**PUBLIC NOTICE**![](media/image1.png){width="0.7388888888888889in"
height="0.7458333333333333in"}

**FEDERAL COMMUNICATIONS COMMISSION** News Media Information: (202)
418-0500

**445 12th STREET, S.W.** Fax-On-Demand: (202) 418-2830

**WASHINGTON, D.C. 20554** Internet:
[http://www.fcc.gov](http://www.fcc.gov/)

ftp.fcc.gov

DA 99-2958

December 23, 1999

**[SUPPLEMENTAL CLOSED BROADCAST AUCTION]{.underline}**

**[AUCTION NO. 28]{.underline}**

Notice and Filing Requirements for Auction of certain AM, FM, LPTV, and
TV Broadcast Construction Permits Scheduled for

**March 21, 2000**

#### Minimum Opening Bids and Other Procedural Issues

**Report No. AUC-99-28-B (Auction No. 28)**

#### Table of Contents

1\. GENERAL INFORMATION [3](#general-information)

A. Introduction [3](#introduction)

**(1)** **Background** [4](#background)

**(2)** **Construction Permits** **Auctioned**
[4](#construction-permits-auctioned)

**(3)** **Daisy Chain MX Groups** [5](#daisy-chain-mx-groups)

B. Rules and Disclaimers [6](#b.-rules-and-disclaimers)

**(1)** **Relevant Authority** [6](#relevant-authority)

**(2)** **Prohibition of Collusion** [6](#prohibition-of-collusion)

**(3)** **Due Diligence** [7](#due-diligence)

**(4)** **Bidder Certification** [8](#bidder-certification)

**(5) National Environmental Policy Act (NEPA) Requirements**
[9](#national-environmental-policy-act-nepa-requirements)

C. Auction Specifics [9](#c.-auction-specifics)

**(1)** **Auction Date** [9](#auction-date)

**(2)** **Auction Title** [9](#auction-title)

**(3)** **Bidder Information** [9](#bidder-information)

**(4) Bidding Methodology** [10](#bidding-methodology)

**(5) Participation** [10](#participation)

**(6)** **Future Releases** [10](#future-releases)

**(7) Pre--Auction Dates and Deadlines**
[10](#preauction-dates-and-deadlines)

**(8) List of Attachments to This Public Notice**
[10](#list-of-attachments-to-this-public-notice)

**(9) Contact Information** [11](#contact-information)

2\. SHORT-FORM (FCC FORM 175) APPLICATION REQUIREMENTS
[12](#short-form-fcc-form-175-application-requirements)

A. Ownership Disclosure Requirements (Form 175 Exhibit A)
[12](#a.-ownership-disclosure-requirements-form-175-exhibit-a)

B. Consortia And Joint Bidding Arrangements (Form 175 Exhibit B)
[12](#b.-consortia-and-joint-bidding-arrangements-form-175-exhibit-b)

C. New Entrant Bidding Credit (Form 175 Exhibit C)
[13](#c.-new-entrant-bidding-credit-form-175-exhibit-c)

**(1) Eligibility** [13](#eligibility)

**(2) Application Requirements** [14](#application-requirements)

**(3) Bidding Credits** [15](#bidding-credits)

D. Other Information (Form 175 Exhibits D & E)
[15](#d.-other-information-form-175-exhibits-d-e)

E. Minor Modifications to Short-Form FCC Form 175 Applications
[16](#e.-minor-modifications-to-short-form-fcc-form-175-applications)

F. Maintaining Current Information in Short-Form (FCC Form 175)
Applications
[16](#f.-maintaining-current-information-in-short-form-fcc-form-175-applications)

3\. PRE-AUCTION PROCEDURES [16](#pre-auction-procedures)

A. Short-Form Application (FCC Form 175) -- Due February 18, 2000, 5:30
p.m. ET
[16](#a.-short-form-application-fcc-form-175-due-february-18-2000-530-p.m.-et)

**(1) Electronic Filing** [16](#electronic-filing)

**(2) Completion of the FCC Form 175**
[17](#completion-of-the-fcc-form-175)

**(3) Electronic Review of FCC Form 175**
[17](#electronic-review-of-fcc-form-175)

B. Application Processing and Minor Corrections
[17](#b.-application-processing-and-minor-corrections)

C. Upfront Payments \-- Due March 6, 2000
[18](#c.-upfront-payments----due-march-6-2000)

**(1) Making Auction Payments by Wire Transfer**
[18](#making-auction-payments-by-wire-transfer)

**(2) FCC Form 159** [19](#fcc-form-159)

**(3) Amount of Upfront Payment** [19](#amount-of-upfront-payment)

D. Auction Registration [19](#d.-auction-registration)

E. Remote Electronic Bidding Software
[20](#e.-remote-electronic-bidding-software)

F. Auction Seminar (February 3, 2000)
[20](#f.-auction-seminar-february-3-2000)

G. Mock Auction (March 17, 2000) [21](#g.-mock-auction-march-17-2000)

4\. AUCTION EVENT [21](#auction-event)

A. Auction Structure [21](#auction-structure)

**(1) Single Round Auction Design** [21](#single-round-auction-design)

**(2) Simultaneous Multiple Round Auction Design**
[21](#simultaneous-multiple-round-auction-design)

**(3) Maximum Eligibility and Activity Rules**
[22](#maximum-eligibility-and-activity-rules)

**(4) Activity Rule Waivers, Reducing Eligibility and Stopping Rules**
[22](#activity-rule-waivers-reducing-eligibility-and-stopping-rules)

**(5) Auction Delay, Suspension, or Cancellation**
[24](#auction-delay-suspension-or-cancellation)

B. Bidding Procedures [25](#b.-bidding-procedures)

**(1) Round Structure** [25](#round-structure)

**(2) Reserve Price or Minimum Opening Bid**
[25](#reserve-price-or-minimum-opening-bid)

**(3) Bidding** [27](#bidding)

**(4) High Bids** [28](#high-bids)

**(5) Bid Increments** [28](#bid-increments)

**(6) Bid Removal and Bid Withdrawal**
[29](#bid-removal-and-bid-withdrawal)

**(7) Round Results** [30](#round-results)

**(8) Auction Announcements** [30](#auction-announcements)

5\. POST-AUCTION PROCEDURES [31](#post-auction-procedures)

A. Down Payments and Withdrawn Bid Payments
[31](#a.-down-payments-and-withdrawn-bid-payments)

B. Default and Disqualification [31](#b.-default-and-disqualification)

C. Applicant\'s Wire Transfer Information for Purposes of Refunds
[31](#c.-applicants-wire-transfer-information-for-purposes-of-refunds)

D. Partial Refund of Remaining Upfront Payment Balance
[32](#d.-partial-refund-of-remaining-upfront-payment-balance)

Attachment A [34](#attachment-a)

Attachment B [37](#attachment-b)

A. FCC Form 175 [37](#a.-fcc-form-175)

B. Exhibits and Attachments [38](#b.-exhibits-and-attachments)

Attachment C [41](#attachment-c)

A. UPFRONT PAYMENTS [41](#a.-upfront-payments)

B. WINNING BIDDER REQUIREMENTS, DOWN PAYMENTS AND FINAL PAYMENTS
[42](#b.-winning-bidder-requirements-down-payments-and-final-payments)

Attachment D [43](#attachment-d)

A. ELECTRONIC FILING AND REVIEW OF THE FCC FORM 175
[43](#a.-electronic-filing-and-review-of-the-fcc-form-175)

**(1). Minimum Hardware Requirements**
[43](#minimum-hardware-requirements)

**(2). Minimum Software Requirements**
[43](#minimum-software-requirements)

B. Submitting FCC Form 175 Applications
[44](#b.-submitting-fcc-form-175-applications)

C. Reviewing FCC Form 175 Applications
[45](#c.-reviewing-fcc-form-175-applications)

Attachment E [46](#attachment-e)

A. Configuring Dial-Up Networking
[46](#a.-configuring-dial-up-networking)

B. Dial-Up Procedure [49](#b.-dial-up-procedure)

C. Troubleshooting [50](#c.-troubleshooting)

D. Help [51](#d.-help)

Attachment F [52](#attachment-f)

Auction No. 28 [52](#auction-no.-28)

Attachment G [53](#attachment-g)

Attachment H [56](#attachment-h)

# GENERAL INFORMATION

## Introduction

This Public Notice announces the procedures, reserve prices and minimum
opening bids for the upcoming supplemental Closed Broadcast Auction
(Auction No. 28). On November 19, 1999, the Mass Media Bureau (\"MMB\")
and the Wireless Telecommunications Bureau (\"WTB\") (collectively, the
\"Bureaus\") released a Public Notice,[^1] seeking comment on the
establishment of reserve prices and minimum opening bids for the auction
of AM, FM, LPTV, and TV Broadcast Construction Permits, in accordance
with the Balanced Budget Act of 1997.[^2] In addition, the Bureaus
sought comment on a number of procedures to be used in Auction No. 28.
In response to the *Comment Public Notice*, the Bureaus received
comments from two applicants and no replies to these comments*.*

### **Background**

All spectrum to be auctioned in Auction No. 28 is the subject of
pending, mutually exclusive applications for referenced broadcast
services for which the Federal Communications Commission ("FCC") has not
approved settlement agreements. In Auctions No. 25 and No. 27, recently
completed, the Commission auctioned similar groups of construction
permits. This Auction No. 28 shall dispose of broadcast applications not
included in those earlier Auctions. Auction No. 28 shall include
mutually exclusive applications for full service FM, AM and television
construction permits that were subject to the comparative freeze[^3]
pending resolution of the issues raised by Bechtel II.[^4] In addition,
included in Auction No. 28 are certain mutually exclusive LPTV and TV
translator displacement relief applications.[^5] Pursuant to the
*Broadcast First Report and Order,*[^6] participation in the auction
will be limited to those applicants identified on Attachment A of this
Public Notice. Applicants will be eligible to bid only on those
construction permits for which they previously filed long-form
applications (FCC Forms 301 or 349).[^7] Also pursuant to the *Broadcast
First Report and Order*, the Bureaus will dismiss the previously-filed
long-form application of any pending applicant failing to timely file a
short-form application to participate in Auction No. 28.[^8]

### **Construction Permits** **Auctioned**

A list of each of the groups of mutually exclusive applications ("MX
Groups") in Auction No. 28, along with its reserve price or minimum
opening bid and the upfront payment is included on Attachment A.
Pursuant to the *Broadcast First Report and Order*, in those specific
situations where both non-commercial and commercial applicants for full
power stations filed mutually exclusive long-form applications for
non-reserved band channels, auctions shall not be conducted at this time
and these applications are not included on Attachment A.

