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Auction 95 (Paging Licenses) Procedures

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Released: March 29, 2013

PUBLIC NOTICE

Federal Communications Commission

News Media Information 202 / 418-0500

Internet: http://www.fcc.gov

445 12th St., S.W.

TTY: 1-888-835-5322

Washington, D.C. 20554

DA 13-535
March 29, 2013

AUCTION OF LOWER AND UPPER PAGING BANDS LICENSES

SCHEDULED FOR JULY 16, 2013

NOTICE AND FILING REQUIREMENTS, MINIMUM OPENING BIDS, UPFRONT

PAYMENTS, AND OTHER PROCEDURES FOR AUCTION 95

AU Docket No. 13-12

TABLE OF CONTENTS

Heading
Paragraph #
I.
GENERAL INFORMATION................................................................................................................. 1
A. Introduction...................................................................................................................................... 1
1. Background of Proceeding ........................................................................................................ 2
2. Licenses to be Offered in Auction 95........................................................................................ 4
B. License Descriptions ........................................................................................................................ 6
C. Rules and Disclaimers...................................................................................................................... 8
1. Relevant Authority .................................................................................................................... 8
2. Prohibited Communications and Compliance with Antitrust Laws ........................................ 10
3. Incumbency Issues................................................................................................................... 36
4. Due Diligence.......................................................................................................................... 39
5. Use of Integrated Spectrum Auction System .......................................................................... 48
6. Fraud Alert............................................................................................................................... 49
7. Environmental Review Requirements ..................................................................................... 51
D. Auction Specifics ........................................................................................................................... 52
1. Auction Start Date ................................................................................................................... 52
2. Auction Title............................................................................................................................ 54
3. Bidding Methodology.............................................................................................................. 55
4. Pre-Auction Dates and Deadlines............................................................................................ 56
5. Requirements for Participation................................................................................................ 57
II. SHORT-FORM APPLICATION (FCC FORM 175) REQUIREMENTS ........................................... 58
A. General Information Regarding Short-Form Applications ............................................................ 58
B. License Selection ........................................................................................................................... 63
C. Disclosure of Bidding Arrangements............................................................................................. 65
D. Ownership Disclosure Requirements............................................................................................. 68
E. Designated Entity Provisions ......................................................................................................... 70
1. Bidding Credits for Small Businesses ..................................................................................... 71
2. Attributable Interests ............................................................................................................... 76
3. Installment Payments............................................................................................................... 84
F. Tribal Lands Bidding Credit .......................................................................................................... 85
G. Provisions Regarding Former and Current Defaulters................................................................... 86

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H. Optional Applicant Status Identification........................................................................................ 92
I.
Minor Modifications to Short-Form Applications ......................................................................... 93
J. Maintaining Current Information in Short-Form Applications...................................................... 99
III. PRE-AUCTION PROCEDURES....................................................................................................... 100
A. Online Auction Tutorial – Available April 30, 2013 ................................................................... 100
B. Short-Form Applications – Due Prior to 6:00 p.m. ET on May 9, 2013...................................... 103
C. Application Processing and Minor Corrections ........................................................................... 106
D. Upfront Payments – Due June 13, 2013....................................................................................... 109
1. Making Upfront Payments by Wire Transfer ........................................................................ 110
2. FCC Form 159....................................................................................................................... 114
3. Upfront Payments and Bidding Eligibility ............................................................................ 115
E. Applicant’s Wire Transfer Information for Purposes of Refunds of Upfront Payments ............. 122
F. Auction Registration .................................................................................................................... 123
G. Remote Electronic Bidding.......................................................................................................... 127
H. Mock Auction – July 12, 2013..................................................................................................... 129
IV. AUCTION .......................................................................................................................................... 130
A. Auction Structure ......................................................................................................................... 131
1. Simultaneous Multiple Round Auction ................................................................................. 131
2. Limited Information Disclosure Procedures: Information Available to Bidders Before
and During the Auction ......................................................................................................... 132
3. Eligibility and Activity Rules................................................................................................ 142
4. Auction Stages....................................................................................................................... 146
5. Stage Transitions ................................................................................................................... 151
6. Activity Rule Waivers ........................................................................................................... 153
7. Auction Stopping Rules......................................................................................................... 158
8. Auction Delay, Suspension, or Cancellation ......................................................................... 161
B. Bidding Procedures...................................................................................................................... 163
1. Round Structure..................................................................................................................... 163
2. Reserve Price and Minimum Opening Bids .......................................................................... 165
3. Bid Amounts.......................................................................................................................... 170
4. Provisionally Winning Bids .................................................................................................. 177
5. Bidding .................................................................................................................................. 180
6. Bid Removal and Bid Withdrawal......................................................................................... 187
7. Round Results........................................................................................................................ 195
8. Auction Announcements ....................................................................................................... 196
V. POST-AUCTION PROCEDURES .................................................................................................... 197
A. Down Payments ........................................................................................................................... 198
B. Final Payments............................................................................................................................. 199
C. Long-Form Application (FCC Form 601).................................................................................... 200
D. Ownership Disclosure Information Report (FCC Form 602) ...................................................... 202
E. Tribal Lands Bidding Credit ........................................................................................................ 205
F. Default and Disqualification ........................................................................................................ 208
G. Refund of Remaining Upfront Payment Balance......................................................................... 211
VI. CONTACT INFORMATION ............................................................................................................ 213
Attachment A: Summary of Licenses to Be Auctioned ............................................................................A-1
Attachment B: Block/Frequency Cross-Reference List
B-1
Attachment C: Short-Form Application (FCC Form 175) Filing Instructions.......................................... C-1
Attachment D: Auction-Specific Instructions for FCC Remittance Advice (FCC Form 159) .................D-1
Attachment E: Summary Listing of Judicial, Commission and Bureau Documents Addressing
Application of the Ruling Prohibiting Certain Communications, 47 C.F.R. § 1.2105(C).................. E-1
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DA 13-535

I.

GENERAL INFORMATION

A.

Introduction

1.
By this Public Notice, the Wireless Telecommunications Bureau (“Bureau”) establishes
the procedures and minimum opening bid amounts for the upcoming auction of 5,905 licenses for lower
and upper paging bands spectrum.1 This auction, which is designated as Auction 95, is scheduled to start
on July 16, 2013. This Public Notice provides an overview of the procedures, terms and conditions
governing Auction 95 and the post-auction application and payment processes.
1.

Background of Proceeding

2.
In the Paging Second Report and Order, the Commission adopted rules governing
geographic licensing for exclusive channels in the 35 MHz, 43 MHz, 152 and 158 MHz, 454 MHz and
459 MHz, 929 MHz, and 931 MHz bands allocated for paging, and competitive bidding procedures for
resolving mutually exclusive applications for non-nationwide geographic area licenses in those bands.2
The Commission has since made paging licenses available through competitive bidding in four auctions:
Auction 26 (upper bands only) in 2000;3 Auction 40 (upper and lower bands) in 2001;4 Auction 48 (upper
and lower bands) in 2003;5 and Auction 87 (upper and lower bands) in 2010.6
3.
On February 1, 2013, in accordance with section 309(j)(3) of the Communications Act of
1934, as amended (the “Act”),7 the Bureau released a public notice seeking comment on competitive
bidding procedures to be used in Auction 95.8 No comments were submitted in response to the Auction
95 Comment Public Notice
.


1 The lower band paging bands consist of frequencies at 35 to 36 MHz (“35 MHz”), 43 to 44 MHz (“43 MHz”), 152
to 159 MHz (“152 and 158 MHz”), and 454 to 460 MHz (“454 and 459 MHz”). The upper paging bands consist of
frequencies at 929 MHz and 931 MHz (“929 MHz” and 931 MHz”).
2 Revision of Part 22 and Part 90 of the Commission’s Rules to Facilitate Future Development of Paging Systems,
Implementation of Section 309(j) of the Communications Act — Competitive Bidding, WT Docket No 96-18, PP
Docket No. 93-253, Second Report and Order and Further Notice of Proposed Rulemaking, FCC 97-59, 12 FCC Rcd
2732, 2748 ¶ 23, 2779-2820 ¶¶ 89-201 (1997) (“Paging Second Report and Order”). See also Revision of Part 22 and
Part 90 of the Commission’s Rules to Facilitate Future Development of Paging Systems, Implementation of Section
309(j) of the Communications Act – Competitive Bidding, WT Docket No. 96-18, PR Docket No. 93-253,
Memorandum Opinion and Order on Reconsideration and Third Report and Order, FCC 99-98, 14 FCC Rcd 10030,
10043-46 ¶¶ 14-21 (1999) (“Paging Reconsideration Order”).
3 “929 and 931 MHz Paging Auction Closes; Winning Bidders of 985 Licenses Announced; Down Payments Due
March 20, 2000; FCC Forms 601 and 602 Due March 20, 2000; Ten-Day Petition to Deny Period,” Public Notice,
DA 00-508, 15 FCC Rcd 4858 (2000).
4 “Lower and Upper Paging Bands Auction Closes; Winning Bidders Announced; Down Payments Due December
27, 2001; FCC Forms 601 and 602 Due December 27, 2001; Ten-Day Petition to Deny Period,” Public Notice, DA
01-2858, 16 FCC Rcd 21821 (2001).
5 “Lower and Upper Paging Bands Auction Closes; Winning Bidders Announced; Down Payments Due June 13,
2003; FCC Forms 601 and 602 Due June 13, 2003; Ten-Day Petition to Deny Period,” Public Notice, DA 03-1836,
18 FCC Rcd 11154 (2003).
6 “Lower and Upper Paging Bands Auction Closes; Winning Bidders Announced; Down Payments Due August 26,
2010; FCC Forms 601 and 602 Due August 26, 2010; Ten-Day Petition to Deny Period,” Public Notice, 25 FCC
Rcd 18164 (2010).
7 47 U.S.C. § 309(j)(3)(E)(i) (requirement to seek comment on proposed auction procedures); see also 47 U.S.C.
§ 309(j)(4)(F) (authorization to prescribe reserve price or minimum bid); 47 C.F.R. §§ 1.2104(c) and (d).
8 “Auction of Lower and Upper Paging Bands Licenses Scheduled for July 16, 2013; Comment Sought on
Competitive Bidding Procedures For Auction 95,” AU Docket No. 13-12, Public Notice, DA 13-60 (rel. Feb. 1,
(continued….)
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2.

Licenses to be Offered in Auction 95

4.
Auction 95 will offer 5,905 licenses consisting of 4,902 licenses in the lower paging
bands (35-36 MHz, 43-44 MHz, 152-159 MHz, 454-460 MHz) and 1,003 licenses in the upper paging
bands (929-931 MHz). Auction 95 will include licenses that remained unsold from previous auctions,
licenses on which a winning bidder in a previous auction defaulted, and licenses for spectrum previously
associated with licenses that cancelled or terminated. In a few cases, the available license does not cover
the entire geographic area due to an excluded area or previous partitioning.
5.
Attachment A to this Public Notice provides a summary of the licenses available in
Auction 95. Due to the large number of licenses in Auction 95, the complete list of licenses available for
this auction will be provided in electronic format only, available as separate “Attachment A” files at
http://wireless.fcc.gov/auctions/95/.9 The “Attachment A” files reflect corrections made to the market
name provided for 43 of the licenses listed as available in this auction in the Auction 95 Comment Public
Notice
. Those licenses for which the market name has been corrected are noted by a single “*.” The
market and license numbers for these licenses are unchanged.

B.

License Descriptions

6.
In the Paging Reconsideration Order, the Commission concluded that the licenses in the
lower paging bands should be awarded in each of the 175 geographic areas known as Economic Areas
(EAs), and the licenses in the upper paging bands should be awarded in each of the 51 geographic areas
known as Major Economic Areas (MEAs).10 These EAs and MEAs encompass the United States, Guam,
the Northern Mariana Islands, Puerto Rico, the U.S. Virgin Islands, and American Samoa.
7.
Tables containing the block/frequency cross-reference list for the paging bands are
included in Attachment B to this Public Notice.

C.

Rules and Disclaimers

1.

Relevant Authority

8.
Prospective applicants must familiarize themselves thoroughly with the Commission’s
general competitive bidding rules,11 including Commission decisions in proceedings regarding
competitive bidding procedures, application requirements, and obligations of Commission licensees.12
Prospective bidders should also familiarize themselves with the Commission’s rules relating to the lower
(Continued from previous page)


2013) (“Auction 95 Comment Public Notice”). A summary of this public notice was published at 78 Fed. Reg.
11179 (Feb. 15, 2013).
9 A copy of the complete list of licenses and any other documents relating to Auction 95 may also be obtained, for a
fee, from the Commission’s duplicating contractor, Best Copy and Printing, Inc. (“BCPI”). Contact information for
BCPI may be found in Section VI, Contact Information, below. When ordering documents from BCPI, you should
provide the appropriate FCC document number (for example, DA 13-535 for this Public Notice).
10 See Paging Reconsideration Order, 14 FCC Rcd at 10043-46 ¶¶ 14-21.
11 See 47 C.F.R. Part 1, Subpart Q.
12 See, e.g., Amendment of Part 1 of the Commission's Rules – Competitive Bidding Procedures, WT Docket No.
97-82, 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 (2000) (“Part 1 Fifth Report and
Order
”)(modified by Erratum, DA 00-2475 (rel. Nov. 3, 2000)); Seventh Report and Order, FCC 01-270, 16 FCC
Rcd 17546 (2001) (“Part 1 Seventh Report and Order”); Eighth Report and Order, FCC 02-34, 17 FCC Rcd 2962
(2002); Second Order on Reconsideration of the Third Report and Order and Order on Reconsideration of the Fifth
Report and Order
, FCC 03-98, 18 FCC Rcd 10180 (2003); Second Order on Reconsideration of the Fifth Report
and Order,
FCC 04-295, 20 FCC Rcd 1942 (2005).
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DA 13-535

and upper paging bands,13 and rules relating to applications, environment, practice and procedure.14 All
bidders must also be thoroughly familiar with the procedures, terms and conditions contained in this
Public Notice and any future public notices that may be issued in this proceeding.
9.
The terms contained in the Commission’s rules, relevant orders, and public notices are
not negotiable. The Commission may amend or supplement the information contained in our public
notices at any time, and will issue public notices to convey any new or supplemental information to
applicants. It is the responsibility of all applicants to remain current with all Commission rules and with
all public notices pertaining to this auction. Copies of most auctions-related Commission documents,
including public notices, can be retrieved from the FCC Auctions Internet site at
http://wireless.fcc.gov/auctions. Additionally, documents are available for public inspection and copying
between 8:00 a.m. and 4:30 p.m. Eastern Time (ET) Monday through Thursday or 8:00 a.m. to 11:30 a.m.
ET Fridays at the FCC Reference Information Center, 445 12th Street, SW, Room CY-A257,
Washington, DC 20554. Documents may also be purchased from BCPI, the Commission’s duplicating
contractor.15
2.

Prohibited Communications and Compliance with Antitrust Laws

10.
To ensure the competitiveness of the auction process, section 1.2105(c) of the
Commission’s rules prohibits auction applicants for licenses in any of the same or overlapping geographic
license areas from communicating with each other about bids, bidding strategies, or settlements unless
such applicants have identified each other on their short-form applications (FCC Form 175) as parties
with whom they have entered into agreements pursuant to section 1.2105(a)(2)(viii).16
a.

Entities Subject to Section 1.2105

11.
Section 1.2105(c)’s prohibition on certain communications will apply to any applicants
that submit short-form applications seeking to participate in a Commission auction for licenses in the
same or overlapping geographic license area. Thus, unless they have identified each other on their short-
form applications as parties with whom they have entered into agreements under section
1.2105(a)(2)(viii), applicants for any of the same or overlapping geographic license areas must
affirmatively avoid all communications with or disclosures to each other that affect or have the potential
to affect bids or bidding strategy.17 In some instances, this prohibition extends to communications
regarding the post-auction market structure.

This prohibition applies to all applicants regardless of
whether such applicants become qualified bidders or actually bid.

18


13 See 47 C.F.R. Parts 22 and 90.
14 See 47 C.F.R. Part 1, Subpart I.
15 See note 10, above. When ordering documents from BCPI, please provide the appropriate FCC document number
(for example, DA 13-60 for the Auction 95 Comment Public Notice, or DA 13-535 for this Public Notice).
16 See 47 C.F.R. §§ 1.2105(a)(2)(viii), 1.2105(c)(1); see also Part 1 Seventh Report and Order, 16 FCC Rcd at
17546.
17 See, e.g., Wireless Telecommunications Bureau Provides Guidance on the Anti-Collusion Rule for D, E and F
Block Bidders, Public Notice, DA 96-1460, 11 FCC Rcd 10134 (1996).
18 See, e.g., Star Wireless, LLC, Forfeiture Order, DA 04-3026, 19 FCC Rcd 18626, 18628 ¶ 4 & n.19 (EB 2004),
order granted in part sub nom, Star Wireless, LLC and Northeast Communications of Wisconsin, Inc., Order on
Review
, FCC 07-80, 22 FCC Rcd 8943 (2007)(“Star and Northeast Review Order”), petition for 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); Letter to Robert Pettit, from Margaret W. Wiener, Chief, Auctions and Industry Analysis
Division
, DA 00-2905, 16 FCC Rcd 10080 (WTB 2000) (declining to exempt an applicant’s controlling interest
from coverage by the communication prohibitions 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).
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DA 13-535

12.
Applicants are also reminded that, for purposes of this prohibition on certain
communications, section 1.2105(c)(7)(i) defines “applicant” as including all officers and directors of the
entity submitting a short-form application to participate in the auction, all controlling interests of that
entity, as well as 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.19 For example, where an individual served as an officer for two or
more applicants, the Bureau has found that the bids and bidding strategies of one applicant are conveyed
to the other applicant, and, absent a disclosed bidding agreement, an apparent violation of section
1.2105(c) occurs.20
13.
As described in Section IV.A.2., below, information concerning applicants’ license
selections will not be available to the public. Therefore, the Commission will inform each applicant by
letter of the identity of each of the other applicants that has applied for licenses covering any of the same
or overlapping geographic areas as the licenses that it has selected in its short-form application.21
14.
Individuals and entities subject to section 1.2105(c) should take special care in
circumstances where their employees may receive information directly or indirectly relating to any
competing applicant’s bids or bidding strategies. The Bureau has not addressed a situation where non-
principals (i.e., those who are not officers or directors, and thus not considered to be the applicant) receive
information regarding a competing applicant’s bids or bidding strategies and whether that information
should be presumed to be communicated to the applicant.
15.
An exception to the prohibition on certain communications allows non-controlling
interest holders to obtain interests in more than one competing applicant without violating section
1.2105(c) provided specified conditions are met (including a certification that no prohibited
communications have occurred or will occur), but that exception does not extend to controlling interest
holders.22
16.
Moreover, Auction 95 applicants selecting licenses for any of the same or overlapping
geographic license areas are encouraged not to use the same individual as an authorized bidder. A
violation of section 1.2105(c) could occur if an individual acts as the authorized bidder for two or more
competing applicants, and conveys information concerning the substance of bids or bidding strategies
between such applicants. Similarly, if the authorized bidders are different individuals employed by the
same organization (e.g., law firm, engineering firm or consulting firm), a violation similarly could
occur.23 In such a case, at a minimum, applicants should certify on their applications that precautionary


19 47 C.F.R. § 1.2105(c)(7)(i).
20 See, e.g., Letter to Colby M. May, TCCSA, Inc., d/b/a Trinity Broadcasting Network, from Barbara A. Kreisman,
Chief, Video Division, Media Bureau, and Margaret W. Wiener, Chief, Auctions and Spectrum Access Division,
Wireless Telecommunications Bureau, DA 05-2445, 20 FCC Rcd 14648 (WTB/MB 2005) (“Trinity”) ( (finding
apparent violation of communication prohibitions of section 1.2105(c) where applicants with mutually exclusive
applications reported sharing same individual as an officer and director and reported having no bidding agreement).
21 Section IV.A.2. “Limited Information Disclosure Procedures: Information Available to Bidders Before and
During the Auction,” below.
22 47 C.F.R. § 1.2105(c)(4). Specifically, the Commission’s rules permit a party holding a non-controlling,
attributable interest in one applicant to acquire an ownership interest in or enter into a joint bidding arrangement
with other applicants after the short-form application filing deadline, provided that: (i) the attributable interest holder
certifies that it has not and will not communicate with any party concerning the bids or bidding strategies of more
than one of the applicants in which it holds an attributable interest, or with which it has entered into a joint bidding
arrangement; and (ii) the arrangements do not result in a change in control of any of the applicants. 47 C.F.R.
§§1.2105(c)(4)(i), (ii).
23 See Application of Nevada Wireless, Memorandum Opinion and Order, DA 98-1137, 13 FCC Rcd 11973, 11977-
78 ¶¶ 11-12 (1998) (“Nevada Wireless Order”).
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steps have been taken to prevent communication between authorized bidders, and that the applicant and
its bidders will comply with section 1.2105(c).24
b.

Prohibition Applies Until Down Payment Deadline

17.
Section 1.2105(c)’s prohibition on certain communications begins at the short-form
application filing deadline and ends at the down payment deadline after the auction closes, which will be
announced in a future public notice.25
c.

Prohibited Communications

18.
Applicants must not communicate directly or indirectly about bids or bidding strategy to
other applicants in this auction (as described above).26 Section 1.2105(c) prohibits not only
communication about an applicant’s own bids or bidding strategy, it also prohibits communication of
another applicant’s bids or bidding strategy.27 While section 1.2105(c) does not prohibit non-auction-
related business negotiations among auction applicants, each applicant must remain vigilant so as not to
directly or indirectly communicate information that affects, or could affect, bids, bidding strategy, or the
negotiation of settlement agreements.
19.
Applicants are cautioned that the Commission remains vigilant about prohibited
communications taking place in other situations. For example, the Commission has warned that
prohibited “communications concerning bids and bidding strategies may include communications
regarding capital calls or requests for additional funds in support of bids or bidding strategies to the extent
such communications convey information concerning the bids and bidding strategies directly or
indirectly.”28 Moreover, the Commission has found a violation of section 1.2105(c) where an applicant
used the Commission’s bidding system to disclose “its bidding strategy in a manner that explicitly invited
other auction participants to cooperate and collaborate in specific markets,”29 and has placed auction
participants on notice that the use of its bidding system “to disclose market information to competitors
will not be tolerated and will subject bidders to sanctions.”30 Applicants also should use caution in their
dealings with other parties, such as members of the press, financial analysts, or others who might become
conduits for the communication of prohibited bidding information. For example, where limited
information disclosure procedures are in place, as in the case for Auction 95, an applicant’s statement to
the press that it has lost bidding eligibility and intends to stop bidding in the auction could give rise to a
finding of a section 1.2105(c) violation.31 Similarly, an applicant’s public statement of intent not to
participate in Auction 95 bidding could also violate the rule.


24 Id.
25 47 C.F.R. § 1.2105(c)(1).
26 Part 1 Seventh Report and Order, 16 FCC Rcd at 17553-54 ¶ 12. For a discussion of the term “applicant” within
the meaning of section 1.2105(c), see Section I.C.2.a. above.
27 See Notice of Apparent [L]iability for Forfeiture of Western PCS BTA 1 Corp., Memorandum Opinion and
Order
, FCC 99-385, 14 FCC Rcd 21571, 21574 ¶ 8 (1999).
28 Implementation of Section 309(j) of the Communications Act – Competitive Bidding, PP Docket No. 93-253,
Memorandum Opinion and Order, FCC 94-295, 9 FCC Rcd 7684, 7689 ¶ 12 (1994) (“Competitive Bidding
Memorandum Opinion and Order
”).
29 Mercury PCS II, LLC, Notice of Apparent Liability for Forfeiture, FCC 97-388, 12 FCC Rcd 17970, 17974 ¶ 12,
17976 ¶ 17 (1997).
30 Mercury PCS II, LLC, Memorandum Opinion and Order, FCC 98-203, 13 FCC Rcd 23755, 23760 ¶ 11 (1998).
31 Compare Wireless Telecommunications Bureau Responds to Questions About the Local Multipoint Distribution
Service Auction, Public Notice, DA 98-37, 13 FCC Rcd 341, 347-48 (1998) (“Public statements can give rise to
(continued….)
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20.
Applicants are also hereby placed on notice that public disclosure of information relating
to bidder interests and bidder identities that has not yet been made public by the Commission at the time
of disclosure may violate the provisions of section 1.2105(c) that prohibit certain communications.32 This
is so even though similar types of information were revealed prior to and during other Commission
auctions subject to different information procedures.
21.
In addition, when completing short-form applications, applicants should avoid any
statements or disclosures that may violate section 1.2105(c), particularly in light of the limited
information procedures in effect for Auction 95.33 Specifically, applicants should avoid including any
information in their short-form applications that might convey information regarding their license
selection, such as using applicant names that refer to licenses being offered, referring to certain licenses or
markets in describing bidding agreements, or including any information in attachments that may
otherwise disclose applicants’ license selections.
d.

