Auction 96 (H Block) Application Status
Federal Communications Commission
News Media Information 202 / 418-0500445 12th St., S.W.
Washington, D.C. 20554
December 4, 2013
AUCTION OF H BLOCK LICENSES IN THE 1915-1920 MHz AND1995-2000 MHz BANDS
STATUS OF SHORT-FORM APPLICATIONS TO PARTICIPATE IN AUCTION 96
AU Docket No. 13-1781.
By this Public Notice, the Wireless Telecommunications Bureau (“Bureau”) announces the
status of the 34 short-form applications received for Auction 96. This auction, which is scheduled to
begin on Wednesday, January 22, 2014, will offer 176 H Block licenses in the 1915-1920 MHz and 1995-
2000 MHz bands.1 This Public Notice also provides other important information and reminders relating
to the auction.
SHORT-FORM APPLICATIONS AND UPFRONT PAYMENTS
Status of Short-Form Applications2.
The short-form applications (FCC Forms 175) for Auction 96 have been reviewed for
completeness and compliance with the Commission’s rules, and have been classified into the categories
Complete Applications.Attachment A to this Public Notice lists the short-form
applications for Auction 96 that are accepted for filing and complete. Each of these applicants will
become a qualified bidder upon receipt by the Commission of the required upfront payment by the
1 See Auction for H Block Licenses in the 1915-1920 MHz and 1995-2000 MHz Bands Rescheduled for January 22,
2014; Notice of Changes to Auction 96 Schedule Follow Resumptions of Normal Commission Operations, AU
Docket No. 13-178, Public Notice, DA 13-2033 (rel. Oct. 21, 2013); see also Auction of H Block Licenses in the
1915-1920 MHz and 1995-2000 MHz Bands Scheduled for January 14, 2014; Notice and Filing Requirements,
Reserve Price, Minimum Opening Bids, Upfront Payments, and Other Procedures for Auction 96, AU Docket No.
13-178, Public Notice, DA 13-1885, 28 FCC Rcd 13019 (2013) (“Auction 96 Procedures Public Notice”). A
consolidated summary of these public notices was published at 78 Fed. Reg. 65982 (Nov. 4, 2013).
December 18, 2013, deadline described below.2 Each applicant must also maintain the accuracy of its
short-form application as required by sections 1.65 and 1.2105 of the Commission’s rules.3
Designation of an application as complete indicates the applicant has provided the
certifications and basic information concerning its qualifications as required by the Commission’s
competitive bidding rules for participation in the auction. Under the Commission’s two-phased auction
application process, a winning bidder must submit a long-form application after the close of the auction to
demonstrate its qualifications to hold a Commission license and, if a bidding credit is requested, its
eligibility for the bidding credit requested.4 Thus, a determination that a short-form application is
complete and complies with the Commission’s competitive bidding rules and policies is not determinative
of an applicant’s qualifications to hold a license or of entitlement to a bidding credit. In the event that an
applicant is found unqualified to be a Commission licensee or is ineligible for claimed designated entity
benefits, it will be liable for any obligations incurred as a result of its participation in the auction.
Incomplete Applications.Attachment B to this Public Notice lists the short-form
applications for Auction 96 that are accepted for filing but found to be incomplete or otherwise deficient.
Each applicant listed on Attachment B will receive overnight correspondence indicating the information
that is required to make its application complete. To become a qualified bidder, each applicant must
make the required upfront payment and resubmit its application, having corrected any deficiencies, by the
December 18, 2013, deadline.5 Each applicant must also maintain the accuracy of its short-form
application as required by sections 1.65 and 1.2105 of the Commission’s rules.6
Upfront payments and accompanying FCC Remittance Advice forms (FCC Form 159,
Revised 2/03) for Auction 96 are due in the proper account at U.S. Bank, St. Louis, Missouri, by 6:00
p.m. Eastern Time (ET) on Wednesday, December 18, 2013. In order to meet the Commission’s
upfront payment deadline, an applicant’s payment must be credited to the Commission’s account by the
deadline. Payments must be made by wire transfer only in accordance with the instructions
provided in the Auction 96 Procedures Public Notice.7 No other payment method is acceptable for this
auction.8 Each applicant is reminded to provide its FCC Registration Number (“FRN”) on the FCC Form
159 and to submit the same FRN with all future payments for Auction 96. At least one hour before