In response to the *Comment Public Notice*, Valley Public Television,
Inc. ("Valley"), an applicant for a secondary television facility in MX
Group SST10, raises arguments similar to those raised prior to the
Closed Broadcast Auction (Auction No. 25) concerning whether so-called
"noncommercial educational" secondary television applicants should be
included in this auction. Valley maintains that (1) under Section
309(j)(2)(C) of the Communications Act of 1934, as amended, 47 U.S.C. §
309(j)(2)(C), noncommercial applicants are exempt from auction; (2)
non-profit organizations like itself cannot afford to participate in the
auction; and (3) the Commission should use a lottery to choose between
the applicants in MX Group SST10. As we stated in the *Public Notice*,
DA 99-1346, released July 9, 1999 ("*July 9* *Public Notice*"), in
Auction No. 25, only those broadcast stations that are "eligible to be
licensed by the Commission as a noncommercial educational radio or
television broadcast station" are exempt from auction under Sections
309(j)(2)(C) and 397(6) of the Communications Act. *See* *July 9*
*Public Notice* at 36-39. Because applicants for the secondary
television services are not "eligible to be licensed . . . as a
noncommercial educational . . . television broadcast station" they are
not exempt from the auction. *See* Inquiry Into the Future Role of Low
Power Television Broadcasting and Television Translators in the National
Telecommunications System, *Report and Order*, FCC 82-107, 47 FR 21468
(1982), where the Commission stated that it would not license low power
television and television translator stations on a noncommercial basis.
Therefore, under the mandate of Section 309(j)(1) of the Communications
Act, the Commission has no discretion, as Valley suggests, to exempt
these applications from auction or to use an alternative method to
choose between mutually exclusive applicants in the secondary television
services. *See* 47 U.S.C. § 309(j)(1).

### **Daisy Chain MX Groups**

In some, but not all, of the MX Groups listed on Attachment A, a \"daisy
chain\" of mutual exclusivity exists whereby applications are directly
mutually exclusive with certain applications in the MX Group but not
others. A \"daisy chain\" occurs when two or more non-table, site-based
applications propose service areas that do not directly overlap, but are
linked together into a chain by the overlapping proposal(s) of other
applicants. In such cases, the potential exists to grant more than one
application and issue more than one construction permit per MX Group and
remain consistent with the Commission\'s separation requirements
relating to site-based services. The identification of "daisy chains" on
Attachment A is provisional in nature, since the final configuration of
groups cannot be ascertained until after the acceptance for filing of
short-form (FCC Form 175) applications, at which point mutual
exclusivity for auction purposes is determined. Further identification
and enumeration of "Daisy Chain MX Groups" will be provided prior to the
auction in the public notices announcing the status of the applications
and listing qualified bidders. It is possible that some MX Groups
provisionally identified here as constituting a daisy chain may, after
the short-form filing deadline, become directly mutually exclusive. In
such cases(s), the procedures set forth in this notice pertaining to
"Direct" MX Groups become applicable.

## B. Rules and Disclaimers

### **Relevant Authority**

Prospective bidders must familiarize themselves thoroughly with the
Commission\'s rules relating to broadcast auctions, contained in Title
47, Part 73 of the Code of Federal Regulations. Prospective bidders must
also be thoroughly familiar with the procedures, terms and conditions
contained in this Public Notice, the *Comment Public Notice*, the
*Broadcast First Report and Order*, the *Broadcast Reconsideration
Order*, and *New Entrant Bidding Credit Reconsideration Order*.
Potential bidders must also familiarize themselves with Part 1, Subpart
Q of the Commission\'s Rules concerning Competitive Bidding
Proceedings.[^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 its public notices at any time,
and will issue public notices to convey any new or supplemental
information to bidders. It is the responsibility of all prospective
bidders to remain current with all Commission rules and with all public
notices pertaining to this auction. Copies of most Commission documents,
including public notices, can be retrieved from the FCC Internet node
via anonymous ftp \@ftp.fcc.gov or the FCC World Wide Web site at
[http://www.fcc.gov/wtb/auctions]{.underline}. Additionally, documents
may be obtained for a fee by calling the Commission\'s copy contractor,
International Transcription Service, Inc. (ITS), at (202) 314-3070. When
ordering documents from ITS, please provide the appropriate FCC number
(*e.g.*, FCC 98-194 for the *Broadcast First Report* *and Order* and FCC
99-74 for the *Broadcast Reconsideration Order*).

### **Prohibition of Collusion**

To ensure the competitiveness and integrity of the auction process, the
Commission\'s rules prohibit competing applicants from communicating
with each other during the auction about bids, bidding strategies, or
settlements. In Auction No. 28, for example, the rule applies to all
applicants within a MX Group. This prohibition becomes effective at the
short-form application deadline (February 18, 2000) and ends on the
post-auction down payment due date (to be determined). Bidders competing
for the same construction permit(s) are encouraged not to use the same
individual as an authorized bidder. A violation of the anti-collusion
rule 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 the bidders he or she is
authorized to represent in the auction. Also, if the authorized bidders
are different individuals employed by the same organization (*e.g.*, law
firm or technical consulting firm), a violation could similarly occur.
At a minimum, in such a case, applicants should certify that
precautionary steps have been taken to prevent communication between
authorized bidders and that applicants and their bidding agents will
comply with the anti-collusion rule.[^10] The Bureaus, however, caution
that merely filing a certifying statement as part of an application will
not outweigh specific evidence that collusive behavior has occurred nor
will it preclude the initiation of an investigation when warranted.[^11]
Applicants may enter into bidding agreements before filing their FCC
Form 175 short-form applications, as long as they disclose the existence
of the agreement(s) in their FCC Form 175 short-form applications.[^12]
By electronically submitting their FCC Form 175 short-form applications,
applicants are certifying their compliance with Sections 1.2105(c) and
73.5002. 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, as
promptly as possible and in any event within 30 days, of any substantial
change that may be of decisional significance to that application.[^13]
Thus, Section 1.65 requires an auction applicant to notify the
Commission of any violation of the anti-collusion rules upon learning of
such violation. Bidders are therefore required to make such notification
to the Commission immediately upon discovery.

### **Due Diligence**

Potential bidders are solely responsible for investigating and
evaluating all technical and marketplace factors that may have a bearing
on the value of the facilities on which they intend to bid. The FCC
makes no representations or warranties about the use of this spectrum
for particular services. Applicants should be aware that a FCC auction
represents an opportunity to become a FCC permittee in these services,
subject to certain conditions and regulations. A FCC auction does not
constitute an endorsement by the FCC of any particular services,
technologies or products, nor does a FCC construction permit or license
constitute a guarantee of business success. Applicants should perform
their individual due diligence before proceeding as they would with any
new business venture.

Although applicants have had an extensive opportunity to conduct due
diligence due to the length of time since the filing of their long-form
applications, please remember that, as is the case with many business
investment opportunities, some unscrupulous entrepreneurs may attempt to
use the broadcast spectrum 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.

-   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 the minimum 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.

Information about deceptive telemarketing investment schemes is
available from the FTC at (202) 326-2222 and from the SEC at (202)
942-7040. 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. Consumers who have concerns about
specific proposals may also call the FCC Consumer Call Center at (888)
CALL-FCC ((888) 225-5322).

### **Bidder Certification**

All applicants must certify on their short-form FCC Form 175
applications under penalty of perjury that they are:

(i) legally, technically, financially and otherwise qualified to hold a
    license, and

(ii) not in default on any payment for Commission construction permits
     or licenses (including down payments) or delinquent on any non-tax
     debt owed to any Federal agency**.**

**Applicants should be aware that by filing their FCC Form 175
applications, they are certifying that they have long-form applications
on file and that there has been no change of control of their long-form
applications that would render them ineligible to participate in the
auction under 47 U.S.C. §309(l) or any other applicable Commission
rule.**[^14]

Prospective bidders are reminded that submission of a false
certification to the Commission is a serious matter that may result in
severe penalties, including monetary forfeitures, construction permit or
license revocations, exclusion from participation in future auctions,
and/or criminal prosecution.

### **(5) National Environmental Policy Act (NEPA) Requirements**

The permitee must comply with the Commission\'s rules regarding the
National Environmental Policy Act (NEPA). The construction of a
broadcast antenna facility is a federal action and the permitee must
comply with the Commission\'s NEPA rules for each such facility. *See*
47 C.F.R. §§1.1305-1.1319. The Commission\'s NEPA rules require that,
among other things, the permitee consult with expert agencies having
NEPA responsibilities, including the U.S. Fish and Wildlife Service, the
State Historic Preservation Office, the Army Corp of Engineers and the
Federal Emergency Management Agency (through the local authority with
jurisdiction over floodplains). The permitee must prepare environmental
assessments for broadcast facilities 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. The
permitee must also prepare environmental assessments for broadcast
facilities that include high intensity white lights in residential
neighborhoods or excessive radio frequency emission.

## C. Auction Specifics

### **Auction Date** 

The auction will begin on March 21, 2000. The initial schedule for
bidding will be announced by public notice at least one week before the
start of the auction.

### **Auction Title** 

Auction No. 28 (supplemental Closed Broadcast Auction).