Disclosure of Bidding Agreements and Arrangements

22.
The Commission’s rules do not prohibit applicants from entering into otherwise lawful
bidding agreements before filing their short-form applications, as long as they disclose the existence of
the agreement(s) in their short-form applications.34 Applicants must identify in their short-form
applications all parties with whom they have entered into any agreements, arrangements, or
understandings of any kind relating to the licenses being auctioned, including any agreements relating to
post-auction market structure.35
23.
If parties agree in principle on all material terms prior to the short-form application filing
deadline, each party to the agreement must identify the other party or parties to the agreement on its short-
form application under section 1.2105(c), even if the agreement has not been reduced to writing. If the
parties have not agreed in principle by the short-form filing deadline, they should not include the names
of parties to discussions on their applications, and they may not continue negotiation, discussion or
communication with any other applicants after the short-form application filing deadline.36
24.
Section 1.2105(c) does not prohibit non-auction-related business negotiations among
auction applicants.37 However, certain discussions or exchanges could touch upon impermissible subject
matters because they may convey pricing information and bidding strategies. Such subject areas include,
(Continued from previous page)


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.”).
32 Thus, communication by an applicant of its license selections to another applicant for one or more of the same
licenses, or communication of the fact that an applicant does or does not hold provisionally winning bids on
particular licenses, may well violate 47 C.F.R. § 1.2105(c).
33 See Section IV.A.2. “Limited Information Disclosure Procedures: Information Available to Bidders Before and
During the Auction,” below.
34 47 C.F.R. § 1.2105(c)(1).
35 47 C.F.R. §§ 1.2105(a)(2)(viii), (c)(1).
36 See Wireless Telecommunications Bureau Clarifies Spectrum Auction Anti-Collusion Rules, Public Notice, DA
95-2244, 11 FCC Rcd 9645, 9646 (WTB 1995) (“Anti-Collusion Public Notice”).
37 See, e.g., Todd Stuart Noordyk, Memorandum Opinion and Order, FCC 01-275, 16 FCC Rcd 18113, 18116-17 ¶
12 (2001).
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but are not limited to, issues such as management, sales, local marketing agreements, and other
transactional agreements.38
e.

Section 1.2105(c) Certification

25.
By electronically submitting a short-form application, each applicant in Auction 95
certifies its compliance with section 1.2105(c). In particular, an applicant must certify under penalty of
perjury it has not entered and will not enter into any explicit or implicit agreements, arrangements or
understandings of any kind with any parties, other than those identified in the application, regarding the
amount of the applicant’s bids, bidding strategies, or the particular licenses on which it will or will not
bid.39 However, the Bureau cautions that merely filing a certifying statement as part of an application will
not outweigh specific evidence that a prohibited communication has occurred, nor will it preclude the
initiation of an investigation when warranted.40 The Commission has stated that it “intend[s] to scrutinize
carefully any instances in which bidding patterns suggest that collusion may be occurring.”41 Any
applicant found to have violated section 1.2105(c) may be subject to sanctions.42
f.

Duty to Report Prohibited Communications

26.
Section 1.2105(c)(6) provides that any applicant that makes or receives a communication
that appears to violate section 1.2105(c) must report such communication in writing to the Commission
immediately, and in no case later than five business days after the communication occurs.43 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.44
27.
In addition, section 1.65 of the Commission’s rules requires an applicant to maintain the
accuracy and completeness of information furnished in its pending application and to notify the
Commission of any substantial change that may be of decisional significance to that application.45 Thus,
section 1.65 requires an auction applicant to notify the Commission of any substantial change to the
information or certifications included in its pending short-form application. An applicant is therefore
required by section 1.65 to report to the Commission any communication the applicant has made to or
received from another applicant after the short-form application filing deadline that affects or has the
potential to affect bids or bidding strategy, unless such communication is made to or received from a
party to an agreement identified under section 1.2105(a)(2)(viii).46
28.
Sections 1.65(a) and 1.2105(c) require each applicant in competitive bidding proceedings
to furnish additional or corrected information within five days of a significant occurrence, or to amend its


38 See Amendment of Part 1 of the Commission's Rules – Competitive Bidding Procedures, WT Docket No. 97-82,
Third Report and Order and Second Further Notice of Proposed Rule Making, FCC 97-413, 13 FCC Rcd 374, 467-
68 ¶ 163 (1997) (“Part 1 Third Report and Order”).
39 47 C.F.R. § 1.2105(a)(2)(ix).
40 Nevada Wireless Order, 13 FCC Rcd at 11978 ¶ 13.
41 Competitive Bidding Memorandum Opinion and Order, 9 FCC Rcd at 7689 ¶ 12.
42 See 47 C.F.R. §§ 1.2105(c), 1.2107(d), and 1.2109(d).
43 47 C.F.R. § 1.2105(c)(6); see also Part 1 Seventh Report and Order, 16 FCC Rcd at 17553-55 ¶¶ 13-17.
44 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 15,289, 15,395 ¶¶ 285-86 (2007).
45 47 C.F.R. § 1.65; see also Part 1 Seventh Report and Order, 16 FCC Rcd at 17550-51 ¶ 9.
46 See Part 1 Seventh Report and Order, 16 FCC Rcd at 17550-51 ¶ 9.
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short-form application no more than five days after the applicant becomes aware of the need for
amendment.47 These rules are intended to facilitate the auction process by making the information
available promptly to all participants and to enable the Bureau to act expeditiously on those changes when
such action is necessary.48
g.

Procedure for Reporting Prohibited Communications

29.
A party reporting any communication pursuant to sections 1.65, 1.2105(a)(2), or
1.2105(c)(6) must take care to ensure that any 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 public inspection.
30.
Section 1.2105(c) requires parties to file only a single report concerning a prohibited
communication and to file that report with Commission personnel expressly charged with administering
the Commission’s auctions.49 This rule is designed to minimize the risk of inadvertent dissemination of
information in such reports. Any reports required by section 1.2105(c) must be filed consistent with the
instructions set forth in this Public Notice.50 For Auction 95, such reports must be filed with the Chief of
the Auctions and Spectrum Access Division, Wireless Telecommunications Bureau, by the most
expeditious means available. Any such report should be submitted by e-mail to Ms. Wiener at the
following e-mail address: auction95@fcc.gov. If you choose instead to submit a report in hard copy, any
such report must be delivered only to: Margaret W. Wiener, Chief, Auctions and Spectrum Access
Division, Wireless Telecommunications Bureau, Federal Communications Commission, 445 12th Street,
SW, Room 6423, Washington, DC 20554.
31.
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 by
following the procedures specified in section 0.459 of the Commission’s rules.51 Such parties also are
encouraged to coordinate with the Auctions and Spectrum Access Division staff about the procedures for
submitting such reports.52 This Public Notice provides additional guidance on procedures for submitting
application-related information below.53


47 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”).
48 Id.
49 Part 1 Procedural Amendments Order, 25 FCC Rcd at 522 ¶ 4. This process differs from filing procedures used
in connection with other Commission rules and processes which may call for submission of filings to the
Commission’s Office of the Secretary or ECFS. Filing through the Office of Secretary or ECFS could allow the
report to become publicly available and might result in the communication of prohibited information to other
auction applicants.
50 Id.
51 See 47 C.F.R. § 0.459 (requests that materials or information submitted to the Commission be withheld from
public inspection). Filers requesting confidential treatment of documents must be sure that the cover page of the
filing prominently displays that the documents seek confidential treatment. 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).
52 See Section VI. “Contact Information,” below.
53 See Section II. J. “Maintaining Current Information in Short-Form Applications,” below.
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h.

Winning Bidders Must Disclose Terms of Agreements

32.
Each applicant that is a winning bidder will be required to disclose in its long-form
applications the specific terms, conditions, and parties involved in any agreement it has entered into. This
applies to any bidding consortia, joint venture, partnership, or agreement, understanding, or other
arrangement entered into relating to the competitive bidding process, including any agreement relating to
the post-auction market structure.54 Failure to comply with the Commission’s rules can result in
enforcement action.
i.

Additional Information Concerning Rule Prohibiting Certain
Communications

33.
A summary listing of documents issued by the Commission and the Bureau addressing
the application of section 1.2105(c) may be found in Attachment E. These documents are available on the
Commission’s auction web page at http://wireless.fcc.gov/auctions/prohibited_communications.
j.

Antitrust Laws

34.
Regardless of compliance with the Commission’s rules, applicants remain subject to the
antitrust laws, which are designed to prevent anticompetitive behavior in the marketplace.55 Compliance
with the disclosure requirements of section 1.2105(c) will not insulate a party from enforcement of the
antitrust laws.56 For instance, a violation of the antitrust laws could arise out of actions taking place well
before any party submitted a short-form application.57 The Commission has cited a number of examples
of potentially anticompetitive actions that would be prohibited under antitrust laws: for example, actual or
potential competitors may not agree to divide territories in order to minimize competition, regardless of
whether they split a market in which they both do business, or whether they merely reserve one market
for one and another market for the other.58 Similarly, the Bureau previously reminded potential applicants
and others that “[e]ven where the applicant discloses parties with whom it has reached an agreement on
the short-form application, thereby permitting discussions with those parties, the applicant is nevertheless
subject to existing antitrust laws.”59
35.
To the extent the Commission becomes aware of specific allegations that suggest that
violations of the federal antitrust laws may have occurred, the Commission may refer such allegations to
the United States Department of Justice for investigation.60 If an applicant is found to have violated the
antitrust laws or the Commission’s rules in connection with its participation in the competitive bidding


54 47 C.F.R. § 1.2107(d).
55 See Amendment of Part 1 of the Commission's Rules – Competitive Bidding Procedures, WT Docket No. 97-82,
Third Further Notice of Proposed Rulemaking, FCC 99-384, 14 FCC Rcd 21558, 21560-61 ¶ 4 & n.17 (1999)
quoting Competitive Bidding Memorandum Opinion and Order, 9 FCC Rcd at 7689 ¶ 12 (“[W]e wish to emphasize
that all applicants and their owners continue to be subject to existing antitrust laws. Applicants should note that
conduct that is permissible under the Commission's Rules may be prohibited by the antitrust laws.”);
Implementation of Section 309(j) of the Communications Act – Competitive Bidding, PP Docket No. 93-253,
Fourth Memorandum Opinion and Order, FCC 94-264, 9 FCC Rcd 6858, 6869 n.134 (1994)(“[A]pplicants will also
be subject to existing antitrust laws.”) (“Fourth Memorandum Opinion and Order”).
56 See Competitive Bidding Memorandum Opinion and Order, 9 FCC Rcd at 7689 ¶ 12. See also “Justice
Department Sues Three Firms Over FCC Auction Practices,” Press Release 98-536 (DOJ Nov. 10, 1998).
57 See, e.g., Fourth Memorandum Opinion and Order, 9 FCC Rcd at 6869 n.134.
58 Id. See also Competitive Bidding Second Report and Order, 9 FCC Rcd at 2387 n.165.
59 Anti-Collusion Public Notice, 11 FCC Rcd at 9646.
60 See Competitive Bidding Second Report and Order, 9 FCC Rcd at 2388 ¶ 226.
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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, among other sanctions.61
3.

Incumbency Issues

36.
There are pre-existing paging incumbent licenses, including public safety entities
licensed under either section 337 of the Communications Act, as amended, or section 1.925 of the
Commission's rules.62 Incumbent (non-geographic) paging licensees operating under their existing
authorizations are entitled to full protection from co-channel interference.63 Geographic area licensees are
likewise afforded co-channel interference protection from incumbent licensees.64 Geographic area
licensees are obligated to resolve possible interference concerns of adjacent geographic area licensees by
negotiating a mutually acceptable agreement with the neighboring geographic licensee.65 Incumbency
issues are further discussed below.
a.

International Coordination

37.
Potential bidders seeking licenses for geographic areas adjacent to the Canadian and
Mexican border should be aware that the use of some or all of the channels they acquire in the auction
could be restricted as a result of current or future agreements with Canada or Mexico.66 Licensees on the
lower paging channels must submit a FCC Form 601 to obtain authorization to operate stations north of
Line A or east of Line C because these channels are subject to the Above 30 Megacycles per Second
Agreement
with Industry Canada.67 Although the upper paging channels do not require coordination with
Canada, the U.S.-Canada Interim Coordination Considerations for the Band 929-932 MHz, as amended,
assigns specific 929 MHz and 931 MHz frequencies to the United States for licensing along certain
longitudes above Line A, and assigns other specific 929 MHz and 931 MHz frequencies to Canada for
licensing along certain longitudes along the U.S.-Canada border. In addition, the 929 MHz and 931 MHz
frequencies assigned to Canada are unavailable for use by U.S. licensees above Line A as set out in the
agreement.68
b.

Quiet Zones

38.
Paging licensees must individually apply for and receive a separate license for each
transmitter if the proposed operation would affect the radio quiet zones set forth in the Commission’s
rules.69


61 See 47 C.F.R. § 1.2109(d); see also Competitive Bidding Second Report and Order, 9 FCC Rcd at 2388 ¶ 226.
62 47 U.S.C. § 337; 47 C.F.R. § 1.925 (waiver standard).
63 Paging Reconsideration Order at 10059-60 ¶¶ 42-44. See also Paging Second Report and Order, 12 FCC Rcd at
2764 ¶¶ 57-58; 47 C.F.R. § 22.503(i).
64 Paging Second Report and Order at 2764 ¶ 57.
65 Paging Reconsideration Order, 14 FCC Rcd at 10060-61 ¶¶ 45-46.
66 See Coordination and Use of Radio Frequencies Above 30 Megacycles per Second, October 24, 1962, as
amended, June 24, 1965, U.S.-Canada; February 27, 1997 “Protocol Concerning Use of the 929-930 MHz and 931-
932 MHz Bands for Paging Services along the Common Border” with Mexico for paging services using 929-932
MHz spectrum within 120 kilometers (75 miles) of the common border.
67 Canada Telecommunication: Coordination and Use of Radio Frequencies Above 30 Megacycles per Second,
October 24, 1962, as amended, June 24, 1965, U.S.-Canada.
68 See 47 C.F.R. § 22.531(e) (limiting availability of UHF channels in the Canadian border region).
69 47 C.F.R. § 1.924.
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4.

Due Diligence

39.
Potential bidders are reminded that there are a number of incumbent licensees already
licensed and operating on frequencies that will be subject to the upcoming auction. Geographic area
licensees in accordance with the Commission’s rules must protect such incumbents from harmful
interference.70 These limitations may restrict the ability of such geographic area licensees to use certain
portions of the electromagnetic spectrum or provide service to certain areas in their geographic license
areas.
40.
We caution potential applicants formulating their bidding strategies to investigate and
consider the extent to which these frequencies are occupied. For example, as stated above, there are
incumbent operations already licensed and operating in the bands that must be protected. These
limitations may restrict the ability of paging licensees to use certain portions of the electromagnetic
spectrum or provide service to certain areas in their geographic license areas. Bidders should become
familiar with the status of these operations and applicable Commission rules, orders and any pending
proceedings related to the service, in order to make reasoned, appropriate decisions about their
participation in this auction and their bidding strategy.
41.
We remind each potential bidder that it is solely responsible for investigating and
evaluating all technical and marketplace factors that may have a bearing on the value of the licenses they
are seeking in this auction. Each bidder is responsible for assuring that, if it wins a license, it will be able
to build and operate facilities in accordance with the Commission’s rules.

The FCC makes no
representations or warranties about the use of this spectrum for particular services. Applicants
should be aware that an FCC auction represents an opportunity to become an FCC licensee subject
to certain conditions and regulations. An FCC auction does not constitute an endorsement by the
FCC of any particular service, technology, or product, nor does an FCC license constitute a
guarantee of business success.


42.
An applicant should perform its due diligence research and analysis before proceeding, as
it would with any new business venture. In particular, the Bureau strongly encourages each potential
bidder to review all Commission orders establishing rules and policies for the lower and upper paging
bands.71 Additionally, each potential bidder should perform technical analyses or refresh their previous
analyses to assure itself that, should it become a winning bidder for any Auction 95 license, it will be able
to build and operate facilities that will fully comply with all applicable technical and legal requirements.
The Bureau strongly encourages each applicant to inspect any prospective transmitter sites located in, or
near, the service area for which it plans to bid, confirm the availability of such sites, and to familiarize
itself with the Commission’s rules regarding the National Environmental Policy Act.72
43.
The Bureau strongly encourages each applicant to conduct its own research prior to
Auction 95 in order to determine the existence of pending administrative or judicial proceedings,
including pending allocation rulemaking proceedings, that might affect its decision to participate in the
auction. The Bureau strongly encourages each participant in Auction 95 to continue such research
throughout the auction. The due diligence considerations mentioned in this Public Notice do not
comprise an exhaustive list of steps that should be undertaken prior to participating in this auction. As
always, the burden is on the potential bidder to determine how much research to undertake, depending
upon specific facts and circumstances related to its interests.
44.
The Bureau also reminds each applicant that pending and future judicial proceedings, as
well as pending and future proceedings before the Commission — including applications, applications for


70 See 47 C.F.R. § 22.503(i).
71 See, e.g., authorities cited at note 2, above.
72 47 C.F.R. Chapter 1, Part 1, Subpart I.
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modification, petitions for rulemaking, requests for special temporary authority, waiver requests, petitions
to deny, petitions for reconsideration, informal objections, and applications for review — may relate to
particular applicants, incumbent licensees, or the licenses available in Auction 95. Each prospective
applicant is responsible for assessing the likelihood of the various possible outcomes and for considering
the potential impact on licenses available in this auction.
45.

Applicants are solely responsible for identifying associated risks and for

investigating and evaluating the degree to which such matters may affect their ability to bid on,
otherwise acquire, or make use of the licenses available in Auction 95.
Each potential bidder is
responsible for undertaking research to ensure that any licenses won in this auction will be suitable for its
business plans and needs. Each potential bidder must undertake its own assessment of the relevance and
importance of information gathered as part of its due diligence efforts.
46.
Applicants may research the Bureau’s licensing database in order to determine which
frequencies are already licensed to incumbent licensees. Applicants may obtain information about
licenses available in Auction 95 through the Bureau’s online licensing databases at
http://wireless.fcc.gov/uls. Potential bidders may query the database online and download a copy of their
search results if desired. Instructions on using License Search (including frequency searches and the
GeoSearch capability) and downloading query results are also available online by selecting the “?” button
at the upper right-hand corner of the “License Search” screen or by going to the Universal Licensing
System (“ULS”) support site at http://esupport.fcc.gov/licensing.htm. Potential bidders should direct
questions regarding the search capabilities of ULS to the FCC ULS Technical Support hotline at (877)
480-3201, option two. The hotline is available to assist with questions Monday through Friday, from 8:00
a.m. to 6:00 p.m. ET. In order to provide better service to the public, all calls to the hotline are recorded.
47.
The Commission makes no representations or guarantees regarding the accuracy or
completeness of information in its databases or any third party databases, including, for example, court
docketing systems. To the extent the Commission’s databases may not include all information deemed
necessary or desirable by an applicant, it must obtain or verify such information from independent sources
or assume the risk of any incompleteness or inaccuracy in said databases. Furthermore, the Commission
makes no representations or guarantees regarding the accuracy or completeness of information that has
been provided by incumbent licensees and incorporated into its databases.
5.

Use of Integrated Spectrum Auction System

48.
Bidders will be able to participate in Auction 95 over the Internet using the
Commission’s web-based Integrated Spectrum Auction System (“ISAS” or “FCC Auction System”). The
Commission makes no warranty whatsoever with respect to the FCC Auction System. In no event shall
the Commission, or any of its officers, employees, or agents, be liable for any damages whatsoever
(including, but not limited to, loss of business profits, business interruption, loss of business information,
or any other loss) arising out of or relating to the existence, furnishing, functioning, or use of the FCC
Auction System that is accessible to qualified bidders in connection with this auction. Moreover, no
obligation or liability will arise out of the Commission’s technical, programming, or other advice or
service provided in connection with the FCC Auction System.
6.

Fraud Alert

49.
As is the case with many business investment opportunities, some unscrupulous
entrepreneurs may attempt to use Auction 95 to deceive and defraud unsuspecting investors. Common
warning signals of fraud include the following:
·
The first contact is a “cold call” from a telemarketer, or is made in response to an inquiry
prompted by a radio or television infomercial.
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·
The offering materials used to invest in the venture appear to be targeted at IRA funds, for
example, by including all documents and papers needed for the transfer of funds maintained in
IRA accounts.
·
The amount of investment is less than $25,000.
·
The sales representative makes verbal representations that: (a) the Internal Revenue Service,
Federal Trade Commission (“FTC”), Securities and Exchange Commission (“SEC”), FCC, or
other government agency has approved the investment; (b) the investment is not subject to state
or federal securities laws; or (c) the investment will yield unrealistically high short-term profits.
In addition, the offering materials often include copies of actual FCC releases, or quotes from
FCC personnel, giving the appearance of FCC knowledge or approval of the solicitation.
50.
Information about deceptive telemarketing investment schemes is available from the FCC
as well as the FTC and SEC. Additional sources of information for potential bidders and investors may
be obtained from the following sources:
·
the FCC’s Consumer Call Center at (888) 225-5322 or by visiting
http://wireless.fcc.gov/csinfo#fraud
·
the FTC at (877) FTC-HELP ((877) 382-4357) or by visiting
http://ftc.gov/bcp/edu/pubs/consumer/invest/inv03.shtm
·
the SEC at (202) 942-7040 or by visiting
http://sec.gov/cgi-bin/txt-srch-sec?text=fraud&section=Investor+Information.
Complaints about specific deceptive telemarketing investment schemes should be directed to the FTC, the
SEC, or the National Fraud Information Center at (800) 876-7060.
7.

Environmental Review Requirements

51.
Licensees must comply with the Commission’s rules regarding implementation of the
National Environmental Policy Act and other federal environmental statutes.73 The construction of a
wireless antenna facility is a federal action, and the licensee must comply with the Commission’s
environmental rules for each such facility.74 These environmental rules require, among other things, that
the licensee consult with expert agencies having environmental responsibilities, including the U.S. Fish
and Wildlife Service, the State Historic Preservation Office, the U.S. Army Corps of Engineers, and the
Federal Emergency Management Agency (through the local authority with jurisdiction over floodplains).
In assessing the effect of facility construction on historic properties, the licensee must follow the
provisions of the FCC’s Nationwide Programmatic Agreement Regarding the Section 106 National
Historic Preservation Act Review Process.75 The licensee must prepare environmental assessments for
any facility that may have a significant impact in or on wilderness areas, wildlife preserves, threatened or
endangered species, or designated critical habitats, historical or archaeological sites, Indian religious sites,
floodplains, and surface features. In addition, the licensee must prepare environmental assessments for
facilities that include high intensity white lights in residential neighborhoods or excessive radio frequency
emission.


73 47 C.F.R. Chapter 1, Part 1, Subpart I.
74 47 C.F.R. §§ 1.1301-1.1319.
75 47 C.F.R. Part 1, Appendix C.
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D.

Auction Specifics

1.

Auction Start Date

52.
Bidding in Auction 95 will begin on Tuesday, July 16, 2013. Pre-auction dates and
deadlines are listed below.
53.
The initial schedule for bidding rounds will be announced by public notice at least one
week before the auction starts. Moreover, unless otherwise announced, bidding on all licenses will be
conducted on each business day until bidding has stopped on all licenses.
2.

Auction Title

54.
Auction 95 – Lower and Upper Paging Bands
3.

Bidding Methodology

55.
As discussed in more detail below, the bidding methodology for Auction 95 will be a
simultaneous multiple round format.76 The Commission will conduct this auction over the Internet using
the FCC Auction System. Qualified bidders are permitted to bid electronically via the Internet or by
telephone using the telephonic bidding option. All telephone calls are recorded.
4.

Pre-Auction Dates and Deadlines

56.
The following dates and deadlines apply:
Auction Tutorial Available (via Internet) .........................by April 30, 2013
Short-Form Application (FCC Form 175)
Filing Window Opens .......................................................April 30, 2013; 12:00 noon ET
Short-Form Application (FCC Form 175)
Filing Window Deadline...................................................May 9, 2013; prior to 6:00 p.m. ET
Upfront Payments (via wire transfer)................................June 13, 2013; 6:00 p.m. ET
Mock Auction ...................................................................July 12, 2013
Auction Begins..................................................................July 16, 2013
5.

Requirements for Participation

57.
Those wishing to participate in this auction must:
·
Submit a short-form application (FCC Form 175) electronically prior to 6:00 p.m. ET, on
May 9, 2013, following the electronic filing procedures set forth in Attachment C to this Public
Notice;
·
Submit a sufficient upfront payment and an FCC Remittance Advice Form (FCC Form 159) by
6:00 p.m. ET, on June 13, 2013, following the procedures and instructions set forth in Attachment
D to this Public Notice; and
·
Comply with all provisions outlined in this Public Notice and applicable Commission rules.


76 See Section IV.A.1. “Simultaneous Multiple Round Auction,” below.
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II.

SHORT-FORM APPLICATION (FCC FORM 175) REQUIREMENTS

A.

General Information Regarding Short-Form Applications

58.
An application to participate in an FCC auction, referred to as a short-form application or
FCC Form 175, provides information used to determine whether the applicant is legally, technically, and
financially qualified to participate in Commission auctions for licenses or permits.77 The short-form
application is the first part of the Commission’s two-phased auction application process. In the first
phase, parties desiring to participate in the auction must file a streamlined, short-form application in
which they certify under penalty of perjury as to their qualifications.78 Eligibility to participate in bidding
is based on the applicant’s short-form application and certifications, and on its upfront payment, as
explained below.79 In the second phase of the process, each winning bidder must file a more
comprehensive long-form application (FCC Form 601) and have a complete and accurate ownership
disclosure information report (FCC Form 602) on file with the Commission.80
59.
Every entity and individual seeking a license available in Auction 95 must file a short-
form application electronically via the FCC Auction System prior to 6:00 p.m. ET on May 9, 2013,
following the procedures prescribed in Attachment C to this Public Notice. If an applicant claims
eligibility for a bidding credit, the information provided in its FCC Form 175 will be used to determine
whether the applicant is eligible for the claimed bidding credit. Applicants filing a short-form application
are subject to the Commission’s anti-collusion rules beginning at the deadline for filing, as described
above.
60.
Applicants bear full responsibility for submitting accurate, complete and timely short-
form applications. All applicants must certify on their short-form applications under penalty of perjury
that they are legally, technically, financially and otherwise qualified to hold a license.81 Applicants
should read carefully the instructions set forth in Attachment C to this Public Notice and should consult
the Commission’s rules to ensure that, in addition to the materials described below, all the information
required is included within their short-form application.
61.
An individual or entity may not submit more than one short-form application for a single
auction. If a party submits multiple short-form applications, only one application may be accepted for
filing.
62.
Applicants should note that submission of a short-form application (and any amendments
thereto) constitutes a representation by the certifying official that he or she is an authorized representative
of the applicant, that he or she has read the form’s instructions and certifications, and that the contents of
the application, its certifications, and any attachments are true and correct. Applicants are not permitted
to make major modifications to their applications; such impermissible changes include a change of the
certifying official to the application.82 Submission of a false certification to the Commission may result in
penalties, including monetary forfeitures, license forfeitures, ineligibility to participate in future auctions,
and/or criminal prosecution.


