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The Wireless Telegraphy (Licence Award) Regulations 2020

Type Statutory-Instrument

Publication 2020-11-03

Last updated 2021-03-09

State In force

Department King's Printer of Acts of Parliament

Source legislation.gov.uk

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(4) A 700 MHz individual frequency lot assignment stage bid is a valid 700 MHz individual frequency lot assignment stage bid if—

(a) the bid is specified on a valid assignment stage form; and

(b) the bidder has paid the full sum of the required assignment stage deposit by the deadline specified by OFCOM.

(5) Where a bidder does not make a valid 700 MHz individual frequency lot assignment stage bid for a 700 MHz individual frequency lot assignment stage option that bidder will be deemed to have made a valid 700 MHz individual frequency lot assignment stage bid with a value of zero pounds for that 700 MHz individual frequency lot assignment stage option.

CHAPTER 7 — 700 MHz paired frequency lot assignment stage bidding

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

74

(1) A 700 MHz paired frequency lot assignment stage bid shall be a bid for a licence that authorises the use of frequencies corresponding to the particular numbered 700 MHz paired frequency lots comprised in a block of numbered 700 MHz paired frequency lots.

(2) OFCOM shall determine which blocks of numbered 700 MHz paired frequency lots a bidder may bid for, and notify that bidder of its determination.

(3) The list of possible blocks of numbered 700 MHz paired frequency lots provided to each bidder may be different for each bidder.

(4) The list shall be known as the “700 MHz paired frequency lot assignment stage option list” and each block of 700 MHz paired frequency lots in that list shall be known as a “700 MHz paired frequency lot assignment stage option”.

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

75

(1) OFCOM shall determine which 700 MHz paired frequency lot assignment stage options shall be included in the 700 MHz paired frequency lot assignment stage option list for each bidder which is eligible to bid.

(2) A bidder's 700 MHz paired frequency lot assignment stage options shall be each of those blocks of numbered 700 MHz paired frequency lots which satisfy the following conditions—

(a) the number of 700 MHz paired frequency lots contained in the block is equal to the number of that bidder's winning principal stage bids for 700 MHz paired frequency lots; and

(b) if that bidder were assigned the 700 MHz paired frequency lots contained in the block the following conditions would be satisfied—

(i) each other bidder could be assigned 700 MHz paired frequency lots contained in a block that, in respect of that other bidder's winning principal stage bids for 700 MHz paired frequency lots, satisfies the condition in sub-paragraph (a); and

(ii) the 700 MHz paired frequency lots not assigned to that bidder or any other bidder would form a single block of numbered 700 MHz paired frequency lots.

700 MHz paired frequency lot assignment stage bids

76

(1) In order to bid for a 700 MHz paired frequency lot assignment stage option, a bidder must, on the assignment stage form, specify an amount in whole thousands of pounds that it is willing to pay, in addition to the total 700 MHz paired frequency lot base price for that bidder's winning principal stage bids for 700 MHz paired frequency lots, for a licence that authorises the use of the frequencies corresponding to the block of numbered 700 MHz paired frequency lots that is the 700 MHz paired frequency lot assignment stage option.

(2) A bidder may make no more than one 700 MHz paired frequency lot assignment stage bid for each 700 MHz paired frequency lot assignment stage option.

(3) A bidder is not required to make a 700 MHz paired frequency lot assignment stage bid.

(4) A 700 MHz paired frequency lot assignment stage bid is a valid 700 MHz paired frequency lot assignment stage bid if—

(a) the bid is specified on a valid assignment stage form; and

(b) the bidder has paid the full sum of the required assignment stage deposit by the deadline specified by OFCOM.

(5) Where a bidder does not make a valid 700 MHz paired frequency lot assignment stage bid for a 700 MHz paired frequency lot assignment stage option that bidder will be deemed to have made a valid 700 MHz paired frequency lot assignment stage bid with a value of zero pounds for that 700 MHz paired frequency lot assignment stage option.

CHAPTER 8 — Procedure for bidding in the assignment stage

Notice to bidders before the assignment stage round

77

Before the start of the assignment stage round, OFCOM shall notify each bidder that may make an assignment stage bid in the assignment stage round of—

(a) the 3.6 GHz assignment stage options, 700 MHz individual frequency lot assignment stage options and the 700 MHz paired frequency lot assignment stage options, that are available to that bidder in the assignment stage round; and

(b) the date on which, and the times on that date within which, the assignment stage round will take place.

Submission of assignment stage form to OFCOM

78

(1) A bidder must submit the completed assignment stage form to OFCOM by using the electronic auction system, except as provided for in regulation 79.

(2) The completed assignment stage form must be received by OFCOM by the time notified to bidders under regulation 77 as the end of the assignment stage round.

Alternative method for submission of assignment stage form

79

(1) Where OFCOM are satisfied that a bidder is unable to submit an assignment stage form by using the electronic auction system because of technical failure (or an event or circumstance with similar effect on the bidder's ability to use the electronic auction system), OFCOM shall notify the bidder of an alternative method of submitting the assignment stage form and any requirements relating to the authentication of communications made by means of the alternative method.

(2) The bidder must submit the assignment stage form by means of the alternative method and must comply with any requirements which have been notified to it under paragraph (1) relating to the authentication of communications.

Incomplete or defective assignment stage form

80

(1) Where, due to the manner of completion, an assignment stage form is incomplete or defective but OFCOM believe that they can ascertain the bidder's intention in relation to the making of assignment stage bids, OFCOM shall ask the bidder to confirm in a notice to OFCOM by a deadline specified by OFCOM that OFCOM have correctly ascertained the bidder's intention in relation to the making of assignment stage bids.

(2) Where the bidder confirms in a notice given to OFCOM by the deadline which is signed by two authorised persons that OFCOM have correctly ascertained the bidder's intention, the assignment stage form in its entirety shall be accepted by OFCOM on that basis.

(3) Where the bidder does not give such confirmation, the assignment stage form in its entirety shall be rejected by OFCOM and none of the assignment stage bids made on that assignment stage form shall be valid, and regulations 70(5), 73(5) and 76(5) shall apply.

Required assignment stage deposit

81

(1) A further sum in pounds must be paid into OFCOM's bank account, with accompanying information which identifies the bidder, by a deadline specified by OFCOM (the “required assignment stage deposit”).

(2) The required assignment stage deposit shall be an amount such that the total amount that the bidder has on deposit is not less than the amount which is the sum of—

(a) the amount which is the bidder's total base price for its winning principal stage bids;

(b) the amount which is the bidder's highest 700 MHz individual frequency lot assignment stage bid for a 700 MHz individual assignment stage option;

(c) the amount which is the bidder's highest 700 MHz paired frequency lot assignment stage bid for a 700 MHz paired frequency lot assignment stage option; and

(d) the amount which is the bidder's highest 3.6 GHz assignment stage bid for a 3.6 GHz assignment stage option.

PART 7 — Negotiation period for the assignment of 3.6 GHz lots

CHAPTER 1 — Adjacency agreements

Full adjacency agreement

82

A full adjacency agreement is an agreement between all of the winning bidders for 3.6 GHz lots, in which they agree—

(a) the particular numbered 3.6 GHz lots to be assigned to each winning bidder for 3.6 GHz lots (such that each winning bidder for 3.6 GHz lots is assigned a single block which contains a number of lots equal to the number of each such bidder's winning principal stage bids for 3.6 GHz lots); and

(b) in a situation in which one (or more) of the 3.6 GHz lots which are available in the award process was not won by any bidder in the principal stage of the award, the particular numbered 3.6 GHz lots which are not to be assigned to any bidder (such that any such 3.6 GHz lots not won by any bidder in the principal stage of the award must form a single block).

Partial adjacency agreement

83

A partial adjacency agreement is an agreement between two or more winning bidders for 3.6 GHz lots (the “partial agreement parties”), but not all winning bidders for 3.6 GHz lots, in which the parties agree—

(a) to be assigned blocks of 3.6 GHz lots which, when considered together with the 3.6 GHz lots to be assigned to the other partial agreement parties, form a single block (such that the quantity of 3.6 GHz lots contained in the block which is to be assigned to each partial agreement party is equal to the number of that bidder's winning principal stage bids for 3.6 GHz lots); and

(b) without reference to particular numbered 3.6 GHz lots, which of the partial agreement parties will be assigned the lowest frequency block of 3.6 GHz lots, which party will be assigned the highest frequency block and the order of any parties to be assigned blocks in between the lowest and highest block.