### **Bidder Information**

Information necessary to participate in Auction No. 28 is contained in
this Public Notice, the *Comment Public Notice*, the *Broadcast First
Report and Order*, the *Broadcast Reconsideration and Order*, the *New
Entrant Bidding Credit Reconsideration Order* and the Commission\'s
rules. Since the notice and comment rulemaking proceeding looking toward
implementation of this auction was initiated nearly two years ago and
since all eligible applicants have had their long-form applications on
file for an extensive period of time, no separate Bidder Information
Package will be provided. Applicants may access updated information
about Auction No. 28 at the following address on WTB\'s web site:
[*http://www.fcc.gov/wtb/auctions/auc28/auc28.html*](http://www.fcc.gov/wtb/auctions/auc25/auc25.html)

Applicants are strongly encouraged to check this site regularly for
updated information regarding Auction No. 28.

### **(4) Bidding Methodology** 

The Commission will use two separate auction designs to award broadcast
construction permits. For the Daisy Chain MX Groups, an electronic
single round auction will be utilized. For the Direct MX Groups, an
electronic simultaneous multiple round auction will be implemented.
Bidding will be permitted only from remote locations, either
electronically (by computer) or telephonically.

### **(5) Participation**

Those wishing to participate in the auction must:

-   Submit a short-form application (FCC Form 175) by 5:30 p.m. ET,
    February 18, 2000.

-   Submit a sufficient upfront payment and a FCC Remittance Advice Form
    (FCC Form 159) by 6:00 p.m. ET, March 6, 2000.

-   Comply with all provisions outlined in this Public Notice and
    applicable Commission rules.

### **Future Releases** 

Further information regarding sequencing and length of bidding rounds
and other procedural issues will be released in a future public notice.

### **(7) Pre--Auction Dates and Deadlines**

Auction Seminar (free) February 3, 2000

Short-Form Application (FCC Form 175) February 18, 2000; 5:30 p.m. ET

Upfront Payments (via wire transfer) March 6, 2000; 6:00 p.m. ET

Orders for Remote Bidding Software March 7, 2000

Mock Auction March 17, 2000

Auction Commencement March 21, 2000

### **(8) List of Attachments to This Public Notice**

> Attachment A: Summary of Construction Permits to be Auctioned,
>
> Reserve Prices, or Minimum Opening Bids, and Upfront Payments
>
> Attachment B: Guidelines for Completion of FCC Form 175 and Exhibits
>
> Attachment C: Auction-Specific Instructions for FCC Remittance Advice
> (FCC Form 159)
>
> Attachment D: Electronic Filing and Review of FCC Form 175
>
> Attachment E: Accessing the FCC Network Using Windows 95/98
>
> Attachment F: FCC Remote Bidding Software Order Form
>
> Attachment G: Summary Listing of Documents from the Commission and the
> Wireless Telecommunications Bureau Addressing the Application of the
> Anti-Collusion Rules
>
> Attachment H: Auction Seminar Registration Form

### **(9) Contact Information**

***GENERAL*** ***AUCTION*** ***INFORMATION*** FCC Auctions Hotline

General Auction Questions (888) CALL-FCC (888-225-5322)

Seminar Registration or direct (717) 338-2888

Orders for Remote Bidding Software Hours of service: 8 a.m. -- 5:30 p.m.
ET

***LEGAL AUCTION INFORMATION*** FCC Auctions Legal Branch

Rules, Policies, Regulations (202) 418-0660

***LICENSING INFORMATION*** FCC Mass Media Bureau

Rules, Policies, Regulations Audio Licenses: (202) 418-2700

Licensing Issues Video Licenses: (202) 418-1600

Due Diligence

Incumbency Issues

***TECHNICAL SUPPORT*** FCC Auctions Technical Support Hotline

Electronic Filing Assistance (202) 414-1250 (Voice),

Software Downloading (202) 414-1255 (TTY)

Hours of service: 8 a.m. -- 6:00 p.m. ET

***PAYMENT INFORMATION*** FCC Auctions Accounting Branch

Wire Transfers (202) 418-1995

Refunds (202) 418-2843 (Fax)

***TELEPHONIC BIDDING*** Will be furnished only to qualified bidders

***FCC COPY CONTRACTOR*** International Transcription Services, Inc.

Additional Copies of 445 12^th^ Street, SW Room CY-B400

Commission Documents Washington, DC 20554

\(202\) 314-3070

***PRESS INFORMATION*** Meribeth McCarrick (202) 418-0654

***FCC FORMS*** (800) 418-3676 (outside Washington, DC)

\(202\) 418-3676 (in the Washington Area)

<http://www.fcc.gov/formpage>

***FCC INTERNET SITES*** [http://www.fcc.gov](http://www.fcc.gov/)

[ftp://ftp.fcc.gov](ftp://ftp.fcc.gov/)

<http://www.fcc.gov/wtb/auctions>

# 2. SHORT-FORM (FCC FORM 175) APPLICATION REQUIREMENTS

Guidelines for completion of the short-form (FCC Form 175) are set forth
on Attachment B to this Public Notice. The short-form application seeks
the applicant's name and address, legal classification, status, bidding
credit eligibility, identification of the construction permit sought,
the authorized bidders and contact persons.

## A. Ownership Disclosure Requirements (Form 175 Exhibit A)

All applicants 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. Specifically, in completing Form 175,
applicants will be required to file an Exhibit A providing a full and
complete statement of the ownership of the bidding entity.[^15] The
ownership disclosure standards for the short-form are set forth in
Section 1.2112 of the Commission's rules. Bidders should note that,
under Section 1.2112 (a)(4), the short-form must list, *inter alia*, the
names, addresses and citizenship of any party holding options permitting
the acquisition of a ten percent or greater equity interest in the
applicant, as well as the amount and percentage held.

## B. Consortia And Joint Bidding Arrangements (Form 175 Exhibit B)

Applicants will be required to identify on their short-form applications
any parties with whom they have entered into any consortium
arrangements, joint ventures, partnerships or other agreements or
understandings which relate in any way to the licenses being auctioned,
including any agreements relating to post-auction market structure.
*See* 47 C.F.R. §§ 1.2105(a)(2)(viii); 1.2105(c)(1). Applicants will
also be required to certify on their short-form applications that they
have not entered into any explicit or implicit agreements, arrangements
or understandings of any kind with any parties, other than those
identified, regarding the amount of their bids, bidding strategies, or
the particular construction permits on which they will or will not bid.
*See* 47 C.F.R*.* § 1.2105(a)(2)(ix). In cases where applicants have
entered into consortia or joint bidding arrangements, applicants must
submit an Exhibit B to the FCC Form 175.

A party holding a non-controlling, attributable interest in one
applicant will be permitted to acquire an ownership interest, form a
consortium with, or enter into a joint bidding arrangement with other
applicants for construction permits in the same MX Group provided that
(i) the attributable interest holder certify 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 formed a consortium or entered into a
joint bidding arrangement; and (ii) the arrangements do not result in a
change in control of any of the applicants.[^16] While the
anti-collusion rules do not prohibit non-auction related business
negotiations among auction applicants, bidders are reminded that certain
discussions or exchanges could broach on impermissible subject matters
because they may convey pricing information and bidding strategies. Such
subject areas include, but are not limited to, issues such as
management, sales, local marketing agreements, rebroadcast agreements
and other transactional arrangements.[^17]

## C. New Entrant Bidding Credit (Form 175 Exhibit C)

To fulfill its obligations under Section 309(j) and further its
long-standing commitment to the diversification of broadcast facility
ownership, the Commission adopted a tiered New Entrant Bidding Credit
for broadcast auction applicants with no, or very few, other media
interests.

### **(1) Eligibility**

The interests of the bidder, and of any individuals or entities with an
attributable interest in the bidder, in other media of mass
communications shall be considered when determining a bidder\'s
eligibility for the New Entrant Bidding Credit. **The bidder\'s
attributable interests shall be determined as of the short-form (FCC
Form 175) filing deadline -- February 18, 2000.**[^18] Bidders intending
to divest a media interest or make any other ownership changes, such as
resignation of positional interests, in order to avoid attribution for
purposes of qualifying for the New Entrant Bidding Credit must have
consummated such divestment transactions or have completed such
ownership changes by no later than the short-form filing deadline

Under traditional broadcast attribution rules, those entities or
individuals with an attributable interest in a bidder include:

(i) all officers and directors of a corporate bidder;

(ii) any owner of 5% or more of the voting stock of a corporate bidder;

(iii) all partners and limited partners of a partnership bidder, unless
      the limited partners are sufficiently insulated; and

(iv) all members of a limited liability company, unless insulated.[^19]

Bidders should note that the mass media attribution rules were recently
revised.[^20]

In cases where a bidder's spouse or close family member holds other
media interests, such interests are not automatically attributable to
the bidder. The Commission decides attribution issues in this context
based on certain factors traditionally considered relevant.[^21]

Bidders are also reminded that, by the *New Entrant Bidding Credit
Reconsideration Order,* the Commission further refined the eligibility
standards for the New Entrant Bidding Credit, judging it appropriate to
attribute the media interests held by very substantial investors in, or
creditors of, a bidder claiming new entrant status. Specifically, the
attributable mass media interests held by an individual or entity with
an equity and/or debt interest in a bidder shall be attributed to that
bidder for purposes of determining its eligibility for the New Entrant
Bidding Credit, if the equity and debt interests, in the aggregate,
exceed 33% of the total asset value of the bidder, even if such an
interest is non-voting.[^22]

Generally, media interests will be attributable for purposes of the New
Entrant Bidding Credit to the same extent that such other media
interests are considered attributable for purposes of the broadcast
multiple ownership rules.[^23] However, attributable interests held by a
winning bidder in existing low power television, television translator
or FM translator facilities will not be counted among the bidders\'
other mass media interests in determining its eligibility for a New
Entrant Bidding Credit.[^24] A medium of mass communications is defined
in 47 C.F.R § 73.5008 (b).

### **(2) Application Requirements**

In addition to the ownership information required on Exhibit A,
applicants are required to file supporting documentation on Exhibit C to
their FCC Form 175 short-form applications to establish that they
satisfy the eligibility requirements to qualify for a New Entrant
Bidding Credit.[^25] In addition, in those cases where a New Entrant
Bidding Credit is being sought, a certification under penalty of perjury
must be set forth in Exhibit C. An applicant claiming that it qualifies
for a 35 percent new entrant bidding credit must certify under penalty
of perjury that neither it nor any of its attributable interest holders
have any attributable interests in any other media of mass
communications. An applicant claiming that it qualifies for a 25 percent
new entrant bidding credit must certify under penalty of perjury that
neither it nor any of its attributable interest holders have any
attributable interests in more that three media of mass communications,
and must identify and describe such media of mass communications.