77 47 C.F.R. §§ 1.2105.
78 Id.; see also Competitive Bidding Second Report and Order, 9 FCC Rcd at 2376 ¶ 165.
79 Section III.D. “Upfront Payments – Due June 13, 2013,” below.
80 47 C.F.R. §§ 1.2107.
81 47 C.F.R. § 1.2105(a)(2)(v).
82 See 47 C.F.R. § 1.2105(b).
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B.

License Selection

63.
An applicant must select the licenses on which it wants to bid from the “Eligible
Licenses” list on its short-form application. To assist in identifying licenses of interest that will be
available in Auction 95, the FCC Auction System includes a filtering mechanism that allows an applicant
to filter the “Eligible Licenses” list. Selections for one or more of the filter criteria can be made and the
system will produce a list of licenses satisfying the specified criteria. Any or all of the licenses in the
filtered results may be selected. Applicants will also be able to select licenses from one set of filtered
results and then filter on different criteria to select additional licenses.
64.
Applicants interested in participating in Auction 95 must have selected license(s)
available in this auction by the short-form application filing deadline. Applicants must review and verify
their license selections before the deadline for submitting short-form applications. License selections
cannot be changed after the short-form application filing deadline.83 The FCC Auction System will not
accept bids on licenses that were not selected on the applicant’s short-form application.

C.

Disclosure of Bidding Arrangements

65.
An applicant will be required to identify in its short-form application all real parties in
interest with whom it has entered into any agreements, arrangements, or understandings of any kind
relating to the licenses being auctioned, including any agreements relating to post-auction market
structure.84
66.
Each applicant will also be required to certify under penalty of perjury in its short-form
application that it has not entered and will not enter into any explicit or implicit agreements, arrangements
or understandings of any kind with any parties, other than those identified in the application, regarding the
amount of its bids, bidding strategies, or the particular licenses on which it will or will not bid.85 If an
applicant has had discussions, but has not reached an agreement by the short-form application filing
deadline, it should not include the names of parties to the discussions on its application and may not
continue such discussions with any applicants after the deadline.86
67.
After the filing of short-form applications, the Commission’s rules do not prohibit a party
holding a non-controlling, attributable interest in one applicant from acquiring an ownership interest in or
entering into a joint bidding arrangement with other applicants, provided that: (i) the attributable interest
holder certifies that it has not and will not communicate with any party concerning the bids or bidding
strategies of more than one of the applicants in which it holds an attributable interest, or with which it has
entered into a joint bidding arrangement; and (ii) the arrangements do not result in a change in control of
any of the applicants.87 While section 1.2105(c) of the rules does not prohibit non-auction-related
business negotiations among auction applicants, we remind applicants that certain discussions or
exchanges could touch upon impermissible subject matters because they may convey pricing information
and bidding strategies.88 Further, as discussed above, compliance with the disclosure requirements of


83 47 C.F.R. § 1.2105(b)(2).
84 47 C.F.R. §§ 1.2105(a)(2)(viii), (c)(1).
85 47 C.F.R. § 1.2105(a)(2)(ix).
86 Section I.C.2. “Prohibited Communications and Compliance with Antitrust Laws,” above.
87 47 C.F.R. §§ 1.2105(c)(4)(i), (ii).
88 Section I.C.2. “Prohibited Communications and Compliance with Antitrust Laws,” above; see Amendment of Part
1 of the Commission's Rules – Competitive Bidding Procedures, WT Docket No. 97-82, Third Report and Order
and Second Further Notice of Proposed Rule Making
, FCC 97-413, 13 FCC Rcd 374, 467-68 ¶ 163 (1997) (“Part 1
Third Report and Order”
).
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section 1.2105(c) of the Commission’s rules will not insulate a party from enforcement of the antitrust
laws.89

D.

Ownership Disclosure Requirements

68.
Each applicant must comply with the uniform Part 1 ownership disclosure standards and
provide information required by sections 1.2105 and 1.2112 of the Commission’s rules.90 Specifically, in
completing the short-form application, an applicant will be required to fully disclose information on the
real party- or parties-in-interest and the ownership structure of the applicant, including both direct and
indirect ownership interests of 10 percent or more
, as prescribed in sections 1.2105 and 1.2112 of the
Commission’s rules.91 Each applicant is responsible for ensuring that information submitted in its short-
form application is complete and accurate.
69.
In certain circumstances, an applicant’s most current ownership information on file with
the Commission, if in an electronic format compatible with the short-form application (FCC Form 175)
(such as information submitted in an FCC Form 602 or in an FCC Form 175 filed for a previous auction
using ISAS) will automatically be entered into the applicant’s short-form application. Each applicant
must carefully review any information automatically entered to confirm that it is complete and accurate as
of the deadline for filing the short-form application. Any information that needs to be corrected or
updated must be changed directly in the short-form application.

E.

Designated Entity Provisions

70.
Eligible applicants in Auction 95 may claim small business bidding credits. In addition
to the information provided below, applicants should review carefully the Commission’s decisions
regarding the designated entity provisions.92
1.

Bidding Credits for Small Businesses

71.
A bidding credit represents an amount by which a bidder’s winning bid will be
discounted. For Auction 95, bidding credits will be available to small businesses and consortia thereof.
a.

Bidding Credit Eligibility Criteria

72.
In the Paging Second Report and Order, the Commission adopted small business bidding
credits to promote and facilitate the participation of small businesses in competitive bidding for licenses
in the paging service.93 In the Paging Reconsideration Order, the Commission subsequently increased
the size of the bidding credits.94


89 Id.
90 47 C.F.R. § 1.2105 requires the disclosure on the short-form application of the applicant’s ownership information
as set forth in 47 C.F.R. §§ 1.2105 and 1.2112.
91 47 C.F.R. §§ 1.2105, 1.2112.
92 See, e.g., Implementation of the Commercial Spectrum Enhancement Act and Modernization of the Commission’s
Competitive Bidding Rules and Procedures, WT Docket No. 05-211, Report and Order, FCC 06-4, 21 FCC Rcd 891
(2006) (“CSEA/Part 1 Report and Order”); Second Report and Order and Second Further Notice of Proposed Rule
Making
, FCC 06-52, 21 FCC Rcd 4753 (2006) (“CSEA/Part 1 Second Report and Order”), recon. pending; Order
on Reconsideration of the Second Report and Order
, FCC 06-78, 21 FCC Rcd 6703 (2006) (“CSEA/Part 1 Second
Report and Order’s First Reconsideration Order
”).
93 See Paging Second Report and Order at 2806 ¶¶ 167-68, 2811 ¶ 178.
94 See Paging Reconsideration Order at 10091 ¶ 113. See also 47 C.F.R. §§ 1.2110, 22.217, and 22.223. In the
service-specific rulemaking governing paging licenses available in Auction 95, the Commission declined to adopt
bidding credits for entities with attributable average gross revenues of more than $15 million. See Revision of Part
22 and Part 90 of the Commission’s Rules to Facilitate Future Development of Paging Systems, WT Docket No 96-18,
(continued….)
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73.
The level of bidding credit is determined as follows:
·
A bidder with attributed average annual gross revenues that do not exceed $15 million for the
preceding three years will receive a 25 percent discount on its winning bid.95
·
A bidder with attributed average annual gross revenues that do not exceed $3 million for the
preceding three years will receive a 35 percent discount on its winning bid.96
74.
Bidding credits are not cumulative; qualifying applicants receive either the 25 percent or
the 35 percent bidding credit on its winning bid, but not both. Applicants should note that unjust
enrichment provisions apply to a winning bidder that utilizes a bidding credit and subsequently seeks to
assign or transfer control of its license to an entity not qualifying for the same level of bidding credit.97
b.

Revenue Disclosure on Short-Form Application

75.
An entity applying as a small business must provide gross revenues for the preceding
three years of each of the following: (1) the applicant, (2) its affiliates, (3) its controlling interests, (4) the
affiliates of its controlling interests, and (5) the entities with which it has an attributable material
relationship.98 Certification that the average annual gross revenues of such entities and individuals for the
preceding three years do not exceed the applicable limit is not sufficient. Additionally, if an applicant is
applying as a consortium of small businesses, this information must be provided for each consortium
member.99
2.

Attributable Interests

a.

Controlling Interests

76.
Controlling interests of an applicant include individuals and entities with either de facto
or de jure control of the applicant. Typically, ownership of greater than 50 percent of an entity’s voting
stock evidences de jure control. De facto control is determined on a case-by-case basis.100 The following
are some common indicia of de facto control:
·
the entity constitutes or appoints more than 50 percent of the board of directors or
management committee;
·
the entity has authority to appoint, promote, demote, and fire senior executives that control
the day-to-day activities of the licensee;
·
the entity plays an integral role in management decisions.101
(Continued from previous page)


Implementation of Section 309(j) of the Communications Act — Competitive Bidding, PP Docket No. 93-253,
Memorandum Opinion and Order on Reconsideration, 16 FCC Rcd 4989, 4993-94 ¶¶ 10-12 (2001) (“Third Paging
Reconsideration Order
”); cf. 47 C.F.R. § 1.2110(f)(2)(iii) (applicable rule in absence of service specific rules).
95 See 47 C.F.R. §§ 1.2110(f), 22.217 and 22.223(b)(2).
96 See 47 C.F.R. §§ 1.2110(f), 22.217 and 22.223(b)(1).
97 See 47 C.F.R. § 1.2111.
98 47 C.F.R. §§ 1.2110(b)(1)(i), 1.2110(b)(3)(iv)(B). See also Part 1 Fifth Report and Order, 15 FCC Rcd at 15323-
27 ¶¶ 59-67.
99 47 C.F.R. §§ 1.2110(b)(3)(i), 1.2110(b)(6), 1.2110(k).
100 For further guidance on the issue of de facto control, see the Commission’s affiliation rule at 47 C.F.R.
§1.2110(b)(5); see also Intermountain Microwave, Public Notice, 12 FCC 2d 559, 560, Report No. 1142 (1963);
Application of Baker Creek Communications, L.P., Memorandum Opinion and Order, DA 98-1921, 13 FCC Rcd
18709 (1998).
101 47 C.F.R. § 1.2110(c)(2)(i)(A)-(C).
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77.
Applicants should refer to section 1.2110(c)(2) of the Commission’s rules and
Attachment C of this Public Notice to understand how certain interests are calculated in determining
control. For example, pursuant to section 1.2110(c)(2)(ii)(F), officers and directors of an applicant are
considered to have controlling interest in the applicant.102
b.

Affiliates

78.
Affiliates of an applicant or controlling interest include an individual or entity that:
(1) directly or indirectly controls or has the power to control the applicant; (2) is directly or indirectly
controlled by the applicant; (3) is directly or indirectly controlled by a third party that also controls or has
the power to control the applicant; or (4) has an “identity of interest” with the applicant.103 The
Commission’s definition of an affiliate of the applicant encompasses both controlling interests of the
applicant and affiliates of controlling interests of the applicant.104 For more information regarding
affiliates, applicants should refer to section 1.2110(c)(5) and Attachment C to this Public Notice.
c.

Material Relationships

79.
The Commission requires the consideration of certain leasing and resale (including
wholesale) relationships – referred to as “attributable material relationships” – in determining designated
entity eligibility for bidding credits.105 An applicant or licensee has an “attributable material relationship”
when it has one or more agreements with any individual entity for the lease or resale (including under a
wholesale agreement) of, on a cumulative basis, more than 25 percent of the spectrum capacity of any
individual license held by the applicant or licensee. The attributable material relationship will cause the
gross revenues of that entity and its attributable interest holders to be attributed to the applicant or
licensee for the purposes of determining the applicant’s or licensee’s (i) eligibility for designated entity
benefits and (ii) liability for “unjust enrichment”106 on a license-by-license basis.107
80.
The Commission grandfathered material relationships in existence before the release of
the Designated Entity Second Report and Order, meaning that those preexisting relationships alone would
not cause the Commission to examine a designated entity’s ongoing eligibility for existing benefits or its
liability for unjust enrichment. The Commission did not, however, grandfather preexisting material
relationships for determinations of an applicant’s or licensee’s designated entity eligibility for future
auctions or in the context of future assignments, transfers of control, spectrum leases, or other reportable
eligibility events. Rather, in such circumstances, the Commission reexamines the applicant’s or
licensee’s designated entity eligibility, taking into account all existing material relationships, including
those previously grandfathered.108


102 47 C.F.R. § 1.2110(c)(2)(ii)(F).
103 47 C.F.R. § 1.2110(c)(5).
104 Id.
105 See Council Tree Communications, Inc. v. FCC, 619 F.3d 235 (3d Cir. 2010) (affirming attributable material
relationship rule and vacating impermissible material relationship rule).
106 The repayment obligations of designated entities are governed by a five-year unjust enrichment schedule. Id.,
619 F.3d at 258 (vacating ten-year unjust enrichment schedule).
107 CSEA/Part 1 Second Report and Order, 21 FCC Rcd at 4759-60 ¶ 15, 4763-65 ¶¶ 25-30, 4765-68 ¶¶ 31-41; see
also CSEA/Part 1 Second Report and Order’s First Reconsideration Order
, 21 FCC Rcd at 6712-13 ¶¶ 24-26; and
47 C.F.R. §§ 1.2110(b)(3)(iv)(B), 1.2111(d).
108 47 C.F.R. § 1.2110(b)(3)(iv)(C); CSEA/Part 1 Second Report and Order, 21 FCC Rcd at 4764 ¶¶ 28-29; see
CSEA/Part 1 Second Report and Order’s First Reconsideration Order
, 21 FCC Rcd at 6713-14 ¶¶ 27-29; but see the
additional grandfathering provision in section 1.2110(b)(3)(iv)(C)(2) for the material relationships of those entities
(continued….)
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d.

Gross Revenue Exceptions

81.
The Commission has also made other modifications to its rules governing the attribution
of gross revenues for purposes of determining designated entity eligibility. For example, the Commission
has clarified that, in calculating an applicant’s gross revenues under the controlling interest standard, it
will not attribute to the applicant the personal net worth, including personal income, of its officers and
directors.109
82.
The Commission has also exempted from attribution to the applicant the gross revenues
of the affiliates of a rural telephone cooperative’s officers and directors, if certain conditions specified in
section 1.2110(b)(3)(iii) of the Commission’s rules are met.110 An applicant claiming this exemption
must provide, in an attachment, an affirmative statement that the applicant, affiliate and/or controlling
interest is an eligible rural telephone cooperative within the meaning of section 1.2110(b)(3)(iii), and the
applicant must supply any additional information as may be required to demonstrate eligibility for the
exemption from the attribution rule.111 Applicants seeking to claim this exemption must meet all of the
conditions.112 Additional guidance on claiming this exemption may be found in Attachment C to this
Public Notice.
e.

Bidding Consortia

83.
A consortium of small businesses is a conglomerate organization composed of two or
more entities, each of which individually satisfies the definition of a small business.113 Thus, each
member of a consortium of small businesses that applies to participate in Auction 95 must individually
meet the criteria for small businesses, as set forth above.114 Each consortium member must disclose its
gross revenues along with those of its affiliates, its controlling interests, the affiliates of its controlling
interests, and any entities having an attributable material relationship with the member. Although the
gross revenues of the consortium members will not be aggregated for purposes of determining the
(Continued from previous page)


that are an applicant’s affiliates based solely on 47 C.F.R. § 1.2110(c)(5)(i)(C). See also 47 C.F.R. §
1.2110(b)(3)(iv)(C)(2); CSEA/Part 1 Second Report and Order, 21 FCC Rcd at 4764-65 ¶ 30.
109 See 47 C.F.R. § 1.2110(c)(2)(ii)(F). See also Part 1 Fifth Report and Order’s First Reconsideration Order, 18
FCC Rcd at 10185-86 ¶¶ 8-9. However, to the extent that the officers and directors of the applicant are controlling
interest holders of other entities, the gross revenues of those entities will be attributed to the applicant. Moreover, if
an officer or director operates a separate business, the gross revenues derived from that separate business would be
attributed to the applicant, although any personal income from such separate business would not be attributed. Id.,
18 FCC Rcd at 10186 ¶ 9.
110 Part 1 Fifth Report and Order’s First Reconsideration Order, 18 FCC Rcd at 10186-94 ¶¶ 10-18; Amendment of
Part 1 of the Commission’s Rules – Competitive Bidding Procedures, WT Docket No. 97-82, Second Order on
Reconsideration of the Fifth Report and Order
, FCC 04-295, 20 FCC Rcd 1942, 1945-46 ¶ 9 (2005) (“Fifth Report
and Order’s Second Reconsideration Order
”).
111 47 C.F.R. § 1.2110(b)(3)(iii). See also Fifth Report and Order’s Second Reconsideration Order, 20 FCC Rcd at
1949-50 ¶ 18.
112 See Part 1 Fifth Report and Order’s First Reconsideration Order, 18 FCC Rcd at 10186-95 ¶¶ 10-20; see also
Fifth Report and Order’s Second Reconsideration Order
, 20 FCC Rcd at 1945-46 ¶ 9.
113 47 C.F.R. § 1.2110(c)(6).
114 Id.
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consortium’s eligibility as a small business,115 this information must be provided to ensure that each
individual consortium member qualifies for any bidding credit awarded to the consortium.116
3.

Installment Payments

84.
Installment payments will not be available in Auction 95.

F.

Tribal Lands Bidding Credit

85.
To encourage the growth of wireless services in federally recognized tribal lands, the
Commission has implemented a tribal lands bidding credit. Applicants do not provide information
regarding tribal lands bidding credits on their short-form applications. Instead, winning bidders may
apply for the tribal lands bidding credit after the auction when they file their more detailed, long-form
applications. This process is described in Section V.E. “Tribal Lands Bidding Credit,” below.

G.

Provisions Regarding Former and Current Defaulters

86.
Current defaulters or delinquents are not eligible to participate in Auction 95, but former
defaulters or delinquents can participate so long as they are otherwise qualified and, as discussed in
Section III.D.3. below, make upfront payments that are fifty percent more than would otherwise be
necessary.117 An applicant is considered a “current defaulter” or a “current delinquent” when it, any of its
affiliates, any of its controlling interests, or any of the affiliates of its controlling interests, is in default on
any payment for any Commission construction permit or license (including a down payment) or is
delinquent on any non-tax debt owed to any Federal agency as of the filing deadline for short-form
applications. An applicant is considered a “former defaulter” or a “former delinquent” when it, any of its
affiliates, any of its controlling interests, or any of the affiliates of its controlling interests, have defaulted
on any Commission construction permit or license or been delinquent on any non-tax debt owed to any
Federal agency, but have since remedied all such defaults and cured all of the outstanding non-tax
delinquencies.
87.
On the short-form application, an applicant must certify under penalty of perjury that it,
its affiliates, its controlling interests, and the affiliates of its controlling interests, as defined by section
1.2110 of the Commission’s rules,118 are not in default on any payment for a Commission construction
permit or license (including down payments) and that it is not delinquent on any non-tax debt owed to any
Federal agency.119 Each applicant must also state under penalty of perjury whether it, its affiliates, its
controlling interests, and the affiliates of its controlling interests, have ever been in default on any
Commission construction permit or license or have ever been delinquent on any non-tax debt owed to any
Federal agency.120 Prospective applicants are reminded that submission of a false certification to the


115 47 C.F.R. § 1.2110(b)(3)(i).
116 The CSEA/Part 1 Report and Order modified the procedure by which a consortium that is a winning bidder will
apply for a license. See CSEA/Part 1 Report and Order, 21 FCC Rcd at 911-12 ¶¶ 51-52. Applicants applying as
consortia should review the CSEA/Part 1 Report and Order and 47 C.F.R. §§ 1.2107(g) and 1.2110(b)(3) to
understand how the members of the consortia will apply for a license in the event they are winning bidders.
117 47 C.F.R. §§ 1.2105(a)(2)(x), (xi), 1.2105(b)(1), and 1.2106(a); see Part 1 Fifth Report and Order, 15 FCC Rcd
at 15317 ¶ 42 & n.142 (“If any one of an applicant’s controlling interests or their affiliates…is in default on any
Commission licenses or is delinquent on any non-tax debt owed to any Federal agency at the time the applicant files
it[s] FCC Form 175, the applicant will not be able to make the certification required by section 1.2105(a)(2)(x)…and
will not be eligible to participate in Commission auctions.”).
118 47 C.F.R. § 1.2110.
119 47 C.F.R. § 1.2105(a)(2)(x); see also Part 1 Fifth Report and Order, 15 FCC Rcd at 15317 ¶ 42 & n.142.
120 47 C.F.R. § 1.2105(a)(2)(xi); see also Part 1 Fifth Report and Order, 15 FCC Rcd at 15317 ¶ 42.
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Commission is a serious matter that may result in severe penalties, including monetary forfeitures, license
revocations, exclusion from participation in future auctions, and/or criminal prosecution.
88.
Applicants are encouraged to review the Bureau’s previous guidance on default and
delinquency disclosure requirements in the context of the short-form application process.121 For example,
it has been determined that, to the extent that Commission rules permit late payment of regulatory or
application fees accompanied by late fees, such debts will become delinquent for purposes of sections
1.2105(a) and 1.2106(a) only after the expiration of a final payment deadline.122 Therefore, with respect
to regulatory or application fees, the provisions of sections 1.2105(a) and 1.2106(a) regarding default and
delinquency in connection with competitive bidding are limited to circumstances in which the relevant
party has not complied with a final Commission payment deadline.123 Parties are also encouraged to
consult with the Wireless Telecommunications Bureau’s Auctions and Spectrum Access Division staff if
they have any questions about default and delinquency disclosure requirements.
89.
The Commission considers outstanding debts owed to the United States Government, in
any amount, to be a serious matter. The Commission adopted rules, including a provision referred to as
the “red light rule,” that implement its obligations under the Debt Collection Improvement Act of 1996,
which governs the collection of debts owed to the United States.124 Under the red light rule, applications
and other requests for benefits filed by parties that have outstanding debts owed to the Commission will
not be processed. In the same rulemaking order, the Commission explicitly declared, however, that its
competitive bidding rules “are not affected” by the red light rule.125 As a consequence, the Commission’s
adoption of the red light rule does not alter the applicability of any of its competitive bidding rules,
including the provisions and certifications of sections 1.2105 and 1.2106, with regard to current and
former defaults or delinquencies.
90.
Applicants are reminded, however, that the Commission’s Red Light Display System,
which provides information regarding debts currently owed to the Commission, may not be determinative
of an auction applicant’s ability to comply with the default and delinquency disclosure requirements of
section 1.2105.126 Thus, while the red light rule ultimately may prevent the processing of long-form


121 “Wireless Telecommunications Bureau Reminds Prospective Broadband PCS Spectrum Auction Applicants of
Default and Delinquency Disclosure Requirements,” Public Notice, DA 04-3491, 19 FCC Rcd 21920 (2004)
(“Auction Default Disclosure Public Notice”). This public notice may be found at
http://wireless.fcc.gov/auctions/58/.
122 Letter to Cheryl A. Tritt, Esq., from Margaret Wiener, Chief, Auctions and Spectrum Access Division, Wireless
Telecommunications Bureau, DA 04-3685, 19 FCC Rcd 22907 (2004) (clarifying the term “debt” or “non-tax debt”
as referenced in 47 C.F.R. §§ 1.2105(a) and 1.2106(a)). This letter may be found at
http://wireless.fcc.gov/auctions/58/.
123 Even where Commission rules expressly permit late payment, subject to payment of an additional late fee, and do
not impose a final payment deadline, the Commission may in some cases issue a demand for payment by a date
certain. See 47 C.F.R. § 1.1164(a). Failure to comply with the terms of a demand letter in the time period specified
may render the subject debt delinquent, notwithstanding rules generally permitting late payment.
124 Amendment of Parts 0 and 1 of the Commission's Rules; Implementation of the Debt Collection Improvement
Act of 1996 and Adoption of Rules Governing Applications or Requests for Benefits by Delinquent Debtors, MD
Docket No. 02-339, Report and Order, FCC 04-72, 19 FCC Rcd 6540 (2004) (implementing Pub. L. No. 104-134,
110 Stat. 1321, 1358 (1996)) (“Debt Collection Report and Order”).
125 Debt Collection Report and Order, 19 FCC Rcd at 6541 n.11 (specifically mentions 47 C.F.R. §§ 1.2105(a)(2)(x)
and (xi) and states that “[t]hese rules are not affected by the red light rule.”).
126 Auction Default Disclosure Public Notice, DA 04-3491, 19 FCC Rcd at 21920 (addressing relationship between
Commission’s Red Light Display System and short-form application default and delinquency disclosure
requirements for auction applicants).
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applications by auction winners, an auction applicant’s lack of current “red light” status is not necessarily
determinative of its eligibility to participate in an auction or of its upfront payment obligation.
91.
Moreover, prospective applicants in Auction 95 should note that any long-form
applications filed after the close of bidding will be reviewed for compliance with the Commission’s red
light rule,127 and such review may result in the dismissal of a winning bidder’s long-form application.128

H.

Optional Applicant Status Identification

92.
Applicants owned by members of minority groups and/or women, as defined in section
1.2110(c)(3),129 and rural telephone companies, as defined in section 1.2110(c)(4), 130 may identify
themselves regarding this status in filling out their short-form applications. This applicant status
information is collected for statistical purposes only and assists the Commission in monitoring the
participation of “designated entities” in its auctions.131

I.

