available, release date, and any other
identifying information. If the applicant has responded “Yes” to Question 48a and “No” to Question 48b
on the FCC Form 601, it must attach to the application a date-stamped copy of a request for a foreign
ownership ruling pursuant to Section 310(b)(4) of the Communications Act, 47 U.S.C. § 310(b)(4). It is
not necessary to file a request for a foreign ownership ruling if the applicant attaches to the application an
exhibit showing that the requested license is exempt from the provisions of Section 310(b)(4). To
provide the information required, the applicant should select Attachment Type “Ownership” and enter

Exhibit B: Foreign Ownership

” in the Description field on the Attachments page. 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 (direct
and indirect) in the applicant.
·
Item (2) Country of Origin and Address: List each foreign owner’s country of citizenship 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,12 the
Commission stated that there is a presumption that indirect foreign ownership of common carrier
radio licensees by entities whose home markets are World Trade Organization (“WTO”)
members does not raise competitive concerns. If more than twenty-five percent of the ownership
of an entity that controls a common carrier radio licensee is attributable to parties whose home
markets are non-WTO member countries, the Commission will evaluate whether those markets
offer effective competitive opportunities to U.S. investors.13
·
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.14 In keeping with this pre-approval process, an auction applicant is required to
certify in its short form application (FCC Form 175) either that it is in compliance with the
foreign ownership requirements of Section 310 or that it has filed a request for relief from those
requirements that is pending with the Commission.15 Similarly, where foreign ownership is at


12 Rules and Policies on Foreign Participation in the U.S. Telecommunications Market, Market Entry and Regulation
of Foreign-Affiliated Entities, Report and Order and Order on Reconsideration, 12 FCC Rcd 23891 (1997)
(“Foreign Participation Order”), Order on Reconsideration, 15 FCC Rcd 18158 (2000).
13 Foreign Participation Order, 12 FCC Rcd at 23891, 23935-42, 23946, ¶¶ 97-118, 131 (1997).
14 Id.
15 47 C.F.R. § 1.2105(a)(2)(v), (vi).
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issue, an applicant must indicate in its long form application (FCC Form 601) that it either has
received a declaratory ruling that grants it permission to exceed the statutory benchmark of
Section 310(b)(4) or that it has a request currently pending at the Commission. An applicant’s
petition for a 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 Policy Division of the International Bureau, and
must be filed in paper form. There is no fee associated with such a filing. For additional guidance on
how the Commission analyzes foreign ownership issues, see “Foreign Ownership Guidelines for FCC
Common Carrier and Aeronautical Radio Licenses,” Public Notice, 19 FCC Rcd 22612 (2004), erratum,
21 FCC Rcd 6484 (2006). Inquiries regarding compliance with Section 310 of the Communications Act
and the filing and processing of petitions for declaratory ruling should be directed to David Krech,
Associate Division Chief, Policy Division, International Bureau, at (202) 418-1460 or by e-mail to
david.krech@fcc.gov.

EXHIBIT C: DESIGNATED ENTITIES

As noted previously, revenue information for the Applicant, Disclosable Interest Holder(s), and
Affiliate(s) will be pre-filled from the FCC Form 175 into the FCC Form 601. Applicants, however, must
review the pre-filled designated entity information and confirm its accuracy by applying the guidelines
provided below. If necessary, an applicant should update the pre-filled revenue information in its FCC
Form 601. Any other designated entity information must be provided by uploading a file, selecting
Attachment Type “Ownership” and entering “

Exhibit C: Designated Entities

” in the Description field
on the Attachments page. For example, applicants can use Exhibit C to provide information for entities
with which they have an attributable material relationship as required by the Commission’s rules. In
addition, an applicant can use Exhibit C to explain any updates to the pre-filled information from its short
form application (FCC Form 175), why certain entities should not be attributed to the applicant, and why
certain relationships should not be considered attributable material relationships.
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. For licenses available in the 700 MHz Band
Auction (Auction 92,) section 1.2110(f)(2), of the Commission’s rules specify that small businesses, very
small businesses, consortia of small businesses, and consortia of very small businesses are eligible for
bidding credits in the following manner:
·

Very Small businesses under section 1.2110(f)(2)(i):

A very small business that, together with
its affiliates and controlling interests, has had average annual gross revenues that do not exceed
$15 million for the preceding three years, is eligible for a bidding credit of twenty-five percent
(25%)
to lower the cost of its winning bids.16
·

Small businesses under section 1.2110(f)(2)(ii):

A small business that, together with its
affiliates and controlling interests, has had average gross revenues that exceed $15 million but do
not exceed $40 million for the preceding three years, is eligible for a bidding credit of fifteen
percent (15%)
to lower the cost of its winning bids.17


16 See 47 C.F.R. §§ 1.2110(f)(2)(i).
17 See 47 C.F.R. §§ 1.2110(f)(2)(ii).
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Gross Revenues Test for Small Businesses and Very Small Businesses.