### **(3) Bidding Credits**

Applicants that qualify for the New Entrant Bidding Credit, as set forth
in 47 C.F.R. § 73.5007,[^26] are eligible for a bidding credit that
represents the amount by which a bidder\'s winning bids are discounted.
The size of a New Entrant Bidding Credit depends on the number of
ownership interests in other media of mass communications that are
attributable to the bidder-entity and its attributable interest-holders:

-   A 35 percent bidding credit will be given to a winning bidder if it,
    and/or any individual or entity with an attributable interest in the
    winning bidder, has no attributable interest in any other media of
    mass communications, as defined in 47 C.F.R. § 73.5008;

-   A 25 percent bidding credit will be given to a winning bidder if it,
    and/or any individual or entity with an attributable interest in the
    winning bidder, has an attributable interest in no more than three
    mass media facilities, as defined in 47 C.F.R. § 73.5008;

-   No bidding credit will be given if any of the commonly owned mass
    media facilities serve the same area as the proposed broadcast
    station, as defined in 47 C.F.R. § 73.5007, or if the winning
    bidder, and/or any individual or entity with an attributable
    interest in the winning bidder, has attributable interests in more
    than three mass media facilities.

Bidding credits are not cumulative; qualifying applicants receive either
the 25 percent or the 35 percent bidding credit, but not both.
Attributable interests are defined in 47 C.F.R. § 73.3555 and Note 2 of
that section. Bidders 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 or
construction permit to an entity not qualifying for the same level of
bidding credit.[^27]

## D. Other Information (Form 175 Exhibits D & E)

Applicants owned by minorities or women, as defined in 47 C.F.R. §
1.2110(b)(2), may attach an exhibit (Exhibit D) regarding this status.
This applicant status information is collected for statistical purposes
only and assists the Commission in monitoring the participation of
\"designated entities\" in its auctions. Applicants wishing to submit
additional information may do so in Exhibit E -Miscellaneous Information
-- to the FCC Form 175.

## E. Minor Modifications to Short-Form FCC Form 175 Applications

After the short-form filing deadline (February 18, 2000), applicants may
make only minor changes to their FCC Form 175 applications. Applicants
will not be permitted to make major modifications to their applications
(*e.g*., change their construction permit selections or proposed service
areas, change the certifying official or change control of the applicant
or change bidding credits). *See* 47 C.F.R. § 1.2105. Permissible minor
changes include, for example, deletion and addition of authorized
bidders (to a maximum of three) and revision of exhibits. Applicants
should make these changes on-line, and submit a letter to Amy Zoslov,
Chief, Auctions and Industry Analysis Division, Wireless
Telecommunications Bureau, Federal Communications Commission, 445 12th
Street, SW, Suite 4-A760 Washington, DC 20554, briefly summarizing the
changes. Questions about other changes should be directed to José Ochoa
of the FCC Auctions and Industry Analysis Division at (202) 418-0660.

## F. Maintaining Current Information in Short-Form (FCC Form 175) Applications

Applicants have an obligation under 47 C.F.R. §1.65, to maintain the
completeness and accuracy of information in their short-form
applications. Amendments reporting substantial changes of possible
decisional significance in information contained in FCC Form175
applications, as defined by 47 C.F.R. § 1.2105(b)(2), will not be
accepted and may in some instances result in the dismissal of the FCC
Form 175 application. Applicants should also be aware that failure to
report ownership changes rendering them ineligible to participate in the
auction under Section 309(l)(2) and applicable Commission rules, even if
that failure is inadvertent, could result in serious financial penalties
if they participate in competitive bidding and win a construction
permit. These include default payments and revocation of construction
permit(s) or license(s). Section 1.65 amendments to pending long-form
applications, however, should be filed after the auction and only by the
winning bidder. The time for the filing of such amendments to the
auction winners\' long form applications will be announced by subsequent
Public Notice.

# PRE-AUCTION PROCEDURES

## A. Short-Form Application (FCC Form 175) -- Due February 18, 2000, 5:30 p.m. ET

In order to be eligible to bid in this auction, applicants must first
electronically submit a FCC Form 175 application. This application must
be received at the Commission by 5:30 p.m. ET on February 18, 2000. Late
applications will not be accepted.

There is no application fee required when filing a FCC Form 175.
However, to purchase bidding eligibility, an applicant must submit an
upfront payment. *See* Section 3.C, *infra*.

###  **(1) Electronic Filing**

As of January 1, 1999, applications to participate in FCC auctions must
be filed electronically.[^28]

For Auction No. 28, applicants may file applications electronically
beginning February 3, 2000. The system will generally be open for filing
on a 24-hour basis. The Form 175 filing window will remain open until
5:30 p.m. ET on February 18, 2000. Applicants are strongly encouraged to
file early, and applicants are responsible for allowing adequate time
for filing their applications. Applicants may update or amend their
electronic applications multiple times until the filing deadline on
February 18, 2000. Technical support is available at (202) 414-1250
(voice) or (202) 414-1255 (text telephone (TTY)); the hours of service
are 8 a.m. - 6 p.m. ET, Monday - Friday. Information about the
electronic filing of the FCC Form 175 application is included as
Attachment D to this Public Notice.

###  **(2) Completion of the FCC Form 175**

Applicants should carefully review 47 C.F.R. §§ 1.2105 and 73.5002 and
must complete all items on the FCC Form 175. Applicants should not
consider their form submitted to the FCC until they press the \"Submit
Form 175\" button on the \"Submit\" page and receive confirmation from
the filing system that the form has been received by the Commission.
Instructions for completing the FCC Form 175 are on Attachment B of this
Public Notice.

### **(3) Electronic Review of FCC Form 175**

The FCC Form 175 review software may be used to review and print
applicants\' FCC Form 175 applications. Applicants may review their own
completed FCC Form 175. Applicants may also view other applicants\'
completed FCC Form 175s after the filing deadline has passed and the FCC
has issued a public notice explaining the status of the applications**.
For this reason, it is important that applicants do not include their
Taxpayer Identification Numbers (TINs) on any Exhibits to their FCC Form
175 applications.** There are no fees for accessing this system or for
submitting a FCC Form 175. Instructions for reviewing the FCC Form 175
are provided on Attachment D to this Public Notice.

## B. Application Processing and Minor Corrections

After the deadline for filing FCC Form 175 applications has passed, the
FCC will process all timely submitted short-form applications to
determine which are acceptable for filing and which are mutually
exclusive. The Commission will subsequently issue a public notice
identifying: (1) those short-form applications that are acceptable for
filing and are mutually exclusive (including FCC file numbers and the
construction permits for which they applied); (2) those applications
rejected; and (3) those short-form applications that have minor defects
that may be corrected, and the deadline for filing such corrected
applications. In each MX Group, the construction permit(s) will be
auctioned if two or more short-form applications are accepted for
filing. In any MX Group for which only one short-form application is
accepted for filing, the construction permit will be removed from the
auction and the related long-form application (FCC Forms 301 and 349)
will be processed, and, if acceptable, will be granted.

## C. Upfront Payments \-- Due March 6, 2000

In order to be eligible to bid in the auction, applicants must submit an
upfront payment accompanied by a FCC Remittance Advice Form (FCC Form
159). Applicants will have access to filling out an electronic version
of the FCC Form 159 (July 1997 version) after completing the electronic
FCC Form 175; however, the FCC Remittance Advice Form (FCC Form 159)
must be printed and submitted **by facsimile** transmission to Mellon
Bank in accordance with the instructions below. Earlier versions of this
form will not be accepted. All upfront payments must be received at
Mellon Bank in Pittsburgh, Pennsylvania, by 6:00 p.m. ET on March 6,
2000.

**Please note that:**

-   All payments must be made in U.S. dollars.

-   All payments must be made by wire transfer.

-   Upfront payments for Auction No. 28 go to a lockbox number different
    from the ones used in previous FCC auctions, and different from the
    lockbox number to be used for post-auction payments.

-   Failure to deliver the upfront payment by the March 6, 2000 deadline
    will result in no bidding eligibility being accorded the applicant.

### **(1) Making Auction Payments by Wire Transfer**

Wire transfer payments must be received **by 6:00 p.m. ET on March 6,
2000**. To avoid untimely payments, applicants should discuss
arrangements (including bank closing schedules) with their banker
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. As the Commission is not accountable for the acts of an
applicant's bank, bidders are urged to confirm before the deadline that
their wire transfer payments have been properly and timely transmitted
by their bank to Mellon Bank. Applicants will need the following
information:

ABA Routing Number: 043000261

Receiving Bank: Mellon Pittsburgh

BNF: FCC/ACC 910-0198

OBI Field: (Skip one space between each information item)

\"AUCTIONPAY\"

TAXPAYER IDENTIFICATION NO. (same as FCC Form 159, block 26)

PAYMENT TYPE CODE (enter \"A28U\")

FCC CODE 1 (same as FCC Form 159, block 23A: \"28\")

PAYER NAME (same as FCC Form 159, block 2)

LOCKBOX NO 358410

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.

Applicants must fax a completed FCC Form 159 to Mellon Bank at (412)
236-5702 at least one hour before placing the order for the wire
transfer (but on the same business day). On the cover sheet of the fax,
write \"Wire Transfer - Auction Payment for Auction Event No. 28.\"
**Bidders are strongly encouraged to confirm receipt of their upfront
payment at Mellon Bank by contacting their sending financial
institution.**

### **(2) FCC Form 159**

Each upfront payment must be accompanied by a completed FCC Remittance
Advice Form (FCC Form 159). Proper completion of FCC Form 159 is
critical to ensuring correct credit of upfront payments. Detailed
instructions for completion of FCC Form 159 are included in this Public
Notice as Attachment C.

