The Wireless Telegraphy (Licence Award) Regulations 2020

1. Introductory Text

2. PART 1 Introductory

   1. 1. Citation, commencement, and extent

   2. 2. Interpretation

3. PART 2 Application stage

   1. 3. Applications for the grant of a licence

   2. 4. Application

   3. 5. Meaning of existing spectrum holdings

4. PART 3 Qualification stage

   1. CHAPTER 1 Qualification

      1. 6. Notification of names of applicants and associates

      2. 7. Recording of applicant group members

      3. 8. Subsequent changes to bidder groups

      4. 9. Changes to existing spectrum holdings

      5. 10. Fitness to hold a licence

      6. 11. Qualification to participate in the award process

      7. 12. Publication of names of qualified applicants

      8. 13. Withdrawal of an application

      9. 14. Determination of number of bidders

   2. CHAPTER 2 Additional deposit and eligibility limit for the first principal stage round

      1. 15. Additional deposit before the first principal stage round

      2. 16. Determination of a bidder's eligibility limit for the first principal stage round

   3. CHAPTER 3 Recording of existing spectrum holdings and overall bid constraints

      1. 17. Recording of existing spectrum holdings

      2. 18. Determination of overall bid constraints

5. PART 4 Award process

   1. 19. Principal stage, assignment stage and grant stage

6. PART 5 The principal stage

   1. CHAPTER 1 Principal stage rounds

      1. 20. Principal stage rounds

      2. 21. Principal stage form

      3. 22. Principal stage bids

      4. 23. Number of principal stage rounds

      5. 24. Round prices for the first principal stage round

      6. 25. Determination of round prices for subsequent principal stage rounds

      7. 26. Round price for 3.6 GHz lots

      8. 27. Round price for 700 MHz individual frequency lots

      9. 28. Round price for 700 MHz paired frequency lots

   2. CHAPTER 2 Assignment of standing high bid status

      1. 29. Assignment of standing high bid status by OFCOM after the end of each principal stage round

      2. 30. Process for assigning standing high bid status: ranking the bidders

      3. 31. Process for assigning standing high bid status: ranking the bids

      4. 32. Process for assigning standing high bid status: assigning standing high bid status to the bids

   3. CHAPTER 3 Winning principal stage bids and determination of base price

      1. 33. Determination of the winning principal stage bids

      2. 34. Determination of base price

      3. 35. Determination of total base price

   4. CHAPTER 4 Constraints on principal stage bids

      1. 36. Maximum and minimum number of principal stage bids for 3.6 GHz lots, 700 MHz individual frequency lots and 700 MHz paired frequency lots

      2. 37. Overall bid constraint rule

      3. 38. Number of principal stage bids following assignment of standing high bid status

      4. 39. Request by a bidder to carry forward its eligibility limit

      5. 40. Eligibility rule

      6. 41. Determination of a bidder's eligibility limit

      7. 42. Eligibility points used by a bidder

      8. 43. Eligibility event

      9. 44. Deposit constraint on bidding

   5. CHAPTER 5 Information released during and following the principal stage

      1. 45. Notice to be given to bidders before each principal stage round

      2. 46. Notification of information to bidders after the end of each principal stage round

      3. 47. Publication of information at the end of each day during the principal stage

      4. 48. Notification of results of the principal stage to bidders

      5. 49. Publication of results of the principal stage

   6. CHAPTER 6 Procedure for principal stage

      1. 50. Submission of principal stage form to OFCOM

      2. 51. Alternative method for submission of principal stage form

      3. 52. Incomplete or defective principal stage form

      4. 53. Notification that principal stage form is not valid

   7. CHAPTER 7 Deposits during and following the principal stage

      1. 54. Deposits during the principal stage

      2. 55. Required final principal stage deposit

7. PART 6 Assignment stage

   1. CHAPTER 1 Overview

      1. 56. No assignment stage if there are no winning principal stage bidders

      2. 57. Assignment stage process

   2. CHAPTER 2 Assignment of lots of a particular type without bidding

      1. 58. Assignment of numbered 3.6 GHz lots without bidding

      2. 59. Assignment of 700 MHz individual frequency lots without bidding.