Minor Modifications to Short-Form Applications

93.
After the deadline for filing initial applications, an Auction 95 applicant is permitted to
make only minor changes to its application. Permissible minor changes include, among other things,
deletion and addition of authorized bidders (to a maximum of three) and revision of addresses and
telephone numbers of the applicants and their contact persons. An applicant is not permitted to make a
major modification to its application (e.g., change of license selection, change control of the applicant,
change the certifying official, or claim eligibility for a higher percentage of bidding credit) after the initial
application filing deadline.132 Thus, any change in control of an applicant — resulting from a merger, for
example — will be considered a major modification, and the application will consequently be
dismissed.133
94.
If an applicant wishes to make permissible minor changes to its short-form application,
such changes should be made electronically to its short-form application using the FCC Auction System
whenever possible. For the change to be submitted and considered by the Commission, be sure to click
on the SUBMIT button. After the revised application has been submitted, a confirmation page will be
displayed stating the submission time, submission date, and a unique file number.134
95.
An applicant cannot use the FCC Auction System outside of the initial and resubmission
filing windows to make changes to its short-form application for other than administrative changes (e.g.,
changing certain contact information or the name of an authorized bidder). If these or other permissible
minor changes need to be made outside of these windows, the applicant must submit a letter briefly


127 Debt Collection Report and Order, 19 FCC Rcd at 6540. See 47 C.F.R. § 1.1114.
128 Applicants that have their long-form application dismissed will be deemed to have defaulted and will be subject
to default payments under 47 C.F.R. §§ 1.2104(g) and 1.2109(c).
129 47 C.F.R. § 1.2110(c)(3).
130 47 C.F.R. § 1.2110(c)(4).
131 Designated entities are defined as small businesses, businesses owned by members of minority groups and/or
women, and rural telephone companies. See 47 C.F.R. § 1.2110(a).
132 47 C.F.R. § 1.2105(b); see also Two Way Radio of Carolina, Inc., Memorandum Opinion and Order, FCC 99-
189, 14 FCC Rcd 12035 (1999) (“Two Way Radio”)(auction applicant not allowed to change its designated entity
status after application filing deadline).
133 We reiterate that, even if an applicant’s short-form application is dismissed, the applicant would remain subject
to the communication prohibitions of 47 C.F.R. § 1.2105(c) until the down-payment deadline, which will be
established after the auction closes.
134 The Bureau advises applicants to print and retain a copy of this confirmation page.
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summarizing the changes and subsequently update its short-form application in the FCC Auction System
once it is available. Moreover, after the filing window has closed, the system will not permit applicants to
make certain changes, such as the applicant’s legal classification and license selections.
96.
Any letter describing changes to an applicant’s short-form application must be submitted
by e-mail to auction95@fcc.gov. The e-mail summarizing the changes must include a subject or caption
referring to Auction 95 and the name of the applicant, for example, “Re: Changes to Auction 95 Short-
Form Application of ABC Corp.” The Bureau requests that parties format any attachments to e-mail as
Adobe® Acrobat® (pdf) or Microsoft® Word documents. Questions about short-form application
amendments should be directed to the Auctions and Spectrum Access Division at (202) 418-0660.
97.
Any application amendment and related statements of fact must be certified by (1) the
applicant, if the applicant is an individual; (2) one of the partners if the applicant is a partnership; (3) an
officer, director, or duly authorized employee, if the applicant is a corporation; (4) a member who is an
officer, if the applicant is an unincorporated association; (5) the trustee, if the applicant is an amateur
radio service club; or (6) a duly elected or appointed official who is authorized to make such certifications
under the laws of the applicable jurisdiction, if the applicant is a governmental entity.135
98.
Applicants must not submit application-specific material through the Commission’s
Electronic Comment Filing System, which was used for submitting comments regarding Auction 95.
Further, as discussed above, parties submitting information related to their applications should use caution
to ensure that their submissions do not contain confidential information or communicate information that
would violate section 1.2105(c) or the limited information procedures adopted for Auction 95.136 A party
seeking to submit information that might reflect non-public information, such as an applicant’s license
selections, upfront payment amount, or bidding eligibility, should consider submitting any such
information along with a request that the filing or portions of the filing be withheld from public inspection
until the end of the prohibition of certain communications pursuant to section 1.2105(c).

J.

Maintaining Current Information in Short-Form Applications

99.
Sections 1.65 and 1.2105(b) of the Commission’s rules require an applicant to maintain
the accuracy and completeness of information furnished in its pending application and in competitive
bidding proceedings to furnish additional or corrected information to the Commission within five days of
a significant occurrence,137 or to amend a short form application no more than five days after the applicant
becomes aware of the need for the amendment.138 Changes that cause a loss of or reduction in the
percentage of bidding credit specified on the originally-submitted application must be reported
immediately, and no later than five business days after the change occurs. If an amendment reporting
changes is a “major amendment,” as defined by section 1.2105, the major amendment will not be
accepted and may result in the dismissal of the application.139 As noted above, after the short-form filing
deadline, applicants may make only minor changes to their applications. For changes to be submitted and
considered by the Commission, be sure to click on the SUBMIT button in the FCC Auction System. In
addition, an applicant cannot update its short-form application using the FCC Auction System after the
initial and resubmission filing windows close. If information needs to be submitted pursuant to section
1.65 after these windows close, a letter briefly summarizing the changes must be submitted by e-mail to


135 See 47 C.F.R. § 1.917.
136 See Section I.C.2.f. “Duty to Report Prohibited Communications,” above.
137 We remind each applicant of its duty to continuously maintain the accuracy of information submitted in its
auction application. See, e.g., Vermont Telephone Company, Notice of Apparent Liability for Forfeiture, 26 FCC
Rcd 14130 (Enf. 2011).
138 47 C.F.R. §§ 1.65, 1.2105(b). See also Part 1 Procedural Amendments Order, 25 FCC Rcd at 523 ¶ 8.
139 47 C.F.R. § 1.2105(b)(2).
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auction95@fcc.gov. This e-mail must include a subject or caption referring to Auction 95 and the name
of the applicant. The Bureau requests that parties format any attachments to e-mail as Adobe® Acrobat®
(pdf) or Microsoft® Word documents. A party seeking to submit information that might reflect non-
public information, such as an applicant’s license selections, upfront payment amount, or bidding
eligibility, should consider submitting any such information along with a request that the filing or
portions of the filing be withheld from public inspection until the end of the prohibition of certain
communications pursuant to section 1.2105(c).

III.

PRE-AUCTION PROCEDURES

A.

Online Auction Tutorial – Available April 30, 2013

100.
No later than Tuesday, April 30, 2013, an auction tutorial will be available on the
Auction 95 web page for prospective bidders to familiarize themselves with the auction process.
This online tutorial will provide information about pre-auction procedures, completing short-form
applications, auction conduct, the FCC Auction Bidding System, auction rules, and paging rules. The
tutorial will also provide an avenue to ask FCC staff questions about the auction, auction procedures,
filing requirements, and other matters related to this auction.
101.
The Auction 95 online tutorial replaces the live bidder seminars that have been offered
for many previous auctions. The Bureau believes parties interested in participating in this auction will
find the interactive, online tutorial a more efficient and effective way to further their understanding of the
auction process. The tutorial will allow viewers to navigate the presentation outline, review written notes,
listen to audio recordings of the notes, and search for topics using a text search function. Additional
features of this web-based tool include links to auction-specific Commission releases, e-mail links for
contacting Commission licensing and auctions staff, a timeline with deadlines for auction preparation, and
screen shots of the online application and bidding system. The tutorial will be accessible through a web
browser with Adobe Flash Player.140
102.
The auction tutorial will be accessible from the FCC’s Auction 95 web page at
http://wireless.fcc.gov/auctions/95/ through an “Auction Tutorial” link. Once posted, this tutorial will
remain available and accessible anytime for reference in connection with the procedures outlined in this
Public Notice.

B.

Short-Form Applications – Due Prior to 6:00 p.m. ET on May 9, 2013

103.
In order to be eligible to bid in this auction, applicants must first follow the procedures
set forth in Attachment C to this Public Notice to submit a short-form application (FCC Form 175)
electronically via the FCC Auction System.141 This short-form application must be submitted prior to
6:00 p.m. ET on May 9, 2013.

Late applications will not be accepted.

No application fee is required,
but an applicant must submit a timely upfront payment to be eligible to bid.142
104.
Applications may generally be filed at any time beginning at noon ET on April 30, 2013,
until the filing window closes at 6:00 p.m. ET on May 9, 2013. Applicants are strongly encouraged to file
early and are responsible for allowing adequate time for filing their applications. Applications can be
updated or amended multiple times until the filing deadline on May 9, 2013.
105.
An applicant must always click on the SUBMIT button on the “Certify & Submit” screen
to successfully submit its FCC Form 175 and any modifications; otherwise the application or changes to
the application will not be received or reviewed by Commission staff. Additional information about


140 Most users will already have the Flash Player browser plug-in, which can be downloaded from
http://get.adobe.com/flashplayer/.
141 47 C.F.R. § 1.2105(a).
142 See Section III.D. “Upfront Payments – Due June 13, 2013,” below.
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accessing, completing, and viewing the FCC Form 175 is included in Attachment C. FCC Auctions
Technical Support is available at (877) 480-3201, option nine; (202) 414-1250; or (202) 414-1255 (text
telephone (TTY)); hours of service are Monday through Friday, from 8:00 a.m. to 6:00 p.m. ET. In order
to provide better service to the public, all calls to Technical Support are recorded.

C.

Application Processing and Minor Corrections

106.
After the deadline for filing FCC Form 175 applications, the Commission will process all
timely submitted applications to determine which are complete, and subsequently will issue a public
notice identifying (1) those that are complete; (2) those that are rejected; and (3) those that are incomplete
or deficient because of minor defects that may be corrected. The public notice will include the deadline
for resubmitting corrected applications.
107.
As described above, after the application filing deadline on May 9, 2013, applicants can
make only minor corrections to their applications.143 They will not be permitted to make major
modifications (e.g., change license selection, change control of the applicant, change the certifying
official, or claim eligibility for a higher percentage of bidding credit).144
108.
Commission staff will communicate only with an applicant’s contact person or certifying
official, as designated on the short-form application, unless the applicant’s certifying official or contact
person notifies the Commission in writing that applicant’s counsel or other representative is authorized to
speak on its behalf.145 Authorizations may be sent by e-mail to auction95@fcc.gov.

D.

Upfront Payments – Due June 13, 2013

109.
In order to be eligible to bid in this auction, an upfront payment must be submitted and
accompanied by an FCC Remittance Advice Form (FCC Form 159). After completing its short-form
application, an applicant will have access to an electronic version of the FCC Form 159 that can be
printed and sent by fax to U.S. Bank in St. Louis, Missouri.

All upfront payments must be made as
instructed in this Public Notice and must be received in the proper account at U.S. Bank before
6:00 p.m. ET on June 13, 2013.


1.

Making Upfront Payments by Wire Transfer

110.
Wire transfer payments must be received before 6:00 p.m. ET on June 13, 2013.146 No
other payment method is acceptable.147 To avoid untimely payments, applicants should discuss
arrangements (including bank closing schedules) with their bankers several days before they plan to make
the wire transfer, and allow sufficient time for the transfer to be initiated and completed before the
deadline. The following information will be needed:
ABA Routing Number: 081000210
Receiving Bank:
U.S. Bank
1005 Convention Plaza
St. Louis, MO 63101


143 See Section II.I. “Minor Modifications to Short-Form Applications,” above.
144 47 C.F.R. § 1.2105(b); see also Two Way Radio, 14 FCC Rcd at 12035.
145 In no event, however, will the FCC send auction registration materials to anyone other than the contact person
listed on the applicant’s FCC Form 175 or respond to a request for replacement registration materials from anyone
other than the authorized bidder, contact person, or certifying official listed on the applicant’s FCC Form 175. See
Section III.F. “Auction Registration,” below.
146 An applicant must initiate the wire transfer through its bank, authorizing the bank to wire funds from the
applicant’s account to the Commission’s auction payment lockbox bank, the U.S. Bank in St. Louis, Missouri.
147 The Commission will not accept checks, credit cards, or automated clearing house (ACH) payments.
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BENEFICIARY: FCC/Account # 152307774819
Originating Bank Information (OBI Field): (Skip one space between each information item)
“AUCTIONPAY”
APPLICANT FCC REGISTRATION NUMBER (FRN): (same as FCC Form 159, block 21)
PAYMENT TYPE CODE: (same as FCC Form 159, block 24A: “U095”)
FCC CODE 1: (same as FCC Form 159, block 28A: “95”)
PAYER NAME: (same as FCC Form 159, block 2)
LOCKBOX NO: # 979085
NOTE: The BNF and Lockbox number are specific to the upfront payments for this auction. Do not use
BNF or Lockbox numbers from previous auctions.
111.
At least one hour before placing the order for the wire transfer (but on the same business
day), applicants must fax a completed FCC Form 159 (Revised 2/03) to U.S. Bank at (314) 418-4232. On
the fax cover sheet, write “Wire Transfer – Auction Payment for Auction 95.” In order to meet the
upfront payment deadline, an applicant’s payment must be credited to the Commission's account for
Auction 95 before the deadline.148
112.
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 transfer to be initiated and completed prior to the deadline. The
Commission repeatedly has cautioned auction participants about the importance of planning ahead to
prepare for unforeseen last-minute difficulties in making payments by wire transfer.149

Each applicant
also is responsible for obtaining confirmation from its financial institution that its wire transfer to
U.S. Bank was successful and from Commission staff that its upfront payment was timely received
and that it was deposited into the proper account

. To receive confirmation from Commission staff,
contact Gail Glasser of the Office of Managing Director’s Auctions Accounting Group at (202) 418-0578,
or alternatively, Theresa Meeks at (202) 418-2945.
113.
Please note the following information regarding upfront payments:
·
All payments must be made in U.S. dollars.
·
All payments must be made by wire transfer.
·
Upfront payments for Auction 95 go to a lockbox number different from the lockboxes used
in previous FCC auctions.
·
Failure to deliver a sufficient upfront payment as instructed by the June 13, 2013, deadline
will result in dismissal of the short-form application and disqualification from participation in
the auction.
2.

FCC Form 159

114.
An accurate and complete FCC Remittance Advice Form (FCC Form 159, Revised 2/03)
must be faxed to U.S. Bank to accompany each upfront payment. Proper completion of this form is
critical to ensuring correct crediting of upfront payments. Detailed instructions for completion of FCC


148 Letter to Lee G. Petro, from Margaret W. Wiener, Chief, Auctions and Spectrum Access Division, Wireless
Telecommunications Bureau, DA 10-1270, 25 FCC Rcd 9046 (Auc. Div. 2010).
149 See, e.g, Letter to David G. O’Neil, Esq. from Margaret W. Wiener, Chief, Auctions and Spectrum Access
Division, Wireless Telecommunications Bureau, DA 08-622, 23 FCC Rcd 4765 (Auc. Div. 2008); Letter to Patrick
Shannon, Esq., Counsel for Lynch 3G Communications Corp., from Margaret W. Wiener, Chief, Auctions and
Industry Analysis Division, Wireless Telecommunications Bureau, DA 03-1944, 18 FCC Rcd 11552 (2003).
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Form 159 are included in Attachment D. An electronic pre-filled version of the FCC Form 159 is
available after submitting the FCC Form 175. Payers using the pre-filled FCC Form 159 are responsible
for ensuring that all of the information on the form, including payment amounts, is accurate. The FCC
Form 159 can be completed electronically, but it must be filed with U.S. Bank by fax.
3.

Upfront Payments and Bidding Eligibility

115.
The Commission has delegated to the Bureau the authority and discretion to determine
appropriate upfront payments for each auction.150 Upfront payments help deter frivolous or insincere
bidding, and provide the Commission with a source of funds in the event that the bidder incurs liability
during the auction.
116.
Applicants that are former defaulters, as described above, must pay upfront payments 50
percent greater than non-former defaulters.151 For purposes of this calculation, the “applicant” includes
the applicant itself, its affiliates, its controlling interests, and affiliates of its controlling interests, as
defined by section 1.2110 of the Commission’s rules.152
117.
Applicants must make upfront payments sufficient to obtain bidding eligibility on the
licenses on which they will bid. The Bureau proposed, in the Auction 95 Comment Public Notice, that the
amount of the upfront payment would determine a bidder’s initial bidding eligibility, the maximum
number of bidding units on which a bidder may place bids.153 Under the Bureau’s proposal, in order to
bid on a particular license, a qualified bidder must have selected the license on its FCC Form 175 and
must have a current eligibility level that meets or exceeds the number of bidding units assigned to that
license.

At a minimum, therefore, an applicant’s total upfront payment must be enough to establish
at least 500 bidding units of eligibility to bid on at least one of the licenses selected on its FCC Form
175, or else the applicant will not be eligible to participate in the auction.

An applicant does not have
to make an upfront payment to cover all licenses the applicant selected on its FCC Form 175, but only
enough to cover the maximum number of bidding units that are associated with licenses on which they
wish to place bids and hold provisionally winning bids in any given round.154 The total upfront payment
does not affect the total dollar amount the bidder may bid on any given license.
118.
In the Auction 95 Comment Public Notice, the Bureau proposed to make the upfront
payments equal to the minimum opening bids. The Bureau further proposed that each license be assigned
a specific number of bidding units equal to the upfront payment listed for the license, on a bidding unit for
dollar basis.155 The bidding unit level for each license will remain constant throughout the auction. The
Bureau received no comments on the proposal. The Bureau adopts its proposed upfront payments. The
upfront payment and bidding units for each license will be $500 and 500 bidding units. The complete list


150 Amendment of Part 1 of the Commission’s Rules – Competitive Bidding Proceeding, WT Docket No. 97-82,
Order, Memorandum Opinion and Order and Notice of Proposed Rule Making, FCC 97-60, 12 FCC Rcd 5686,
5697-98 ¶ 16 (1997); see also Broadcast First Report and Order, 13 FCC Rcd at 15971 ¶ 134.
151 Part 1 Fifth Report and Order, 15 FCC Rcd at 15316-17 ¶¶ 40-42; see also 47 C.F.R. § 1.2106(a); Section II.G.
“Provisions Regarding Former and Current Defaulters,” above.
152 47 C.F.R. § 1.2110(c).
153 Auction 95 Comment Public Notice at ¶ 17.
154 Provisionally winning bids are bids that would become final winning bids if the auction were to close after the
given round. See Section IV.B.4. “Provisionally Winning Bids,” below.
155 Auction 95 Comment Public Notice at ¶ 27. “Former Defaulters” – i.e., applicants, including any of their
affiliates, any of their controlling interests, or any of the affiliates of their controlling interests, that in the past have
defaulted on any Commission license or been delinquent on any non-tax debt owed to any Federal agency, but that
have since remedied all such defaults and cured all of their outstanding non-tax delinquencies – are required to pay
upfront payments that are fifty percent more than the normal upfront payment amounts. 47 C.F.R. § 1.2106(a).
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of licenses for Auction 95 is available as separate “Attachment A” files at
http://wireless.fcc.gov/auctions/95/.
119.
In the Auction 95 Comment Public Notice, the Bureau noted the presence of pre-existing
paging incumbent licenses within some of the geographic areas available in Auction 95.156 The Bureau
did not specifically address incumbency in its discussion of upfront payments. However, in its discussion
of the proposed minimum opening bid amounts, the Bureau noted, “The Bureau has not attempted to
adjust minimum opening bid amounts for licenses based on precise levels of incumbency within particular
geographic areas, and has instead proposed low minimum opening bid amounts that are intended to reflect
overall incumbency levels.”157
120.
In calculating its upfront payment amount, an applicant should determine the maximum
number of bidding units on which it may wish to be active (bid on or hold provisionally winning bids on)
in any single round, and submit an upfront payment amount covering that number of bidding units.158 In
order to make this calculation, an applicant should add together the bidding units for all licenses on which
it seeks to be active in any given round.

Applicants should check their calculations carefully, as there
is no provision for increasing a bidder’s eligibility after the upfront payment deadline.

Example: Upfront Payments and Bidding Flexibility

Market Name

Bidding Units

Upfront Payment

License

CP-BEA028-CK
Savannah GA-SC
500
$500
CP-BEA042-GH
Asheville NC
500
$500
If a bidder wishes to bid on both licenses in a round, it must have selected both on its FCC Form 175
and purchased at least 1,000 bidding units (500 + 500) of bidding eligibility. If it only wishes to bid on
one, but not both, purchasing 500 bidding units would meet the eligibility requirement for either
license. The bidder would be able to bid on either license, but not both at the same time.
121.
If an applicant is a former defaulter, it must calculate its upfront payment for all of its
identified licenses by multiplying the number of bidding units on which it wishes to be active by 1.5.159
In order to calculate the number of bidding units to assign to former defaulters, the Commission will
divide the upfront payment received by 1.5 and round the result up to the nearest bidding unit.160


156 Auction 95 Comment Public Notice at ¶ 6.
157 Id. at ¶ 41.
158 A qualified bidder’s maximum eligibility will not exceed the sum of the bidding units associated with the total
number of licenses identified on its FCC Form 175. In some cases a qualified bidder's maximum eligibility may be
less than the amount of its upfront payment because the qualified bidder has either previously been in default on a
Commission construction permit or license or delinquent on non-tax debt owed to a Federal agency (see 47 C.F.R. §
1.2106(a)), or has submitted an upfront payment that exceeds the total amount of bidding units associated with the
licenses it selected on its FCC Form 175.
159 47 C.F.R. § 1.2106(a).
160 If a former defaulter fails to submit a sufficient upfront payment to establish eligibility to bid on at least one of
the licenses selected on its FCC Form 175, the applicant will not be eligible to participate in the auction. This
applicant will retain its status as an applicant in Auction 95 and will remain subject to 47 C.F.R. §§ 1.2105(c). See
Star Wireless and Northeast Communications of Wisconsin, Inc., Order on Review, 22 FCC Rcd 8943 at ¶ 8.
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E.

Applicant’s Wire Transfer Information for Purposes of Refunds of Upfront
Payments

122.
To ensure that refunds of upfront payments are processed in an expeditious manner, the
Commission is requesting that all pertinent information listed below be supplied. Applicants can provide
the information electronically during the initial short-form application filing window after the form has
been submitted. (Applicants are reminded that information submitted as part of an FCC Form 175 will be
available to the public; for that reason, wire transfer information should not be included in an FCC Form
175.) Wire Transfer Instructions can also be faxed to the FCC, Financial Operations, Auctions
Accounting Group, Attn: Gail Glasser, at (202) 418-2980. Eligibility for refunds is discussed in Section
V. G., below. All refunds will be returned to the payer of record as identified on the FCC Form 159
unless the payer submits written authorization instructing otherwise. For additional information, please
call Gail Glasser at (202) 418-0578.
Name of Bank
ABA Number
Address of Bank
Contact and Phone Number
Account Number to Credit
Name of Account Holder
FCC Registration Number (FRN)
Correspondent Bank (if applicable)
ABA Number
Account Number

F.

Auction Registration

123.
Approximately ten days before the auction, the Bureau will issue a public notice
announcing all qualified bidders for the auction. Qualified bidders are those applicants with submitted
FCC Form 175 applications that are deemed timely-filed, accurate, and complete, provided that such
applicants have timely submitted an upfront payment that is sufficient to qualify them to bid.
124.
All qualified bidders are automatically registered for the auction. Registration materials
will be distributed prior to the auction by overnight mail. The mailing will be sent only to the contact
person at the contact address listed in the FCC Form 175 and will include the SecurID® tokens that will
be required to place bids, the “Integrated Spectrum Auction System (ISAS) Bidder’s Guide,” and the
Auction Bidder Line phone number.
125.
Qualified bidders that do not receive this registration mailing will not be able to submit
bids. Therefore, if this mailing is not received by noon on Wednesday, July 10, 2013, call the Auctions
Hotline at (717) 338-2868. Receipt of this registration mailing is critical to participating in the auction,
and each applicant is responsible for ensuring it has received all of the registration material.
126.
In the event that SecurID® tokens are lost or damaged, only a person who has been
designated as an authorized bidder, the contact person, or the certifying official on the applicant’s short-
form application may request replacements. To request replacement of these items, call Technical
Support at (877) 480-3201, option nine; (202) 414-1250; or (202) 414-1255 (TTY).

G.

Remote Electronic Bidding

127.
The Commission will conduct this auction over the Internet, and telephonic bidding will
be available as well. Only qualified bidders are permitted to bid. Each applicant should indicate its
bidding preference — electronic or telephonic — on its FCC Form 175. In either case, each authorized
bidder must have its own SecurID® token, which the Commission will provide at no charge. Each
applicant with one authorized bidder will be issued two SecurID® tokens, while applicants with two or
three authorized bidders will be issued three tokens.

For security purposes, the SecurID

® tokens, the
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telephonic bidding telephone number, and the “Integrated Spectrum Auction System (ISAS)
Bidder’s Guide” are only mailed to the contact person at the contact address listed on the FCC
Form 175.
Each SecurID® token is tailored to a specific auction. SecurID® tokens issued for other
auctions or obtained from a source other than the FCC will not work for Auction 95.
128.
Please note that the SecurID® tokens can be recycled, and the Bureau encourages bidders
to return the tokens to the FCC. Pre-addressed envelopes will be provided to return the tokens once
bidding has closed.

H.

Mock Auction – July 12, 2013

129.
All qualified bidders will be eligible to participate in a mock auction on Friday, July 12,
2013. The mock auction will enable bidders to become familiar with the FCC Auction System prior to
the auction. The Bureau strongly recommends that all bidders participate in the mock auction. Details
will be announced by public notice.

IV.

AUCTION

130.
The first round of bidding for Auction 95 will begin on Tuesday, July 16, 2013. The
initial bidding schedule will be announced in a public notice listing the qualified bidders, which is
released approximately 10 days before the start of the auction.

A.

Auction Structure

1.

Simultaneous Multiple Round Auction

131.
In the Auction 95 Comment Public Notice, the Bureau proposed to auction all licenses in
Auction 95 in a single auction using the Commission’s standard simultaneous multiple-round auction
format.161 This type of auction offers every license for bid at the same time and consists of successive
bidding rounds in which eligible bidders may place bids on individual licenses. A bidder may bid on, and
potentially win, any number of licenses. The Bureau received no comment on this proposal. In our
experience with previous spectrum auctions, including auctions of paging licenses, this format has
functioned effectively. In light of our past success, we adopt a simultaneous multiple-round auction
format for Auction 95. Unless otherwise announced, bids will be accepted on all licenses in each round
of the auction until bidding stops on every license.
2.