For purposes of determining
whether an applicant is eligible for status as a small business or a very small business, the gross revenues
of the applicant, its affiliates, its controlling interests, the affiliates of its controlling interests, and the
entities with which it has an attributable material relationship18 shall be considered on a cumulative basis
and aggregated.19 In accordance with section 1.2110(o) of the Commission’s rules, the applicant must
provide the gross revenues for the most recently completed three calendar or fiscal years preceding the
filing of the applicant’s short-form application (FCC Form 175), separately and in the aggregate for the
applicant, each of its affiliates, each of its controlling interests, each of the affiliates of its controlling
interests, and each of the entities with which it has an attributable material relationship.20 Gross revenues
for purposes of determining eligibility are defined in section 1.2110(o) of the Commission’s rules.21

For a Consortium of Small Businesses and a Consortium of Very Small Businesses.

Applicants that
applied as a consortium of small businesses or a consortium of very small businesses, as described in
section 1.2110(b)(3)(i) of the Commission’s rules, must compute and indicate gross revenues as outlined
above for each small business or very small business in the consortium. That is, each business entity
comprising the small business or very small business consortium must qualify and show gross revenues
separately. The average gross revenues of the small businesses or very small businesses in the
consortium shall not be aggregated.22 As stated above, each consortium member, which must be a
separate, distinct and independent legal entity, must file a separate FCC Form 601 and FCC Form 602.23
When filing the FCC Form 601, each entity comprising a consortium should report the gross revenues of
only that particular consortium member, along with its affiliates, its controlling interests, the affiliates of
its controlling interests, and the entities with which it has an attributable material relationship.

For a Rural Telephone Cooperative.

Section 1.2110(c)(2)(ii)(F) states that officers and directors of an
applicant shall be considered to have a controlling interest.24 An applicant that is a rural telephone
cooperative is exempt for the purpose of attribution from section 1.2110(c)(2)(ii)(F) of the Commission’s
rules, if it complies with section 1.2110(b)(3)(iii) of the Commission’s rules.25 In the absence of such an
exemption, gross revenues of all controlling interests, including officers and directors, must be attributed
to the applicant for purposes of claiming eligibility for designated entity benefits.26
In this attachment, an applicant seeking the rural telephone cooperative exemption needs to demonstrate
how it complies with section 1.2110(b)(3)(iii) of the Commission’s rules. An applicant will be exempt
from attributing the officers and directors of the applicant and the controlling interests, if the applicant or
a controlling interest is:
·
Organized as a cooperative pursuant to state law;27


18 47 C.F.R. §§ 1.2110(b)(1)(i), 1.2110(b)(3)(iv)(B). See also Part 1 Fifth Report and Order, 15 FCC Rcd at 15323-
27 ¶¶ 59-67.
19 See 47 C.F.R. §§ 1.2110(b)(1), 1.2112(b)(2).
20 47 C.F.R. § 1.2110(o), 1.2112(b)(2)(v). See also 47 C.F.R. § 1.2110(b)(1)(i).
21 47 C.F.R. § 1.2110(o).
22 See 47 C.F.R. § 1.2110(b)(3)(i).
23 See 47 C.F.R. § 1.2107(g)(1)(i); see also CSEA Report and Order, 21 FCC Rcd at 911-12 ¶¶ 51-52.
24 47 C.F.R. § 1.2110(c)(2)(ii)(F).
25 47 C.F.R. § 1.2110(b)(3)(iii), 1.2110(c)(2)(ii)(F).
26 47 C.F.R. § 1.2110(b)(1)(i), (c)(2)(ii)(F).
27 If this condition cannot be met because the relevant jurisdiction does not have a statute that specifies requirements
E-10

·
A rural telephone company as defined by the Communications Act; and
·
Eligible for tax-exempt status under the Internal Revenue Code or adheres to the cooperative
principles articulated in Puget Sound Plywood, Inc. v. Commission of Internal Revenue, 44 T.C.
305 (1965).28

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.29

Material Relationships.