      3. 60. Assignment of 700 MHz paired frequency lots without bidding

   3. CHAPTER 3 Assignment of lots of a particular type by means of a bidding process (and negotiation period, if any)

      1. 61. Assignment of 3.6 GHz lots by bidding

      2. 62. Assignment of numbered 700 MHz individual frequency lots by bidding

      3. 63. Assignment of numbered 700 MHz paired frequency lots by bidding

      4. 64. Assignment stage round

   4. CHAPTER 4 Assignment stage form

      1. 65. Assignment stage form

      2. 66. Valid assignment stage form

      3. 67. Notification that an assignment stage form is not valid

   5. CHAPTER 5 3.6 GHz lot assignment stage bidding

      1. 68. Bidding for numbered 3.6 GHz lots in the assignment stage

      2. 69. Preparing a 3.6 GHz assignment stage option list for each bidder

      3. 70. 3.6 GHz assignment stage bids

   6. CHAPTER 6 700 MHz individual frequency lot assignment stage bidding

      1. 71. Bidding for numbered 700 MHz individual frequency lots in the assignment stage

      2. 72. Preparing a 700 MHz individual frequency lot assignment stage option list for each bidder

      3. 73. 700 MHz individual frequency lot assignment stage bids

   7. CHAPTER 7 700 MHz paired frequency lot assignment stage bidding

      1. 74. Bidding for numbered 700 MHz paired frequency lots in the assignment stage

      2. 75. Preparing a 700 MHz paired frequency lot assignment stage option list for each bidder

      3. 76. 700 MHz paired frequency lot assignment stage bids

   8. CHAPTER 8 Procedure for bidding in the assignment stage

      1. 77. Notice to bidders before the assignment stage round

      2. 78. Submission of assignment stage form to OFCOM

      3. 79. Alternative method for submission of assignment stage form

      4. 80. Incomplete or defective assignment stage form

      5. 81. Required assignment stage deposit

8. PART 7 Negotiation period for the assignment of 3.6 GHz lots

   1. CHAPTER 1 Adjacency agreements

      1. 82. Full adjacency agreement

      2. 83. Partial adjacency agreement

   2. CHAPTER 2 Procedure for the negotiation period

      1. 84. Notice to bidders before the negotiation period

      2. 85. Notice to OFCOM of bidders' desire to participate in the negotiation period

   3. CHAPTER 3 Valid full adjacency agreement and valid partial adjacency agreement

      1. 86. Valid full adjacency agreement

      2. 87. Valid partial adjacency agreement

      3. 88. Additional required bids in the case of a partial adjacency agreement

      4. 89. Consequence of additional required bids

      5. 90. Rejection of full adjacency agreement forms submitted to OFCOM at a time outside the first phase and second phase of the negotiation period

      6. 91. Rejection of partial adjacency agreement forms submitted to OFCOM at a time outside the second phase of the negotiation period

      7. 92. Only one valid adjacency agreement

      8. 93. First form delivered within a negotiation phase by a winning bidder for 3.6 GHz lots to be used by OFCOM

      9. 94. Incomplete or defective adjacency agreement forms

      10. 95. The end of the first phase of the negotiation period

9. PART 8 Ofcom's determination of the assignment of numbered lots and the additional prices

   1. CHAPTER 1 Assignment of numbered 3.6 GHz lots where there is either a valid full adjacency agreement or one or more valid partial adjacency agreements

      1. 96. Determination of assignment of 3.6 GHz lots where there is a valid full adjacency agreement

      2. 97. Determination of the winning 3.6 GHz assignment stage bids where there are one or more valid partial adjacency agreements

   2. CHAPTER 2 Ofcom's determination of assignment of numbered 3.6 GHz lots and additional prices where there is no valid full adjacency agreement and no valid partial adjacency agreement

      1. 98. Determination of the winning 3.6 GHz assignment stage bids where there is no valid full adjacency agreement and no valid partial adjacency agreement

   3. CHAPTER 3 Determination of 3.6 GHz lot additional prices

      1. 99. Determination of 3.6 GHz lot additional prices where there is a valid full adjacency agreement

      2. 100. Determination of 3.6 GHz lot additional prices where there is one or more valid partial adjacency agreements

      3. 101. Determination of 3.6 GHz lot additional prices where there is no adjacency agreement

   4. CHAPTER 4 Determination of assignment of numbered 700 MHz individual frequency lots and 700 MHz individual frequency lot additional prices

      1. 102. Determination of the winning 700 MHz individual frequency lot assignment stage bids

      2. 103. Determination of 700 MHz individual frequency lot additional prices

   5. CHAPTER 5 Determination of assignment of numbered 700 MHz paired frequency lots and 700 MHz paired frequency lot additional prices

      1. 104. Determination of the winning 700 MHz paired frequency lot assignment stage bids

      2. 105. Determination of 700 MHz paired frequency lot additional prices

   6. CHAPTER 6 Notification of results of the assignment stage

      1. 106. Notification of results of the assignment stage

10. PART 9 Grant Stage

    1. CHAPTER 1 Licences available, the determination of licence fees and the particular frequencies

       1. 107. Interpretation

       2. 108. Determination of licences, licence fees and frequencies associated with particular licences

       3. 109. Licences which may be granted under this award process

       4. 110. Licence fee payable by a winning bidder for a 3.6 GHz licence

       5. 111. Licence fee payable by a winning bidder for a 700 MHz licence

       6. 112. Particular frequencies to be included in 3.6 GHz licence granted to a winning bidder