CHAPTER 2 — Procedure for the negotiation period

Notice to bidders before the negotiation period

84

(1) Only a winning bidder for 3.6 GHz lots which has paid the required assignment stage deposit (if any) shall have the opportunity to participate in the negotiation period.

(2) If there is more than one winning bidder for 3.6 GHz lots, after the deadline for paying the required assignment stage deposit under regulation 81 has passed, OFCOM shall notify each winning bidder for 3.6 GHz lots which has paid the required assignment stage deposit (if any) that it has the opportunity to participate in a negotiation period, during which time it would have the opportunity (but is not required) to negotiate and agree—

(a) a full adjacency agreement with all of the winning bidders for 3.6 GHz lots; or

(b) a partial adjacency agreement with one or more of the other winning bidders for 3.6 GHz lots.

(3) In the notification OFCOM shall give a deadline by which each such winning bidder must respond to OFCOM confirming that it wishes to participate in the negotiation period if that is the case.

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

85

(1) After the deadline specified by OFCOM, if two or more winning bidders for 3.6 GHz lots have responded to OFCOM's notification and have indicated that they wish to participate in a negotiation period to pursue an adjacency agreement—

(a) OFCOM shall notify each winning bidder for 3.6 GHz lots of—

(i) the names of each other winning bidder for 3.6 GHz lots which wishes to participate in the negotiation period;

(ii) the start day (and time on that day) of the first phase of the negotiation period, and the end day (and time on that day) of the first phase negotiation period;

(iii) if a second phase of the negotiation period were to take place (because no valid full adjacent agreement resulted from the first phase), the proposed start day and time on that day of the second phase, and the proposed end day (and time on that day) of the second phase of the negotiation period; and

(iv) the method for submission to OFCOM of any full adjacency agreement forms and any partial adjacency agreement forms;

(b) each winning bidder for 3.6 GHz lots which has paid the required assignment stage deposit (if any) may participate in the negotiation period to enter an adjacency agreement irrespective of whether or not that bidder indicated to OFCOM that it wished to participate; and

(2) Where fewer than two winning bidders for 3.6 GHz lots have indicated to OFCOM that they wish to participate in a negotiation period, following receipt of notices, OFCOM shall—

(a) notify each winning bidder for 3.6 GHz lots that there shall not be a negotiation period, and

(b) proceed to determine the winning 3.6 GHz assignment stage bids in accordance with regulation 98.

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

Valid full adjacency agreement

86

(1) There is a valid full adjacency agreement if either the first situation in paragraph (2) or the second situation in paragraph (3) has occurred.

(2) The first situation is where—

(a) each winning bidder for 3.6 GHz lots has submitted a full adjacency agreement form (signed on its behalf by two authorised persons) to OFCOM;

(b) the content of the table on each full adjacency agreement form (outlining the essential aspects of the full adjacency agreement described in regulation 82) is the same on each form received; and

(c) each winning bidder for 3.6 GHz lots submitted the form to OFCOM during the first phase of the negotiation period and in accordance with the prescribed method for submission.

(3) The second situation is where—

(a) each winning bidder for 3.6 GHz lots has submitted a full adjacency agreement form (signed on its behalf by two authorised persons) to OFCOM;

(b) the content of the table on each full adjacency agreement form (outlining the essential aspects of the full adjacency agreement described in regulation 82) is the same on each form received; and

(c) each winning bidder for 3.6 GHz lots submitted the form to OFCOM during the second phase of the negotiation period and in accordance with the prescribed method for submission.

Valid partial adjacency agreement

87

There is a valid partial adjacency agreement if—

(a) two or more winning bidders for 3.6 GHz lots submitted a partial adjacency agreement form (signed on its behalf by two authorised persons) to OFCOM;

(b) each winning bidder which is indicated on the form as being a party to the agreement, submitted the form to OFCOM;

(c) the content of the table on each partial adjacency agreement form (outlining the essential aspects of the partial adjacency agreement described in regulation 83) is the same on each form received;

(d) each winning bidder which is indicated on the form as being a party to the agreement submitted the form to OFCOM during the second phase of the negotiation period and in accordance with the prescribed method for submission; and

(e) each winning bidder which is indicated on the form as being a party to the agreement who submitted the form to OFCOM has also made the additional required bids.

Additional required bids in the case of a partial adjacency agreement

88

(1) The additional required bids referred to in regulation 87(e) are those described in paragraph (2).

(2) The bids to be made by the winning bidder are an additional 3.6 GHz assignment stage bid of zero pounds for every possible block of numbered 3.6 GHz lots in which the number of 3.6 GHz lots contained in the block is equal to the number of that bidder's winning principal stage bids for 3.6 GHz lots.

(3) The additional required bids are made by completion of the partial agreement form and its submission to OFCOM.

Consequence of additional required bids

89

If there is a valid partial adjacency agreement, when OFCOM is determining the winning 3.6 GHz assignment stage bids under regulation 97—

(a) each 3.6 GHz assignment stage bid already submitted by that bidder under regulation 78 or 79, if any, shall be deemed invalid; and

(b) OFCOM must instead take into account the additional required bids as if they were the valid assignment stage bids made by the bidder concerned.

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

90

(1) If a full adjacency agreement form is submitted to OFCOM at a time other than during the permitted times described in paragraph (2) that form (and the agreement which the form purports to describe) shall be rejected by OFCOM.

(2) The permitted times are—

(a) after the start time of the first phase of the negotiation period and before the first phase of the negotiation period has ended in accordance with regulation 95; and

(b) after the start time and before the end time of the second phase of the negotiation period.

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

91

(1) If a partial adjacency agreement form is submitted to OFCOM at a time other than during the permitted time described in paragraph (2) that form (and the agreement which the form purports to describe) shall be rejected by OFCOM.

(2) The permitted time is after the start time and before the end time of the second phase of the negotiation period.

Only one valid adjacency agreement

92

— Each winning bidder for 3.6 GHz lots may only be party to one valid adjacency agreement.

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

93

(1) If a winning bidder for 3.6 GHz lots submits more than one full adjacency agreement form to OFCOM during the first phase of the negotiation period, the first of those forms delivered shall be the only form used by OFCOM for the purposes of the determination under regulations 86 and 95 as to whether or not there is a valid full adjacency agreement.

(2) If a winning bidder for 3.6 GHz lots submits more than one adjacency agreement form (whether a partial adjacency agreement form or a full adjacency agreement form) to OFCOM during the second phase of the negotiation period, the first of those forms delivered shall be the only form used by OFCOM for the purposes of the determinations under regulations 86 and 87 as to whether or not there is a valid full adjacency agreement or a valid partial adjacency agreement.

Incomplete or defective adjacency agreement forms

94

(1) Where, due to the manner of completion, an adjacency agreement form is incomplete or defective but OFCOM believe that they can ascertain the bidder's intention in relation to the content and the essential aspects of the agreement, OFCOM shall ask the bidder to confirm in a notice to OFCOM by a deadline specified by OFCOM that OFCOM have correctly ascertained the bidder's intention in relation to the making of adjacency agreements.

(2) Where the bidder confirms in a notice given to OFCOM by the deadline which is signed by two authorised persons that OFCOM have correctly ascertained the bidder's intention, OFCOM will consider whether there is a valid full adjacency agreement or a valid partial adjacency agreement (as the case may be) under regulations 86 or 87 taking account of the form on that basis.

(3) Where the bidder does not give such confirmation, the adjacency agreement form and the agreement it purports to describe in its entirety shall be rejected by OFCOM.

The end of the first phase of the negotiation period

95

(1) The first phase of the negotiation period shall end on the earlier of—

(a) the time notified by OFCOM under regulation 85(1)(a)(ii) as being the end of the first phase; or

(b) the receipt by OFCOM (after the commencement of the first phase) of a full adjacency agreement form from each winning bidder for 3.6 GHz lots.

(2) After the end of the first phase of the negotiation period OFCOM shall determine if there is a valid full adjacency agreement.