2 See section I.B., below; see also 47 C.F.R. § 1.2106 (upfront payment rule).
3 47 C.F.R. §§ 1.65, 1.2105(c). Sections 1.65(a) and 1.2105(c) of the Commission’s rules require each applicant in a
competitive bidding proceeding to furnish additional or corrected information within five days after a significant
occurrence, or to amend its short-form application no more than five days after the applicant becomes aware of the
need for amendment. See Procedural Amendments to Commission Part 1 Competitive Bidding Rules, WT Docket
No. 10-18, Order, FCC 10-4, 25 FCC Rcd 521, 523 ¶ 8 (2010) (“Part 1 Procedural Amendments Order”). See also
47 C.F.R. § 1.2105(c)(6) (any applicant that makes or receives a prohibited communication must report such
communication in writing to the Commission no later than five business days after the communication occurs).
4 See 47 C.F.R. §§ 1.2107, 1.2109; see also Implementation of Section 309(j) of the Communications Act –
Competitive Bidding, PP Docket No. 93-253, Second Report and Order, FCC 94-61, 9 FCC Rcd 2348, 2376-77
¶¶ 163-168 (1994).
5 See 47 C.F.R. §§ 1.2105(b), 1.2106.
6 47 C.F.R. §§ 1.65, 1.2105.
7 See Auction 96 Procedures Public Notice, 28 FCC Rcd at 13048-50 ¶¶ 108-113. A wire transfer is a transaction
that is initiated through an applicant’s bank. It authorizes the bank to wire funds from an applicant’s account to the
8 The Commission will not accept checks, credit cards, or automated clearing house (“ACH”) payments.
placing the order for the wire transfer (but on the same business day), each applicant must fax a
completed FCC Form 159 to U.S. Bank at (314) 418-4232.
Each applicant is responsible for ensuring timely submission of its upfront payment and for
timely filing of an accurate and complete FCC Remittance Advice Form (FCC Form 159). An applicant
should coordinate with its financial institution well ahead of the due date regarding its wire transfer and
allow sufficient time for the wire transfer to be initiated and completed prior to the deadline. The
Commission has repeatedly cautioned auction participants about the importance of planning ahead to
prepare for unforeseen last-minute difficulties in making payments by wire transfer.9 Each applicant
should obtain confirmation from its financial institution that its wire transfer was successful and from
Commission staff that the applicant’s payment has been received by the Commission in the proper
account. For confirmation from the Commission, an applicant may contact Gail Glasser of the Office of
Managing Director’s Auctions Accounting Group at (202) 418-0578, or Theresa Meeks at (202) 418-
2945. Detailed information regarding upfront payments, including additional requirements for “former
defaulters,” can be found in the Auction 96 Procedures Public Notice under section II.I. and section
Short-Form Application Changes and Resubmission8.
Each applicant whose application for Auction 96 has been identified as incomplete must
address defects in its application during the resubmission window, which is now open.11 Corrected
applications must be filed prior to 6:00 p.m. ET on Wednesday, December 18, 2013. This will be the
only opportunity to cure application defects. Late resubmissions will not be accepted. An applicant that
filed an application deemed to be incomplete or otherwise deficient, as noted in Attachment B to this
Public Notice, must submit a timely and sufficient upfront payment before the Commission will review
its resubmitted application. If an application is incomplete or otherwise deficient after the resubmission
deadline has passed, or if the required upfront payment is not made by the specified deadline, the
applicant will not be permitted to participate in bidding.12
As noted above, the Bureau is sending a letter to each applicant whose application has been
deemed incomplete identifying the deficiencies found during the staff’s initial review of the application.
These deficiency letters are being sent via overnight delivery to the contact person and contact address
listed on each incomplete application.