       7. 113. Particular frequencies to be included in 700 MHz lot licence granted to a winning bidder

    2. CHAPTER 2 Total auction sum

       1. 114. Determination of the total auction sum payable by winning bidders to OFCOM

       2. 115. Notification of the total auction sum payable by winning bidders to OFCOM

       3. 116. Further payment where the amount of a winning bidder's deposit is less than its total auction sum

    3. CHAPTER 3 Grant of licences

       1. 117. Entitlement to the grant of licences

       2. 118. Grant of licences

    4. CHAPTER 4 Completion of the award process

       1. 119. Refunds

       2. 120. Notification to bidders following the grant of licences

       3. 121. Completion of the award process

11. PART 10 Forfeit of deposit and exclusion

    1. 122. Forfeit of deposit and exclusion from award process

    2. 123. Bids made by an excluded bidder

    3. 124. Events

12. PART 11 Miscellaneous

    1. 125. General power of exclusion

    2. 126. Notification to OFCOM

    3. 127. Changes to timing or location

    4. 128. Changes to round times and use of electronic auction system

    5. 129. Rerunning rounds

    6. 130. Refunds

    7. 131. Deposits

13. Signature

14. 1. SCHEDULE 1

       Lots

       1. In these Regulations— (a) “3.6 GHz lot” means any of...

    2. SCHEDULE 2

       Application form and warranty

       1. 1. Details of the applicant

       2. Provide the following details for the applicant—

       3. Applicant's full name

       4. Registered number of company

       5. Registered office of company

       6. Bank sort code and account number

       7. Name of individual contact within applicant

       8. Contact address (if different from registered office)

       9. Contact telephone number

       10. Contact mobile telephone number

       11. Contact electronic mail address

       12. 2. Authorised persons

       13. Provide details of the name and position in the applicant...

       14. 3. Directors or members of managing body

       15. Provide the name and job title of each of the...

       16. 4. Applicant group

       17. Provide the names of the applicant's associates (as defined in...

       18. Provide the names of all other members of the applicant...

       19. 5. Qualification to bid

       20. In relation to the determination by the Office of Communications...

       21. 6. Other information

       22. Provide a brief description of the substance of—

       23. 7. Existing spectrum holdings

       24. Confirm that the applicant has provided the details of existing...

       25. 8. Warranty

       26. Provide the following warranty—

       27. “[Insert name of applicant] (the “applicant”) represents and warrants to...

    3. SCHEDULE 3

       Document for member of applicant's applicant group or bidder group who is not an associate

       1. [Insert name of applicant or bidder] (the “applicant/bidder”) wishes to...

       2. Under regulation 11 of the Regulations an applicant shall not...

       3. Applicant/bidder

       4. The applicant/bidder undertakes to inform OFCOM immediately if it becomes...

       5. [Insert name of person to be included in applicant or bidder group who is not an associate]

       6. [Insert name of person to be included in applicant or...

    4. SCHEDULE 4

       Determination of 3.6 GHz lot additional prices

       1. 1. Additional price

       2. 2. First requirement

       3. 3. Second requirement

       4. 4. Third requirement

       5. 5. Fourth requirement

       6. 6. Interpretation

    5. SCHEDULE 5

       Determination of 700 MHz individual frequency lot additional prices

       1. 1. Additional price

       2. 2. First requirement

       3. 3. Second requirement

       4. 4. Third requirement

       5. 5. Fourth requirement

       6. 6. Interpretation

    6. SCHEDULE 6

       Determination of 700 MHz paired frequency lot additional prices

       1. 1. Additional price

       2. 2. First requirement

       3. 3. Second requirement

       4. 4. Third requirement

       5. 5. Fourth requirement

       6. 6. Interpretation

    7. SCHEDULE 7

       Frequency bands for existing spectrum holdings

    8. SCHEDULE 8

       Partial adjacency agreement form

       1. [Insert name of bidder] is party to a partial adjacency...

       2. The parties to the agreement are [Insert names of each...

       3. [Insert name of bidder] has agreed with the other parties...

       4. The bidders that are party to the partial adjacency agreement...

       5. The party to be assigned the lowest frequency block of...

       6. The party to be assigned the highest block of 3.6...

       7. The order of any parties to be assigned frequency blocks...

       8. [Insert name of bidder] hereby makes the additional required bids...

       9. [Signed by two authorised persons]

    9. SCHEDULE 9

       Full adjacency agreement form

       1. [Insert name of bidder] is party to a full adjacency...

       2. The parties to the agreement are [Insert names of each...

       3. [Insert name of bidder] has agreed with the other parties...

       4. Where in any row in the table the box provided...

       5. [Signed by two authorised persons]

15. Explanatory Note