(3) If OFCOM determines that there is a valid full adjacency agreement there shall not be a second phase of the negotiation period and OFCOM shall notify all of the winning bidders of that fact.

(4) If OFCOM determines that there is not a valid full adjacency agreement there shall be a second phase of the negotiation period and OFCOM shall—

(a) notify all of the winning bidders of that fact;

(b) notify the winning bidders for 3.6 GHz lots of the reason why it has made that determination; and

(c) publish on OFCOM's website and notify the winning bidders for 3.6 GHz lots of the start day and time on that day of the second phase, and the end day (and time on that day) of the second phase of the negotiation period (which may be the same or different from proposed the days and times notified under regulation 85(1)(a)(iii)).

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

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

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

96

If there is a valid full adjacency agreement, OFCOM shall determine the assignment of the particular numbered 3.6 GHz lots in accordance with the valid full adjacency agreement after the deadline for paying the required assignment stage deposit under regulation 81 (and after any negotiation period has ended) and notify those assignments to each winning bidder for 3.6 GHz lots in accordance with regulation 106.

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

97

(1) If there are one or more valid partial adjacency agreements, OFCOM shall determine the winning 3.6 GHz assignment stage bids in accordance with this regulation after the deadline for paying the required assignment stage deposit under regulation 81 (and after any negotiation period has ended).

(2) The winning 3.6 GHz assignment stage bids shall be those valid 3.6 GHz assignment stage bids that comprise the winning combination of valid 3.6 GHz assignment stage bids.

(3) The winning combination of valid 3.6 GHz assignment stage bids shall be the valid combination of 3.6 GHz assignment stage bids having the highest total value of amounts bid.

(4) A combination of valid 3.6 GHz assignment stage bids is a valid combination of 3.6 GHz assignment stage bids if—

(a) within that combination there is one valid 3.6 GHz assignment stage bid from each winning bidder for 3.6 GHz lots;

(b) for a bidder that is a partial agreement party, each of those 3.6 GHz assignment stage bids is a valid bid made in accordance with regulation 88;

(c) for a bidder that is not a partial agreement party, each of those 3.6 GHz assignment stage bids is a valid bid made in accordance with regulation 70;

(d) no numbered 3.6 GHz lot is included in more than one of the 3.6 GHz assignment stage bids included in the combination of valid 3.6 GHz assignment stage bids;

(e) the numbered 3.6 GHz lots not included in that combination of valid 3.6 GHz assignment stage bids (the “leftover 3.6 GHz lots”), taken together, form a single block of numbered 3.6 GHz lots;

(f) the 3.6 GHz lots allocated to parties in a partial adjacency agreement, taken together, form a single block of numbered 3.6 GHz lots;

(g) the 3.6 GHz lots allocated to parties in a partial adjacency agreement are allocated in the order shown in the table in the partial adjacency agreement forms submitted to OFCOM; and

(h) valid bids from each bidder which made winning principal stage bids for fewer than five 3.6 GHz lots, and which is not a partial agreement party, are for 3.6 GHz lots which form a block which would satisfy one or more of the following conditions:

(i) the block includes either 3.6 GHz lot 1 or 3.6 GHz lot 24;

(ii) the block is adjacent to a block of fewer than five 3.6 GHz lots which includes 3.6 GHz lot 1 or 3.6 GHz lot 24, but which would not be assigned to partial agreement parties;

(iii) the block is adjacent to the block of leftover 3.6 GHz lots which includes 3.6 GHz lot 1 or 3.6 GHz lot 24;

(iv) the block is adjacent to a block of fewer than five 3.6 GHz lots which is itself adjacent to a block in a series of other contiguous blocks of fewer than five 3.6 GHz lots, provided that—

(aa) at least one block in this series includes 3.6 GHz lot 1 or 3.6 GHz lot 24; and

(bb) the series does not include 3.6 GHz lots which would be allocated to partial agreement parties; or

(v) the block is adjacent to a block in a series of contiguous blocks (which comprises the block of leftover 3.6 GHz lots and blocks of fewer than five 3.6 GHz lots) provided that—

(aa) at least one block in this series includes 3.6 GHz lot 1 or 3.6 GHz lot 24, and

(bb) the series does not include 3.6 GHz lots which would be allocated to partial agreement parties.

(5) Where there is more than one valid combination of 3.6 GHz assignment stage bids for which the total value is equal highest, OFCOM shall employ a method of random selection from amongst those valid combinations of 3.6 GHz assignment stage bids for which the value is equal highest to determine the winning combination of valid 3.6 GHz assignment stage bids.

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

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

98

(1) After the deadline for paying the required assignment stage deposit under regulation 81 has passed (and after any negotiation period has ended), except where regulation 96 or regulation 97 apply, OFCOM shall determine the winning 3.6 GHz assignment stage bids in accordance with this regulation.

(2) The winning 3.6 GHz assignment stage bids shall be those valid 3.6 GHz assignment stage bids that comprise the winning combination of valid 3.6 GHz assignment stage bids.

(3) The winning combination of valid 3.6 GHz assignment stage bids shall be the valid combination of 3.6 GHz assignment stage bids having the highest total value of amounts bid.

(4) A combination of valid 3.6 GHz assignment stage bids is a valid combination of 3.6 GHz assignment stage bids if—

(a) within that combination there is one valid 3.6 GHz assignment stage bid from each winning bidder for 3.6 GHz lots;

(b) each of those valid 3.6 GHz assignment stage bids is for a 3.6 GHz assignment stage option as determined by OFCOM for the bidder;

(c) no numbered 3.6 GHz lot is included in more than one of the 3.6 GHz assignment stage bids included in the combination of valid 3.6 GHz assignment stage bids;

(d) the numbered 3.6 GHz lots not included in that combination of valid 3.6 GHz assignment stage bids (the “leftover 3.6 GHz lots”), taken together, form a single block of numbered 3.6 GHz lots; and

(e) valid bids from each bidder which made winning principal stage bids for fewer than five 3.6 GHz lots are for 3.6 GHz lots which form a block which—

(i) includes either 3.6 GHz lot 1 or 3.6 GHz lot 24;

(ii) is adjacent to a block of fewer than five 3.6 GHz lots which includes 3.6 GHz lot 1 or 3.6 GHz lot 24;

(iii) is adjacent to the block of leftover 3.6 GHz lots which includes 3.6 GHz lot 1 or 3.6 GHz lot 24;

(iv) is adjacent to a block of fewer than five 3.6 GHz lots which is itself adjacent to a block in a series of other blocks of fewer than five 3.6 GHz lots, provided that at least one block in this series includes 3.6 GHz lot 1 or 3.6 GHz lot 24; or

(v) is adjacent to a block in a series of contiguous blocks (which comprises the block of leftover 3.6 GHz lots and blocks of fewer than five 3.6 GHz lots) provided that at least one block in this series includes 3.6 GHz lot 1 or 3.6 GHz lot 24.

(5) Where there is more than one valid combination of 3.6 GHz assignment stage bids for which the total value is equal highest, OFCOM shall employ a method of random selection from amongst those valid combinations of 3.6 GHz assignment stage bids for which the value is equal highest to determine the winning combination of valid 3.6 GHz assignment stage bids.

CHAPTER 3 — Determination of 3.6 GHz lot additional prices

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

99

Where OFCOM determined the assignment of 3.6 GHz lots under regulation 96, there is no additional price to be paid by each winning bidder for 3.6 GHz lots, in respect of 3.6 GHz lots.

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

100

Where OFCOM determined the assignment of 3.6 GHz lots under regulation 97—

(a) there is no additional price to be paid by each winning bidder for 3.6 GHz lots which is party to a valid partial adjacency agreement, in respect of 3.6 GHz lots; and

(b) in respect of each winning 3.6 GHz assignment stage bid made by a bidder which is not party to a valid partial adjacency agreement, OFCOM shall determine an amount in whole pounds (the “3.6 GHz lot additional price”) which shall be payable by the relevant winning bidder in accordance with Schedule 4.

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

101

Where OFCOM determined the assignment of 3.6 GHz lots under regulation 98, in respect of each winning 3.6 GHz assignment stage bid OFCOM shall determine an amount in whole pounds (the “3.6 GHz lot additional price”) which shall be payable by the relevant winning bidder in accordance with Schedule 4.