In determining eligibility for bidding credits, the Commission requires
consideration of certain agreements or relationships for the lease or resale of its spectrum capacity.30
Such relationships are referred to as “attributable material relationships.”31 An applicant has an
attributable material relationship when the applicant has one or more agreements with any individual
entity, including entities and individuals attributable to that entity, for the lease (under either spectrum
manager or de facto transfer leasing arrangements) or resale (including under a wholesale arrangement)
of, on a cumulative basis, more than 25 percent of the spectrum capacity of any individual license that is
held by the applicant or licensee.32 The attributable material relationship will cause the gross revenues of
that entity and its attributable interest holders to be attributed to the applicant or licensee for the purposes
of determining the applicant’s or licensee’s (i) eligibility for designated entity benefits and (ii) liability for
“unjust enrichment”33 on a license-by-license basis.34





for organization as a cooperative, the applicant must show it is validly organized and its articles of incorporation,
by-laws and/or other documents provide that it operates pursuant to cooperative principles. 47 C.F.R.
§ 1.2110(b)(3)(iii)(A)(2).
28 47 C.F.R. § 1.2110(b)(3)(iii)(A); see also Amendment of Part 1 of the Commission’s Rules – Competitive
Bidding Procedures, WT Docket No. 97-82, Second Order on Reconsideration of the Third Report and Order and
Order on Reconsideration of the Fifth Report and Order
, 18 FCC Rcd 10180, 10190-95 ¶¶ 15-20 (2003);
Amendment of Part 1 of the Commission’s Rules – Competitive Bidding Procedures, WT Docket No. 97-82, Second
Order on Reconsideration of the Fifth Report and Order
, 20 FCC Rcd 1942 (2005).
29 See 47 C.F.R. § 1.2110(b)(1)(i), (c)(2), (c)(5).
30 47 C.F.R. § 1.2110(b)(3)(iv)(A); Implementation of the Commercial Spectrum Enhancement Act and
Modernization of the Commission’s Competitive Bidding Rules and Procedures, WT Docket No. 05-211, Second
Report and Order and Second Further Notice of Proposed Rulemaking
, 21 FCC Rcd 4753, 4759-66 ¶¶ 15-30
(2006) (“CSEA Second Report and Order”), modified by erratum, 21 FCC Rcd 6622 (2006), clarified by Order on
Reconsideration
, 21 FCC Rcd 6703, 6710-15 ¶¶ 15-30 (2006) (“CSEA Order on Reconsideration”), petitions for
reconsideration pending, affirmed in part by Council Tree Communications, Inc. v. FCC, 619 F.3d 235 (3d Cir.
2110) (affirming attributable material relationship rule and vacating impermissible material relationship rule); see
also Auction 92 Procedures Public Notice
, 26 FCC Rcd at 3358 ¶¶ 72-73 (summary of material relationship rule).
31 See 47 C.F.R. § 1.2110(b)(3)(iv)(B).
32 See 47 C.F.R. § 1.2110(b)(3)(iv)(B); CSEA Second Report and Order, 21 FCC Rcd at 4759-66 ¶¶ 15-30; see also
CSEA Order on Reconsideration
, 21 FCC Rcd at 6703.
33 The repayment obligations of designated entities are governed by a five-year unjust enrichment schedule. See
Council Tree Communications, Inc. v. FCC
, 619 F.3d at 258 (vacating ten-year unjust enrichment schedule).
34 CSEA/Part 1 Second Report and Order, 21 FCC Rcd at 4759-60 ¶ 15, 4763-65 ¶¶ 25-30, 4765-68 ¶¶ 31-41; see
also CSEA/Part 1 Second Report and Order’s First Reconsideration Order
, 21 FCC Rcd at 6712-13 ¶¶ 24-26; and
47 C.F.R. §§ 1.2110(b)(3)(iv)(B), 1.2111(d).
E-11

Minority-Owned and Women-Owned Business and Rural Telephone Companies.

The Commission
is 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.35 This
information is collected in ULS and does not need to be included in an attachment.

EXHIBIT D: AGREEMENTS & OTHER INSTRUMENTS

Bidding Agreements.