Limited Information Disclosure Procedures: Information Available to
Bidders Before and During the Auction

132.
In the Auction 95 Comment Public Notice, the Bureau proposed to withhold, until after
the close of bidding, public release of (1) bidders’ license selections on their short-form applications
(FCC Form 175), (2) the amounts of bidders’ upfront payments and bidding eligibility, and (3)
information that may reveal the identities of bidders placing bids and taking other bidding-related
actions.162 The Bureau sought comment on the proposal to implement anonymous bidding and on any
alternatives for Auction 95.163
133.
The Bureau received no comment on this proposal. Because the Bureau finds that the
competitive benefits associated with anonymous bidding support adoption of such procedures,164 it adopts


161 Auction 95 Comment Public Notice at ¶ 12.
162 Id. at ¶¶14-17.
163 Id. at ¶ 18.
164 See “Auction of AWS-1 and Broadband PCS Licenses Rescheduled for August 13, 2008; Notice and Filing
Requirements, Minimum Opening Bids, Upfront Payments, and Other Procedures for Auction 78,” Public Notice,
DA 08-1090, 23 FCC Rcd 7496, 7536 ¶ 157 (WTB 2008), in which the Bureau recognized that limited information
(continued….)
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the limited information procedures proposed in the Auction 95 Comment Public Notice.165 Thus, after the
conclusion of each round, the Bureau will disclose all relevant information about the bids placed and/or
withdrawn except the identities of the bidders performing the actions and the net amounts of the bids
placed or withdrawn. As in past auctions conducted with limited information procedures, the Bureau will
indicate, for each license, the minimum acceptable bid amount for the next round and whether the license
has a provisionally winning bid. After each round, the Bureau will also release, for each license, the
number of bidders that placed a bid on the license. Furthermore, the Bureau will indicate whether any
proactive waivers were submitted in each round, and the Bureau will release the stage transition
percentage – the percentages of licenses (as measured in bidding units) on which there were new bids –
for the round. In addition, bidders can log in to the FCC Auction System to see, after each round,
whether their own bids are provisionally winning. The Bureau will provide descriptions and/or samples
of publicly-available and bidder-specific (non-public) results files prior to the start of the auction.
134.
The Bureau, however, retains the discretion not to use limited information procedures if
the Bureau, after examining the level of potential competition as expressed in the license selection on the
short-form applications filed for Auction 95, determines that the circumstances indicate that limited
information procedures would not be an effective tool for deterring anti-competitive behavior. For
example, if only two applicants become qualified to participate in the bidding, limited information
procedures would be ineffective in preventing bidders from knowing the identity of the competing bidder
and, therefore, limited information procedures would not serve to deter attempts at signaling and
retaliatory bidding behavior.
135.
Other Issues. Information disclosure procedures established for this auction will not
interfere with the administration of or compliance with the Commission’s prohibition of certain
communications. As described in more detail above, section 1.2105(c)(1) of the Commission’s rules
provides that, after the short-form application filing deadline, all applicants for licenses in any of the same
or overlapping geographic license areas are prohibited from disclosing to each other in any manner the
substance of bids or bidding strategies until after the down payment deadline, subject to specified
exceptions.166
136.
In Auction 95, the Commission will not disclose information regarding license selection
or the amounts of bidders’ upfront payments and bidding eligibility. As in the past, the Commission will
disclose the other portions of applicants’ short-form applications through its online database, and certain
application-based information through public notices.
137.
To assist applicants in identifying other parties subject to section 1.2105(c), the Bureau
will notify separately each applicant in Auction 95 whether applicants with short-form applications to
participate in pending auctions, including but not limited to Auction 95, have applied for licenses in any
of the same or overlapping geographic areas as that applicant. Specifically, after the Bureau conducts its
initial review of applications to participate in Auction 95, it will send to each applicant in Auction 95 a
letter that lists the other applicants that have pending short-form applications for licenses in any of the
same or overlapping geographic areas. The list will identify the other applicants by name but will not list
their license selections. As in past auctions, additional information regarding other applicants that is
needed to comply with section 1.2105(c) – such as the identities of other applicants’ controlling interests
(Continued from previous page)


procedures may have overall competitive benefits from reduced opportunities for bid signaling, retaliatory bidding,
or other anti-competitive strategic bidding.
165 Auction 95 Comment Public Notice, at ¶¶ 13-18.
166 47 C.F.R. § 1.2105(c)(1). See Section I.C.2. “Prohibited Communications and Compliance with Antitrust Laws,”
above.
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and entities with a greater than ten percent ownership interest – will be available through the publicly
accessible online short-form application database.167
138.
When completing short-form applications, applicants should avoid any statements or
disclosures that may violate the Commission’s prohibition of certain communications, pursuant to section
1.2105(c), particularly in light of the Commission’s procedures regarding the availability of certain
information in Auction 95. While applicants’ license selections will not be disclosed until after Auction
95 closes, the Commission will disclose other portions of short-form applications through its online
database and public notices. Accordingly, applicants should avoid including any information in their
short-form applications that might convey information regarding license selections. For example,
applicants should avoid using applicant names that refer to licenses being offered, referring to certain
licenses or markets in describing bidding agreements, or including any information in attachments that
may otherwise disclose applicants’ license selections.
139.
If an applicant is found to have violated the Commission’s rules or antitrust laws in
connection with its participation in the competitive bidding process, the applicant may be subject to
various sanctions, including forfeiture of its upfront payment, down payment, or full bid amount and
prohibition from participating in future auctions.168
140.
The Bureau hereby warns applicants that the direct or indirect communication to other
applicants or the public disclosure of non-public information (e.g., bid withdrawals, proactive waivers
submitted, reductions in eligibility) could violate the Commission’s anonymous bidding procedures and
section 1.2105(c).169

To the extent an applicant believes that such a disclosure is required by law or
regulation, including regulations issued by the Securities and Exchange Commission, the Bureau
strongly urges that the applicant consult with the Commission staff in the Auctions and Spectrum
Access Division before making such disclosure.

3.

Eligibility and Activity Rules

141.
As discussed above, the Bureau will use upfront payments to determine initial
(maximum) eligibility (as measured in bidding units) for Auction 95.170 The amount of the upfront
payment submitted by a bidder determines initial bidding eligibility, the maximum number of bidding
units on which a bidder may be active. As noted earlier, each license is assigned a specific number of
bidding units as listed in the complete list of licenses available as separate “Attachment A” files at
http://wireless.fcc.gov/auctions/95/. Bidding units assigned to each license do not change as prices rise
during the auction. Upfront payments are not attributed to specific licenses. Rather, a bidder may place
bids on any of the licenses selected on its FCC Form 175 as long as the total number of bidding units
associated with those licenses does not exceed its current eligibility. Eligibility cannot be increased
during the auction; it can only remain the same or decrease. Thus, in calculating its upfront payment
amount, an applicant must determine the maximum number of bidding units it may wish to bid on or hold
provisionally winning bids on in any single round, and submit an upfront payment amount covering that
total number of bidding units. At a minimum, an applicant’s upfront payment must cover the bidding
units for at least one of the licenses it selected on its FCC Form 175. The total upfront payment does not
affect the total dollar amount a bidder may bid on any given license.


167 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. § 1.2105(c)(7).
168 47 C.F.R. § 1.2109(d).
169 The Bureau similarly warned Auction 73 applicants that such disclosures could violate the Commission’s rules.
See “Wireless Telecommunications Bureau Reminds 700 MHz Auction Applicants of Confidential Nature of
Upfront Payment and Other Bidding-Related Information,” Public Notice, DA 08-13, 23 FCC Rcd 18 (2008).
170 See Section III.D.3. “Upfront Payments and Bidding Eligibility,” above.
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142.
In order to ensure that an auction closes within a reasonable period of time, an activity
rule requires bidders to bid actively throughout the auction, rather than wait until late in the auction before
participating. Bidders are required to be active on a specific percentage of their current bidding eligibility
during each round of the auction. A bidder’s activity level in a round is the sum of the bidding units
associated with licenses covered by the bidder’s new and provisionally winning bids.171
143.
A bidder is considered active on a license in the current round if it is either the
provisionally winning bidder at the end of the previous bidding round and does not withdraw the
provisionally winning bid in the current round, or if it submits a bid in the current round (see “Bid
Amounts” in Section IV.B.3., below).
144.
The minimum required activity is expressed as a percentage of the bidder’s current
eligibility, and increases by stage as the auction progresses. Because these procedures (as set forth under
“Auction Stages” in Section IV.A.4. and “Stage Transitions” in Section IV.A.5. below) have proven
successful in maintaining the pace of previous auctions, the Bureau adopts them for Auction 95. Failure
to maintain the requisite activity level will result in the use of an activity rule waiver, if any remain, or a
reduction in the bidder’s eligibility, possibly curtailing or eliminating the bidder’s ability to place
additional bids in the auction.172
4.

Auction Stages

145.
In the Auction 95 Comment Public Notice, the Bureau proposed to conduct the auction in
two stages and employ an activity rule.173 Under the Bureau’s proposal, a bidder desiring to maintain its
current bidding eligibility would be required to be active on licenses representing at least 80 percent of its
current bidding eligibility, during each round of Stage One, and at least 95 percent of its current bidding
eligibility in Stage Two. The Commission received no comments on this proposal.
146.
The Bureau finds, for now, that two stages for an activity requirement adequately
balances the desire to conclude the auction quickly with giving sufficient time for bidders to consider the
status of the bidding and to place bids. Therefore, the Bureau adopts the two stages as described in more
detail immediately below.
147.

Stage One:

During the first stage of the auction, a bidder desiring to maintain its current
bidding eligibility will be required to be active on licenses representing at least 80 percent of its current
bidding eligibility in each bidding round. Failure to maintain the required activity level will result in the
use of an activity rule waiver or, if the bidder has no activity rule waivers remaining, a reduction in the
bidder’s bidding eligibility in the next round. During Stage One, reduced eligibility for the next round
will be calculated by multiplying the bidder’s current round activity (the sum of bidding units of the
bidder’s provisionally winning bids and bids during the current round) by five-fourths (5/4).
148.

Stage Two:

During the second stage of the auction, a bidder desiring to maintain its
current bidding eligibility is required to be active on 95 percent of its current bidding eligibility. Failure
to maintain the required activity level will result in the use of an activity rule waiver or, if the bidder has
no activity rule waivers remaining, a reduction in the bidder’s bidding eligibility in the next round.
During Stage Two, reduced eligibility for the next round will be calculated by multiplying the bidder’s
current round activity (the sum of bidding units of the bidder’s provisionally winning bids and bids during
the current round) by twenty-nineteenths (20/19).


171 Provisionally winning bids are bids that would become final winning bids if the auction were to close after the
given round. See Section IV.B.4. “Provisionally Winning Bids,” below.
172 See Section IV.A.6. “Activity Rule Waivers,” below.
173 Auction 95 Comment Public Notice at ¶¶ 28-30.
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CAUTION: Since activity requirements increase in Stage Two, bidders must carefully check
their activity during the first round following a stage transition to ensure that they are meeting the
increased activity requirement. This is especially critical for bidders that have provisionally
winning bids and do not plan to submit new bids. In past auctions, some bidders have
inadvertently lost bidding eligibility or used an activity rule waiver because they did not re-verify
their activity status at stage transitions. Bidders may check their activity against the required
activity level by logging into the FCC Auction System
149.
When the Bureau moves the auction from Stage One to Stage Two, we will first alert
bidders by announcement in the bidding system. The Bureau has the discretion to further alter the activity
requirements before and/or during the auction as circumstances warrant.
5.

Stage Transitions

150.
In the Auction 95 Comment Public Notice, the Bureau proposed that it would advance the
auction to the next stage (i.e., from Stage One to Stage Two) after considering a variety of measures of
auction activity, including, but not limited to, the percentages of licenses (as measured in bidding units)
on which there are new bids, the number of new bids, and the increase in revenue.174 The Bureau further
proposed that it would retain the discretion to change the activity requirements during the auction. For
example, the Bureau could decide not to transition to Stage Two if it believes the auction is progressing
satisfactorily under the Stage One activity requirement, or to transition to Stage Two with an activity
requirement that is higher or lower than the 95 percent proposed herein.175 The Bureau proposed to alert
bidders of stage advancements by announcement during the auction. The Bureau received no comments
on this issue.
151.
We adopt our proposal for stage transitions. Thus, the auction will start in Stage One.176
The Bureau will regulate the pace of the auction by announcement. The Bureau retains the discretion to
transition the auction to Stage Two, to add an additional stage with a higher activity requirement, not to
transition to Stage Two, and to transition to Stage Two with an activity requirement that is higher or
lower than 95 percent. This determination will be based on a variety of measures of auction activity,
including, but not limited to, the number of new bids and the percentages of licenses (as measured in
bidding units) on which there are new bids.177
6.

Activity Rule Waivers

152.
In the Auction 95 Comment Public Notice, the Bureau proposed that each bidder in the
auction be provided with three activity rule waivers.178 The Bureau received no comments on this issue.


174 Id. at ¶ 29.
175 If the Bureau implements stages with activity requirements other than the ones listed above, a bidder’s reduced
eligibility for the next round will be calculated by multiplying the bidder’s current round activity by the reciprocal of
the activity requirement. For example, with a 98 percent activity requirement, the bidder’s current round activity
would be multiplied by 50/49; with a 100 percent activity requirement, the bidder’s current round activity would
become its bidding eligibility (current round activity would be multiplied by 1/1).
176 The stage of the auction does not affect the auction stopping rules; the auction may conclude in Stage One. See
Section IV.A.7. “Auction Stopping Rules,” below.
177 For example, when monitoring activity to determine when to change stages, the Bureau may consider the
percentage of bidding units of the licenses receiving new provisionally winning bids, excluding any FCC-held
licenses. In past auctions, the Bureau has generally — but not always — changed stages when this measure was
approximately twenty percent or below for three consecutive rounds of bidding.
178 Auction 95 Comment Public Notice at ¶ 36.
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153.
Therefore, the Bureau adopts this proposal to provide bidders with three activity rule
waivers. Bidders may use an activity rule waiver in any round during the course of the auction. Use of
an activity rule waiver preserves the bidder’s eligibility despite its activity in the current round being
below the required minimum activity level. An activity rule waiver applies to an entire round of bidding
and not to a particular license. Waivers can be either proactive or automatic and are principally a
mechanism for auction participants to avoid the loss of bidding eligibility in the event that exigent
circumstances prevent them from placing a bid in a particular round.
154.
The FCC Auction System assumes that a bidder with insufficient activity would prefer to
apply an activity rule waiver (if available) rather than lose bidding eligibility. Therefore, the system will
automatically apply a waiver at the end of any bidding round in which a bidder’s activity level is below
the minimum required unless (1) the bidder has no activity rule waivers remaining or (2) the bidder
overrides the automatic application of a waiver by reducing eligibility. If no waivers remain and the
activity requirement is not satisfied, the FCC Auction System will permanently reduce the bidder’s
eligibility, possibly curtailing or eliminating the ability to place additional bids in the auction.
155.
A bidder with insufficient activity may wish to reduce its bidding eligibility rather than
use an activity rule waiver. If so, the bidder must affirmatively override the automatic waiver mechanism
during the bidding round by using the “reduce eligibility” function in the FCC Auction System. In this
case, the bidder’s eligibility is permanently reduced to bring it into compliance with the activity rule
described above. Reducing eligibility is an irreversible action; once eligibility has been reduced, a bidder
will not be permitted to regain its lost bidding eligibility, even if the round has not yet closed.
156.
Finally, a bidder may apply an activity rule waiver proactively as a means to keep the
auction open without placing a bid. If a proactive waiver is applied (using the “apply waiver” function in
the FCC Auction System) during a bidding round in which no bids are placed or withdrawn, the auction
will remain open and the bidder’s eligibility will be preserved. However, an automatic waiver applied by
the FCC Auction System in a round in which there are no new bids, withdrawals, or proactive waivers
will not keep the auction open. A bidder cannot submit a proactive waiver after bidding in a round, and
applying a proactive waiver will preclude it from placing any bids in that round.

Applying a waiver is
irreversible; once a bidder submits a proactive waiver, the bidder cannot unsubmit the waiver even
if the round has not yet ended.

7.

Auction Stopping Rules

157.
For Auction 95, the Bureau proposed to employ a simultaneous stopping rule approach,
which means all licenses remain available for bidding until bidding stops simultaneously on every
license.179 More specifically, bidding will close on all licenses after the first round in which no bidder
submits any new bids, applies a proactive waiver, or withdraws any provisionally winning bids.
158.
We also sought comment on alternative versions of the simultaneous stopping rule for
Auction 95:
Option 1. The auction would close for all licenses after the first round in which no bidder applies
a proactive waiver, withdraws a provisionally winning bid, or places any new bids on any license
on which it is not the provisionally winning bidder. Thus, absent any other bidding activity, a
bidder placing a new bid on a license for which it is the provisionally winning bidder would not
keep the auction open under this modified stopping rule.
Option 2. The auction would close for all licenses after the first round in which no bidder applies
a waiver, withdraws a provisionally winning bid, or places any new bids on any license that is not
FCC held. Thus, absent any other bidding activity, a bidder placing a new bid on a license that


179 Auction 95 Comment Public Notice at ¶ 22.
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does not already have a provisionally winning bid (an “FCC-held” license) would not keep the
auction open under this modified stopping rule.
Option 3. The auction would close using a modified version of the simultaneous stopping rule
that combines (a) and (b) above.
Option 4. The auction would end after a specified number of additional rounds. If the Bureau
invokes this special stopping rule, it will accept bids in the specified final round(s), after which
the auction will close.
Option 5. The auction would remain open even if no bidder places any new bids, applies a
waiver, or withdraws any provisionally winning bids. In this event, the effect will be the same as
if a bidder had applied a waiver. Thus, the activity rule will apply as usual, and a bidder with
insufficient activity will either lose bidding eligibility or use a waiver.
159.
We proposed to exercise these options only in certain circumstances, for example, where
the auction is proceeding unusually slowly or quickly, there is minimal overall bidding activity, or it
appears likely that the auction will not close within a reasonable period of time or will close
prematurely.180 Before exercising these options, we are likely to attempt to change the pace of the
auction. For example, the Bureau may adjust the pace of bidding by changing the number of bidding
rounds per day and/or the minimum acceptable bids.181 We proposed to retain the discretion to exercise
any of these options with or without prior announcement during the auction.182 We received no comment
on these proposals and adopt them for Auction 95.
8.

Auction Delay, Suspension, or Cancellation

160.
In the Auction 95 Comment Public Notice, the Bureau proposed that, by public notice or
by announcement during the auction, it may delay, suspend, or cancel the auction in the event of natural
disaster, technical obstacle, administrative or weather necessity, evidence of an auction security breach or
unlawful bidding activity, or for any other reason that affects the fair and efficient conduct of competitive
bidding.183 We received no comment on this issue.
161.
Because this approach has proven effective in resolving exigent circumstances in
previous auctions, the Bureau adopts these proposals regarding auction delay, suspension, or cancellation.
By public notice or by announcement during the auction, we may delay, suspend, or cancel the auction in
the event of natural disaster, technical obstacle, administrative or weather necessity, evidence of an
auction security breach or unlawful bidding activity, or for any other reason that affects the fair and
efficient conduct of competitive bidding. In such cases, the Bureau, in its sole discretion, may elect to
resume the auction starting from the beginning of the current round or from some previous round, or
cancel the auction in its entirety. Network interruption may cause the Bureau to delay or suspend the
auction. We emphasize that we will exercise of this authority solely at our discretion, and not as a
substitute for situations in which bidders may wish to apply their activity rule waivers.

B.

Bidding Procedures

1.

Round Structure

162.
The initial schedule of bidding rounds will be announced in the public notice listing the
qualified bidders, which is released approximately 10 days before the start of the auction. Each bidding
round is followed by the release of round results. Details regarding formats and locations of round results


180 Id. at ¶ 23-24.
181 Id.
182 Id.
183 Id. at ¶ 25.
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will also be included in the qualified bidders public notice. Multiple bidding rounds may be conducted
each day.
163.
The Bureau has the discretion to change the bidding schedule in order to foster an auction
pace that reasonably balances speed with the bidders’ needs to study round results and adjust their bidding
strategies. We may change the amount of time for the bidding rounds, the amount of time between
rounds, or the number of rounds per day, depending upon bidding activity and other factors.
2.

Reserve Price and Minimum Opening Bids

164.
Section 309(j) of the Act calls upon the Commission to prescribe methods by which a
reasonable reserve price will be required or a minimum opening bid established when applications for
FCC licenses are subject to auction (i.e., because they are mutually exclusive), unless the Commission
determines that a reserve price or minimum opening bid is not in the public interest.184 Consistent with
this mandate, the Commission directed the Bureau to seek comment on the use of a minimum opening bid
and/or reserve price prior to the start of each auction.185 Among other factors, we must consider the
amount of spectrum being auctioned, levels of incumbency, the availability of technology to provide
service, the size of the geographic service areas, the extent of interference with other spectrum bands, and
any other relevant factors that could have an impact on the spectrum being auctioned.186 The Commission
concluded that the Bureau should have the discretion to employ either or both of these mechanisms for
future auctions.187
165.
In the Auction 95 Comment Public Notice, the Bureau did not propose to establish reserve
prices for the licenses in Auction 95. We did, however, propose to establish minimum opening bids for
each license, reasoning that a minimum opening bid, which has been used in other auctions, is an
effective tool for accelerating the competitive bidding process.188 Specifically, for Auction 95, the Bureau
proposed to set the minimum opening bid for each license at $500.
166.
The Bureau sought comment on its proposal for minimum opening bids and, in the
alternative, on whether, consistent with Section 309(j), the public interest would be served by having no
minimum opening bids.189 We received no comments on our proposed minimum opening bids.
167.
We find that the proposed minimum opening bids will promote an appropriate auction
pace and avoid unnecessarily prolonging Auction 95. We therefore adopt our proposal to set the
minimum opening bid for each license available in Auction 95 at $500. The complete list of licenses for
Auction 95 is available as separate “Attachment A” files at http://wireless.fcc.gov/auctions/95/.
3.

Bid Amounts

168.
In the Auction 95 Comment Public Notice, the Bureau proposed that in each round,
eligible bidders be able to place a bid on a given license using one or more pre-defined bid amounts.190
Under the proposal, the FCC Auction System interface will list the acceptable bid amounts for each


184 47 U.S.C. § 309(j)(4)(F).
185 Part 1 Third Report and Order, FCC 97-413, 13 FCC Rcd at 455-56 ¶ 141.
186 Id.
187 Id.
188 Auction 95 Comment Public Notice at ¶ 40.
189 Id.
190 Bidders must have sufficient eligibility to place a bid on the particular license. See Section III.D.3 “Upfront
Payments and Bidding Eligibility,” above.
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license.191 No comments were received on this issue. Based on the Commission’s experience in prior
auctions, the Bureau adopts this proposal for Auction 95.
a.

Minimum Acceptable Bids

169.
The first of the acceptable bid amounts is called the minimum acceptable bid amount.
The minimum acceptable bid amount for a license will be equal to its minimum opening bid amount until
there is a provisionally winning bid for the license. After there is a provisionally winning bid for a
license, the minimum acceptable bid amount will be a certain percentage higher. That is, the minimum
acceptable bid amount will be calculated by multiplying the provisionally winning bid amount times one
plus the minimum acceptable bid percentage. For example, if the minimum acceptable bid percentage is
10 percent, the minimum acceptable bid amount will equal (provisionally winning bid amount) * (1.10),
rounded.192 In the case of a license for which the provisionally winning bid has been withdrawn, the
minimum acceptable bid amount will equal the second highest bid received for the license.193
170.
In the Auction 95 Comment Public Notice, we proposed to use a minimum acceptable bid
percentage of 10 percent. We did not receive any comments on this proposal. Our experience in previous
auctions assures us that a minimum acceptable bid percentage of 10 percent is sufficient to ensure active
bidding. Therefore, we will begin the auction with a minimum acceptable bid percentage of 10 percent.
b.

Additional Bid Amounts

171.
Any additional bid amounts are calculated using the minimum acceptable bid amount and
a bid increment percentage, which need not be the same as the percentage used to calculate the minimum
acceptable bid amount. The first additional acceptable bid amount equals the minimum acceptable bid
amount times one plus the bid increment percentage, rounded. If, for example, the bid increment
percentage is 5 percent, the calculation is (minimum acceptable bid amount) * (1 + 0.05), rounded, or
(minimum acceptable bid amount) * 1.05; the second additional acceptable bid amount equals the
minimum acceptable bid amount times one plus two times the bid increment percentage, rounded, or
(minimum acceptable bid amount) * 1.10, etc. 194
172.
The Bureau proposed to start with eight additional bid amounts (for a total of nine bid
amounts) per license but also sought comment on whether, in the alternative, to use fewer or no additional
bid amounts per license in a given round. The Bureau proposed to use a bid increment percentage of 5
percent. We received no comments on this proposal.
173.
The Bureau also sought comment on the circumstances under which the Bureau should
limit (a) the amount by which a minimum acceptable bid for a license may increase compared with the
corresponding provisionally winning bid, and (b) the amount by which any additional bid amount may
increase compared with the immediately preceding acceptable bid amount. No commenters addressed
this question.
174.
Therefore, the Bureau adopts its proposal to begin the auction with eight additional bid
amounts per license. The Bureau will also start the auction without a limit on the dollar amount by which
minimum acceptable bids and additional bid amounts may increase. The Bureau retains the discretion to
change the minimum acceptable bid amounts, the minimum acceptable bid percentage, the bid increment
percentage, and the number of acceptable bid amounts if we determine that circumstances so dictate.