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

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

102

(1) After the deadline for paying the required assignment stage deposit under regulation 81 has passed (and after any negotiation period has ended), OFCOM shall determine the winning 700 MHz individual frequency lot assignment stage bids in accordance with this regulation.

(2) The winning 700 MHz individual frequency lot assignment stage bids shall be those valid 700 MHz individual frequency lot assignment stage bids that comprise the winning combination of valid 700 MHz individual frequency lot assignment stage bids.

(3) The winning combination of valid 700 MHz individual frequency lot assignment stage bids shall be the valid combination of 700 MHz individual frequency lot assignment stage bids having the highest total value of amounts bid.

(4) A combination of valid 700 MHz individual frequency lot assignment stage bids is a valid combination of 700 MHz individual frequency lot assignment stage bids if—

(a) within that combination there is one valid 700 MHz individual frequency lot assignment stage bid from each winning bidder for 700 MHz individual frequency lots;

(b) each of those valid 700 MHz individual frequency lot assignment stage bids is for a 700 MHz individual frequency lot assignment stage option as determined by OFCOM for the bidder;

(c) no numbered 700 MHz individual frequency lot is included in more than one of the 700 MHz individual frequency lot assignment stage bids included in the combination of valid 700 MHz individual frequency lot assignment stage bids; and

(d) the numbered 700 MHz individual frequency lots not included in that combination of valid 700 MHz individual frequency lot assignment stage bids, taken together, form a single block of numbered 700 MHz individual frequency lots.

(5) Where there is more than one valid combination of 700 MHz individual frequency lot assignment stage bids for which the total value is equal highest, OFCOM shall employ a method of random selection from amongst those valid combinations of 700 MHz individual frequency lot assignment stage bids for which the value is equal highest to determine the winning combination of valid 700 MHz individual frequency lot assignment stage bids.

Determination of 700 MHz individual frequency lot additional prices

103

In respect of each winning 700 MHz individual frequency lot assignment stage bid, OFCOM shall determine an amount in whole pounds (“700 MHz individual frequency lot additional price”) which shall be payable by the relevant winning bidder in accordance with Schedule 5.

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

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

104

(1) After the deadline for paying the required assignment stage deposit under regulation 81 has passed (and after any negotiation period has ended), OFCOM shall determine the winning 700 MHz paired frequency lot assignment stage bids in accordance with this regulation.

(2) The winning 700 MHz paired frequency lot assignment stage bids shall be those valid 700 MHz paired frequency lot assignment stage bids that comprise the winning combination of valid 700 MHz paired frequency lot assignment stage bids.

(3) The winning combination of valid 700 MHz paired frequency lot assignment stage bids shall be the valid combination of 700 MHz paired frequency lot assignment stage bids having the highest total value of amounts bid.

(4) A combination of valid 700 MHz paired frequency lot assignment stage bids is a valid combination of 700 MHz paired frequency lot assignment stage bids if—

(a) within that combination there is one valid 700 MHz paired frequency lot assignment stage bid from each winning bidder for 700 MHz paired frequency lots;

(b) each of those valid 700 MHz paired frequency lot assignment stage bids is for a 700 MHz paired frequency lot assignment stage option as determined by OFCOM for the bidder;

(c) no numbered 700 MHz paired frequency lot is included in more than one of the 700 MHz paired frequency lot assignment stage bids included in the combination of valid 700 MHz paired frequency lot assignment stage bids; and

(d) the numbered 700 MHz paired frequency lots not included in that combination of valid 700 MHz paired frequency lot assignment stage bids, taken together, form a single block of numbered 700 MHz paired frequency lots.

(5) Where there is more than one valid combination of 700 MHz paired frequency lot assignment stage bids for which the total value is equal highest, OFCOM shall employ a method of random selection from amongst those valid combinations of 700 MHz paired frequency lot assignment stage bids for which the value is equal highest to determine the winning combination of valid 700 MHz paired frequency lot assignment stage bids.

Determination of 700 MHz paired frequency lot additional prices

105

In respect of each winning 700 MHz paired frequency lot assignment stage bid, OFCOM shall determine an amount in whole pounds (“700 MHz paired frequency lot additional price”) which shall be payable by the relevant winning bidder in accordance with Schedule 6.

CHAPTER 6 — Notification of results of the assignment stage

Notification of results of the assignment stage

106

After the determination of the assignment of the 3.6 GHz lots or the winning 3.6 GHz assignment stage bids, the winning 700 MHz individual frequency lot assignment stage bids and the winning 700 MHz paired frequency lot assignment stage bids, and the determination of the additional price for each winning 3.6 GHz lot assignment stage bid, the additional price for each winning 700 MHz individual frequency lot assignment stage bid and the additional price for each winning 700 MHz paired frequency lot assignment stage bid, OFCOM shall notify each winning bidder of—

(a) the 700 MHz individual frequency lot assignment stage option for which the bidder made a winning assignment stage bid;

(b) the additional price (if any) determined for the winning 700 MHz individual frequency lot assignment stage bid made by the bidder;

(d) the additional price (if any) determined for the winning 700 MHz paired frequency lot assignment stage bid;

(e) the assignment of the 3.6 GHz lots (following a valid adjacency agreement), or the winning 3.6 GHz lot assignment stage option for which the bidder made a winning assignment stage bid;

(f) the additional price (if any) for a winning 3.6 GHz assignment stage bid made by the bidder; and

(g) whether the bidder is party to a valid adjacency agreement and, if so, who the other parties to that valid adjacency agreement are.

PART 9 — Grant Stage

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

Interpretation

107

In these Regulations—

(a) a “3.6 GHz licence” is a licence that authorises the use of particular frequencies corresponding to a block of such number of 3.6 GHz lots as that bidder has been assigned in accordance with these Regulations; and

(b) a “700 MHz licence” is a licence that authorises the use of particular frequencies corresponding to a block or pair of blocks (as the case may be) of such number of 700 MHz individual frequency lots and such number of 700 MHz paired frequency lots as that bidder has been assigned in accordance with these Regulations.

Determination of licences, licence fees and frequencies associated with particular licences

108

After notification of the results of the assignment stage under regulation 106 OFCOM shall determine—

(a) the licences which may be granted; and

(b) for each licence—

(i) the licence fee payable to OFCOM; and

(ii) the particular frequencies.

Licences which may be granted under this award process

109

The licences which may be granted to a bidder under this award process are—

(a) for a bidder which won 3.6 GHz lots, a 3.6 GHz licence;

(b) for a bidder which won—

(i) 700 MHz individual frequency lots;

(ii) 700 MHz paired frequency lots; or

(iii) both 700 MHz individual frequency lots and 700 MHz paired frequency lots,

a 700 MHz licence.

Licence fee payable by a winning bidder for a 3.6 GHz licence

110

The licence fee payable by a winning bidder for a 3.6 GHz licence shall be an amount equal to the sum of—

(a) that bidder's total 3.6 GHz base price; and

(b) that bidder's 3.6 GHz lot additional price (if any).

Licence fee payable by a winning bidder for a 700 MHz licence

111

The licence fee payable by a winning bidder for a 700 MHz licence shall be an amount equal to the sum of—

(a) that bidder's total 700 MHz individual frequency lot base price;

(b) that bidder's total 700 MHz paired frequency lot base price;

(d) that bidder's 700 MHz paired frequency lot additional price (if any).

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

112

(1) Where a winning bidder won 3.6 GHz lots in accordance with regulation 97 or 98 the 3.6 GHz licence granted to that bidder shall authorise the use of the frequencies corresponding to the particular numbered 3.6 GHz lots for which the bidder made the winning 3.6 GHz assignment stage bid.

(2) Where a winning bidder was assigned 3.6 GHz lots in accordance with regulation 96 the 3.6 GHz licence granted to that bidder shall authorise the use of the frequencies corresponding to the particular numbered 3.6 GHz lots assigned in accordance with the valid full adjacency agreement.

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

113

Where a winning bidder won 700 MHz individual frequency lots or 700 MHz paired frequency lots, any 700 MHz licence granted to that bidder shall authorise—

(a) where that bidder made a winning 700 MHz individual frequency lot assignment stage bid, the frequencies corresponding to the 700 MHz individual frequency lot assignment stage option for which the bidder made that winning bid; and

(b) where that bidder made a winning 700 MHz paired frequency lot assignment stage bid, the frequencies corresponding to the 700 MHz paired frequency lot assignment stage option for which the bidder made that winning bid.