Each 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.36 A list of the agreements disclosed on an applicant’s short-form application (FCC Form 175)
will be pre-filled on its FCC Form 601, but should be updated if necessary. Any other additional
information should be provided by uploading a file, selecting Attachment Type “Other” and entering
“Exhibit D: Agreements & Other Instruments” in the Description field on the Attachments page.

Other Agreements.

To comply with the requirements of sections 1.2110(j) and 1.2112(b)(2)(iii)-(iv),
(vi)-(vii) of the Commission’s rules, all agreements must be listed on the FCC Form 601 and each
applicant must provide a summary of their agreements.37 Each applicant must list, summarize, and
provide the dates on which it entered into all agreements that support the applicant’s designated entity
eligibility, including the establishment of de facto and de jure control or the presence or absence of
impermissible and attributable material relationships.38 Each applicant must also list and summarize any
agreements that it entered into for the lease or resale/wholesale of any of the spectrum capacity of the
licenses and, if seeking the rural telephone cooperative exemption, all documentation to establish
eligibility pursuant to section 1.2110(b)(3)(iii)(A) of the Commission’s rules.39 Further, an applicant
must list and summarize any investor protection agreements, including rights of first refusal,
supermajority clauses, options, veto rights, rights to hire and fire employees, and to appoint members to
boards of directors or management committees.40 Pursuant to sections 1.2110(j) and 1.2112(b)(2)(i) of
the Commission’s rules, such agreements and instruments include, but are not limited to:
·
Articles of incorporation and bylaws;
·
Shareholder agreements;
·
Voting or other trust agreements;
·
Partnership or LLC agreements;
·
Management agreements;
·
Joint marketing agreements;
·
Franchise agreements;
·
Lease and resale/wholesale agreements; and
·
Any other relevant agreements (including letters of intent), oral or written.
Applicants must upload the information in a file, select Attachment Type “Other” and enter “

Exhibit D:
Agreements & Other Instruments

” in the Description field on the Attachments page. Copies of


35 See 47 C.F.R. § 1.2110(c)(3), (4).
36 See 47 C.F.R. § 1.2107(d).
37 47 C.F.R. §§ 1.2110(j), 1.2112(b)(2)(iii)-(iv), (vi)-(vii).
38 See 47 C.F.R. §§ 1.2110(j), 1.2112(b)(2)(i).
39 See 47 C.F.R. §§ 1.2110(b)(3)(iii)(A), 1.2112(b)(2)(vi)-(vii).
40 See 47 C.F.R. § 1.2112(b)(2)(ii).
E-12

agreements required by section 1.2110(j) of the Commission’s rules must be included in Exhibit D.41
Any applicant with a significant number of reportable agreements or significantly lengthy agreements can
elect to submit a separate Exhibit D attachment for the summary of agreements and for each agreement
itself. For those applicants with significant upload requirements, submitting separate agreements would
ease the electronic filing process on ULS. For example, an applicant can submit one attachment for the
list and summary of agreements and upload it with the caption “Exhibit D: List and Summary of
Agreements” and then submit an attachment for each agreement, e.g., “Exhibit D: LLC Agreement,”
“Exhibit D: Lease Agreement.” Applicants may elect to seek confidentiality for the agreements pursuant
to section 0.459 of the Commission’s rules.42

EXHIBIT E: CONFIDENTIALITY REQUESTS

All applicants should be aware that all information required by the Commission’s rules is necessary to
determine each applicant’s qualifications to be a Commission licensee and, as such, will be available for
public inspection. Information that is commercial, financial, privileged, or that contains a trade secret
may be redacted, and confidentiality may be sought pursuant to section 0.459 of the Commission’s
rules.43 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.
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, the applicant should upload this statement as a file, select
Attachment Type “Other” and enter “

Exhibit E: Confidentiality Requests

” in the Description field on
the Attachments page.

Note: An applicant must select Attachment Type “Confidentiality” for the particular exhibit for
which it is requesting confidential treatment. Otherwise, the attachment will be available for public
inspection.

EXHIBIT F: WAIVER REQUESTS

Note: This part does not apply to tribal lands waiver requests. For tribal lands bidding credit
waiver requests, see

Section IV, “Exhibit X: Tribal Lands Bidding Credit Waiver Requests.”