10. During this resubmission window, all applicants may make other minor changes as
described below in more detail. We remind applicants that sections 1.65 and 1.2105 of the Commission’s
rules require an applicant to maintain the accuracy and completeness of information furnished in its
pending short-form application.13 Each applicant should amend its short-form application to furnish
additional or corrected information within five days after a significant occurrence, or no more than five
days after the applicant becomes aware of the need for amendment.14 To the extent that changes may be
9 See, e.g., Letter to Lee G. Petro, Esq., from Margaret W. Wiener, Chief, Auctions and Spectrum Access Division,
DA 10-1270, 25 FCC Rcd 9046 (2010); Letter to David G. O’Neil, Esq. from Margaret W. Wiener, Chief,
Auctions and Spectrum Access Division, DA 08-622, 23 FCC Rcd 4765 (2008).
10 See Auction 96 Procedures Public Notice, 28 FCC Rcd at 13043-45 ¶¶ 85-90, 13048-51 ¶¶ 108-119.
11 47 C.F.R. § 1.2105(b)(2).
12 Each of these applicants will retain its status as an applicant in Auction 96 and will remain subject to the
Commission’s rules prohibiting certain communications, 47 C.F.R. §§ 1.2105(c), but will not be eligible to bid.
13 47 C.F.R. §§ 1.65, 1.2105.
made directly on the electronic Form 175 at the time of the amendment, an applicant must modify its
short-form application electronically.15 An applicant seeking to report changes outside of the
resubmission window must submit a letter briefly summarizing the changes by e-mail to the attention of
Margaret W. Wiener, Chief, Auctions and Spectrum Access Division, at the following address:
email@example.com. Questions about changes should be directed to the Auctions and Spectrum Access
Division at (202) 418-0660.
11. The electronic Form 175 will not permit an applicant to make certain modifications to its
application (e.g., change the applicant’s name, change its license selections, change the certifying official,
or claim eligibility for a higher percentage of bidding credit).16 Administrative and minor changes can be
made, including, for example, deletion and addition of authorized bidders (to a maximum of three),
revision of addresses and telephone numbers of an applicant and/or its contact person(s), and changes to a
responsible party. While changes can be made to ownership and agreement information,17 we remind
each applicant that any application changes must comply with the Commission’s rules, which prohibit,
among other things, changes in ownership that would constitute an assignment or transfer of control, as
well as changes in ownership or agreements that would constitute violations of section 1.2105(c).18 If any
application is changed to effect a major amendment, such as a change in control, the applicant will be
ineligible to bid in the auction.19
OTHER IMPORTANT AUCTION 96 INFORMATION12.
Qualified Bidders.Approximately three weeks after the upfront payment deadline,
following Commission review of resubmitted short-form applications and the correlation of payments and
applications, a public notice listing all applicants qualified to bid in Auction 96 will be released. The
same public notice will also include bidding schedules for both the mock auction and the first day of
Due Diligence.Potential bidders are solely responsible for investigating and evaluating all
technical and marketplace factors that may have a bearing on the value of the licenses being offered in
Auction 96. The Commission makes no representations or warranties about the use of this spectrum for
particular services. We strongly encourage potential bidders to conduct their own research prior to the
beginning of bidding in order to determine the existence of pending proceedings, pleadings, applications,
or authorizations that might affect their decisions regarding participation in the auction. 20 Additionally, a
potential bidder should perform technical analyses and/or refresh any previous analyses to assure itself
15 During the resubmission phase, applicants will have electronic access to update the following application fields:
jurisdiction of formation/country of citizenship, applicant address, responsible party information, responsible party
address, contact information, contact address, authorized bidder information, bidding option (telephonic or
electronic), agreement information, and ownership information. During all phases of the application process,
applicants have electronic access to make certain administrative changes including updates to: applicant address,
responsible party address, contact information, contact address, and bidding option (telephonic or electronic).
16 47 C.F.R. § 1.2105(b)(2). The Commission’s electronic Form 175 is designed to prevent inadvertent major
changes by applicants. Therefore, applicants are not permitted to make changes to certain data fields after the
short-form filing deadline, including applicant name, legal classification, bidding credit, and license selection.
17 For more information on making administrative changes to an existing application, see “Minor Modifications to
Short-Form Applications” and “Maintaining Current Information in Short-Form Applications” in the Auction 96
Procedures Public Notice, 28 FCC Rcd at 13045-47 ¶¶ 92-98 and Attachment D at 13081-96.