CHAPTER 2 — Total auction sum

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

114

(1) OFCOM shall determine the total auction sum payable by each winning bidder in accordance with paragraph (2).

(2) The total auction sum payable by a winning bidder shall be the sum of—

(a) for that winning bidder's 3.6 GHz licence (if any), the licence fee determined in accordance with regulation 110; and

(b) for that winning bidder's 700 MHz licence (if any), the licence fee determined in accordance with regulation 111.

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

115

Following the determination of the total auction sum payable by each winning bidder to OFCOM, OFCOM shall notify each winning bidder of the total auction sum payable by that winning bidder to OFCOM.

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

116

Where, after the notification given in accordance with regulation 115, the total amount that a winning bidder has on deposit is an amount that is less than the total auction sum payable by that bidder to OFCOM, the bidder must, by a deadline specified by OFCOM, pay into OFCOM's bank account, with accompanying information which identifies the bidder, the sum in pounds which is the difference between such amount and the amount the bidder has on deposit.

CHAPTER 3 — Grant of licences

Entitlement to the grant of licences

117

(1) Where, following the passing of the deadline under regulation 116, the total amount that a winning bidder has on deposit is an amount that is equal to or more than the total auction sum payable by that bidder to OFCOM, OFCOM shall grant to that bidder the relevant licences referred to in regulation 118.

(2) Where, following the passing of the deadline under regulation 116, the amount of the deposit of a winning bidder remains less than the total auction sum payable by that bidder to OFCOM, that bidder—

(a) shall not be entitled to the grant of any licences under these Regulations and shall not receive a refund of any sum which the bidder has paid as a deposit under these Regulations which shall (where not already forfeited) be forfeited, together with any interest which has accrued on that deposit; and

(b) shall remain liable to pay the amount which is the difference (if any) between—

(i) the amount which is the total auction sum payable by that bidder to OFCOM; and

(ii) the amount the bidder has on deposit.

Grant of licences

118

The licences referred to in regulation 117(1) are—

(a) in respect of a winning bidder of 3.6 GHz lots, a 3.6 GHz licence which authorises the use of the frequencies determined in accordance with regulation 112; and

(b) in respect of a winning bidder of—

(i) 700 MHz individual frequency lots,

(ii) 700 MHz paired frequency lots; or

(iii) both 700 MHz individual frequency lots and 700 MHz paired frequency lots,

CHAPTER 4 — Completion of the award process

Refunds

119

Where, following the grant of licences, the total amount a bidder has on deposit at that time is an amount that is greater than the total auction sum payable by that bidder to OFCOM, OFCOM shall refund to that bidder a sum in pounds which is the difference between—

(a) the amount which is the total auction sum payable by that bidder to OFCOM (if any); and

(b) the amount the bidder has on deposit.

Notification to bidders following the grant of licences

120

Following the grant of licences and the refund (if any) of deposits, OFCOM shall notify each winning bidder of the names of all of the persons to whom licences were granted, and, in relation to each of them—

(a) the frequencies in respect of which the licences were granted; and

(b) the licence fees paid, indicating the total base prices and the additional prices.

Completion of the award process

121

OFCOM shall complete the award process by publishing on OFCOM's website—

(a) the names of the winning bidders to whom licences were granted, and, in relation to each of them—

(i) the frequencies in respect of which the licences were granted; and

(ii) the licence fees paid;

(b) the names of any winning bidders who, following the passing of the deadline under regulation 116, had an amount on deposit which is less than the total auction sum payable by them to OFCOM, and, in relation to each of them—

(i) the frequencies in respect of which, if they held on deposit an amount equal to the total auction sum, licences would have been granted; and

(ii) the total auction sum payable to OFCOM;

(d) details of all valid assignment stage bids for 700 MHz individual frequency lots and 700 MHz paired frequency lots; and

(e) details of the essential aspects of any valid full adjacency agreement or any valid partial adjacency agreement.

PART 10 — Forfeit of deposit and exclusion

Forfeit of deposit and exclusion from award process

122

(1) Subject to paragraph (2) if, in relation to an applicant which is qualified to bid or a bidder, OFCOM are satisfied that any of the events specified in regulation 124 are occurring (or have occurred) and that the occurrence would materially affect the outcome of the award process or would affect that bidder's overall bid constraint—

(a) any sum paid as a deposit under these Regulations shall be forfeited (together with any interest which has accrued on the deposit) by, and not refunded to, the applicant or bidder concerned; and

(b) that applicant or bidder may also be excluded from the award process by OFCOM giving that applicant or bidder notice in writing.

(2) If OFCOM are satisfied that any of the events specified in regulation 124(2)(d), 124(2)(e) or 124(2)(g)(ii) are occurring (or have occurred) only during the negotiation period OFCOM shall not require any deposit to be forfeited and shall not exclude any bidder.

Bids made by an excluded bidder

123

(1) Where a bidder is excluded from the award process under regulation 122 during the principal stage, OFCOM shall determine whether it should disregard the bids (and other bidding indications made on its principal stage form) made in any principal stage rounds prior to the exclusion, in order to have a fair and efficient outcome to the award process.

(2) Where OFCOM determine that it is appropriate to disregard the bids (and other bidding indications) made in any principal stage rounds—

(a) OFCOM shall notify bidders of the rounds for which they have determined to disregard the bids (and other bidding indications); and

(b) resume the award process from the start of the principal stage round after the round for which bids are not disregarded under sub-paragraph (a), or, where all bids are to be disregarded under that sub-paragraph, to rerun the award process from the start of the first principal stage round.

(3) Where a bidder is excluded from the award process under regulation 122 during the assignment stage—

(a) OFCOM shall determine whether it should disregard the bids (and other bidding indications) made in any principal stage round prior to the exclusion in accordance with paragraphs (1) and (2); and

(b) any adjacency agreement to which the bidder is a party and all of the assignment stage bids made by the bidder shall not be taken into consideration for the purposes of determining—

(i) the lots to be assigned under these Regulations; and

(ii) any additional price payable by a winning bidder under these Regulations.

Events

124

(1) The events referred to in regulation 122 are the events in paragraph (2) and the events in paragraph (3).

(2) Events in relation to an applicant or bidder are—

(a) the submission to OFCOM of any information in connection with the award process which is false or misleading;

(b) any member of that applicant's or bidder's bidder group colluding or attempting to collude with another person to distort the outcome of the bidding in the award process;

(c) any member of that applicant's or bidder's bidder group acting in a way which is likely to distort the outcome of the award process;

(d) any member of that applicant's or bidder's bidder group, or any person to whom confidential information has been disclosed, disclosing, or attempting to disclose, or inciting another person to disclose, any confidential information, whether directly or indirectly, to any person, except where the disclosure is—

(i) to OFCOM;

(ii) to a member of that applicant's or bidder's bidder group;

(iii) to a provider of finance for the purpose of raising finance for a bid; or

(iv) to a person for the purpose of enabling that person to decide whether to participate as a member of the applicant's or bidder's bidder group;

(e) any member of that applicant's or bidder's bidder group obtaining or attempting to obtain confidential information relating to another applicant or bidder;

(f) any member of that applicant's or bidder's bidder group receiving or attempting to receive services in relation to the award process from any person who has provided or is providing services to OFCOM in relation to the award process;

(g) any person who is a member or a director or employee of a member of that applicant's or bidder's bidder group and also a director or employee of a member of another bidder group—

(i) taking part in the preparation of both bidder groups for participation in the award process; or

(ii) receiving confidential information relating to both bidder groups;

(h) a member of that applicant's or bidder's bidder group is or becomes a member of another applicant's or bidder's bidder group; and

(i) a change occurring in the membership of that applicant's or bidder's bidder group from that notified to OFCOM in its application except as a result of—

(i) a person ceasing to be a member of that bidder group;

(ii) a person joining that bidder group under the procedure in regulation 8(3); or

(iii) a person becoming an associate through merger or acquisition activity provided that such activity is not for a purpose related to the award process.