In the event an applicant wishes to file a request for waiver of a Commission rule,44 the request should be
filed with the corresponding application. The applicant should upload its waiver request as a file, select
Attachment Type “Waiver” and enter “

Exhibit F: Waiver Requests

” in the Description field on the
Attachments page.


41 47 C.F.R. § 1.2110(j) (“[D]esignated entities must file with their long-form applications a copy of each such
agreement.”).
42 See 47 C.F.R. § 0.459; see also discussion of confidentiality requests under “Exhibit E: Confidentiality Requests”
below.
43 See 47 C.F.R. § 0.459.
44 See 47 C.F.R. § 1.925.
E-13

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

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 Description field on the
Attachments page.

IV.

INSTRUCTIONS FOR APPLICANTS SEEKING TRIBAL LANDS BIDDING CREDITS

Filing the FCC Form 601 When Seeking Tribal Lands Bidding Credits

If applicant is interested in receiving a tribal lands bidding credit, it must apply to do so when initially
filing the FCC Form 601 in ULS (see Section II, “Filing FCC Form 601”).
1. Select “Yes” on the page asking if you intend to seek a Tribal Lands Bidding Credits.
2. On the Seek Tribal Lands Bidding Credit page, indicate each channel block within each market
for which credit is sought by selecting the appropriate box.45
All winning bidders, including those winning bidders that apply for a tribal lands bidding credit, must pay
the full amount of the Final Balance Due shown in Attachment B by the 6:00 p.m. ET

August 25, 2011

,
deadline (or no later than 6:00 p.m. ET on

September 9, 2011

, along with the five percent late fee
required by Section 1.2109(a) of the Commission’s rules).46 If an applicant’s request for a tribal lands
bidding credit is approved, the Commission will contact the applicant to discuss how the tribal lands
bidding credit will be applied.
For a list of the tribal lands in each geographic area, go to the Auction Website at
http://wireless.fcc.gov/auctions and click on “Tribal Lands Credits,” then click on “Cross References.”
Additional information regarding tribal lands bidding credits is available at the above-referenced website.
For additional information on the tribal lands bidding credit, applicants should review the Commission’s
rulemaking proceeding regarding tribal lands bidding credits and related public notices.47
An applicant that indicates that it intends to serve a qualifying tribal land in any market(s) listed on its
application will have an additional 180 days after the FCC Form 601 deadline within which to secure the


45 See 47 C.F.R. §§ 1.2107(e), 1.2110(f)(3).
46 47 C.F.R. § 1.2109(a).
47 Extending Wireless Telecommunications Services to Tribal Lands, Third Report and Order, 19 FCC Rcd 17652
(2004) (“Tribal Lands Third Report and Order”). See also Tribal Lands Second Report and Order; Extending
Wireless Telecommunications Services to Tribal Lands, 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) (“Tribal Lands Public Notice”); “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).
E-14

necessary certifications from tribal authorities.48 Within this 180-day period, the applicant must amend its
FCC Form 601 to (1) select the tribal lands to be served, (2) provide the requisite tribal government
certifications, and (3) provide the applicant certification that it will, among other things, comply with the
construction requirements set forth in section 1.2110(f)(3)(vii) of the Commission’s rules.49 An applicant
may provide the certifications when initially filing the FCC Form 601 or, after the filing window, an
applicant may re-enter ULS and update the FCC Form 601 to provide the certifications. (See the
instructions, “Updating the Tribal Lands Information through Electronic Filing” below.)

Important:

Each applicant is reminded that, in addition to filing separate applications per radio service
code, it should further file a separate FCC Form 601 for those markets in which it seeks tribal lands
bidding credits, and another for those markets where it does not seek such credits.
Any applicant that intends to apply for tribal lands bidding credits in one or more markets must do so by
the filing deadline for the FCC Form 601 (i.e., by

August 11, 2011

). An applicant will not be permitted
to amend its application after the filing deadline to indicate that it intends to seek a tribal lands bidding
credit for any market. However, it is possible for an applicant to update an application to indicate that it
no longer intends to seek a tribal lands bidding credit in a particular market. Any applicant that elects to
seek the tribal lands bidding credit when it initially submitted its FCC Form 601, but then subsequently
decides not to seek the credit, should update its application to delete the request for the tribal lands
bidding credit.