18 See 47 C.F.R. § 1.2105(b) – (c).
19 See 47 C.F.R. § 1.2105(b)(2).
20 See also 47 C.F.R. § 1.1202(d)(1) Note 1.
that, should it be a winning bidder for any Auction 96 license, it will be able to build and operate facilities
that will fully comply with the Commission’s current technical and legal requirements. Participants in
this auction should continue such research throughout the auction. For further details regarding due
diligence, please refer to the Auction 96 Procedures Public Notice, section I.C.6.21
Prohibition of Certain Communications.The Bureau reminds applicants that section
1.2105(c) of the Commission’s rules prohibits applicants for any of the same or overlapping geographic
license areas from communicating with each other about bids, bidding strategies, or settlements, which
may include communications regarding the post-auction market structure, unless they have identified
each other on their short-form applications as parties with which they have entered into agreements under
section 1.2105(a)(2)(viii).22 The prohibition on certain communications applies to applicants that selected
licenses in the same markets.23 Therefore, in Auction 96, for example, the rule would prohibit applicants
that have selected any of the same licenses on their short-form applications from communicating absent a
15. This prohibition took effect as of the November 15, 2013, short-form application filing
deadline for Auction 96 and extends until the post-auction down payment deadline, which will be
announced in a public notice released shortly following the close of bidding.25
The prohibition applies
to all applicants regardless of whether such applicants ultimately become qualified bidders, submit
an upfront payment, or actually bid.
16. We also emphasize that, for purposes of this prohibition, an “applicant” includes all
controlling interests of the entity submitting a short-form application to participate in the auction —
including all officers and directors of that entity and all holders of partnership and other ownership
interests and any stock interest amounting to 10 percent or more of the entity, or outstanding stock, or
outstanding voting stock of the entity submitting a short-form application.27 Thus, for example, a
21 See Auction 96 Procedures Public Notice, 28 FCC Rcd at 13033-34 ¶¶ 41-45.
22 47 C.F.R. §§ 1.2105(a)(2)(viii), 1.2105(c)(1). See also Amendment of Part 1 of the Commission’s Rules —
Competitive Bidding Procedures, WT Docket No. 97-82, Seventh Report and Order, FCC 01-270, 16 FCC Rcd
17546 (2001) (“Part 1 Seventh Report and Order”); Order on Reconsideration of the Third Report and Order, Fifth
Report and Order, and Fourth Further Notice of Proposed Rule Making, FCC 00-274, 15 FCC Rcd 15293, 15297-
98 ¶¶ 7-8 (2000).
23 Additional guidance on the requirements of section 1.2105(c) may be found in the Auction 96 Procedures Public
Notice. See Auction 96 Procedures Public Notice, 28 FCC Rcd at 13024-30 ¶¶ 8-30.
24 Part 1 Seventh Report and Order, 16 FCC Rcd at 17549 n.12.
25 47 C.F.R. § 1.2105(c)(1).
26 For example, the Commission imposed a forfeiture in the amount of $100,000 for violation of section 1.2105(c),
even though the applicant never made an upfront payment for the auction and was not listed as a qualified bidder.
See Northeast Communications of Wisconsin, Inc., Forfeiture Order, DA 04-3027, 19 FCC Rcd 18635 (2004). The
Commission subsequently reduced the amount of the forfeiture to $75,000 due to the parties’ history of compliance
with Commission rules. See Star Wireless, LLC and Northeast Communications of Wisconsin, Inc., Order on
Review, FCC 07-80, 22 FCC Rcd 8943 (2007), review denied, Star Wireless, LLC v. FCC, 522 F.3d 469 (D.C. Cir.
2008) (section 1.2105(c) applies to applicants regardless of whether they are qualified to bid). The United States
District Court for the Eastern District of Wisconsin granted summary judgment in favor of the United States
pursuant to an effort by the Department of Justice to enforce the forfeiture. United States v. Northeast
Communications of Wis., Inc., Decision and Order, Case No. 07-C-715, 608 F. Supp.2d 1049 (D. Wis. 2008). See
also Letter to Robert Pettit, from Margaret W. Wiener, Chief, Auctions and Industry Analysis Div., DA 00-2905, 16
FCC Rcd 10080 (2000) (declining to exempt an applicant’s controlling interest from coverage by the rule, even
though the applicant never made an upfront payment for the auction and was not listed as a qualified bidder).