(3) Events in relation to a bidder (but not an applicant) are—

(a) a change, after OFCOM have recorded that bidder's existing spectrum holdings under regulation 17, to the existing spectrum holdings of a bidder or, in relation to the bidder, any person referred to in regulation 4(3)(a)(iii) except insofar as the change is a divestment of a part of or the whole of the existing spectrum holdings; and

(b) any person which has existing spectrum holdings which was not at the time OFCOM recorded the bidder's existing spectrum holdings under regulation 17 a person referred to in regulation 4(3)(a)(iii) becoming such a person during the award process.

PART 11 — Miscellaneous

General power of exclusion

125

OFCOM may, at any time, notify any applicant or bidder of its exclusion from the award process, if required to do so by any direction given by the Secretary of State to OFCOM under section 5 of the Communications Act 2003 or if, after OFCOM's determination under regulation 10(1) (and notwithstanding that determination), in their opinion the applicant or bidder is not a fit and proper person to hold a licence.

Notification to OFCOM

126

If, in accordance with any provision of these Regulations, an applicant or bidder is required, or wishes, to notify OFCOM of any fact or circumstance, it must do so by notice in writing which is marked for the attention of the OFCOM personnel who are specified by OFCOM for that purpose on OFCOM's website and must deliver that notice to OFCOM by electronic mail to an electronic mail address dedicated to the award process which is published by OFCOM on their website.

Changes to timing or location

127

(1) Subject to regulations 128 and 129, paragraph (2) applies where OFCOM determine that it is impracticable for reasons relating to the coronavirus pandemic or for any other reason—

(a) for any document which is to be delivered to OFCOM under these Regulations to be delivered at the place specified or by the deadline specified under these Regulations; or

(b) for any action which is required to be undertaken in accordance with these Regulations to be completed by the deadline specified.

(2) Where this paragraph applies, OFCOM shall take reasonable steps to notify applicants or bidders that—

(a) delivery must be made on a different day or within different times on that day or at a different place; and

(b) the action must be completed on a different day or by a different deadline.

Changes to round times and use of electronic auction system

128

(1) Where a time for the start of a round has been notified to bidders and OFCOM determine that it is impracticable for reasons relating to the coronavirus pandemic or for any other reason to start the round at that time, OFCOM shall take reasonable steps to notify bidders of a revised time for the start of the round.

(2) Where a time for the end of a round has been notified to bidders and OFCOM determine that it is impracticable for reasons relating to the coronavirus pandemic or for any other reason for the round to end at that time, OFCOM shall take reasonable steps to notify bidders of a revised time for the end of the round.

(3) Where OFCOM determine that it is impracticable for reasons relating to the coronavirus pandemic or for any other reason to use the electronic auction system for any of the purposes specified in these Regulations, OFCOM shall take reasonable steps to notify bidders of an alternative method of participating in the award process and any requirements relating to the authentication of communications made by means of the alternative method.

(4) Bidders must use the alternative method of participating in the award process in accordance with a notification under paragraph (3).

Rerunning rounds

129

(1) Paragraph (2) applies where a round is in progress and OFCOM determine that it is not possible to continue the round because of—

(a) technical failure; or

(b) an event or circumstance with similar effect to technical failure on the continuation of the round (including, in particular, any such event or circumstance relating to the coronavirus pandemic).

(2) Where this paragraph applies, OFCOM shall—

(a) take reasonable steps to notify bidders of their determination under paragraph (1);

(b) disregard the bids (and other bidding indications) made in that round; and

(3) Paragraph (4) applies where OFCOM determine that it is not possible to continue the award process in accordance with the provisions of these Regulations because of—

(a) technical failure; or

(b) an event or circumstance with similar effect to technical failure on the continuation of the award process (including, in particular, any such event or circumstance relating to the coronavirus pandemic).

(4) Where this paragraph applies, OFCOM shall—

(a) determine the rounds for which bids (and other bidding indications) made in those rounds should be disregarded in order to have a fair and efficient outcome to the award process;

(b) take reasonable steps to notify bidders of their determinations under paragraph (3) and sub-paragraph (a); and

(c) resume the award process from the end of the latest round for which bids (and other bidding indications) are not disregarded under sub-paragraph (a), or, where all bids (and other bidding indications) are to be disregarded under that sub-paragraph, to rerun the award process from the start of the first principal stage round.

Refunds

130

OFCOM may, in such cases as they think fit, refund, in whole or in part, sums which have been paid to them in accordance with any provision of these Regulations.

Deposits

131

In determining under these Regulations the amount that an applicant or bidder has on deposit OFCOM shall disregard any sum forfeited under these Regulations and any interest which may have accrued on any deposit.

SCHEDULE 1 — Lots

In these Regulations—

(a) “3.6 GHz lot” means any of the twenty-four 3.6 GHz lots listed in Column (1) of Table 1 comprising the frequencies listed in the corresponding entry in Column (2) of the same table;

(b) “700 MHz individual frequency lot” means any of the four numbered 700 MHz lots listed in Column (1) of Table 2 comprising the frequencies listed in the corresponding entry in Column (2) of the same table;

(c) “700 MHz paired frequency lot” means any of the six numbered 700 MHz pairs of lots listed in Column (1) of Table 3 comprising the frequencies listed in the corresponding entry in Column (2) of the same table;

(d) “lot” means a 3.6 GHz lot, a 700 MHz individual frequency lot or a 700 MHz paired frequency lot;

(e) a reference to “lot type” shall be construed as a reference to any of the three different lot types in paragraphs (a), (b) and (c);

(f) a reference to a numbered 3.6 GHz lot, a numbered 700 MHz individual frequency lot, or a 700 MHz paired frequency lot means the lot with that number in Column (1) of Table 1, Table 2, or Table 3 (as the case may be); and

(g) a reference to a “block” of 700 MHz paired frequency lots, a 700 MHz individual frequency lot or a 3.6 GHz lot is to be construed as a reference to a block of contiguous and sequentially numbered lots.

3.6 GHz lots	Frequencies
3.6 GHz lot 1	3680-3685 MHz
3.6 GHz lot 2	3685-3690 MHz
3.6 GHz lot 3	3690-3695 MHz
3.6 GHz lot 4	3695-3700 MHz
3.6 GHz lot 5	3700-3705 MHz
3.6 GHz lot 6	3705-3710 MHz
3.6 GHz lot 7	3710-3715 MHz
3.6 GHz lot 8	3715-3720 MHz
3.6 GHz lot 9	3720-3725 MHz
3.6 GHz lot 10	3725-3730 MHz
3.6 GHz lot 11	3730-3735 MHz
3.6 GHz lot 12	3735-3740 MHz
3.6 GHz lot 13	3740-3745 MHz
3.6 GHz lot 14	3745-3750 MHz
3.6 GHz lot 15	3750-3755 MHz
3.6 GHz lot 16	3755-3760 MHz
3.6 GHz lot 17	3760-3765 MHz
3.6 GHz lot 18	3765-3770 MHz
3.6 GHz lot 19	3770-3775 MHz
3.6 GHz lot 20	3775-3780 MHz
3.6 GHz lot 21	3780-3785 MHz
3.6 GHz lot 22	3785-3790 MHz
3.6 GHz lot 23	3790-3795 MHz
3.6 GHz lot 24	3795-3800 MHz
700 MHz individual frequency lots	Frequencies
---	---
700 MHz individual frequency lot 1	738-743 MHz
700 MHz individual frequency lot 2	743-748 MHz
700 MHz individual frequency lot 3	748-753 MHz
700 MHz individual frequency lot 4	753-758 MHz
700 MHz paired frequency lots	Frequencies
---	---
700 MHz paired frequency lot 1	703-708 MHz and 758-763 MHz
700 MHz paired frequency lot 2	708-713 MHz and 763-768 MHz
700 MHz paired frequency lot 3	713-718 MHz and 768-773 MHz
700 MHz paired frequency lot 4	718-723 MHz and 773-778 MHz
700 MHz paired frequency lot 5	723-728 MHz and 778-783 MHz
700 MHz paired frequency lot 6	728-733 MHz and 783-788 MHz

SCHEDULE 2 — Application form and warranty

1. Details of the applicant

Provide the following details for the applicant—

Applicant’s full name

Registered number of company

Registered office of company

Bank sort code and account number

Name of individual contact within applicant

Contact address (if different from registered office)

Contact telephone number

Contact mobile telephone number

Contact electronic mail address

2. Authorised persons

Provide details of the name and position in the applicant of at least three and no more than five persons, each of whom has authority to bind the applicant for all purposes relating to the award process. Also provide a specimen signature of each of these persons.