191 In the event of duplicate bid amounts due to rounding, the FCC Auction System will omit the duplicates and will
list fewer acceptable bid amounts for the license.
192 Results above $10,000 are rounded to the nearest $1,000; results below $10,000 but above $1,000 are rounded to
the nearest $100; and results below $1000 are rounded to the nearest $10.
193 Id.
194 Id.
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Further, the Bureau proposed to retain the discretion to do so on a license-by-license basis. If we exercise
this discretion, we will alert bidders by announcement in the FCC Auction System during the auction.
4.

Provisionally Winning Bids

175.
At the end of each bidding round, a “provisionally winning bid” will be determined based
on the highest bid amount received for each license. A provisionally winning bid will remain the
provisionally winning bid until there is a higher bid on the same license at the close of a subsequent
round. Provisionally winning bids at the end of the auction become the winning bids. Bidders are
reminded that provisionally winning bids count toward activity for purposes of the activity rule.195
176.
In the Auction 95 Comment Public Notice, the Bureau proposed to use a random number
generator to select a single provisionally winning bid in the event of identical high bid amounts being
submitted on a license in a given round (i.e., tied bids).196 No comments were received on this proposal.
177.
Hence, the Bureau adopts the tied bids proposal described above. The FCC Auction
System will assign a random number to each bid upon submission. The tied bid with the highest random
number wins the tiebreaker, and becomes the provisionally winning bid. Bidders, regardless of whether
they hold a provisionally winning bid, can submit higher bids in subsequent rounds. However, if the
auction were to end with no other bids being placed, the winning bidder would be the one that placed the
provisionally winning bid.
5.

Bidding

178.
All bidding will take place remotely either through the FCC Auction System or by
telephonic bidding. There will be no on-site bidding during Auction 95. Please note that telephonic bid
assistants are required to use a script when entering bids placed by telephone. Telephonic bidders are
therefore reminded to allow sufficient time to bid by placing their calls well in advance of the close of a
round. The length of a call to place a telephonic bid may vary; please allow a minimum of ten minutes.
179.
A bidder’s ability to bid on specific licenses is determined by two factors: (1) the
licenses selected on the bidder’s FCC Form 175 and (2) the bidder’s eligibility. The bid submission
screens will allow bidders to submit bids on only those licenses the bidder selected on its FCC Form 175.
180.
In order to access the bidding function of the FCC Auction System, bidders must be
logged in during the bidding round using the passcode generated by the SecurID® token and a personal
identification number (“PIN”) created by the bidder. Bidders are strongly encouraged to print a “round
summary” for each round after they have completed all of their activity for that round.
181.
In each round, eligible bidders will be able to place bids on a given license in any of up to
nine pre-defined bid amounts.197 For each license, the FCC Auction System will list the acceptable bid
amounts in a drop-down box.198 Bidders use the drop-down box to select from among the acceptable bid
amounts. The FCC Auction System also includes an “upload” function that allows text files containing
bid information to be uploaded.
182.
Until a bid has been placed on a license, the minimum acceptable bid amount for that
license will be equal to its minimum opening bid amount. Once there are bids on a license, minimum
acceptable bids for the following round will be determined as described in Section IV.B.3, above.


195 Section IV.A.3. “Eligibility and Activity Rules,” above.
196 Auction 95 Comment Public Notice at ¶ 48.
197 Bidders must have sufficient eligibility to place a bid on the particular license. See Section III.D.3. “Upfront
Payments and Bidding Eligibility,” above.
198 See Section IV.B.3. “Bid Amounts,” above.
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183.
During a round, an eligible bidder may submit bids for as many licenses as it wishes
(providing that it is eligible to bid on the specific license), remove bids placed in the current bidding
round, withdraw provisionally winning bids from previous rounds, or permanently reduce eligibility. If
multiple bids are submitted for the same license in the same round, the system takes the last bid entered as
that bidder’s bid for the round. Bidding units associated with licenses for which the bidder has removed
or withdrawn bids do not count towards current activity.
184.
Finally, bidders are cautioned to select their bid amounts carefully because, as explained
below, bidders that withdraw a provisionally winning bid from a previous round, even if the bid was
mistakenly or erroneously made, are subject to bid withdrawal payments.
6.

Bid Removal and Bid Withdrawal

185.
In the Auction 95 Comment Public Notice, the Bureau proposed bid removal and bid
withdrawal procedures.199 The Bureau sought comment on permitting a bidder to remove a bid before the
close of the round in which the bid was placed. With respect to bid withdrawals, the Bureau proposed
limiting each bidder to withdrawals of provisionally winning bids in only one round during the course of
the auction. The round in which withdrawals are used would be at each bidder’s discretion.
186.
The Bureau received no comments on this issue. The proposed procedures will provide
each bidder with appropriate flexibility during the auction; therefore the Bureau adopts this proposal for
Auction 95.
187.
Bid Removal. Before the close of a bidding round, a bidder has the option of removing
any bids placed in that round. By using the “remove bids” function in the FCC Auction System, a bidder
may effectively “undo” any bid placed within that round. A bidder removing a bid placed in the same
round is not subject to withdrawal payments. If a bid is placed on a license during a round, it will count
towards the activity for that round, but when that bid is then removed during the same round it was
placed, the activity associated with it is also removed, i.e., a bid that is removed does not count toward
bidding activity.
188.
Bid Withdrawal. Once a round closes, a bidder may no longer remove a bid. However,
in a later round, a bidder may withdraw provisionally winning bids from previous rounds for licenses
using the “withdraw bids” function in the FCC Auction System. A provisionally winning bidder that
withdraws its provisionally winning bid from a previous round during the auction is subject to the bid
withdrawal payments specified in section 1.2104(g).200 Once a bid withdrawal is submitted during a
round, that withdrawal cannot be unsubmitted even if the round has not yet ended.
189.
If a provisionally winning bid is withdrawn, the minimum acceptable bid amount will
equal the amount of the second highest bid received for the license, which may be less than, or in the case
of tied bids, equal to, the amount of the withdrawn bid.201 The Commission will serve as a placeholder
provisionally winning bidder on the license until a new bid is submitted on that license.
190.
Calculation of Bid Withdrawal Payment. Generally, the Commission imposes payments
on bidders that withdraw provisionally winning bids during the course of an auction.202 If a bidder
withdraws its bid and there is no higher bid in the same or subsequent auction(s), the bidder that withdrew
its bid is responsible for the difference between its withdrawn bid and the winning bid in the same or


199 Auction 95 Comment Public Notice at ¶¶ 50-53.
200 47 C.F.R. § 1.2104(g).
201 The Bureau retains the discretion to lower the minimum acceptable bid on such licenses in the next round or in
later rounds.
202 47 C.F.R. §§ 1.2104(g), 1.2109.
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subsequent auction(s).203 If there are multiple bid withdrawals on a single license and no subsequent
higher bid is placed and/or the license is not won in the same auction, the payment for each bid
withdrawal will be calculated based on the sequence of bid withdrawals and the amounts withdrawn. No
withdrawal payment will be assessed for a withdrawn bid if either the subsequent winning bid or any
subsequent intervening withdrawn bid, in either the same or subsequent auction(s), equals or exceeds that
withdrawn bid. Thus, a bidder that withdraws a bid will not be responsible for any final withdrawal
payment if there is a subsequent higher bid in the same or subsequent auction(s).204
191.
Section 1.2104(g)(1) of the rules sets forth the payment obligations of a bidder that
withdraws a provisionally winning bid on a license during the course of an auction, and provides for the
assessment of interim bid withdrawal payments.205 In the Auction 95 Comment Public Notice, the Bureau
proposed to establish this percentage at ten percent for Auction 95 and sought comment on the
proposal.206
192.
The Bureau received no comments on this issue. The Bureau adopted a ten percent
payment amount for prior paging auctions,207 and the Bureau adopts its proposal for a ten percent
payment amount for this auction. The Commission will assess an interim withdrawal payment equal to
ten percent of the amount of the withdrawn bids. The ten percent interim payment will be applied toward
any final bid withdrawal payment that will be assessed after subsequent auction of the license. Assessing
an interim bid withdrawal payment ensures that the Commission receives a minimal withdrawal payment
pending assessment of any final withdrawal payment. Section 1.2104(g) provides specific examples
showing application of the bid withdrawal payment rule.208
7.

Round Results

193.
Limited information about the results of a round will be made public after the conclusion
of the round.209 Specifically, after a round closes, the Bureau will make available for each license, its
current provisionally winning bid amount, the minimum acceptable bid amount for the following round,
the amounts of all bids placed on the license during the round, and whether the license is FCC held. The
system will also provide an entire license history detailing all activity that has taken place on a license
with the ability to sort by round number. The reports will be publicly accessible. Moreover, after the
auction closes, the Bureau will make available complete reports of all bids placed during each round of
the auction, including bidder identities.


203 The payment will equal the lower of: (1) the difference between the net withdrawn bid and the subsequent net
winning bid; or (2) the difference between the gross withdrawn bid and the subsequent gross winning bid. See 47
C.F.R. § 1.2104(g)(1).
204 See following paragraphs for discussion of interim bid withdrawal payments.
205 47 C.F.R. § 1.2104(g)(1); see Part 1 Fifth Report and Order, 15 FCC Rcd at 15302 ¶ 15.
206 Auction 95 Comment Public Notice at ¶¶ 54-55.
207 See, e.g., “Auction of Lower and Upper Paging Bands Licenses Scheduled for May 25, 2010; Notice and Filing
Requirements, Minimum Opening Bids, Upfront Payments, and Other Procedures for Auction 87,” Public Notice,
DA 10-18, 25 FCC Rcd 6333, 6675 ¶¶ 197 (WTB 2010).
208 47 C.F.R. § 1.2104(g).
209 The identities of parties that are qualified to bid in Auction 95 will be available before the auction. Thus, bidders
will know in advance of this auction the identities of the other parties against which they may be bidding in the
auction.
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DA 13-535

8.

Auction Announcements

194.
The Commission will use auction announcements to report necessary information such as
schedule changes and stage transitions. All auction announcements will be available by clicking a link in
the FCC Auction System.

V.

POST-AUCTION PROCEDURES

195.
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, final payments, long-form applications, and ownership disclosure information reports.

A.

Down Payments

196.
Within ten business days after release of the auction closing public notice, each winning
bidder must submit sufficient funds (in addition to its upfront payment) to bring its total amount of money
on deposit with the Commission for Auction 95 to twenty percent of the net amount of its winning bids
(gross bids less any applicable small business bidding credit).210

B.

Final Payments

197.
Each winning bidder will be required to submit the balance of the net amount of its
winning bids within ten business days after the applicable deadline for submitting down payments.211

C.

Long-Form Application (FCC Form 601)

198.
Within ten business days after release of the auction closing notice, winning bidders must
electronically submit a properly completed long-form application (FCC Form 601) for the license(s) they
won through Auction 95. Winning bidders claiming eligibility for a small business bidding credit must
demonstrate their eligibility for the bidding credit.212 Further instructions on these and other filing
requirements will be provided to winning bidders in the auction closing public notice.
199.
Winning bidders organized as bidding consortia must comply with the long-form
application procedures established in the CSEA/Part 1 Report and Order.213 Specifically, each member
(or group of members) of a winning consortium seeking separate licenses will be required to file a
separate long-form application for its respective license(s). If the license is to be partitioned or
disaggregated, the member (or group) filing the long-form application must provide the relevant
partitioning or disaggregation agreement in its long-form application. In addition, if two or more
consortium members wish to be licensed together, they must first form a legal business entity, and any
such entity must meet the applicable designated entity criteria.214

D.

Ownership Disclosure Information Report (FCC Form 602)

200.
Within ten business days after release of the auction closing public notice, each winning
bidder must also comply with the ownership reporting requirements in sections 1.913, 1.919, and 1.2112


210 47 C.F.R. § 1.2107(b).
211 47 C.F.R. § 1.2109(a).
212 47 C.F.R. § 1.2112(b).
213 CSEA/Part 1 Report and Order, 21 FCC Rcd at 911-12 ¶¶ 51-52. Applicants applying as consortia should
review the CSEA/Part 1 Report and Order in detail and monitor any relevant future proceedings to understand how
the members of the consortia will apply for a license in the event they are winning bidders.
214 Id.
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DA 13-535

of the Commission’s rules by submitting an ownership disclosure information report for wireless
telecommunications services (FCC Form 602) with its long-form application.215
201.
If an applicant already has a complete and accurate FCC Form 602 on file in ULS, it is
not necessary to file a new report, but applicants must verify that the information on file with the
Commission is complete and accurate. If the applicant does not have an FCC Form 602 on file, or if it is
not complete and accurate, the applicant must submit one.
202.
When an applicant submits a short-form application, ULS automatically creates an
ownership record. This record is not an FCC Form 602, but may be used to pre-fill the FCC Form 602
with the ownership information submitted on the applicant’s short-form application. Applicants must
review the pre-filled information and confirm that it is complete and accurate as of the filing date of the
long-form application before certifying and submitting the FCC Form 602. Further instructions will be
provided to winning bidders in the auction closing public notice.

E.

Tribal Lands Bidding Credit

203.
A winning bidder that intends to use its license(s) to deploy facilities and provide services
to federally recognized tribal lands that are unserved by any telecommunications carrier or that have a
wireline penetration rate equal to or below 85 percent is eligible to receive a tribal lands bidding credit as
set forth in sections 1.2107 and 1.2110(f).216 A tribal lands bidding credit is in addition to, and separate
from, any other bidding credit for which a winning bidder may qualify.
204.
Unlike other bidding credits that are requested prior to the auction, a winning bidder
applies for the tribal lands bidding credit after the auction when it files its long-form application (FCC
Form 601). When initially filing the long-form application, the winning bidder will be required to advise
the Commission whether it intends to seek a tribal lands bidding credit, for each license won in the
auction, by checking the designated box(es). After stating its intent to seek a tribal lands bidding credit,
the applicant will have 180 days from the close of the long-form application filing window to amend its
application to select the specific tribal lands to be served and provide the required tribal government
certifications. Licensees receiving a tribal lands bidding credit are subject to performance criteria as set
forth in section 1.2110(f)(3)(vii).217
205.
For additional information on the tribal lands bidding credit, including how the amount of
the credit is calculated, applicants should review the Commission’s rulemaking proceeding regarding
tribal lands bidding credits and related public notices.218 Relevant documents can be viewed on the
Commission’s web site by going to http://wireless.fcc.gov/auctions/ and clicking on the

Tribal Lands
Credits

link.


215 47 C.F.R. §§ 1.913, 1.919, 1.2107(f) and 1.2112.
216 47 C.F.R. §§ 1.2107 and 1.2110(f).
217 See 47 C.F.R. §§ 1.2110(f)(3)(ii) – (vii).
218 See generally, Extending Wireless Telecommunications Services to Tribal Lands, WT Docket No. 99-266,
Report and Order and Further Notice of Proposed Rule Making, FCC 00-209, 15 FCC Rcd 11794 (2000); Second
Report and Order and Second Further Notice of Proposed Rulemaking
, FCC 03-51, 18 FCC Rcd 4775, 4778-79 ¶
10 (2003); Third Report and Order, FCC 04-202, 19 FCC Rcd 17652 (2004). See also “Wireless
Telecommunications Bureau Announces Enhancements to the Universal Licensing System to Help Winning Bidders
of FCC Auctions File for Tribal Land Bidding Credits,” Public Notice, DA 01-613, 16 FCC Rcd 5355 (2001);
“Wireless Telecommunications Bureau Releases Additional Information Regarding the Procedures for Obtaining a
Tribal Lands Bidding Credit and List of Tribal Lands,” Public Notice, DA 00-2836, 15 FCC Rcd 24838 (2000);
“Wireless Telecommunications Bureau Announces Availability of Bidding Credits for Providing Wireless Services
to Qualifying Tribal Lands: Tribal Lands Bidding Credits to be Available Beginning in Auction No. 36 (800 MHz
Specialized Mobile Radio (SMR) Lower 80 Channels) and in Future Auctions,” Public Notice, DA 00-2219, 15
FCC Rcd 18351 (2000).
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DA 13-535

F.

Default and Disqualification

206.
Any winning bidder that defaults or is disqualified after the close of the auction (i.e., fails
to remit the required down payment within the prescribed period of time, fails to submit a timely long-
form application, fails to make full payment, or is otherwise disqualified) will be subject to the payments
described in section 1.2104(g)(2).219 This payment consists of a deficiency payment, equal to the
difference between the amount of the Auction 95 bidder’s winning bid and the amount of the winning bid
the next time a license covering the same spectrum is won in an auction, plus an additional payment equal
to a percentage of the defaulter’s bid or of the subsequent winning bid, whichever is less.
207.
The percentage of the applicable bid to be assessed as an additional payment for defaults
in a particular auction is established in advance of the auction. Accordingly, in the Auction 95 Comment
Public Notice
, the Bureau proposed to set the additional default payment for this auction at ten percent of
the applicable bid. We received no comments on this proposal, and it is therefore adopted.
208.
Finally, in the event of a default, the Commission has the discretion to re-auction the
license or offer it to the next highest bidder (in descending order) at its final bid amount.220 In addition, if
a default or disqualification involves gross misconduct, misrepresentation, or bad faith by an applicant,
the Commission may declare the applicant and its principals ineligible to bid in future auctions, and may
take any other action that it deems necessary, including institution of proceedings to revoke any existing
authorizations held by the applicant.221

G.

Refund of Remaining Upfront Payment Balance

209.
After the auction, applicants that are not winning bidders or are winning bidders whose
upfront payment exceeded the total net amount of their winning bids may be entitled to a refund of some
or all of their upfront payment. All refunds will be returned to the payer of record, as identified on the
FCC Form 159, unless the payer submits written authorization instructing otherwise. Bidders should not
request a refund of their upfront payments before the Commission releases a public notice declaring the
auction closed, identifying the winning bidders, and establishing the deadlines for submitting down
payments, long-form applications, and final payments.
210.
Bidders are encouraged to file their refund information electronically using the

Refund

Information

icon found on the Auction Application Manager page or through the

Wire Transfer for
Refund Purposes

link available on the Auction Application Submit Confirmation page in the FCC
Auction System. If an applicant has completed the refund instructions electronically, the refund will be
sent automatically. If an applicant has not completed the refund instructions electronically, the applicant
must send a written request including the following information:
Name, address, contact and phone number of Bank
ABA Number
Account Number to Credit
Name of Account Holder
FCC Registration Number (FRN)
The refund request may be submitted by fax to the Auctions Accounting Group at (202) 418-2980 or by
mail to:
Federal Communications Commission
Financial Operations


219 47 C.F.R. § 1.2104(g)(2).
220 47 C.F.R. §§ 1.2109(b) and (c).
221 47 C.F.R. § 1.2109(d).
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DA 13-535

Auctions Accounting Group
Gail Glasser
445 12th Street, SW, Room 1-C864
Washington, DC 20554
NOTE: Refund processing generally takes up to two weeks to complete. Bidders with questions about
refunds should contact Gail Glasser at (202) 418-0578.

VI.

CONTACT INFORMATION

211.
Contact Information Table:

General Auction Information

FCC Auctions Hotline

General Auction Questions
(888) 225-5322, option two; or
Auction Process and Procedures
(717) 338-2868
Hours of service: 8:00 a.m. – 5:30 p.m. ET,
Monday through Friday

Auction 95 Legal Information

Auctions and Spectrum Access Division

Auction Rules, Policies, Regulations, including
(202) 418-0660
Reports of Section 1.2105(c) Violations and
Howard Davenport (Attorney)
Application Major Modifications

Licensing Information

Mobility Division

Service Rules, Policies, Regulations
(202) 418-0620
Licensing Issues, Engineering Issues
Kathy Harris (Attorney)
Due Diligence, Incumbency Issues
Keith Harper (Engineer)

Technical Support

FCC Auctions Technical Support Hotline

Electronic Filing
(877) 480-3201, option nine; or (202) 414-1250
FCC Auction System (Hardware/Software
(202) 414-1255 (TTY)
Issues)
Hours of service: 8:00 a.m. – 6:00 p.m. ET,
Monday through Friday

Payment Information

FCC Auctions Accounting Branch

Wire Transfers
Gail Glasser at (202) 418-0578, or alternatively,
Refunds
Theresa Meeks at (202) 418-2945, or
(202) 418-2980 (fax)

Auction Bidder Line

Will be furnished only to qualified bidders

FCC Copy Contractor

Best Copy and Printing, Inc

Additional Copies of Commission Documents
445 12th Street, SW, Room CY-B402
Washington, DC 20554
(800) 378-3160
http://www.bcpiweb.com
48

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DA 13-535

Press Information

Cecilia Sulhoff (202) 418-0587

FCC Forms

(800) 418-3676 (outside Washington, DC)
(202) 418-3676 (in the Washington area)
http://www.fcc.gov/formpage.html

Accessible Formats

Consumer and Governmental Affairs Bureau

Braille, large print, electronic files, or audio
(202) 418-0530 or (202) 418-0432 (TTY)
format for people with disabilities
fcc504@fcc.gov

Small Businesses

Office of Communications Business

Additional information for small and

Opportunities

disadvantaged businesses
(202) 418-0990
http://www.fcc.gov/ocbo/

FCC Internet Sites

http://www.fcc.gov
http://wireless.fcc.gov/auctions
http://wireless.fcc.gov/uls
– FCC –
49

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DA 13-535

ATTACHMENT A

Summary of Licenses to Be Offered in Auction 95 *

Totals By Frequency Band

License Band

Number

Bidding

Upfront

Minimum

of Licenses

Units

Payments

Opening Bids

Lower Bands

35 MHz
2,339
1,169,500
$1,169,500
$1,169,500
43 MHz
860
430,000
$430,000
$430,000
152 and 158 MHz Paired
531
265,500
$265,500
$265,500
152 and 158 MHz Unpaired
232
116,000
$116,000
$116,000
454 and 459 MHz Paired
940
470,000
$470,000
$470,000
Total Lower Bands
4,902
2,451,000
$2,451,000
$2,451,000

Upper Bands

929 MHz
460
230,000
$230,000
$230,000
931 MHz
543
271,500
$271,500
$271,500
Total Upper Bands
1,003
501,500
$501,500
$501,500

Total Lower and Upper Paging Bands

5,905
2,952,500
2,952,500
2,952,500
* Due to the large number of licenses in Auction 95, the complete list of licenses available for this auction
will be provided in electronic format only, available as separate “Attachment A” files at
http://wireless.fcc.gov/auctions/95/.
A copy of the complete list of licenses and any other documents relating to Auction 95 may be purchased
from the Commission’s duplicating contractor, Best Copy and Printing, Inc. (“BCPI”), 445 12th Street,
SW, Room CY-B402, Washington, DC 20554, 800-378-3160 or at http://www.bcpiweb.com.
A - 1

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DA 13-535

ATTACHMENT B

Block/Frequency Cross-Reference List

Below are tables containing block and frequency information for the lower paging bands (35-36 MHz,
43-44 MHz, 152-159 MHz, 454-460 MHz) and the upper paging bands (929-931 MHz). While the lower
paging bands list frequency ranges and the upper paging bands list the center frequency, operations on
these channels are restricted to a 20 kHz bandwidth; 10 kHz on each side of the center frequency.222 For
Auction 95, licenses are not available in every block listed in these tables. See Attachment A to this
Public Notice for more information about the licenses to be offered in Auction 95.
35 MHz Lower Bands Unpaired Paging Channels

Block

Frequency

Block

Frequency

Block

Frequency

Block

Frequency

(License
(License
(License
(License

Suffix)

Suffix)

Suffix)

Suffix)

CA
35.19 - 35.21
CE
35.29 - 35.31
CI
35.45 - 35.47
CM
35.57 - 35.59
CB
35.21 - 35.23
CF
35.33 - 35.35
CJ
35.49 - 35.51
CN
35.59 - 35.61
CC
35.23 - 35.25
CG
35.37 - 35.39
CK
35.53 - 35.55
CO
35.61- 35.63
CD
35.25 - 35.27
CH
35.41- 35.43
CL
35.55 - 35.57
CP
35.65 - 35.67
43 MHz Lower Bands Unpaired Paging Channels

Block

Frequency

Block

Frequency

Block

Frequency

Block

Frequency

(License
(License
(License
(License

Suffix)

Suffix)

Suffix)

Suffix)

DA
43.19 - 43.21
DE
43.29 - 43.31
DI
43.45 - 43.47
DM
43.57 - 43.59
DB
43.21 - 43.23
DF
43.33 - 43.35
DJ
43.49 - 43.51
DN
43.59 - 43.61
DC
43.23 - 43.25
DG
43.37 - 43.39
DK
43.53 - 43.55
DO
43.61 - 43.63
DD
43.25 - 43.27
DH
43.41 - 43.43
DL
43.55 - 43.57
DP
43.65 - 43.67
152 MHz and 158 MHz Lower Bands Unpaired Paging Channels

Block

Frequency

Block

Frequency

(License
(License

Suffix)

Suffix)

EA
152.230 - 152.250
EC
158.090 - 158.110
EB
152.830 - 152.850
ED
158.690- 158.710


222 See 47 C.F.R. § 22.531. See also 47 C.F.R. § 22.561.
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152 and 158 MHz Lower Bands Paired Paging Channels

Block

Frequency

Block

Frequency

(License
(License

Suffix)

Suffix)

FA
152.015-152.045 / 158.475-158.505
FJ
152.555-152.585 / 157.815-157.845
FB
152.045-152.075 / 158.505-158.535
FK
152.585-152.615 / 157.845-157.875
FC
152.075-152.105 / 158.535-158.565
FL
152.615-152.645 / 157.875-157.905
FD
152.105-152.135 / 158.565-158.595
FM
152.645-152.675 / 157.905-157.935
FE
152.135-152.165 / 158.595-158.625
FN
152.675-152.705 / 157.935-157.965
FF
152.165-152.195 / 158.625-158.655
FO
152.705-152.735 / 157.965-157.995
FG
152.195-152.225 / 158.655-158.685
FP
152.735-152.765 / 157.995-158.025
FH
152.495-152.525 / 157.755-157.785
FQ
152.765-152.795 / 158.025-158.055
FI
152.525-152.555 / 157.785-157.815
FR
152.795-152.825 158.055-158.085
454 and 459 MHz Lower Bands Paired Paging Channels

Block

Frequency

Block

Frequency

(License
(License

Suffix)

Suffix)

GA
454.0125-454.0375 / 459.0125-459.0375
GN
454.3375-454.3625 / 459.3375-459.3625
GB
454.0375-454.0625 / 459.0375-459.0625
GO
454.3625-454.3875 / 459.3625-459.3875
GC
454.0625-454.0875 / 459.0625-459.0875
GP
454.3875-454.4125 / 459.3875-459.4125
GD
454.0875-454.1125 / 459.0875-459.1125
GQ
454.4125-454.4375 / 459.4125-459.4375
GE
454.1125-454.1375 / 459.1125-459.1375
GR
454.4375-454.4625 / 459.4375-459.4625
GF
454.1375-454.1625 / 459.1375-459.1625
GS
454.4625-454.4875 / 459.4625-459.4875
GG
454.1625-454.1875 / 459.1625-459.1875
GT
454.4875-454.5125 / 459.4875-459-5125
GH
454.1875-454.2125 / 459.1875-459.2125
GU
454.5125-454.5375 / 459.5125-459.5375
GI
454.2125-454.2375 / 459.2125-459.2375
GV
454.5375-454.5625 / 459.5375-459.5625
GJ
454.2375-454.2625 / 459.2375-459.2625
GW
454.5625-454.5875 / 459.5625-459.5875
GK
454.2625-454.2875 / 459.2625-459.2875
GX
454.5875-454.6125 / 459.5875-459.6125
GL
454.2875-454.3125 / 459.2875-459.3125
GY
454.6125-454.6375 / 459.6125-459.6375
GM
454.3125-454.3375 / 459.3125-459.3375
GZ
454.6375-454.6625 59.6375-459.6625
B-2

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DA 13-535

929-931 MHz Upper Bands Paging Channels

Block Frequency

Block (License Frequency

Block Frequency

Block Frequency

(License

Suffix)

(License
(License

Suffix)

Suffix)

Suffix)

A
929.0125
AA
931.0125
AN
931.3375
BA
931.6625
B
929.1125
AB
931.0375
AO
931.3625
BB
931.6875
C
929.2375
AC
931.0625
AP
931.3875
BC
931.7125
D
929.3125
AD
931.0875
AQ
931.4125
BD
931.7375
E
929.3875
AE
931.1125
AR
931.4375
BE
931.7625
F
929.4375
AF
931.1375
AS
931.4625
BF
931.7875
G
929.4625
AG
931.1625
AT
931.4875
BG
931.8125
H
929.6375
AH
931.1875
AU
931.5125
BH
931.8375
I
929.6875
AI
931.2125
AV
931.5375
BI
931.8625
J
929.7875
AJ
931.2375
AW
931.5625
BJ
931.9625
K
929.9125
AK
931.2625
AX
931.5875
BK
931.9875
L
929.9625
AL
931.2875
AY
931.6125
AM
931.3125
AZ
931.6375
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ATTACHMENT C

Short-Form Application Filing Instructions

This attachment provides instructions on submitting a short-form application and an upfront payment to
participate in Auction 95. It also includes instructions for interested parties wishing to view the short-
form applications filed.