### **(3) Amount of Upfront Payment** 

In the *Broadcast First Report and Order,* the Commission delegated to
the Bureaus the authority and discretion to determine an appropriate
upfront payment for each construction permit being auctioned.[^29] In
the *Comment Public Notice*, the Bureaus proposed certain upfront
payments as set forth on Attachment A. No comments were received
concerning such upfront payments. We therefore adopt our proposed
upfront payment amounts for Auction No. 28.

In calculating the upfront payment amount, an applicant should determine
the maximum number of bidding units it may wish to bid on in any single
round, and submit an upfront payment covering that number of bidding
units. **Bidders should check their calculations carefully, as there is
no provision for increasing a bidder\'s maximum eligibility after the
upfront payment deadline.**

**NOTE: An applicant potentially eligible to bid in more than one MX
Group may, on its FCC Form 175, indicate an intent to bid on every
construction permit for which an underlying long-form has been filed,
but its actual bidding in any round will be limited by the bidding units
reflected in its upfront payment.**

## D. Auction Registration

Approximately ten days before the auction, the FCC will issue a public
notice announcing all qualified bidders for Auction No. 28. Qualified
bidders are those applicants whose FCC Form 175 applications have been
accepted for filing and that have timely submitted upfront payments
sufficient to make them eligible to bid on at least one of the
construction permits for which their application was accepted.

All qualified bidders are automatically registered for the auction.
Registration materials will be distributed prior to the auction by two
separate overnight mailings, each containing part of the confidential
identification codes required to place bids. These mailings will be sent
only to the contact person at the contact address listed in the FCC Form
175.

Applicants that do not receive both registration mailings will not be
able to submit bids. Therefore, any qualified applicant that has not
received both mailings by noon on Thursday, March 16, 2000 should
contact the Auctions Hotline at (888) 225-5322 (888-CALL-FCC) (press
option #2 at the prompt) or dial directly to (717) 338-2888. Receipt of
both registration mailings is critical to participating in the auction
and each applicant is responsible for ensuring it has received all of
the registration material.

Qualified bidders should note that lost login codes, passwords or bidder
identification numbers can be replaced only by appearing in person at
the FCC Auction Headquarters located at 445 - 12th Street, S.W.,
Washington, DC 20554. Only an authorized representative or certifying
official, as designated on an applicant\'s FCC Form 175, may appear in
person with two forms of identification (one of which must be a photo
identification) in order to receive replacement codes. Bidders needing
replacement codes must call technical support at 202-414-1250 prior to
arriving at the FCC.

## E. Remote Electronic Bidding Software

Qualified bidders are strongly encouraged to bid electronically. Due to
the fact that potential bidders have already paid substantial fees in
connection with the filing of their long-form applications, the software
packages required to participate in remote electronic bidding will be
provided on request at no charge to the bidders in Auction No. 28. These
software packages must be ordered by March 7, 2000. While bidders are
free to copy the software for use by authorized bidders at different
locations, the FCC auction system will accept electronic bids only from
bidders who have requested the software. (Auction software is tailored
to a specific auction, so software from prior auctions will not work for
Auction No. 28.) A software order form is included as Attachment F to
this Public Notice.

## F. Auction Seminar (February 3, 2000)

On February 3, 2000, the FCC will sponsor a free informational seminar
for Auction No. 28 at the Main Meeting Room on the first floor of the
Headquarters Building of the Federal Communications Commission located
at 445 - 12th Street, S.W., Washington, DC 20554. The seminar will
provide attendees with information about pre-auction procedures, conduct
of the auction, FCC remote bidding software, and the service rules
applicable to Auction No. 28.

To register, refer to the registration materials included as Attachment
H to this Public Notice. The registration form includes details about
the time and location of the seminar. Registrations are accepted on a
first-come, first-served basis.

## G. Mock Auction (March 17, 2000)

All qualified bidders will be eligible to participate in a mock auction
on March 17, 2000. The mock auction will enable applicants to become
familiar with the electronic software prior to the auction. Free
demonstration software will be available for use in the mock auction.
Participation by all bidders is strongly recommended. Details will be
announced by Public Notice.

# 4. AUCTION EVENT

The first round of the auction will begin on March 21, 2000. The initial
round schedule will be announced in a Public Notice listing the
qualified bidders to be released approximately 10 days before the start
of the auction.

## Auction Structure

In the *Comment Public Notice*, the Commission proposed two separate
auction designs to award these construction permits, one for the Daisy
Chain MX Groups and one for the Direct MX Groups. The following auction
designs will be utilized.

### **(1) Single Round Auction Design**

*For Daisy Chain MX Groups*, we proposed a single round in which each
bidder must place a bid that meets or exceeds the established reserve
price, in whole dollar amounts. No comments were received concerning
this proposed auction design.

We therefore conclude that the construction permits in Auction No. 28
that are in Daisy Chain MX Groups will be awarded by utilizing an
electronic single round auction. The determination of the winning bidder
in each of the Daisy Chain MX Groups shall be made by finding the set of
bids on non-overlapping coverage areas that accrue to the greatest
amount. For example, consider the case of an MX Group consisting of a
\"daisy chain\" of three potential bidders (Bidders 1, 2 and 3)
interested in three construction permits in the MX Group (respectively
Construction Permits A, B and C) such that A is MX\'ed with B and B is
MX\'ed with C. This means that either A and C can both be assigned or B
can be assigned, but not A and B, B and C or A, B and C. In order for
Bidder 2 to win construction permit B, its bid would have to exceed the
combined bids of Bidders 1 and 3 on construction permits A and C,
respectively. All bids will be time-stamped and in the case of tie bids,
the first complete combination of bids placed first-in-time shall be
considered the winning bid combination. We have concluded that the
disposition of the permits for the Daisy Chain MX Groups in this manner
is most appropriate because of the complexity of their overlapping
nature.

### **(2) Simultaneous Multiple Round Auction Design**

*For Direct MX Groups*, we proposed a single stage, simultaneous
multiple round auction. No comments were received concerning this
proposed auction design.

We therefore conclude that the construction permits in Auction No. 28
for the Direct MX Groups will be awarded through a single, simultaneous
multiple round auction. Unless otherwise announced, bids will be
accepted on each of these construction permits in each round of this
auction. This approach, we believe, allows for a more efficient auction
process and, in cases where bidders are eligible to participate in
multiple markets, allows them to take advantage of any synergies that
exist among construction permits.

### **(3) Maximum Eligibility and Activity Rules**

In the *Comment Public Notice*, we proposed that the amount of the
upfront payment submitted by a bidder would determine the initial
maximum eligibility (as measured in bidding units) for each bidder.[^30]
No comments were received concerning the eligibility rule.

We adopt the maximum eligibility proposal for Auction No. 28. The amount
of the upfront payment submitted by a bidder determines the initial
maximum eligibility (in bidding units) for each bidder. Note again that
upfront payments are not attributed to specific construction permits,
but instead will be translated into bidding units to define a bidder\'s
initial maximum eligibility. The total upfront payment defines the
maximum number of bidding units on which the applicant will initially be
permitted to bid.

*For Direct MX Groups*, to ensure that the auction closes within a
reasonable period of time, an activity rule requires bidders to bid
actively throughout the auction, rather than waiting until the end to
participate. Bidders are required to be active on 100 percent of their
maximum eligibility during each round of the auction.

A bidder is considered active on a construction permit in the current
round if it is either the high bidder at the end of the previous bidding
round and does not withdraw the high bid in the current round, or if it
submits an acceptable bid in the current round (see "Minimum Accepted
Bids" in Section 4.B.(3), *infra* ). A bidder's activity level in a
round is the sum of the bidding units associated with construction
permits on which the bidder is active. Required minimum activity levels
ensure that an auction will proceed expeditiously and efficiently.
Because such procedures have proven successful in maintaining the pace
of previous auctions, we adopt them for Auction No. 28.

*For Daisy Chain MX Groups,* because of the single round format,
activity rules are not applicable.

### **(4) Activity Rule Waivers, Reducing Eligibility and Stopping Rules**

*For Direct MX Groups*, in the *Comment Public Notice*, we proposed that
each bidder in the auction would be provided five activity rule waivers
that may be used in any round during the course of the auction.[^31] We
also proposed to employ a simultaneous stopping rule,[^32] meaning that
all construction permits would remain open until the first round in
which no new acceptable bids, proactive waivers or withdrawals were
received. We sought comment on a modified version of this rule, in which
the auction would close for all construction permits after the first
round in which no bidder submits a proactive waiver, a withdrawal, or a
new bid on any construction permit on which it is not the standing high
bidder.[^33] We further proposed to retain the discretion to keep the
auction open, even if no new acceptable bids or proactive waivers are
submitted and no previous high bids are withdrawn.[^34] Finally, we
proposed to reserve the right to declare that the auction will end after
a specified number of additional rounds (\"special stopping
rule\"),[^35] meaning that the Bureaus would accept bids in the final
round(s) only for construction permits on which the high bid increased
in at least one of the preceding specified number of rounds. We proposed
to exercise this option only in circumstances such as where the auction
is proceeding very slowly, where there is minimal overall bidding
activity, or where it appears likely that the auction will not close
within a reasonable period of time.[^36] No comments were received on
this proposal.

Based upon our experience in previous auctions, we adopt our proposals
and each bidder will be provided five activity rule waivers that may be
used in any round during the course of the auction. Use of an activity
rule waiver preserves the bidder\'s current bidding eligibility despite
the bidder\'s activity in the current round being below the required
minimum level. An activity rule waiver applies to an entire round of
bidding and not to a particular construction permit.

The FCC auction system assumes that bidders with insufficient activity
would prefer to use an activity rule waiver (if available) rather than
lose bidding eligibility. Therefore, the system will automatically apply
a waiver (known as an \"automatic waiver\") at the end of any round
where a bidder\'s activity level is below the minimum required unless:
(1) there are no activity rule waivers available; or (2) the bidder
overrides the automatic application of a waiver by reducing eligibility,
thereby meeting the minimum requirements.