3. Directors or members of managing body

Provide the name and job title of each of the directors of the applicant or each of the members of the managing body of the applicant.

4. Applicant group

Provide the names of the applicant’s associates (as defined in the Wireless Telegraphy (Licence Award) Regulations 2020 (“the Regulations”)) and for each provide details of their material interest (as defined in the Regulations) in the applicant.

Provide the names of all other members of the applicant group (as defined in the Regulations) in respect of which the applicant has completed a document in the form set out in Schedule 3 to the Regulations in accordance with regulation 4(3)(a)(ii) of the Regulations.

5. Qualification to bid

In relation to the determination by the Office of Communications (“OFCOM”) under regulation 10 of the Regulations—

(a) provide details of any reason why the applicant may not be a fit and proper person to hold a licence;

(b) state whether any member of the applicant’s applicant group has colluded, or attempted to collude, or is colluding or attempting to collude, with another person to distort the outcome of the award process and provide a description of any such collusion;

(c) state whether any member of the applicant’s applicant group has acted or is acting in a way which is likely to distort the outcome of the award process and provide a description of any such actions;

(d) state whether any member of the applicant’s applicant group, or any person to whom confidential information has been disclosed, has disclosed, or is disclosing or attempting to disclose or has incited or is inciting another person to disclose, any confidential information, whether directly or indirectly, to any person, and provide a description of the circumstances of any disclosure and the information disclosed, except where the disclosure—

(i) is or was to a member of the applicant’s applicant group;

(ii) is or was to OFCOM;

(iii) is or was to a provider of finance for the purpose of raising finance for the applicant’s application; or

(iv) is or was to a person for the purpose of enabling that person to decide whether to participate as a member of the applicant’s bidder group;

(e) state whether any member of the applicant’s applicant group has obtained or is obtaining or attempting to obtain confidential information relating to another applicant and provide a description of any such circumstances;

(f) state whether any member of the applicant’s applicant group is receiving or is attempting to receive services in relation to the award process from any person who has provided or is providing services to OFCOM in relation to the award process and provide a description of the services concerned; and

(g) state whether (and provide a description of any circumstances in which) any person who is a member or a director or employee of a member of the applicant’s applicant group and also a director or employee of a member of another applicant group is—

(i) taking part in the preparation of both applicant groups for participation in the award process; or

(ii) receiving confidential information relating to both applicant groups.

6. Other information

Provide a brief description of the substance of—

(a) agreements (if any) relating to the management of the applicant; and

(b) any criminal investigations or proceedings in the United Kingdom or overseas of which the applicant is aware relating to the applicant or any member of its applicant group or its directors or officers.

7. Existing spectrum holdings

Confirm that the applicant has provided the details of existing spectrum holdings required under regulation 4(3)(a)(iii) of the Regulations.

8. Warranty

Provide the following warranty—

“[Insert name of applicant] (the “applicant”) represents and warrants to the Office of Communications that—

(a) the persons authorised in section 2 of this application have read and understood the Regulations, the terms of the licences to be granted under the Regulations, and the Wireless Telegraphy Act 2006;

(b) the applicant has the legal authority to participate in the award process under the Regulations and to have a licence granted to it, and has in place all necessary consents, permissions and internal approvals for this purpose;

(c) the information provided in, or in support of, the application is, to the best of the knowledge and belief of the applicant, true, accurate and complete in all material respects; and

(d) the applicant is aware of the provisions in regulations 122 and 124 of the Regulations, including the provisions about disclosure of confidential information (as defined in the Regulations) and obtaining confidential information relating to another applicant or bidder and that any such activities may lead to forfeiture of sums on deposit and exclusion from the award process.”

SCHEDULE 3 — Document for member of applicant's applicant group or bidder group who is not an associate

[Insert name of applicant or bidder] (the “applicant/bidder”) wishes to include [insert name and address of person to be included in applicant or bidder group who is not an associate] as a member of the applicant/bidder’s applicant or bidder group as defined in the Wireless Telegraphy (Licence Award) Regulations 2020 (“the Regulations”) for the purpose of the award process under the Regulations.

Under regulation 11 of the Regulations an applicant shall not be qualified to bid in the award process where a member of its bidder group is also a member of another applicant’s bidder group. Regulations 122 and 124 contain provisions on disclosure of confidential information (as defined in the Regulations) and obtaining confidential information relating to another applicant or bidder. Under the Regulations such activities may lead to forfeiture of sums on deposit and exclusion from the award process.

Applicant/bidder

In relation to regulations 11, 122 and 124 of the Regulations, the applicant/bidder represents and warrants to the Office of Communications (“OFCOM”) that so far as it is aware, having made all reasonable enquiries, [insert name of person to be included in applicant or bidder group who is not an associate] is not a member of any other applicant’s or bidder’s applicant or bidder group.

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

[Insert name of person to be included in applicant or bidder group who is not an associate] represents and warrants to OFCOM that it—

(a) consents to be a member of the applicant/bidder’s applicant or bidder group;

(b) is not a member of any other applicant’s or bidder’s applicant or bidder group; and

(c) is aware of the provisions in regulations 10, 122 and 124 of the Regulations about disclosure of confidential information (as defined in the Regulations) and obtaining confidential information relating to another applicant or bidder.

SCHEDULE 4 — Determination of 3.6 GHz lot additional prices

Additional price

1

(1) OFCOM shall determine an additional price for each winning 3.6 GHz assignment stage bid by imposition of the requirements that the additional prices must satisfy that are set out in paragraphs 2 to 5.

(2) Where an additional price so determined includes a fraction of a pound, the additional price shall be that price rounded up to the nearest whole pound.

First requirement

2

The additional price for each winning 3.6 GHz assignment stage bid shall be no less than zero and no more than the amount of that winning 3.6 GHz assignment stage bid.

Second requirement

3

(1) Taking the additional prices for the winning 3.6 GHz assignment stage bids together, the additional prices shall be such that if—

(a) the amount bid by each winning bidder for the 3.6 GHz assignment stage option selected in its winning 3.6 GHz assignment stage bid had been the additional price rather than the amount of its winning 3.6 GHz assignment stage bid (“reduced winning 3.6 GHz assignment stage bid”), and

(b) subject to sub-paragraph (2), the amount bid by each winning bidder in respect of each other valid 3.6 GHz assignment stage bid made by that bidder had been reduced by an amount equal to the difference between the amount of its winning 3.6 GHz assignment stage bid and the additional price for that relevant winning 3.6 GHz assignment stage bid,

Third requirement

4

Taking the additional prices for the winning 3.6 GHz assignment stage bids together, the total of those additional prices shall be no greater than the total of any other prices for the winning 3.6 GHz assignment stage bids that satisfy the requirements set out in paragraphs 2 and 3.

Fourth requirement

5

(1) Taking the additional prices for the winning 3.6 GHz assignment stage bids together, the opportunity cost variance of those additional prices calculated in accordance with sub-paragraph (2) shall be less than the opportunity cost variance, calculated in accordance with sub-paragraph (2), of any other prices for the winning 3.6 GHz assignment stage bids that satisfy the requirements set out in paragraphs 2 to 4.

(2) The opportunity cost variance (“OCVA”) of prices mentioned in sub-paragraph (1) is the amount calculated in accordance with the formula OCVA= ∑(pA-cA)² where—

(a) “pA” is the price for a winning 3.6 GHz assignment stage bid; and

(b) “cA” is the amount calculated in accordance with the formula set out in sub-paragraph (3) in respect of that winning 3.6 GHz assignment stage bid.