Updating the Tribal Lands Information through Electronic Filing

To update a FCC Form 601 during the filing window (before it has been submitted to the FCC), see
“Updating an FCC Form 601” in Section II above. To update a FCC Form 601 application for tribal
lands certification after it has been officially received by the Commission (within the 180-day period), the
applicant must re-enter ULS.50
1. Access 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 FRN and password. Click

Submit

.
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 access FCC
Form 601.
5. Proceed through the application pages using the

Continue

button at the bottom of each page until
you reach the Tribal Lands Secured Certifications page. Answer “Yes” to the question on this
page and provide an attachment using the Attachments link at the top of the page. For each
market where a tribal lands bidding credit is being sought, the applicant must attach a signed,
tribal government certification from each of the federally recognized tribal governments and an


48 See 47 C.F.R. § 1.2110(f)(3)(ii).
49 47 C.F.R. § 1.2110(f)(3)(vii).
50 See 47 C.F.R. § 1.2110(f)(3)(ii).
E-15

applicant certification. See

Exhibit Y: Tribal Government Certification

” and “

Exhibit Z:
Tribal Lands Bidding Credit Applicant Certification

.” Click

Continue

.
6. For each market contained in the application where you indicated an intent to serve tribal lands, a
Select Tribal Lands page will be presented providing the names of the federally recognized tribal
lands within the market and the square kilometers of the tribal land within the market. To add a
new federally-recognized tribal land to this market, select

Add.

Select the checkbox for each
tribal land you want to include in your request and for which you have the tribal government
certifications, and then click

Calculate

to see the credit amount you may be granted.
7. The Tribal Lands Bidding Credit Summary page will display the calculated credit and any
additional credit requested for each channel block. Click

Continue.

8. If requesting a tribal lands bidding credit in more than one market, repeat steps 6 and 7 above for
each market.
9. Proceed through the remainder of the application pages using the

Continue

button at the bottom
of each page to the

Certification

page. Certify your application and select

Submit Application

.
After the application has been submitted, a Confirmation page displays the file number.
Applicants should print a copy of the Confirmation page for their records by choosing the Print
option from the File menu of the Web browser. Applicants can also print a copy of their
complete application by selecting the Reference Copy link. Use the

Log Out

link at the top left
of the page to exit ULS online filing.
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.51 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.52
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.53 Each waiver request will be evaluated on a case-by-case basis. See

Exhibit X: Tribal Lands
Bidding Credit Waiver Requests

.”

EXHIBIT X: TRIBAL LANDS BIDDING CREDIT WAIVER REQUESTS

Request for 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.54 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


51 See 47 C.F.R. § 1.2110(f)(3)(iii), (iv).
52 Tribal Lands Public Notice, 15 FCC Rcd at 24839.
53 47 C.F.R. § 1.925.
54 47 C.F.R. §§ 1.925, 1.2110(f)(3).
E-16

tribal land waiver request should be attached separately by selecting Attachment Type “Tribal Lands
Waiver Requests” and entering “

Exhibit X: Tribal Lands Bidding Credit Waiver Requests

” in the
Description Field on the Attachments page. In addition, the Description Field should indicate the market
and tribal lands to which the waiver request pertains (e.g., Exhibit X: Tribal Lands Waiver Requests
(“WY-CMA298-B Bismarck, ND, Standing Rock Reservation”)).

EXHIBIT Y: TRIBAL GOVERNMENT CERTIFICATION

Within the 180-day period following the FCC Form 601 filing deadline, an applicant seeking a tribal
lands bidding credit must amend its FCC Form 601 to select the tribal lands it intends to serve and to
provide the required tribal government certifications for each tribal land selected.55 The tribal
government certifications must be signed by an officer, allotment owner(s), or corporate officer of the
tribal land, Indian allotment, or Alaska Native land, respectively, and uploaded as an Adobe PDF file.
Each tribal government certification should be attached separately by selecting Attachment Type “Tribal
Government Certification” and entering “

Exhibit Y: Tribal Government Certification

” in the
Description Field on the Attachments page. In addition, the Description Field should indicate the market
and tribal lands to which the certification pertains (e.g., “Exhibit Y: Tribal Government Certification
(“WY-CMA298-B Bismarck, ND, Standing Rock 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 penetration rate at or below eighty-
five (85) percent according to the most recent U.S. Census;56
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 Z: TRIBAL LANDS BIDDING CREDIT APPLICANT CERTIFICATION

An applicant seeking a tribal lands bidding credit must attach a certification stating that it will comply
with the build out requirements set forth in section 1.2110(f)(3)(vi) of the Commission’s rules and that it
will consult with the tribal government regarding the citing of facilities and deployment of service on the
tribal land.57


55 See 47 C.F.R. § 1.2110(f)(3)(ii)(A).
56 Tribal Lands Third Report and Order, 19 FCC Rcd 17652 (2004).
57 See 47 C.F.R. § 1.2110(f)(3)(ii)(B) and (vi).
E-17

V.