A bidder with insufficient activity that wants to reduce its bidding
eligibility rather than use an activity rule waiver must affirmatively
override the automatic waiver mechanism during the round by using the
\"reduce eligibility\" function in the software. In this case, the
bidder\'s eligibility is permanently reduced to bring the bidder into
compliance with the activity rules. Once eligibility has been reduced, a
bidder will not be permitted to regain its lost bidding eligibility.

A bidder may proactively use an activity rule waiver as a means to keep
the auction open without placing a bid. If a bidder submits a proactive
waiver (using the proactive waiver function in the bidding software)
during a round in which no bids are submitted, the auction will remain
open and the bidder\'s eligibility will be preserved. An automatic
waiver invoked in a round in which there are no new valid bids or
withdrawals will not keep the auction open.

Barring extraordinary circumstances, bidding will remain open on all
construction permits until bidding stops on every construction permit.
Thus, the auction will close for all construction permits when one round
passes during which no bidder submits a new acceptable bid on any
construction permit, applies a proactive waiver, or withdraws a previous
high bid. In addition, however, the Bureaus retain the discretion to
close the auction for all construction permits after the first round in
which no bidder submits a proactive waiver, a withdrawal, or a new bid
on any license on which it is not the standing high bidder. Thus, absent
any other bidding activity, a bidder placing a new bid on a construction
permit for which it is the standing high bidder would not keep the
auction open under this modified stopping rule.

The Bureaus retain the discretion, however, to keep an auction open even
if no new acceptable bids or proactive waivers are submitted, and no
previous high bids are withdrawn. In this event, the effect will be the
same as if a bidder had submitted a proactive waiver. Thus, the activity
rule will apply as usual, and a bidder with insufficient activity will
either lose bidding eligibility or use an activity rule waiver (if it
has any left).

Further, in their discretion, the Bureaus reserve the right to declare
that the auction will end after a specified number of additional rounds
(\"special stopping rule\"). If the FCC invokes this special stopping
rule, it will accept bids in the final round(s) only for construction
permits on which the high bid increased in at least one of the preceding
specified number of rounds. The FCC intends to exercise this option only
in extreme circumstances, such as where the auction is proceeding very
slowly, where there is minimal overall bidding activity, or where it
appears likely that the auction will not close within a reasonable
period of time. Before exercising this option, the FCC is likely to
attempt to increase the pace of the auction by, for example, increasing
the number of bidding rounds per day, and/or increasing the amount of
the minimum bid increments for the limited number of construction
permits where there is still a high level of bidding activity.

*For Daisy Chain MX Groups*, because of the single round format,
activity rule waivers and reducing eligibility are not applicable. In
*Comment Public Notice*, we proposed to conduct a single round of
bidding and declare the auction over at the conclusion of the two-hour
bidding period. No comments were received on this issue.

### **(5) Auction Delay, Suspension, or Cancellation**

In the *Comment Public Notice*, we proposed that, by public notice or by
announcement during the auction, the Bureaus may delay, suspend, or
cancel the auction in the event of natural disaster, technical obstacle,
evidence of an auction security breach, unlawful bidding activity,
administrative or weather necessity, or for any other reason that
affects the fair and competitive conduct of competitive bidding.[^37] We
received no comments on this proposal.

Because this approach has proven effective in resolving exigent
circumstances in previous auctions, we will adopt our proposed auction
cancellation rules. By public notice or by announcement during the
auction, the Bureaus may delay, suspend or cancel the auction in the
event of natural disaster, technical obstacle, evidence of an auction
security breach, unlawful bidding activity, administrative or weather
necessity, or for any other reason that affects the fair and competitive
conduct of competitive bidding. In such cases, the Bureaus, in their
sole discretion, may elect to: resume the auction starting from the
beginning of the current round; resume the auction starting from some
previous round; or cancel the auction in its entirety. Network
interruption may cause the Bureaus to delay or suspend the auction. We
emphasize that exercise of this authority is solely within the
discretion of the Bureaus, and its use is not intended to be a
substitute for situations in which bidders may wish to apply their
activity rule waivers.

## B. Bidding Procedures

### **(1) Round Structure**

The initial bidding schedule will be announced in the Qualified Bidder
Public Notice at least one week before the start of the auction, and
will be included in the registration mailings.

*For Daisy Chain MX Groups*, a single two-hour bidding round will be
conducted after which the auction will close.

*For Direct MX Groups*, the simultaneous multiple round format will
consist of sequential bidding rounds, each followed by the release of
round results. Details regarding the location and format of round
results will be included in the Qualified Bidder Public Notice.

The FCC has discretion to change the bidding schedule in order to foster
an auction pace that reasonably balances speed with the bidders\' need
to study round results and adjust their bidding strategies. The FCC may
increase or decrease the amount of time for the bidding rounds and
review periods, or the number of rounds per day, depending upon the
bidding activity level and other factors.

### **(2) Reserve Price or Minimum Opening Bid**

The Balanced Budget Act of 1997 calls upon the Commission to prescribe
methods by which a reasonable reserve price will be required or a
minimum opening bid established when FCC licenses or construction
permits are subject to auction (*i.e.*, because the applications are
mutually exclusive), unless the Commission determines that a reserve
price or minimum bid is not in the public interest.[^38] Consistent with
this mandate, the Commission has directed the Bureaus to seek comment on
the use of minimum opening bids and/or reserve prices prior to the start
of each broadcast auction.[^39] This is consistent with policy applied
in earlier spectrum auctions, including the recently completed Closed
Broadcast Auctions.[^40] The Commission has concluded that either or
both of these mechanisms may be employed for auctions and has delegated
the requisite authority to make determinations regarding the
appropriateness of employing either or both.[^41]

The Bureaus proposed to establish reserve prices for the Daisy Chain MX
Groups and minimum opening bids for Direct MX Groups. The Bureaus also
sought comment on whether, consistent with the Budget Act, the public
interest would be served by having no minimum opening bid or reserve
price.

A comment was received by Irene Rodriquez Diaz de McComas ("McComas")
addressing the minimum opening bid for Channel 247A, Rio Grande, Puerto
Rico, MX Group FM 1. McComas specifically objects to the minimum opening
bid amount established for the Rio Grande construction permit in light
of the potential conflict between the Channel 247A allotment at Rio
Grande, Puerto Rico and a 100kw station operating on channel 247 in the
British Virgin Islands, as noted in the 1990 *Hearing Designation Order*
setting the mutually exclusive Rio Grande applicants for comparative
hearing.[^42] McComas contends that the uncertainty regarding
interference forecloses a fair evaluation of the frequency. However, as
discussed in the December 15, 1999 staff letter addressing the issue,
the matter has since been resolved, and there remains neither a cloud
over the Rio Grande allotment, nor a need for further Commission
pronouncement on the matter.[^43]

Therefore, we adopt the reserve prices proposed for the construction
permits in Daisy Chain MX Groups and reducible minimum opening bids
proposed for construction permits in the Direct MX Groups as listed on
Attachment A. Reducible minimum opening bids for the Direct MX Groups
will allow the Bureaus flexibility to adjust the minimum opening bids if
circumstances warrant. We emphasize, however, that such discretion will
be exercised, if at all, sparingly and early in the auction. During the
course of the auction, the Bureaus will not entertain any bidder
requests to reduce the reserve price or minimum opening bid on specific
construction permits.

### **(3) Bidding**

All bidding will take place either through the automated bidding
software or by telephonic bidding. (Telephonic bid assistants are
required to use a script when handling 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,
because four to five minutes are necessary to complete a bid
submission.) There will be no on-site bidding during Auction No. 28.

A bidder\'s ability to bid on specific construction permits in the first
round of the auction is determined by two factors: (1) the construction
permits applied for on FCC Form 175; and (2) the upfront payment amount
deposited. The bid submission screens will be tailored for each bidder
to include only those construction permits for which the bidder applied
on its FCC Form 175.

The bidding software requires each bidder to login to the FCC auction
system during the bidding round using the FCC account number, bidder
identification number, and the confidential security codes provided in
the registration materials. Bidders are strongly encouraged to download
and print bid confirmations [after]{.underline} they submit their bids.

*For both Daisy Chain MX Groups and Direct MX Groups*, a bidder may
submit bids on any licenses for which it is eligible during a bidding
round. Bidders also have the option of making multiple submissions and
withdrawals in the bidding round. If a bidder submits multiple bids for
a single license in the same round, the system takes the last bid
entered as that bidder\'s bid for the round, and the date- and
time-stamp of that bid reflects the latest time the bid was submitted.
For the Direct MX Groups only, a bidder may withdraw high bids from
previous bidding rounds, remove bids placed in the same bidding round,
or permanently reduce eligibility.

*For Daisy Chain MX Groups*, the bid entry screen of the Automated
Auction System software for the Auction No. 28 allows bidders to place a
bid that is equal to or greater than the established reserve price in a
whole dollar amount.

*For Direct MX Groups*, the bid entry screen of the Automated Auction
System software for Auction No. 28 allows bidders to place multiple
increment bids that will let bidders increase high bids from one to nine
bid increments. A single bid increment is defined as the difference
between the standing high bid and the minimum acceptable bid for each
construction permit.

To place a bid on a particular construction permit, the bidder must
enter a whole number between **1** and **9** in the bid increment
multiplier (Bid Mult) field. This value will determine the amount of the
bid (Amount Bid) by multiplying the bid increment multiplier by the bid
increment and adding the result to the high bid amount according to the
following formula:

**Amount Bid = High Bid + (Bid Mult \* Bid Increment)**

Thus, bidders may place a bid that exceeds the standing high bid by
between one and nine times the bid increment. For example, to bid the
minimum acceptable bid, which is equal to one bid increment, a bidder
will enter \"1\" in the bid increment multiplier column and press
submit.