27 47 C.F.R. § 1.2105(c)(7)(i).
violation of section 1.2105(c) of the Commission’s rules could occur when an individual serves as an
officer and/or director for two or more competing applicants that have not disclosed an agreement on both
short-form applications.28 Therefore, applicants should continue to take precautionary steps to prevent
prohibited communications between any of the entities or persons covered by the prohibition.29
17. If parties had agreed in principle on all material terms of a bidding agreement(s), those
parties must have been identified on the short-form application pursuant to section 1.2105(c), even if the
agreement had not been reduced to writing. If parties had not agreed in principle by the November 15,
2013, short-form application filing deadline, an applicant should not have included the names of those
parties on its application, and must not have continued negotiations.30
Anonymous Bidding.We remind applicants that, under the anonymous bidding procedures
in effect for Auction 96, the Commission is withholding from public release, until after the close of the
auction, any information that may indicate specific applicants’ interests in the auction – including, among
other things, license selections, upfront payments and eligibility information – and the identities of
bidders placing bids or taking other bidding-related actions. Accordingly, communication with other
applicants or public disclosure of such non-public information may violate the Commission’s anonymous
bidding procedures and the rule prohibiting certain communications, section 1.2105(c) of the
19. This prohibition would include communication of any such non-public information by an
applicant to the public, financial analysts, or the press, as well as any such communication by an applicant
to another applicant for one or more licenses covering geographic areas also covered by the applicant’s
license selections on its short-form application.32 Examples of communications raising concern, given the
anonymous bidding procedures in effect for Auction 96, would include an applicant’s statement to the
press about its upfront payment or bidding eligibility, and an applicant’s statement to the press that it is or
is not interested in bidding in the auction.
28 See Lotus Communications Corp., Order, DA 08-1364, 23 FCC Rcd 9107 (2008); Letter to Colby M. May from
Barbara A. Kreisman, Chief, Video Div., and Margaret W. Wiener, Chief, Auctions & Spectrum Access Div., DA
05-2445, 20 FCC Rcd 14648 (2005) (finding apparent violation of 47 C.F.R. § 1.2105(c) where applicants with
mutually exclusive applications reported sharing same individual as an officer and director and reported no
29 See Application of Nevada Wireless, Memorandum Opinion and Order, DA 98-1137, 13 FCC Rcd 11973, 11977-
78 ¶¶ 11-13 (1998). The Bureau cautions, however, that the mere existence of precautionary measures will not
outweigh specific evidence of prohibited communications, nor will it preclude the initiation of an investigation when
warranted. Id. at 11978 ¶ 13.
30 See Wireless Telecommunications Bureau Clarifies Spectrum Auction Anti-Collusion Rules, Public Notice, DA
95-2244, 11 FCC Rcd 9645 (1995).
31 For purposes of section 1.2105(c), the term “applicant” includes all controlling interests, all parties with
ownership interests greater than ten percent and all officers and directors of the applicant. 47 C.F.R. §
32 The Commission has long expressed the concern that applicants also should use caution in their dealings with
other parties, such as members of the press, financial analysts, or others who might become a conduit for the
communication of non-public information relating to auctions, such as bids and bidding strategies. Cf. Wireless
Telecommunications Bureau Responds to Questions About the Local Multipoint Distribution Service Auction,
Public Notice, DA 98-37, 13 FCC Rcd 341, 347-8 (1998) (“Public statements can give rise to collusion concerns.
This has occurred in the antitrust context, where certain public statements can support other evidence which tends
to indicate the existence of a conspiracy.”).