I.

Application Preparation and Submission

Among other requirements, each applicant to participate in this auction must submit its short-form
application (FCC Form 175) electronically, via the FCC Auction System.

Short-form applications for
Auction 95 must be submitted and confirmed prior to 6:00 p.m. ET on Thursday, May 9, 2013.


Late applications or unconfirmed submissions of electronic data will not be accepted.
Applicants are reminded that all information required in connection with applications to participate in
spectrum license auctions is necessary to determine each applicant’s qualifications, and as such will be
available for public inspection. Accordingly, unnecessary sensitive information, such as Taxpayer
Identification Numbers or Social Security Numbers, should not be included in short-form applications.
Applicants may request information submitted not be made routinely available for public inspection
following the procedures set forth in section 0.459 of the Commission’s Rules.223 Such requests must be
included as an attachment to the applicant’s FCC Form 175 and identify the specific information to which
the request applies. Because the required information bears on each applicant’s qualifications,
confidentiality requests will not be routinely granted.224
Applicants may make multiple changes to their short-form applications until the close of the filing
window. However, they must press the

SUBMIT

button in the FCC Auction System for the changes to
be submitted and considered by the Commission.

A.

Minimum Software Requirements

The following software, at a minimum, is required to use the FCC Integrated Spectrum Auction System:
·
Web Browser, either of the following is recommended:
§
Microsoft® Internet Explorer 7.0. Your browser must have either Microsoft VM or Java Plug-
In Version 1.6 installed.
§
Mozilla® Firefox® 3.5, with Sun Microsystems’ Java Plug-In Version 1.6.
To obtain the Java Plug-In, point your browser at
http://www.oracle.com/technetwork/java/javase/downloads/index.html and click the Download
button in the JRE column under Java Platform, Standard Edition.
·
PDF Viewer: Adobe Acrobat Reader 5.0 or higher (available at http://www.adobe.com)
·
Minimum Screen Resolution: 1024 x 768
Currently, the Apple® Mac OS® is not supported.


223 47 C.F.R. § 0.459.
224 47 C.F.R. § 0.459(a).
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B.

Logging On

To submit a short-form application (FCC Form 175) electronically via the Internet, an applicant should
start its web browser and point it to either http://auctions.fcc.gov/ (primary location) or
http://auctions2.fcc.gov/ (secondary location). Once on the FCC Integrated Spectrum Auction System
page, the applicant may log in to create a short-form application using its FCC Registration Number
(“FRN”) and password.

C.

Application Filing Instructions

The short-form application (FCC Form 175) requests information needed to determine whether an
applicant qualifies to participate in competitive bidding for Commission licenses or construction
permits.225 Pursuant to section 1.2105(a), the FCC Form 175 must be submitted electronically.
Applicants must submit required information as entries in the data fields of the FCC Form 175 whenever
a data field is available for that information. Attachments should not be used to provide information that
can be supplied within the data fields of the FCC Form 175.
The screens comprising FCC Form 175 consist of five series, each requesting five separate types of
information: 1) Applicant Information; 2) License Selection; 3) Agreements; 4) Ownership; and 5) Certify
and Submit
. In addition, Summary screens, a sixth series, appear prior to the Certify and Submit screens.
The Summary screens provide an overview of an applicant’s FCC Form 175 that facilitates reviewing and
revising specific information, as well as an automated check for certain inconsistencies and omissions in
submitted information.
To simplify filling out FCC Form 175, certain initial information applicants provide is used to determine
what additional information is needed, and what subsequent screens will appear to collect that
information. For example, a corporate applicant, unlike an individual applicant, must identify a corporate
officer or director responsible for the application (sometimes called a responsible party). If an applicant
identifies itself as an individual, no additional information is needed regarding an additional responsible
party, and screens requesting responsible party information will not appear. However, if the applicant
identifies itself as a corporation, subsequent screens in the FCC Form 175 will ask for responsible party
information.
Applicants must fill out FCC Form 175 by following the instructions below. Additional help in filling out
FCC Form 175 can be accessed in two ways: 1) by clicking on the

Help

link in the upper right of any
screen, which will open Auction Application Online Filing Help; or 2) by clicking on the text of any

Common Question

link appearing on the right side of the screen. The common questions displayed
relate to the current screen and vary from screen to screen. In the event the assistance provided by these
sources is insufficient, applicants should use the contact information provided in this Public Notice to
obtain additional assistance.226
1.

Applicant Information

The Applicant Information screens are the first series of screens in FCC Form 175, in which the applicant
will provide basic information including:
• the applicant’s legal classification (e.g., individual, corporation, rural telephone cooperative, etc.)
• optional information regarding the applicant’s status as a minority- or woman-owned business or a
rural telephone company


225 See generally, 47 C.F.R. § 1.2105.
226 See Section VI. “Contact Information,” above.
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the applicant’s name, which will be used as the bidder name during the auction227
• citizenship for individuals, or jurisdiction of formation for legal entities
• for applicants classified as legal entities (e.g., corporations and partnerships), the name of and
information regarding the entity’s responsible individual228
• the name, address, telephone and fax number of a contact person who will communicate with the
Commission regarding the applicant’s FCC Form 175229
• the names of up to three persons authorized to bid for the applicant in the auction230
• the applicant’s preference for electronic or telephonic bidding
• whether the applicant claims eligibility for certain types of bidding credits and the percentage
claimed231
Each screen will specify the information that the applicant must provide. Please note the following with
respect to particular information requested:
·
Applicants must indicate their legal classification before continuing to subsequent screens,
because the legal classification will determine which subsequent screens will appear.
·
P.O. Boxes may not be used for an applicant’s address.
·
To simplify filling out the FCC Form 175, an applicant that has the same address as its contact
person can click on the

COPY APPLICANT ADDRESS

button to automatically fill in the
contact person’s address. P.O. Boxes may not be used for a contact person’s address.
·
Applicants must identify at least one authorized bidder. While applicants may change their
authorized bidders at a later date, only those bidders listed on the FCC Form 175 will be
authorized to place bids for the applicant during the auction.
·
Any qualified bidder may bid either via the Internet or by telephone during the auction.
Specifying a preference for electronic or telephonic bidding assists the Commission in
determining the staff required in this auction for telephonic bidding.
2.

License Selection

The License Selection screens make up the second series of screens in FCC Form 175. In these screens,
the applicant will identify the licenses offered on which they may wish to bid during the auction. While
an applicant is not obligated to bid on all licenses that it selects, it will not be able to bid on licenses that it
has not selected on its FCC Form 175.232 Be advised that there is no opportunity to change this list after
the short-form application filing deadline.


227 See 47 C.F.R. § 1.2105(a)(2)(ii)(A).
228 Section 1.2105(a)(2) requires that the name and title of an officer or director be reported if the applicant is a
corporation. This rule requires disclosure of the name and title of a responsible person if a partner is not a natural
person.
229 FCC personnel will communicate only with an applicant’s contact person or certifying official, as designated on
the applicant’s FCC Form 175, unless the applicant’s certifying official or contact person notifies the Commission in
writing that applicant’s counsel or other representative is authorized to speak on its behalf. Authorizations may be
sent by e-mail to auction95@fcc.gov.
230 See 47 C.F.R. § 1.2105(a)(2)(iii).
231 See 47 C.F.R. §§ 1.2105(a)(2)(iv).
232 47 C.F.R. § 1.2105(a)(2)(i).
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To participate in an auction, applicants must select at least one license. Until a license is selected, the
applicant cannot submit the FCC Form 175. An applicant’s license selections cannot be changed after the
initial filing window has closed. Therefore, during the initial filing window it is important to carefully
review the license selections to make sure all licenses on which the applicant may wish to bid have been
selected.
The License Selection screens contain a list of all available licenses in the auction. Applicants can
navigate within this screen by selecting the individual page links or the “Previous” and “Next” buttons
above and below the list of available licenses. In addition, pre-defined filters can be used to narrow down
the list of licenses to be selected and saved. Specifically, licenses can be selected by: (1) clicking the
check box next to the license name, then selecting the “Save Selected Items” button; (2) clicking the
“Save All Items” button to save all available licenses; or (3) clicking the “Save All Filtered Items” button
after applying a filter. Once the applicant has successfully saved a license, the word “Saved” will appear
next to the license name to confirm it has been saved with the application.
Licenses can be removed by: (1) clicking the check box (to uncheck) next to a previously saved license,
then selecting the “Remove Selected Items” button; (2) clicking the “Remove All Items” button to
remove all previously saved licenses; or (3) clicking the “Remove All Filtered Items” button after
applying a filter. Removed licenses will not have the word “Saved” next to the license name.
Applicants may view all saved licenses by either clicking the

Edit Icon

next to “View Saved Items” at the
top-right corner of the list, or by clicking the “CONTINUE” button at the bottom of the page.
Once licenses have been saved, the View/Edit License Selections screen will be the first screen displayed
when navigating to the License Selection step. This screen lists all licenses the applicant has selected and
saved for the auction. To select a new license or remove a previously selected license, an applicant can
click the

Edit Icon

next to “Return to License Selection” at the top-right corner of the list, which will
return it to the original Select Licenses screen, as described above.
3.

Agreements

The Agreements screens are the third series of screens in FCC Form 175. In these screens, applicants will
provide information regarding auction-related agreements subject to disclosure under the Commission’s
rules.233
On the first screen, applicants must state whether the applicant has any agreements that are subject to
disclosure under the Commission’s rules by responding “Yes” or “No” to a question asking whether the
applicant has entered into a partnership, joint venture, consortia, or other agreement, arrangement or
understanding of any kind relating to the licenses being auctioned, including any such agreement relating
to the post-auction market structure. When two applicants in this auction share one officer, or one
director, or one individual with specified ownership interests,234 it is at this point in each application that


233 47 C.F.R. § 1.2105(a)(2)(viii).
234 Applicants are reminded that, for purposes of the communication prohibitions of 47 C.F.R. § 1.2105(c), section
1.2105(c)(7)(i) defines “applicant” as including all officers and directors of the entity submitting a short-form
application to participate in the auction, all controlling interests of that entity, as well as 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.
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the two applicants can indicate that there is a sharing of this one individual (officer, director, or owner) by
responding to this “agreement” question with a “Yes.”235
If an applicant answers “No,” the applicant will continue to the Ownership series of screens, described
below. If the applicant answers “Yes,” the applicant will continue with additional Agreements screens.
In the additional Agreements screens, applicants must provide an identifying name for the agreement and
must identify the parties, other than the applicant, to the agreement. The agreement identifier can be a
brief description of the agreement or a simple reference name; however, each agreement identifier must
be unique. Neither the name of the agreement nor its description should indicate license selection or
potentially reveal an applicant’s bidding strategy.
Applicants may provide FRNs for the other parties to the agreement, if available. While providing the
FRN is optional, it helps prevent identification errors resulting from parties having similar names or a
single party using multiple names.
Up to three parties to the agreement (not including the applicant) can be identified on a single screen.
Additional parties can be added by clicking the

ADD MORE PARTIES

button. In the event of an error,
the name of a party and its associated FRN can be deleted from the form by clicking on the

RESET

button. After identifying all parties to a particular agreement, click the

FINISH THIS AGREEMENT

button.
The next screen, the View/Edit Agreements screen, lists the agreements and parties to each agreement that
already have been entered. From this screen, the following options are available:
·
Clicking the

Edit

icon or the

Agreements

link to return to the initial Agreements screen
regarding whether or not the applicant has any agreements.
·
Modifying agreement identifiers by clicking on them.
·
Clicking the

Delete This Agreement

link to delete an agreement and associated parties.
·
Modifying information regarding a particular party to an agreement by clicking on the party’s
name.
·
Clicking the

Remove

icon next to information about a particular party to remove that
corresponding party.
·
Clicking the

Add Party to This Agreement

link to add a new party to an agreement.
·
Clicking the

CREATE NEW AGREEMENT

button to add additional agreements.


235 As explained in the discussion above about the communication prohibitions of section 1.2105(c), the failure to
report an agreement in both short-form applications when a specified individual is involved with two applicants in
the same auction can result in a violation of section 1.2105(c). Where an individual served as an officer for two or
more applicants, the Bureau has found that the bids and bidding strategies of one applicant are necessarily conveyed
to the other applicant, and, absent a disclosed bidding agreement, an apparent violation of section 1.2105(c) occurs.
See, e.g., Trinity, 20 FCC Rcd at 14648(finding apparent violation of communication prohibitions of section
1.2105(c) where applicants with mutually exclusive applications reported sharing same individual as an officer and
director and reported having no bidding agreement).
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When all agreements and the parties to each agreement have been identified, the applicant should click
the

CONTINUE

button.
4.

Ownership

The Ownership screens are the fourth series of screens in the FCC Form 175. In these screens, applicants
will provide information regarding parties with ownership or controlling interests in the applicant that
must be disclosed pursuant to Commission rules.236 The disclosure and description of FCC-regulated
businesses that are owned by the applicant and by parties with certain ownership interests in the applicant
are also required.237 In addition, if the applicant has claimed eligibility for bidding credits based on
revenues attributable to the applicant and related parties, the applicant will provide information regarding
revenues for entities related to the applicant through ownership or control in the Ownership screens.238
a.

Information Already on File with the Commission

Some applicants may have previously filed FCC Form 602 disclosing ownership information in
connection with wireless services. In addition, some applicants may have filed a short-form application
(FCC Form 175) for a previous auction disclosing ownership information. To simplify filling out FCC
Form 175, an applicant’s most current ownership information on file with the Commission will
automatically be entered into the applicant’s short-form application, if it is in an electronic format
compatible with the short-form application (FCC Form 175) (such as information submitted in an on-line
FCC Form 602 or in an FCC Form 175 filed for a previous auction using ISAS). Applicants with
ownership information automatically entered into FCC Form 175 will proceed directly to the View/Edit
Ownership
screen described below.
Each applicant is responsible for information submitted in its FCC Form 175 being complete and
accurate. An applicant must carefully review any information automatically entered to confirm that it is
complete and accurate as of the deadline for submitting its short-form application in this auction.
Information must be corrected directly in the FCC Form 175. After the deadline for filing this FCC Form
175, submitted ownership information will be considered to be the applicant’s most current information
on file with the Commission for this auction.
b.

Disclosable Interest Holders and FCC-Regulated Businesses

• Sections 1.2105 and 1.2112(a) of the Commission’s rules list the interest holders in the applicant that
must be disclosed in FCC Form 175.239

Applicants should note that holders of both direct and
indirect interests must be reported

.
• Section 1.2112(a)(7) lists the FCC-regulated business entities, or applicants for an FCC license, that
must be disclosed in FCC Form 175.240


236 47 C.F.R. §§ 1.2105(a)(2)(ii)(A)-(B), 1.2110, and 1.2112.
237 47 C.F.R. § 1.2112.
238 Applicants claiming eligibility for bidding credits based on revenues are also required to disclose in separate
attachments information related to arrangements for the lease or resale (including wholesale agreements) of any of
the capacity of any of the applicant’s spectrum. 47 C.F.R. §§ 1.2112(b)(1)(iii) and (iv). The procedure for attaching
this information to the application is described below in Section I.C.6. “Attaching Additional Information,” below.
239 47 C.F.R. §§ 1.2105, 1.2112(a). Section 1.2105 requires the disclosure on the short-form application of applicant
ownership information as set forth in Section 1.2112.
240 47 C.F.R. § 1.2112(a)(7).
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The initial Ownership screen enables the applicant to add information regarding either a disclosable
interest holder or the FCC-regulated businesses in which the applicant has an interest or parties with 10%
or more ownership interest in the applicant have an interest. Each screen will specify the information that
the applicant must provide. Please note the following with respect to particular information requested:
·

If an application includes one or more disclosable interest holders with indirect ownership
in the applicant,241 the application must include an attachment describing the relationship
between the indirect interest holder(s) and the applicant.

The attachment should provide an
overview of the ownership chain that links the indirect owner(s) to the applicant, e.g., indirect
owner X owns 50% of holding company Y; indirect owner Z owns 50% of holding company Y;
and holding company Y owns 100% of the applicant.242 One attachment connecting all indirect
owners to the applicant is sufficient. Applicants should not provide separate attachments for each
indirect owner. An overview of the ownership connections is sufficient. The attachment should
not duplicate all the detailed information already provided in the data fields of the FCC Form
175.
·
The “Percent of Interest Held in Applicant” should reflect the disclosable interest holder’s
aggregate ownership interest in the applicant (both direct and indirect). In some cases, e.g.,
circumstances where there is joint ownership or indirect ownership resulting in different owners
sharing the same ownership interests, the sum of all the percentages held by disclosable interest
holders may exceed 100%. In other cases, a disclosable interest holder may have a 0% ownership
interest in the applicant, e.g., directors and officers of an entity seeking revenue-based bidding
credits.243
·
FCC-regulated businesses in which the applicant has a direct interest can be entered from the
initial Add Ownership Disclosure Information screen. FCC-regulated businesses in which a
disclosable interest holder has a direct interest can be entered from the Add FCC Regulated
Business
screen in the series of screens for entering information about a disclosable interest
holder.
·
When adding an FCC-regulated business, “Percent of Interest Held” refers to the percent of
interest held directly by the applicant or disclosable interest holder, as applicable, in the FCC-
regulated business. FCC-regulated businesses in which the applicant or disclosable interest
holder has an indirect interest need not be reported in the FCC Form 175.
·
To simplify filling out the FCC Form 175, applicants can click on the

Select Business(es)
Already Submitted

link when entering an FCC-regulated business previously entered as an
FCC-regulated business for the applicant or another disclosable interest holder. When doing so,
be certain to enter the “Percent of Interest Held” in the FCC-regulated business by the current
party, either the applicant or the disclosable interest holder, with respect to which the FCC-
regulated business is being entered.
c.

View/Edit Ownership Disclosure Information

The View/Edit Ownership Disclosure Information screen summarizes ownership information already
entered in the FCC Form 175, either automatically from compatible ownership information on file with


241 47 C.F.R. § 1.2112(a)(6).
242 Id.
243 See 47 C.F.R. § 1.2112(b)(1)(i).
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the Commission or directly by the applicant, and provides links enabling existing information to be
revised and additional information to be added.
Existing ownership information is divided into three groups:
·
Disclosable Interest Holders of this Applicant
·
FCC-Regulated Businesses of this Applicant
·
Affiliates of this Applicant and of the Applicant’s Controlling Interests (i.e., those entities that are
not Disclosable Interest Holders)
To view the detailed information submitted regarding the applicant, a disclosable interest holder or FCC-
regulated business, or an affiliate, click on the relevant party’s name. To delete existing information or
add a new entry in one of the categories, click on the relevant link. This screen also provides a link
enabling applicants to add an FCC-regulated business directly to an existing disclosable interest holder,
without needing to reenter the disclosable interest holder’s information.
d.

Bidding Credit Revenue Information

Applicants claiming eligibility for a bidding credit based on revenues must provide revenue information
described below regarding entities related to the applicant by ownership or control. In addition,
applicants are also required to provide information regarding any arrangements for the lease or resale
(including wholesale agreements) of any of the capacity of any of the applicant’s spectrum, as well as the
gross revenues of entities with which the applicant has an attributable material relationship as a result of
such arrangements.244 Information regarding arrangements for lease or resale (include wholesale
agreements), as well as related entities and revenues, must be provided in an attachment to the FCC Form
175. The procedure for attaching this information is described below in Section I.C.6, below.
If the applicant has claimed eligibility for a bidding credit based on revenues attributable to the applicant
and related parties, the first Ownership screen will request relevant information regarding the applicant’s
revenues. The subsequent screen will request which of the two sources of financial information
authorized by section 1.2110(o) the applicant used for the revenue information (either audited financial
statements or financial statements prepared in accordance with Generally Accepted Accounting Principles
that are certified as accurate by the applicant’s chief financial officer or equivalent).245
Applicants claiming eligibility for a bidding credit based on revenues are required to provide revenue
information separately, and in the aggregate, for the applicant, its affiliates, its controlling interests, and
affiliates of its controlling interests. In addition, if the applicant is a consortium of small businesses, the
information must be provided with respect to each member comprising the consortium.246
The Commission’s definition of an affiliate of the applicant encompasses both controlling interests of the
applicant and affiliates of controlling interests of the applicant.247 In the FCC Form 175, an applicant can
enter information about itself, its disclosable interest holders, and its affiliates.

In those instances where
a controlling interest or an affiliate of a controlling interest is not a disclosable interest holder,
information regarding those entities should be disclosed in the “Affiliates of Applicant” screens.



244 See 47 C.F.R. §§ 1.2112(b)(1)(iii) and (iv).
245 47 C.F.R. § 1.2110(o).
246 47 C.F.R. § 1.2112(b)(1)(iii).
247 47 C.F.R. § 1.2110(c)(5).
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Following the first two screens, the subsequent screen will be similar to the initial Ownership screen
described above, except applicants claiming eligibility for bidding credits will also have an option to add
information regarding affiliates that are not disclosable interest holders, including the affiliates’
revenues.248
Applicants that claim eligibility based on revenues attributable to the applicant and related parties will be
requested to provide revenue information for each disclosable interest holder. With respect to disclosable
interest holders that are affiliates or controlling interests of the applicant, applicants will fill out two
screens similar to those described above with respect to the applicant, i.e., one screen requesting the
relevant information and a second screen regarding the source of the revenue information.
There may be circumstances in which the revenue information need not be provided for certain
disclosable interest holders. For example, some entities that must be disclosed in the short-form
application pursuant to section 1.2112(a) may not be affiliates of the applicant, controlling interests of the
applicant, or affiliates of the applicant’s controlling interests.249 Because revenues for such disclosable
interest holders are not attributable to the applicant, the applicant could indicate on the first screen
requesting revenue information for that disclosable interest holder that no revenue information is required
pursuant to the Commission’s rules. To report that no revenue information needs to be disclosed, check
the box indicating that the disclosable interest holder is not an affiliate or a controlling interest within the
meaning of the Commission’s rules.

If the disclosable interest holder is an individual or entity that is
required to disclose revenue information, you should not check this box even if gross revenues are
zero for the relevant time period.

Eligible Rural Telephone Cooperatives Claiming Certain Gross Revenues to Be Exempt from Attribution.
An applicant will be exempt from attribution of gross revenues of an affiliate or a controlling interest in
the applicant if such entity meets all of the conditions set forth in section 1.2110(b)(3)(iii) of the
Commission’s rules.250

If an applicant claims that it (or its controlling interest) is an eligible rural
telephone cooperative pursuant to section 1.2110(b)(3)(iii), it should not check the box indicating
that the disclosable interest holder is not an affiliate or a controlling interest.