For any construction permit on which the FCC is designated as the high
bidder (*i.e.*, a construction permit that has not yet received a bid in
the auction or where the high bid was withdrawn and a new bid has not
yet been placed), bidders will be limited to bidding only the minimum
acceptable bid. In both of these cases no increment exists, and bidders
should enter \"1\" in the Bid Mult field. Note that, in such cases, when
the FCC is the designated high bidder any whole number between **1** and
**9** entered in the multiplier column will result in a bid value at the
minimum acceptable bid amount. Finally, bidders are cautioned in
entering numbers in the Bid Mult field because, as explained in the
following section, a high bidder that withdraws its standing high bid
from a previous round, even if mistakenly or erroneously made, is
subject to bid withdrawal payments.

### **(4) High Bids**

For *Direct MX Groups*, each bid will be date-and time-stamped when it
is entered into the Auctions Automation System. In the event of tie
bids, the Commission will identify the high bidder on the basis of the
order in which bids are received by the Commission, starting with the
earliest bid. The bidding software allows bidders to make multiple
submissions in a round. As each bid is individually date and
time-stamped according to when it was submitted, bids submitted by a
bidder earlier in a round will have an earlier date-and time-stamp than
bids submitted later in a round.

For *Daisy Chain MX Groups*, the high bid will be determined as set
forth above in Section 4.A.1 of this Public Notice.

### **(5) Bid Increments**

*For Daisy Chain MX Groups*, because of the single round auction design,
bid increments are not applicable.

*For Direct MX Groups*, in the *Comment Public Notice*, the Bureaus
proposed to begin the bid level with established minimum opening bids
and then apply a minimum bid increment of 10%, rounded to the nearest
hundred dollars for high bids below \$10,000.00 and rounded to the
nearest thousand dollars for high bids of \$10,000.00 or higher. No
comments were received. We adopt the proposal contained in the *Comment
Public Notice*.

The Bureaus retain the discretion to change the minimum bid increment if
they determine that circumstances so dictate. For example, the Bureaus
may raise the minimum bid increment towards the end of the auction to
speed the pace at which bids reach their final values. The Bureaus will
do so by announcement in the Automated Auction System. In addition, the
Bureaus retain the discretion to implement a dollar floor for the bid
increment to further facilitate a timely close of the auction.

Once there is a standing high bid on a construction permit, there will
be a bid increment associated with that bid indicating the minimum
amount by which the bid on that permit can be raised. For the Auction
No. 28, we will use a flat, across-the-board increment of 10% to
calculate minimum bid increments. The Bureaus retain the discretion to
compute the minimum bid increment through other methodologies if it
determines circumstances so dictate.

### **(6) Bid Removal and Bid Withdrawal**

*For Daisy Chain MX Groups*, bidders have the option to remove any bids
placed before the end of the bidding round. A bidder removing a bid is
not subject to withdrawal payments. Bid withdrawals (*i.e.,* after the
close of the single round), however, are not applicable to the single
round auction.

> **a. Procedures for Direct MX Groups**

Before the close of a bidding round, a bidder has the option of removing
any bids placed in that round. By using the \"remove bid\" function in
the software, a bidder may effectively \"unsubmit\" any bid placed
within that round. A bidder removing a bid placed in the same round is
not subject to withdrawal payments. Removing a bid will affect a
bidder\'s activity for the round in which it is removed. This procedure
will enhance bidder flexibility and, we believe, may serve to expedite
the course of the auction.

Once a round closes, a bidder may no longer remove a bid. However, in
the next round, a bidder may withdraw standing high bids from previous
rounds using the \"withdraw bid\" function (assuming that the bidder has
not exhausted its withdrawal allowance). A high bidder that withdraws
its standing high bid from a previous round is subject to the bid
withdrawal payments specified in 47 C.F.R. §§1.2104(g) and 1.2109.

In previous auctions, we have detected bidder conduct that, arguably,
may have constituted strategic bidding through the use of bid
withdrawals. While we continue to recognize the important role that bid
withdrawals play in an auction, *i.e.*, reducing risk associated with
efforts to secure various construction permits in combination, we
conclude that, for Auction No. 28, adoption of a limit on their use to
two rounds. By doing so, we believe we strike a reasonable compromise
that will allow bidders to use withdrawals.

The Bureaus will therefore limit the number of rounds in which bidders
may place withdrawals to two rounds. These rounds will be at the
bidder\'s discretion and there will be no limit on the number of bids
that may be withdrawn in either of these rounds. Withdrawals will still
be subject to the bid withdrawal payments specified in 47 C.F.R.
§§1.2104(g), and 1.2109. **Bidders are reminded that abuse of the
Commission\'s bid withdrawal procedures could result in the denial of
the ability to bid on a construction permit.**

If a high bid is withdrawn, the construction permit will be offered in
the next round at the second highest bid price, which may be less than,
or equal to (in the case of tie bids), the amount of the withdrawn bid,
without any bid increment. The FCC will serve as a \"place holder\" on
the construction permit until a new acceptable bid is submitted on that
permit.

**b. Withdrawal Payment Calculations for Direct MX Groups**

Generally, a bidder that withdraws a standing high bid during the course
of an auction will be subject to a payment equal to 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 for that construction permit. In the
case of multiple withdrawals on a construction permit, the payment for
the final withdrawer (*i.e.,* that bidder who is the last bidder to
withdraw before the license is won in an auction) will be computed as
above. The payment for all other withdrawers will be computed as the
lower of: (1) either the difference between the net withdrawn bid and
the highest of the subsequent net withdrawn bids or the difference
between the net withdrawn bid and the subsequent net winning bid,
whichever is less; or (2) either the difference between the gross
withdrawn bid and the highest of the subsequent gross withdrawn bids or
the difference between the gross withdrawn bid and the subsequent gross
winning bid, whichever is less. No withdrawal payment will be assessed
for a withdrawn bid if either the subsequent gross or net winning bid or
if any of the subsequent gross or net withdrawn bids exceed the gross or
net amount of the withdrawn bid. In the event that a construction permit
for which there have been withdrawn bids is not won in the auction, then
those bidders with outstanding withdrawals will have 3 percent of their
withdrawn bid withheld until such time as the construction permit can be
subject to competitive bidding in a subsequent auction and a final
payment assigned. For further guidance, please refer to Sections 1.2104
and 1.2109 of the Commission\'s rules. We adopt the proposed procedures
for bid removal and bid withdrawal.

### **(7) Round Results**

Reports reflecting bidders\' identities and bidder identification
numbers for Auction No. 28 will be available before and during the
auction. Thus, bidders will know in advance of this auction the
identities of the bidders against which they are bidding.

*For Daisy Chain MX Groups*, the auction results will be published at
the conclusion of the single bidding round. The FCC will compile
reports, which will include a list of all bids placed and high bidders
for the designated permits.

*For Direct MX Groups*, the bids placed during each bidding period are
not published until the conclusion of that round. The FCC will compile
reports of all bids placed, bids withdrawn, current high bids, new
minimum accepted bids, and bidder eligibility status (bidding
eligibility and activity rule waivers), and post the reports for public
access. Instructions for accessing the Round Results will be included in
the Qualified Bidder Public Notice.

### **(8) Auction Announcements**

The FCC will use auction announcements to announce items such as
schedule changes and round sequences and length. All FCC auction
announcements will be available on the FCC remote electronic bidding
system, as well as the Internet.

# 5. POST-AUCTION PROCEDURES

## A. Down Payments and Withdrawn Bid Payments

After bidding has ended, the Commission will issue a public notice
declaring the auction closed, identifying the winning bids and bidders
for each permit, and listing withdrawn bid payments due, if any.

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 Government to 20 percent of its net winning bids (actual bids less
any applicable bidding credits). *See* 47 C.F.R. §1.2107(b). In
addition, by the same deadline all bidders must pay any withdrawn bid
amounts due under 47 C.F.R. §1.2104(g), as discussed in \"Bid Removal
and Bid Withdrawal,\" Part 4.B.(6), *supra*. (Upfront payments are
applied first to satisfy any withdrawn bid liability, before being
applied toward down payments.)

## B. Default and Disqualification

Any high 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 make full payment, or is otherwise
disqualified) will be subject to the payments described in 47 C.F.R.
§1.2104(g)(2). In such event the Commission may offer the construction
permit to the next highest bidder (in descending order) at their final
bid, or offer the spectrum in a later auction. *See* 47 C.F.R.
§1.2109(b) and (c). 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 construction permits or licenses held by the applicant. *See*
47 C.F.R. §1.2109(d).

## C. Applicant\'s Wire Transfer Information for Purposes of Refunds

To ensure that refunds are processed in an expeditious manner, the
Commission is requesting that all pertinent information as listed below
be supplied to the FCC. Once the request has been approved, a refund
will be sent to the address provided on the FCC Form 159. Refund
processing generally takes up to two weeks to complete. Should the payor
fail to submit the requested information, the refund will be returned
automatically to the original payor by check after 45 days of the
closing of the auction. The Commission will use wire transfers for all
Auction No. 28 refunds, under the condition that we have received proper
instructions by the designated date. Please fax wire transfer
instructions to the FCC, Financial Operations Center, Auctions
Accounting Group, ATTN: Michelle Bennett or Gail Glasser at (202)
418-2843.

**Please include the following information:**

Applicant's Name & TIN \#

Name and Address of Bank

ABA Number

Contact and Phone Number

Name of Account Holder

Address of Account Holder

Account Number to Credit

Correspondent Bank (if applicable)

ABA Number

Account Number

(Applicant's name, signature and date are required in order to process
refund request. Applicants should also note that implementation of the
Debt Collection Improvement Act of 1996 requires the FCC to obtain an
applicant\'s Taxpayer Identification Number (TIN) before it can disburse
refunds.)

## D. Partial Refund of Remaining Upfront Payment Balance

All applicants that submitted upfront payments but were not winning
bidders for a construction permit in Auction No. 28 may be entitled to a
refund of their remaining upfront payment balance after the conclusion
of the auction. No refund will be made unless there are excess funds on
deposit from that applicant after any applicable bid withdrawal payments
have been paid.