20. Because anonymous bidding procedures are in place for Auction 96, applicants’ license
selections will not be disclosed publicly until after the auction closes. Therefore, the Bureau is sending
each applicant a letter identifying those applicants that have applied for licenses in any of the same
geographic areas as those selected by the applicant.33
Disclosure Obligations and Possible Sanctions.Sections 1.65 and 1.2105(c) of the
Commission’s rules require each auction applicant to maintain the accuracy and completeness of
information furnished in its pending application and to provide additional or corrected information within
five days after a significant occurrence, or amend its short-form application no more than five days after
the applicant becomes aware of the need for amendment.34 In addition, section 1.2105(c)(6) requires each
auction applicant to report a prohibited discussion or disclosure regarding bids or bidding strategy to the
Commission in writing immediately, but in no case later than five business days after the communication
occurs, even if the communication does not result in an agreement or understanding regarding bids or
bidding strategy that must be reported under section 1.65.35 The Commission has clarified that each
applicant’s obligation to report any such communication continues beyond the five-day period after the
communication is made, even if the report is not made within the five-day period.36
Reporting Prohibited Communications. A party reporting a communication pursuant to
sections 1.65 or 1.2105(c) must take care to ensure that any such report of a prohibited communication
does not itself give rise to a violation of section 1.2105(c). For example, a party’s report of a prohibited
communication could violate the rule by communicating prohibited information to other applicants
through the use of Commission filing procedures that would allow such materials to be made available for
23. The Commission amended section 1.2105(c) to minimize the risk of inadvertent
dissemination of information by requiring any party to file only a single report and to file that report with
Commission personnel expressly charged with administering the Commission’s auctions.37 Pursuant to
the amended rule, any report required by section 1.2105(c) must be filed consistent with the instructions
set forth in the Auction 96 Procedures Public Notice.38 Any such report must be filed immediately with
the Chief of the Auctions and Spectrum Access Division and either submitted by e-mail to
firstname.lastname@example.org or delivered to the following address: Margaret W. Wiener, Chief, Auctions and
Spectrum Access Division, Wireless Telecommunications Bureau, Federal Communications Commission,
445 12th Street, SW, Room 6423, Washington, DC 20554. Any party submitting such a report should
include a cover sheet to avoid the inadvertent dissemination of information contained in the report.
33 See Auction 96 Procedures Public Notice, 28 FCC Rcd at 13026 ¶ 14.
34 47 C.F.R. §§ 1.65, 1.2105(c). See also Auction 96 Procedures Public Notice, 28 FCC Rcd at 13028-29 ¶¶ 23-
35 47 C.F.R. § 1.2105(c)(6); see also Part 1 Seventh Report and Order, 16 FCC Rcd at 17555 ¶ 17.
36 See Service Rules for the 698-746, 747-762 and 777-792 MHz Bands, WT Docket No. 06-150, Second Report
and Order, FCC 07-132, 22 FCC Rcd 15289, 15395 ¶¶ 285-86 (2007).
37 Part 1 Procedural Amendments Order, 25 FCC Rcd at 522 ¶ 4.
38 Auction 96 Procedures Public Notice, 28 FCC Rcd at 13029 ¶¶ 26-28.
24. A party seeking to report such a prohibited communication should consider submitting its
report with a request that the report or portions of the submission be withheld from public inspection.39
Any such party is also encouraged to consult with the Auctions and Spectrum Access Division staff if it
has any questions about the procedures for submitting such reports.40 The Auction 96 Procedures Public
Notice provides additional guidance on procedures for submitting application-related information.41
25. Each applicant that is a winning bidder will be required to disclose in its long-form
application the specific terms, conditions, and parties involved in any bidding consortia, joint ventures,
partnerships, or other agreements, understandings or arrangements entered into relating to the competitive
bidding process.42 Any applicant found to have violated section 1.2105(c) of the Commission’s rules may
be subject to sanctions.43 In addition, we remind applicants that they are subject to the antitrust laws,
which are designed to prevent anti-competitive behavior in the marketplace. If an applicant is found to
have violated the antitrust laws in connection with its participation in the competitive bidding process, it
may be subject to forfeiture of its upfront payment, down payment, or full bid amount, and may be
prohibited from participating in future auctions.44
Rule.Applicants should also be aware that the Commission has generally treated
mutually exclusive short-form applications to participate in the auctions process as exempt proceedings
and, therefore, not subject to the ex parte prohibitions that pertain to restricted proceedings.45
Mock Auction.All applicants found to be qualified bidders will be eligible to participate in
a mock auction on Friday, January 17, 2014. The Bureau encourages all qualified bidders to take
advantage of this opportunity to become familiar with the FCC’s Integrated Spectrum Auction System
(“ISAS” or “FCC Auction System”). In the public notice announcing the qualified bidders, the Bureau
will announce the bidding schedule for the mock auction. The mock auction will be conducted over the
Internet, and telephonic bidding will be available as well.