The applicant should
instead indicate that the affiliate or controlling interest has zero gross revenues. It must also provide, in
an attachment to the FCC Form 175, an affirmative statement that the applicant, affiliate and/or
controlling interest is an eligible rural telephone cooperative within the meaning of section
1.2110(b)(3)(iii) and supply any additional information as may be required to demonstrate eligibility for
the exemption from the attribution rule.251
In addition, an applicant may have affiliates that are not disclosable interest holders. To disclose
information regarding such affiliates and their revenues required pursuant to Commission rule,252
applicants can click on the

ADD AFFILIATE

button on the initial Ownership screen. Applicants also
can click on the

Add Affiliate to Applicant

link on the View/Edit Ownership Disclosure Information
screen to disclose information regarding affiliates and their revenues.
Applicants providing information regarding an affiliate must provide the name of the affiliate and the
affiliate’s principal business. To simplify filling out FCC Form 175, an applicant can click on the

Select



248 47 C.F.R. § 1.2112(b)(1)(iii).
249 Compare 47 C.F.R. § 1.2110(c)(2) (definition of controlling interests) and (c)(5)(definition of affiliate) with 47
C.F.R. § 1.2112(a) (describing disclosable interest holders).
250 47 C.F.R. § 1.2110(b)(3)(iii).
251 See Fifth Report and Order’s Second Reconsideration Order, 20 FCC Rcd at 1942.
252 47 C.F.R. § 1.2112(b)(1)(iii).
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Business(es) Already Submitted

link when entering an affiliate that previously was entered as an FCC-
regulated business for the applicant or a disclosable interest holder. Applicants will fill out two screens
similar to those described above with respect to the affiliate, i.e., one screen requesting the relevant
information and a second screen regarding the source of the revenue information.
Finally, applicants claiming eligibility for bidding credits based on revenues attributable to the applicant
and related parties will be asked to confirm that they have provided revenue information with respect to
each party for which revenue information is required: (1) the applicant; (2) each of the applicant’s officers
and directors; (3) each of the applicant’s other controlling interests; (4) each of the applicant’s affiliates;
and (5) each affiliate of the applicant’s controlling interests, including its officers and directors.253
5.

Summary

The Summary screens summarize information applicants have provided in previous screens, offering an
overview of an applicant’s FCC Form 175 to help locate specific information. These screens will appear
prior to the Certify and Submit screens, in order to permit the applicant to review all the information
entered in previous screens and to provide an opportunity to check for certain inconsistencies or
omissions in the information within the FCC Form 175.
The first Summary screen, the Summary Overview screen, lists the first four series of screens in the
application and provides a

VIEW/EDIT

button to access each one.
·
Clicking

VIEW/EDIT

for Applicant Information produces a Detail for Applicant Information
screen showing the information entered for each data entry field. To change any data item, the
applicant should click the

Edit

icon for the relevant data field.
·
Clicking

VIEW/EDIT

for License Selection takes the applicant to the View/Edit License
Selection
screen discussed above in the License Selection section.
·
Clicking

VIEW/EDIT

for Agreements takes the applicant to the Agreements screen discussed
above in the Agreements section.
·
Clicking

VIEW/EDIT

for Ownership takes the applicant to the View/Edit Ownership Disclosure
Information
screen discussed above in the Ownership section.
Clicking on the

CHECK ERRORS

button initiates an automated check of the application. If the
automated check encounters certain inconsistencies or omissions in information within the FCC Form 175
that must be corrected before submitting the application, the inconsistency or omission will be listed in an
Error box at the top of the screen. To correct one of these errors, click its corresponding

EDIT

button. In
addition, if the automated check encounters certain apparent inconsistencies or omissions that might
render the application incomplete or deficient if the application is submitted with current information, the
apparent error will be listed in a Warning box. To revise the information related to the apparent
inconsistency or omission, click its corresponding

EDIT

button.
Each applicant is solely responsible for providing complete and accurate information in its FCC Form
175. The automated check is provided to assist applicants in completing the FCC Form 175. However,
the automated check cannot be relied upon to determine whether the information provided is complete or
accurate. The automated check may not catch all errors and applicants cannot rely on the automated
check to determine the completeness or the accuracy of submitted information.


253 Id.
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If the automated check does not encounter certain inconsistencies or omissions, a box will appear
displaying the message “

No Errors found - You may continue to Certify and Submit.

” Applicants
may then click the

CONTINUE TO CERTIFY

button.
6.

Attaching Additional Information

If an applicant needs to provide additional information not requested directly in the screens comprising
the FCC Form 175, that information can be provided in an attachment. For example, applicants can
describe the relationship among indirect owners of the applicant, or provide information regarding lease
and resale arrangements (including wholesale) involving the spectrum capacity of applicants claiming
eligibility for bidding credits.254
The screen for adding an attachment to FCC Form 175 can be accessed by clicking on the

Attachments

link in the upper right of any screen. This screen requests information regarding the type of attachment to
be added, the name of the file to be attached, and a brief description of the attachment.
NOTE: If the attachment is a request for a waiver or exemption of any of the Commission’s rules
or procedures, the applicant must identify the “Type” of attachment as a “Waiver” to facilitate
prompt processing.
Once the requested information is provided, applicants can add the attachment to the application by
clicking on the

ADD ATTACHMENT

button. A list of any attachments already uploaded along with the
applicant’s FCC Form 175 will appear at the bottom of the screen.
When uploading attachments, applicants may use a variety of file formats, including Word 2000 or
earlier, WordPerfect 5.x or later, Adobe PDF, and ASCII text. Applicants must, however, verify that the
files contain all attachment information, and files may be no larger than 10 Mb and must not be password-
protected. Graphics files (e.g., .bmp, .tiff, .jpg) and spreadsheets (e.g., Excel, Lotus) are supported but
not recommended.
After the short-form application filing deadline, an application attachment may not be deleted or withdrawn.
7.

Certify and Submit

The Certify and Submit screens are the sixth and final series of screens in FCC Form 175. In these
screens, applicants provide certifications required of all participants in the Commission’s competitive
bidding processes.255
The first Certify and Submit screen requires each applicant to indicate whether the applicant, any affiliate
of the applicant, any controlling interest of the applicant, or any affiliate of a controlling interest has ever
been in default on any Commission construction permit or license or has ever been delinquent on any
non-tax debt owed to any Federal agency.256 Current defaulters or delinquents are not eligible to
participate in this auction. Former defaulters or delinquents who have remedied all such defaults and
cured all of the outstanding non-tax delinquencies can participate in this auction so long as they are


254 Applicants claiming eligibility for bidding credits must disclose (1) a list of all parties with which the applicant
has entered into arrangements for the lease or resale (including wholesale agreements) of any of the capacity of any
of the applicant’s spectrum, and (2) a list, separately and in the aggregate, of the gross revenues of entities with
which the applicant has an attributable material relationship. 47 C.F.R. §§ 1.2112(b)(1)(iii)-(iv). These lists should
be provided in an attachment to the application, with the attachment type identified as “Other.”
255 See generally, 47 C.F.R. §§ 1.2105(a)(2) (iv)-(xi).
256 47 C.F.R. § 1.2105(a)(2)(xi).
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otherwise qualified and make upfront payments that are equal to 50 percent more than otherwise
required.257
The second Certify and Submit screen lists the certifications required of all applicants in the
Commission’s competitive bidding processes and requests that the applicant’s certifying official be
identified and sign the application.

Who Can Certify.

A short-form application can be certified by: (1) the applicant, if the applicant is an
individual; (2) one of the partners, if the applicant is a partnership; (3) an officer, director, or duly-
authorized employee, if the applicant is a corporation; (4) a member who is an officer, if the applicant is
an unincorporated association; (5) the trustee, if the applicant is an amateur radio service club; or (6) a
duly elected or appointed official who is authorized to make such certifications under the laws of the
applicable jurisdiction, if the applicant is a governmental entity.258
All applicants must certify on their short-form applications under penalty of perjury that they are legally,
technically, financially and otherwise qualified to hold a Commission license.259 Applicants are reminded
that submission of an FCC Form 175 constitutes a representation by the certifying official that he or she is
an authorized representative of the applicant and has read the form’s instructions and certifications, and
that the contents of the application, its certifications and any attachments are true, complete and correct.
Submission of a false certification to the Commission may result in penalties, including monetary
forfeitures, license forfeitures, ineligibility to participate in future auctions, and/or criminal prosecution.
As noted above, a change of certifying official is considered a major change of the short-form application
and will not be permitted after the application deadline.
Once the two Certify and Submit screens have been filled out, the application may be submitted by
clicking on the

SUBMIT

button.
After the application has been submitted, a confirmation screen will be displayed that states the
submission time and date, along with a unique file number. Applicants should print a copy of the
confirmation page for their records. They may then view and print copies of their submitted applications
by clicking on the

PRINT PREVIEW

button.
FCC Form 175 applications for Auction 95 must be submitted and confirmed prior to 6:00 p.m. ET on
Thursday, May 9, 2013. Late applications or unconfirmed submissions of electronic data will not be
accepted.

D.

Withdrawing a Short-Form Application Before the Filing Deadline and Updating
Existing Short-Form Applications

1.

Withdrawing an Application

To withdraw a submitted application before the short-form application filing deadline, applicants should
click on the

Withdraw Application

icon on the Auction Application Manager Review or Modify Existing
Short-Form Applications
page. All previously-submitted data will be deleted.

After the short-form application filing deadline, applications may not be withdrawn.



257 47 C.F.R. §§ 1.2105(a)(2)(xi), 1.2106(a).
258 See 47 C.F.R. § 1.917.
259 47 C.F.R. § 1.2105(a)(2)(v).
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Applicants may choose to not submit an upfront payment, and therefore, will not be qualified to bid in the
auction. However, an applicant remains subject to the prohibition on certain communications under
section 1.2105(c), until the down payment deadline following the close of the auction.
2.

Updating Existing Applications

The Review or Modify Existing Short-Form Applications page displays any application created or
submitted within a filing window. This page shows the application status, the date and time the
application was last updated, and the date and time the application was last submitted. It may be used as a
reference to confirm the date and time of the most recent submission of the application.
To review or continue working on an existing short-form application, an applicant should click the
application auction number, which will produce the application’s Summary page in a view/edit mode.
Applicants must go to the Certify and Submit screens and click the

SUBMIT

button to submit any
changes made to their FCC Form 175 applications. After the revised application has been submitted, a
confirmation page will display the application’s file number and submission time and date. A copy of the
confirmation page should be printed for your records. Applicants may then view and print copies of their
submitted applications by clicking on the

PRINT PREVIEW

button.
After the filing deadline, an applicant may make only minor changes to its application. Major
modifications will not be permitted (e.g., change its license selection(s) or certifying official, change in
ownership of the applicant that would constitute an assignment or transfer of control, or claim eligibility
for a higher percentage of bidding credit).260

II.

Upfront Payment Submission

A.

Upfront Payment Calculator and Form 159

Applicants may access the

Upfront Payment Calculator and Form 159

from the Review or Modify
Existing Short-Form Applications
page and from the Auction Application Submit Confirmation page.
Clicking the

Upfront Payment Calculator and Form 159

icon or link will provide a calculator to
determine the appropriate upfront payment amount to submit with the FCC Form 159. From the
Calculate Upfront Payment page, the applicant may click the

Form 159

button to obtain the FCC
Form 159. For further instructions on how to submit the FCC Form 159, see Attachment D to this Public
Notice.

B.

Refund of Upfront Payment

On the Auction Application Submit Confirmation page, applicants can click on the

Wire Transfer for
Refund Purposes

link to provide wire transfer instructions for purposes of refunds of upfront payments.
The Commission will use this information to refund excess funds on deposit.

III.

Miscellaneous

A.

Access to View Short-Form Applications

After the deadline for filing short-form applications, the Commission will process all timely-submitted
applications to determine which are complete, and subsequently will issue a public notice identifying: (1)
those that are complete; (2) those that are rejected; and (3) those that are incomplete or deficient because
of minor defects that may be corrected. Once that public notice is released, any interested parties may be
able to view the short-form applications by searching for them in the FCC database.


260 47 C.F.R. § 1.2105(b).
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To start a search, go to either http://auctions.fcc.gov/ (primary location) or http://auctions2.fcc.gov
(secondary location) and click the

Auction Application Search

link in the Public Access area on the
FCC Integrated Spectrum Auction System page.

B.

Technical Support

For technical assistance with using FCC software, contact the FCC Technical Support Hotline at (877)
480-3201, option nine; (202) 414-1250; or (202) 414-1255 (TTY). The FCC Technical Support Hotline
is available Monday through Friday from 8 a.m. to 6 p.m. ET. All calls to the FCC Technical Support
Hotline are recorded.
Paperwork Reduction Act Approval: The FCC Form 175 was assigned control number 3060-0600 and
was approved, as revised, by the Office of Management and Budget on November 1, 2006.
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ATTACHMENT D

Auction-Specific Instructions for

FCC Remittance Advice (FCC Form 159-February 2003 Edition)

Upfront Payments

The following information supplements the standard instructions for FCC Form 159 (Revised 2/03), and
is provided to help ensure correct completion of FCC Form 159 for upfront payments for Auction 95.
Applicants need to complete FCC Form 159 carefully, because:
·

Mistakes may affect bidding eligibility; and

·

Lack of consistency between information provided in FCC Form 159 (Revised 2/03), FCC Form
175, long-form application, and correspondence about an application may cause processing
delays.

Therefore appropriate cross-references between the FCC Form 159 Remittance Advice and the short-form
application (FCC Form 175) are described below:

Block

Number

Required Information

1
LOCKBOX # - Enter “979085”
2
Payer Name - Enter the name of the person or company making the payment. If the
applicant itself is the payer, this entry would be the same as FCC Form 175.
3
Total Amount Paid - Enter the amount of the upfront payment associated with the FCC
Form 159 (Revised 2/03).
4-8
Street Address, City, State, ZIP Code - Enter the street mailing address (not Post Office
box number
) where mail should be sent to the payer. If the applicant is the payer, these
entries would be the same as FCC Form 175 from the Applicant Information section.
9
Daytime Telephone Number - Enter the telephone number of a person knowledgeable
about this upfront payment.
10
Country Code - For addresses outside the United States, enter the appropriate postal
country code (available from the Mailing Requirements Department of the U.S. Postal
Service).
11
Payer FRN - Enter the payer’s ten-digit FCC Registration Number (“FRN”) registered in
the Commission Registration System (“CORES”).
21
Applicant FRN (Complete only if applicant is different than payer.) – Enter the applicant’s
ten-digit FRN registered in CORES.
24A
Payment Type Code - Enter “U095”
25A
Quantity - Enter the number “1”
26A
Fee Due - Amount of Upfront Payment
27A
Total Fee - Will be the same amount as 26A.
28A
FCC Code 1 - Enter the number “95” (indicating Auction 95).
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NOTES:
·
Do not use Remittance Advice (Continuation Sheet), FCC Form 159-C, for upfront payments.
·
If applicant is different from the payer, complete blocks 13 through 21 for the applicant, using the
same information shown on FCC Form 175. Otherwise leave them blank.
·
Since credit card payments will not be accepted for upfront payments for an auction, leave Section E
blank.

Winning Bidder Requirements, Down Payments and Final Payments

Specific information regarding down payments and final payments will be included in a post-auction
public notice announcing the winning bidders.
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ATTACHMENT E

Summary Listing of Judicial, Commission and Bureau Documents Addressing

Application of the Rule Prohibiting Certain Communications,

47 C.F.R. § 1.2105(c)

A. Judicial Decisions

Star Wireless, LLC v. FCC, 522 F.3d 469 (D.C. Cir. 2008).
High Plains Wireless, L.P. v. FCC, 276 F.3d 599 (D.C. Cir. 2002).

B. Commission Decisions

Procedural Amendments to Commission Part 1 Competitive Bidding Rules, Order, FCC 10-4, 25 FCC
Rcd 521 (2010).
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, 15489 (2007).
Star Wireless, LLC and Northeast Communications of Wisconsin, Inc., Order on Review, FCC 07-80, 22
FCC Rcd 8943 (2007).
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).
Notice of Apparent Liability for Forfeiture of Western PCS BTA 1 Corp., Memorandum Opinion and
Orde
r, FCC 99-385, 14 FCC Rcd 21571 (1999); Application of Western PCS BTA I Corp., Notice of
Apparent Liability for Forfeiture,
FCC 98-42, 13 FCC Rcd 8305 (1998).
Notice of Apparent Liability for Forfeiture of US West Communications, Inc., Order, FCC 99-90, 14
FCC Rcd 8816 (1999); Application of US West Communications, Inc., Notice of Apparent Liability for
Forfeiture,
FCC 98-41, 13 FCC Rcd 8286 (1998).
Application of Mercury PCS II, LLC, Memorandum Opinion and Order, FCC 98-203, 13 FCC Rcd
23755 (1998); Applications of: Mercury PCS II, LLC, Notice of Apparent Liability for Forfeiture, FCC
97-388, 12 FCC Rcd 17970 (1997).
Amendment of Part 1 of the Commission’s Rules – Competitive Bidding Procedures, WT Docket No.
97-82, Third Report and Order and Second Further Notice of Proposed Rule Making, FCC 97-413, 13
FCC Rcd 374, 463-469 ¶¶ 155-166 (1997).
Commercial Realty St. Pete, Inc., Memorandum Opinion and Order, FCC 96-400, 11 FCC Rcd 15374
(1996); Commercial Realty St. Pete, Inc., Notice of Apparent Liability for Forfeiture, FCC 95-58, 10 FCC
Rcd 4277 (1995).
Implementation of Section 309(j) of the Communications Act – Competitive Bidding, PP Docket No.
93-253, Memorandum Opinion and Order, FCC 94-295, 9 FCC Rcd 7684, 7687-7689 ¶¶ 8-12 (1994).
Implementation of Section 309(j) of the Communications Act – Competitive Bidding, PP Docket No.
93-253, Fourth Memorandum Opinion and Order, FCC 94-264, 9 FCC Rcd 6858, 6866-6869 ¶¶ 47-60
(1994).
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Implementation of Section 309(j) of the Communications Act – Competitive Bidding, PP Docket No.
93-253, Second Memorandum Opinion and Order, FCC 94-215, 9 FCC Rcd 7245, 7253-7254 ¶¶ 48-53
(1994).
Implementation of Section 309(j) of the Communications Act – Competitive Bidding, PP Docket No.
93-253, Fifth Report and Order, FCC 94-178, 9 FCC Rcd 5532, 5570-5571 ¶¶ 91-92 (1994).
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, 2386-2388 ¶¶ 221-226 (1994).

C. Wireless Telecommunications Bureau Decisions

Lotus Communications Corp., Order, DA 08-1364, 23 FCC Rcd 9107 (Wireless Telecom. Bur. 2008).
Application of Nevada Wireless, Memorandum Opinion and Order, DA 98-1137, 13 FCC Rcd 11973
(Wireless Telecom. Bur. 1998).
Applications of High Plains Wireless, L.P., Memorandum Opinion and Order, DA 97-2451, 12 FCC Rcd
19627 (Wireless Telecom. Bur. 1997).
Applications of Mercury PCS II, LLC, Memorandum Opinion and Order on Reconsideration, DA 97-
2324, 12 FCC Rcd 18093 (Wireless Telecom. Bur. 1997); Applications of Mercury PCS II, LLC,
Memorandum Opinion and Order, DA 97-1782, 13 FCC Rcd 5756 (Wireless Telecom. Bur. 1997).
Applications of GWI PCS, Inc., Memorandum Opinion and Order, DA 97-674, 12 FCC Rcd 6441
(Wireless Telecom. Bur. 1997).
Amendment of Parts 21 and 74 of the Commission’s Rules With Regard to Filing Procedures in the
Multipoint Distribution Service and in the Instructional Television Fixed Service, MM Docket No. 94-
131, Order, DA 95-2292, 11 FCC Rcd 9655 (Wireless Telecom. Bur. 1995).
1. Public Notices
Wireless Telecommunications Bureau Reminder of Anti-Collusion Rule Obligations, Public Notice, DA
04-3677, 19 FCC Rcd 22880 (Wireless Telecom. Bur. 2004).
Wireless Telecommunications Bureau Staff Provides Guidance on Completing the Short-Form
Application (FCC Form 175) for Auction No. 40, Auction of Licenses for Lower and Upper Paging
Bands, Public Notice, DA 01-2122, 16 FCC Rcd 16391 (Wireless Telecom. Bur. 2001).
Wireless Telecommunications Bureau Responds to Questions About the Local Multipoint Distribution
Service Auction, Public Notice, DA 98-37, 13 FCC Rcd 341 (Wireless Telecom. Bur. 1998).
Wireless Telecommunications Bureau Provides Guidance on the Anti-Collusion Rule for D, E and F
Block Bidders, Public Notice, DA 96-1460, 11 FCC Rcd 10134 (Wireless Telecom. Bur. 1996).
FCC Staff Clarifies Application of Anti-Collusion Rule to Broadband PCS "C" Block Reauction, Public
Notice,
DA 96-929, 11 FCC Rcd 7031 (Auc. Div. 1996).
Wireless Telecommunications Bureau Clarifies Spectrum Auction Anti-Collusion Rules, Public Notice,
DA 95-2244, 11 FCC Rcd 9645 (Wireless Telecom. Bur. 1995).
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2. Letters from the Office of General Counsel, the Wireless Telecommunications

Bureau and the Media Bureau

Letter to John Cooper, Aurora Communications, Inc., from Margaret W. Wiener, DA 06-157, 21 FCC
Rcd 523 (Auc. Div. 2006).
Letter to Howard A. Kalmenson, Lotus Communications Corp., from Margaret W. Wiener, DA 06-156,
21 FCC Rcd 520 (Auc. Div. 2006).
Letter to Colby M. May from Barbara A. Kreisman and Margaret W. Wiener, DA 05-2445, 20 FCC Rcd
14648 (Video and Auc. Divs. 2005).
Letter to Robert Pettit from Margaret W. Wiener, DA 00-2905, 16 FCC Rcd 10080 (Auc. Div. 2000).
Letter to John Reardon, Mobex Communications, Inc., from Amy J. Zoslov, DA 98-1861, 13 FCC Rcd
17877 (Auc. Div. 1998).
Letter to Elliott J. Greenwald from Christopher J. Wright, DA 98-644, 13 FCC Rcd 7132 (Gen. Counsel
1998).
Letter to David L. Nace from Kathleen O’Brien Ham, DA 96-1566, 11 FCC Rcd 11363 (Auc. Div. 1996).
Letter to Mark Grady from Kathleen O’Brien Ham, DA 96-587, 11 FCC Rcd 10895 (Auc. Div. 1996).
Letter to Jonathan D. Blake from Kathleen O’Brien Ham, DA 95-2404, 10 FCC Rcd 13783 (Auc. Div.
1995).
Letter to Leonard J. Kennedy from Rosalind K. Allen, Acting Chief, Commercial Radio Division,
Wireless Telecommunications Bureau (released December 14, 1994).
Letter to R. Michael Senkowski from Rosalind K. Allen, Acting Chief, Commercial Radio Division,
Wireless Telecommunications Bureau (released December 1, 1994).
Letter to Gary M. Epstein and James H. Barker from William E. Kennard, General Counsel, Federal
Communications Commission (released October 25, 1994).
Letter to Alan F. Ciamporcero from William E Kennard, General Counsel, Federal Communications
Commission (released October 25, 1994).

D. Enforcement Bureau Decisions

Cascade Access, L.L.C., Notice of Apparent Liability for Forfeiture, DA 09-207, 24 FCC Rcd 1350 (Enf.
Bur. 2009).
Application of Star Wireless, LLC, Forfeiture Order, DA 04-3026, 19 FCC Rcd 18626 (Enf. Bur. 2004);
Application of Star Wireless, LLC, Notice of Apparent Liability for Forfeiture, DA 03-2722, 18 FCC Rcd
17648 (Enf. Bur. 2003).
Application of Northeast Communications of Wisconsin, Inc., Forfeiture Order, DA 04-3027, 19 FCC
Rcd 18635 (Enf. Bur. 2004); Application of Northeast Communications of Wisconsin, Inc., Notice of
Apparent Liability for Forfeiture
, DA 03-2723, 18 FCC Rcd 17672 (Enf. Bur. 2003).
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E. Civil Actions Initiated by U.S. Department of Justice

USA v. Northeast Communications of Wisconsin, Inc., No. 07-C-715, 608 F.Supp.2d 1049 (E.D.Wis. June
25, 2008).
U.S. v. Omnipoint Corp., Proposed Final Judgments and Competitive Impact Statements, Department of
Justice, 63 Fed. Reg. 65,228 (Nov. 25, 1998).
“Justice Department Sues Three Firms Over FCC Auction Practices,” Press Release, U.S. Department of
Justice (Nov. 10, 1998).
Complaint, U.S. v. Omnipoint Corp., No. 1:98CV02750 (D.D.C. Nov. 10, 1998).
Complaint, U.S. v. Mercury PCS II, L.L.C., No. 1:98CV02751 (D.D.C. Nov. 10, 1998).
Complaint, U.S. v. 21st Century Bidding Corp., No. 1:98CV02752 (D.D.C. Nov. 10, 1998).

How to Obtain Copies of Decisions Relating to Section 1.2105(c)

Many of the documents listed in this attachment can be retrieved from the following Commission web
site: http://wireless.fcc.gov/auctions/prohibited_communications.
The documents may be located by using our search engine (select the link “search”). Documents
retrieved from the web site are available in various formats including Word, WordPerfect, Acrobat
Reader, Excel, and ASCII Text. To review a document in its entirety, including footnotes, it is necessary
to access the document in WordPerfect, MS Word, or Acrobat Reader.
Additionally, all of the documents can be ordered in hard copy for a fee from the Commission’s
duplicating contractor, Best Copy and Printing, Inc., 445 12th Street, SW, Room CY-B402, Washington,
DC 20554, (800) 378-3160, or at http://www.bcpiweb.com.
E - 4

Note: We are currently transitioning our documents into web compatible formats for easier reading. We have done our best to supply this content to you in a presentable form, but there may be some formatting issues while we improve the technology. The original version of the document is available as a PDF, Word Document, or as plain text.

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