(3) The formula is cA = uA-tA+bA where—

(a) “uA” is the amount calculated in accordance with sub-paragraph (4);

(b) “tA” is the total amount of the winning 3.6 GHz assignment stage bids; and

(4) The amount calculated in accordance with this sub-paragraph is the total amount of the valid combination of 3.6 GHz assignment stage bids or one of the valid combinations of 3.6 GHz assignment stage bids (as the case may be) having the highest total value of amounts bid where, for each 3.6 GHz assignment stage bid made by the winning bidder that submitted the winning 3.6 GHz assignment stage bid for which pA is the price, the amount of that 3.6 GHz assignment stage bid is treated as if it were zero for the purposes of this sub-paragraph.

(5) Where the amount of a 3.6 GHz assignment stage bid is treated as if it were zero in accordance with sub-paragraph (4), that 3.6 GHz assignment stage bid shall be treated as a valid 3.6 GHz assignment stage bid for the purposes of that sub-paragraph.

Interpretation

6

In this Schedule “valid combination of 3.6 GHz assignment stage bids” shall be construed in accordance with regulation 97 or 98 as the context requires.

SCHEDULE 5 — Determination of 700 MHz individual frequency lot additional prices

Additional price

1

(1) OFCOM shall determine an additional price for each winning 700 MHz individual frequency lot assignment stage bid by imposition of the requirements that the additional prices must satisfy that are set out in paragraphs 2 to 5.

(2) Where an additional price so determined includes a fraction of a pound, the additional price shall be that price rounded up to the nearest whole pound.

First requirement

2

The additional price for each winning 700 MHz individual frequency lot assignment stage bid shall be no less than zero and no more than the amount of that winning 700 MHz individual frequency lot assignment stage bid.

Second requirement

3

(1) Taking the additional prices for the winning 700 MHz individual frequency lot assignment stage bids together, the additional prices shall be such that if—

(a) the amount bid by each winning bidder for the 700 MHz individual frequency lot assignment stage option selected in its winning 700 MHz individual frequency lot assignment stage bid had been the additional price rather than the amount of its winning 700 MHz individual frequency lot assignment stage bid (“reduced winning 700 MHz individual frequency lot assignment stage bid”), and

(b) subject to sub-paragraph (2), the amount bid by each winning bidder in respect of each other valid 700 MHz individual frequency lot assignment stage bid made by that bidder had been reduced by an amount equal to the difference between the amount of its winning 700 MHz individual frequency lot assignment stage bid and the additional price for that relevant winning 700 MHz individual frequency lot assignment stage bid,

Third requirement

4

Taking the additional prices for the winning 700 MHz individual frequency lot assignment stage bids together, the total of those additional prices shall be no greater than the total of any other prices for the winning 700 MHz individual frequency lot assignment stage bids that satisfy the requirements set out in paragraphs 2 and 3.

Fourth requirement

5

(1) Taking the additional prices for the winning 700 MHz individual frequency lot assignment stage bids together, the opportunity cost variance of those additional prices calculated in accordance with sub-paragraph (2) shall be less than the opportunity cost variance, calculated in accordance with sub-paragraph (2), of any other prices for the winning 700 MHz individual frequency lot assignment stage bids that satisfy the requirements set out in paragraphs 2 to 4.

(2) The opportunity cost variance (“OCVA”) of prices mentioned in sub-paragraph (1) is the amount calculated in accordance with the formula OCVA= ∑(pA-cA)² where—

(a) “pA” is the price for a winning 700 MHz individual frequency lot assignment stage bid; and

(b) “cA” is the amount calculated in accordance with the formula set out in sub-paragraph (3) in respect of that winning 700 MHz individual frequency lot assignment stage bid.

(3) The formula is cA = uA-tA+bA where—

(a) “uA” is the amount calculated in accordance with sub-paragraph (4);

(b) “tA” is the total amount of the winning 700 MHz individual frequency lot assignment stage bids; and

(4) The amount calculated in accordance with this sub-paragraph is the total amount of the valid combination of 700 MHz individual frequency lot assignment stage bids or one of the valid combinations of 700 MHz individual frequency lot assignment stage bids (as the case may be) having the highest total value of amounts bid where, for each 700 MHz individual frequency lot assignment stage bid made by the winning bidder that submitted the winning 700 MHz individual frequency lot assignment stage bid for which pA is the price, the amount of that 700 MHz individual frequency lot assignment stage bid is treated as if it were zero for the purposes of this sub-paragraph.

(5) Where the amount of a 700 MHz individual frequency lot assignment stage bid is treated as if it were zero in accordance with sub-paragraph (4), that 700 MHz individual frequency lot assignment stage bid shall be treated as a valid 700 MHz individual frequency lot assignment stage bid for the purposes of that sub-paragraph.

Interpretation

6

In this Schedule “valid combination of 700 MHz individual frequency lot assignment stage bids” shall be construed in accordance with regulation 102.

SCHEDULE 6 — Determination of 700 MHz paired frequency lot additional prices

Additional price

1

(1) OFCOM shall determine an additional price for each winning 700 MHz paired frequency lot assignment stage bid by imposition of the requirements that the additional prices must satisfy that are set out in paragraphs 2 to 5.

(2) Where an additional price so determined includes a fraction of a pound, the additional price shall be that price rounded up to the nearest whole pound.

First requirement

2

The additional price for each winning 700 MHz paired frequency lot assignment stage bid shall be no less than zero and no more than the amount of that winning 700 MHz paired frequency lot assignment stage bid.

Second requirement

3

(1) Taking the additional prices for the winning 700 MHz paired frequency lot assignment stage bids together, the additional prices shall be such that if—

(a) the amount bid by each winning bidder for the 700 MHz paired frequency lot assignment stage option selected in its winning 700 MHz paired frequency lot assignment stage bid had been the additional price rather than the amount of its winning 700 MHz paired frequency lot assignment stage bid (“reduced winning 700 MHz paired frequency lot assignment stage bid”), and

(b) subject to sub-paragraph (2), the amount bid by each winning bidder in respect of each other valid 700 MHz paired frequency lot assignment stage bid made by that bidder had been reduced by an amount equal to the difference between the amount of its winning 700 MHz paired frequency lot assignment stage bid and the additional price for that relevant winning 700 MHz paired frequency lot assignment stage bid,

Third requirement

4

Taking the additional prices for the winning 700 MHz paired frequency lot assignment stage bids together, the total of those additional prices shall be no greater than the total of any other prices for the winning assignment stage bids that satisfy the requirements set out in paragraphs 2 and 3.

Fourth requirement

5

(1) Taking the additional prices for the winning 700 MHz paired frequency lot assignment stage bids together, the opportunity cost variance of those additional prices calculated in accordance with sub-paragraph (2) shall be less than the opportunity cost variance, calculated in accordance with sub-paragraph (2), of any other prices for the winning 700 MHz paired frequency lot assignment stage bids that satisfy the requirements set out in paragraphs 2 to 4.

(2) The opportunity cost variance (“OCVA”) of prices mentioned in sub-paragraph (1) is the amount calculated in accordance with the formula OCVA= ∑(pA-cA)² where—

(a) “pA” is the price for a winning 700 MHz paired frequency lot assignment stage bid; and

(b) “cA” is the amount calculated in accordance with the formula set out in sub-paragraph (3) in respect of that winning 700 MHz paired frequency lot assignment stage bid.

(3) The formula is cA = uA-tA+bA where—

(a) “uA” is the amount calculated in accordance with sub-paragraph (4);

(b) “tA” is the total amount of the winning 700 MHz paired frequency lot assignment stage bids; and

(4) The amount calculated in accordance with this sub-paragraph is the total amount of the valid combination of 700 MHz paired frequency lot assignment stage bids or one of the valid combinations of 700 MHz paired frequency lot assignment stage bids (as the case may be) having the highest total value of amounts bid where, for each 700 MHz paired frequency lot assignment stage bid made by the winning bidder that submitted the winning 700 MHz paired frequency lot assignment stage bid for which pA is the price, the amount of that 700 MHz paired frequency lot assignment stage bid is treated as if it were zero for the purposes of this sub-paragraph.

(5) Where the amount of a 700 MHz paired frequency lot assignment stage bid is treated as if it were zero in accordance with sub-paragraph (4), that 700 MHz paired frequency lot assignment stage bid shall be treated as a valid 700 MHz paired frequency lot assignment stage bid for the purposes of that sub-paragraph.

Interpretation

6

In this Schedule “valid combination of 700 MHz paired frequency lot assignment stage bids” shall be construed in accordance with regulation 104.

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