Electronic Bidding.Applicants are reminded that qualified bidders are eligible to bid either
electronically or telephonically and should specify their bidding preference on the FCC Form 175, if they
have not already done so.
29. Bidders can access the FCC Auction System over the Internet. The following software is
required to use the FCC Integrated Spectrum Auction System:
39 See 47 C.F.R. § 0.459 (procedures for requesting that materials or information submitted to the Commission be
withheld from public inspection). If an applicant requests confidential treatment of a document, the cover page of
the filing must prominently display that the applicant is seeking confidential treatment for that document. For
example, a filing might include a cover page stamped with “Request for Confidential Treatment Attached” or “Not
for Public Inspection.” Any such request must cover all of the material to which the request applies. See 47
C.F.R. § 0.459(a).
40 See section III. “Contact Information” below.
41 See Auction 96 Procedures Public Notice, 28 FCC Rcd at 13046-47 ¶ 98.
42 See 47 C.F.R. § 1.2107(d).
43 See 47 C.F.R. §§ 1.2105(c), 1.2107(d), and 1.2109(d).
44 47 C.F.R. § 1.2109(d).
45 See Commission Announces that Mutually Exclusive ‘Short-Form’ Applications (Form 175) to Participate in
Competitive Bidding Process (‘Auctions’) Are Treated as Exempt for Ex Parte Purposes, Public Notice, FCC 94-
283, 9 FCC Rcd 6760 (1994). See also 47 C.F.R. § 1.1202(d)(1) Note 1.
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Post-Auction Procedures.Shortly after bidding has ended, the Commission will issue a
public notice declaring the auction closed, identifying the winning bidders, and establishing the deadlines
for submitting down payments and final payments and filing long-form applications (FCC Form 601) and
ownership disclosure information reports (FCC Form 602).46 Winning bidders will be subject to the more
extensive reporting requirements contained in the Commission’s Part 1 ownership disclosure rules and
must submit electronically a properly-completed FCC Form 601 and FCC Form 602.47 Further filing
instructions will be provided to auction winners at the close of the auction.
CONTACT INFORMATION32. For specific questions about an applicant’s incomplete status or its application deficiencies,
the applicant should contact the staff reviewer identified in the correspondence sent to the applicant by
33. For further information concerning Auction 96, contact:
General Auction Information
FCC Auctions HotlineGeneral Auction Questions
(888) 225-5322, option two; or
Auction Process and Procedures
Auction 96 Process and Procedures
Auctions and Spectrum Access Division
Jeff Crooks (Analyst)
Linda Sanderson (Project Manager)
Auction 96 Legal Information
Auctions and Spectrum Access DivisionAuction Rules, Policies, Regulations, including
Reports of section 1.2105(c) Violations and
Valerie Barrish (Attorney)
46 For more details on these payments and procedures, see Auction 96 Procedures Public Notice, 28 FCC Rcd at
13071-75 ¶¶ 206-221.
47 See 47 C.F.R. §§ 1.2107, 1.2112(b)(2).
Broadband DivisionService Rules, Policies, Regulations
Licensing Issues, Engineering Issues
Matthew Pearl (Attorney)
Due Diligence, Incumbency Issues
Janet Young (Engineer)
FCC Auctions Technical Support HotlineElectronic Filing
(877) 480-3201, option nine; or (202) 414-1250
FCC Auction System (Hardware/Software
(202) 414-1255 (TTY)
Hours of service: 8:00 a.m. – 6:00 p.m. ET,
Monday through Friday
Auctions Accounting GroupInstructions for Wiring Upfront Payments and
Completion of Form 159
34. To request materials in accessible formats (Braille, large print, electronic files, audio format)
for people with disabilities, send an e-mail to email@example.com or call the Consumer and Governmental
Affairs Bureau at (202) 418-0530 or (202) 418-0432 (TTY).
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