FCC FORM 602 – OWNERSHIP DISCLOSURE INFORMATION

Each applicant must have a current FCC Form 602 on file with the Commission by the

August 11, 2011

,
deadline for filing the FCC Form 601.58 If an applicant has a complete and accurate FCC Form 602 on
file in ULS, it is not necessary for the applicant to file a new FCC Form 602. However, each applicant is
responsible for checking to ensure that the information on its FCC Form 602 on file with the Commission
is complete and accurate. If the applicant does not have an FCC Form 602 on file or it is not current, the
applicant must file a new FCC Form 602. If an FCC Form 602 needs to be filed, ULS can pre-fill the
FCC Form 602 with the applicable ownership information from the applicant’s short form application
(FCC Form 175). The applicant should confirm that the Ownership Disclosure information that is copied
into the FCC Form 602 is complete and accurate.59 Applicants are reminded that any updates to FCC
Form 602 must be filed electronically.60

Step-by-Step Instructions for Filing FCC Form 602

1. Access the ULS homepage, http://wireless.fcc.gov/uls, and click the

Log In

button in the Online
Filing section.
2. On the next page, enter the FRN and password of the filer and select

Continue.

The ULS Online
Systems page 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.
3. Click the My Ownership Disclosure Information link in the left-hand Task menu.
4. On the My Ownership Disclosure Filing page, you will see the Ownership Disclosure Filing
created with the submission of the FCC Form 175 marked with a red dot. Select the Filer Name
link to update any of the ownership information and file the FCC Form 602.
5. On the Ownership Disclosure Filing page that appears, select the Update Filing link in the Work
on this Filing menu. The FCC Form 602 will pre-fill with the applicable ownership information
from the FCC Form 175 filing.
6. The Work on this Filing menu will display several update options. This is your toolbox for
performing action on your ownership filing. Use the links as needed, to:
·
View and Edit Filer Information
·
Add a Disclosable Interest Holder of the Filer (corresponds to questions 1-9 on Schedule A)
·
Add an FCC Regulated Business of the Filer (corresponds to question 5 on the Main Form)
·
Add an FCC Regulated Business of a Disclosable Interest Holder (corresponds to question 10
on Schedule A)
·
Change the Filing Type


58 See 47 C.F.R. §§ 1.919, 1.2107(f).
59 See 47 C.F.R. §§ 1.919, 1.2112.
60 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 “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).
E-18

·
Certify the Filing
·
Change Cellular Cross Interest
7. Update necessary information, following the onscreen instructions and prompts. To complete
your changes, select the

Certify Filing

button, which appears at the bottom of the appropriate
Ownership Filing pages. When the FCC Form 602 filing is submitted successfully, a
confirmation page will display the filer’s FRN, the date of submission, and a file number for this
filing. Any future reference to this filing must be made using this file number.
ULS Ownership Filing displays this Confirmation page for your records. We strongly
recommend you print a copy of this page. You may print the Confirmation page by choosing the
Print option from the File menu of your Web browser. You may also choose to print a copy of
the complete FCC Form 602 by selecting the Reference Copy link.

Note:

For additional instructions regarding electronic filing of FCC Form 602 ownership information,
use the

Help

button, located on the top right of any page within Ownership Filing.

FCC NOTICE REQUIRED BY THE PAPERWORK REDUCTION ACT

You are not required to respond to a collection of information sponsored by the Federal government, and
the government may not conduct or sponsor this collection, unless it displays a currently valid OMB
control number or if we fail to provide you with this notice. This collection has been assigned an OMB
control number of 3060-0798.

THE FOREGOING NOTICE IS REQUIRED BY THE PAPERWORK REDUCTION ACT OF
1995, P.L. 104-13, OCTOBER 1, 1995, 44 U.S.C. 3507.

E-19

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