Direct MX Group bidders that drop out of the auction completely may be
eligible for a refund of their upfront payments before the close of the
auction. However, bidders that reduce their eligibility and remain in
the auction are not eligible for partial refunds of upfront payments
until the close of the auction. Qualified bidders that have exhausted
all of their activity rule waivers, have no remaining bidding
eligibility, and have not withdrawn a high bid during the auction must
submit a written refund request which includes wire transfer
instructions and a Taxpayer Identification Number (\"TIN\") to:

Federal Communications Commission

Auctions Accounting Branch

Attn: Michelle Bennett and Gail Glasser

445 12th Street, SW, Room 1-A824

Washington, DC 20554

Bidders can also fax their request to the Auctions Accounting Branch at
(202) 418-2843. Once the request has been approved, a refund will be
sent to the address provided on the FCC Form 159. Refund processing
generally takes up to two weeks to complete.

##### Contacts

Media Contact: Meribeth McCarrick at (202) 418-0654

*Wireless Telecommunications Bureau:*

Auctions and Industry Analysis Division: José Ochoa, Legal Branch or
Ruby Hough, Auctions Operations Branch, at (202) 418-0660, or Kathy
Garland or Bob Reagle, Auctions Operations Branch, at (717) 338-2888.

*Mass Media Bureau:*

Video Services Division: Shaun Maher at (202) 418-2324

Audio Services Division: Lisa Scanlan at (202) 418-2700

*Office of Managing Director:*

Financial Operations: Michelle Bennett or Gail Glasser at (202)
418-1995.

\- FCC -

# Attachment A

The following three blank pages are "place holders"

(See separate file for list of construction permits)

# Attachment B

GUIDELINES FOR COMPLETION

**OF FCC FORM 175 AND EXHIBITS**

## A. FCC Form 175

Applicants should especially note the following:

**Applicant Address:** Applicants must submit a street address (not a
Post Office box number), suitable for mail or private parcel delivery.

**Applicant Classification:** Applicants must indicate their legal
classification. The FCC Form 175 requires the applicant to classify
itself as an individual, joint venture, partnership, trust, corporation,
consortium, association, limited liability company (LLC) or government
entity.

**Applicant Status:** Applicants are requested to indicate their status
as a rural telephone company, minority-owned business and/or women-owned
business, so that the FCC can monitor its performance in promoting
economic opportunities for these designated entities.

**Bidding Credit Eligibility:** Applicants that qualify for the New
Entrant Bidding Credit must enter the applicable bidding credit (25
percent or 35 percent) in the bidding credit eligibility item on the
Form 175. Applicants are advised that this is the sole opportunity to
select "New Entrant" status and claim a bidding credit level (if
applicable). There is no opportunity to change the election once the
initial short-form filing deadline passes.

**Licenses/Construction Permits:** Applicants should identify the File
Number of the pertinent broadcast application (*i.e.,* FCC Form 301 for
AM, FM and televisions stations; FCC Form 346 for LPTV and television
translators, or FCC Form 349 for FM Translators) you have filed for the
facility on which you seek bidding eligibility. Be advised that there is
no opportunity to change this list once the short-form filing deadline
passes.

**Authorized Bidders:** Applicants must list the name(s) of the
person(s) (no more than three) authorized to represent them at the
auction. Only those individuals listed on the FCC Form 175 will be
authorized to place or withdraw bids for the applicant during the
auction.

**Certifications:** Applicants should carefully read the list of
certifications on the FCC Form 175. These certifications help to ensure
a fair and competitive auction and require, among other things,
disclosure to the Commission of certain information on applicant
ownership and agreements or arrangements concerning the auction.
Submission of an FCC Form 175 application constitutes a representation
by the certifying official that he or she is an authorized
representative of the applicant, has read the form\'s instructions and
certifications, and that the contents of the application and its
attachments are true 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.

**Contact person/address:** If the Commission wishes to communicate with
the applicant by telephone or fax, those communications will be directed
to the contact person identified on the FCC Form 175. Space is provided
for an address, telephone number, fax number, and e-mail address. All
written communication and registration information will be directed to
the applicant's contact person at the address specified on the FCC Form
175. Applicants must provide a street address; no P.O. Box addresses may
be used.

**Completeness:** Applicants must submit all information required by the
FCC Form 175 and by applicable rules. Failure to submit required
information by the resubmission date will result in dismissal of the
application and inability to participate in the auction. *See* 47 C.F.R.
§ 1.2105(b).

NOTE: Applicants must press the "Submit Form 175" button on the "Submit"
page to successfully submit their FCC Form 175.

**Continuing Accuracy:** Each applicant is responsible for the
continuing accuracy and completeness of information furnished in the FCC
Form 175 and its exhibits. *See* 47 C.F.R. § 1.65. Applicants are
reminded that they consent to be audited in the certification section of
the FCC Form 175 (see certification item number 6).

## B. Exhibits and Attachments

In addition to the FCC Form 175 itself, applicants must submit
additional information required by the FCC\'s rules. Although the FCC
does not require a particular format for this information, it has
developed the following guidelines that will facilitate the processing
of short-form applications. The FCC encourages applicants to submit this
information using the following format.

**Exhibit A \-- Applicant Identity and Ownership Information**: Section
73.5002 of the broadcast competitive bidding procedural rules specifies
the bidding procedures, certification requirements, and anti-collusion
rules applicable to applications for commercial broadcast services that
are subject to auction. Subsection (b) of that rule requires the timely
submission of short-form applications along with all required
certifications, information and exhibits pursuant to the provisions of
47 C.F.R. § 1.2105(a). Section 1.2105, in turn, requires the disclosure
on the short-form of applicant ownership information as set forth in
Section 1.2112. Specifically, 47 C.F.R. § 1.2105(a)(2)(ii) requires each
applicant to fully disclose the real party or parties-in-interest, and
the addresses and citizenship of the parties, in an exhibit to its FCC
Form 175 application. Furthermore, each applicant applying for a New
Entrant Bidding Credit must provide detailed ownership information for
itself and its attributable interest holders, as defined by Section
73.3555 of the Commission\'s rules and by Note 2 to that Section.
Regardless of whether a New Entrant Bidding Credit is being sought, all
applicants must provide the identification and ownership information.

**Exhibit B \-- Agreements with Other Parties/Joint Bidding
Arrangements**: Applicants must attach an exhibit identifying all
parties with whom they have entered into any agreements, arrangements or
understandings of any kind that relate to the licenses being auctioned,
including any agreements relating to the post-auction market structure.
*See* 47 C.F.R. § 1.2105(a)(2)(viii).

Certification (4) to the FCC Form 175 requires the applicant to certify
that it will not enter into any explicit or implicit agreements or
understandings of any kind with parties not identified in the
application regarding bid amounts, bidding strategies, or the particular
licenses the applicant will or will not bid. *See* 45 C.F.R. §
1.2105(a)(2)(ix*). Except to the extent provided in 47 C.F.R. § 73.5002
(d),* the prohibition of collusion set forth in 47 C.F.R. § 1.2105 (c)
becomes effective upon the filing of short-form applications. To prevent
collusion, the Commission\'s Rules *generally* prohibit communication
among applicants for the same mutually exclusive permits or licenses
between the initial short-form applications filing deadline and the
deadline for down payments on licenses won, when such communication
concern bids, bidding strategies, or settlements*.* 47 C.F.R. §
1.2105(c).

**Exhibit C \-- Status as a New Entrant Bidding Credit Recipient:** An
applicant claiming that it qualifies for a 35 percent new entrant
bidding credit must certify under penalty of perjury that neither it nor
any of its attributable interest holders have any attributable interests
in any other media of mass communications, as defined in 47 C.F.R. §
73.5008. With respect to those qualifying for a 25 percent new entrant
bidding credit, the applicant must provide a certification under penalty
of perjury that neither it nor any of its attributable interest holders
have attributable interests in more than three media of mass
communications, as defined in 47 C.F.R. § 73.5008. In addition,
applicants claiming a 25 percent credit shall identify and describe such
media of mass communications. *See* 47 C.F.R. §§ 73.5007 and 73.5008.

**Exhibit D \-- Information Requested of Designated Entities:**
Applicants owned by minorities or women, as defined in 47 C.F.R. §
1.2110(b)(2), or that are rural telephone companies, as defined in 47
C.F.R. § 1.2110(b)(3), may attach an exhibit regarding this status. This
information, in conjunction with the information in the Applicant Status
item, will assist the Commission in monitoring the participation of
these \"designated entities\" in its auctions.

**Exhibit E \-- Miscellaneous Information:** Applicants wishing to
submit additional information may do so in Exhibit E.

The electronic Form 175 has functionality allowing the applicant to
upload exhibits/attachments with the Form 175 for FCC review. Once the
applicant has uploaded the attachment, that attachment will be converted
by the auctions system into an Adobe PDF format and become available for
the applicant's review.

If an applicant finds that an attachment has not converted properly to
Adobe PDF format, the applicant should take the following steps:

1)  *Simplify the formatting of the file. For example, if using a Table
    structure in a WordPerfect document, remove the Table structure
    leaving the contents of the table, re‑save the document.*

2)  *Re‑upload the attachment.*

3)  *Delete the failed attachment.*

**NOTE:** In order to protect their privacy, applicants should not list
their TIN/SSN numbers on any Exhibits to their FCC Form 175s.

# Attachment C

**AUCTION-SPECIFIC INSTRUCTIONS FOR**

**FCC REMITTANCE ADVICE (FCC FORM 159)**

## A. UPFRONT PAYMENTS

The following information supplements the standard instructions for FCC
Form 159, and is provided to help ensure correct completion of FCC Form
159 for upfront payments for Auction No. 28. Applicants need to complete
FCC Form 159 carefully, since:

-   Mistakes may affect their bidding eligibility; and

-   Lack of consistency between information set forth in FCC Form 159,
    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 FCC Form 175 Short Form Application are described below.

Block

Number Required Information

> 1 LOCKBOX \# - Enter \"358410\"
>
> 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.
>
> 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, blocks 2 through 5.
>
> 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).
>
> 20A Payment Type Code - Enter \"A28U\"
>
> 21A Quantity - Enter the number \"1\"
>
> 22A Amount Due - Enter the total upfront payment due.
>
> 23A FCC Code 1 - Enter the number \"28\" (indicating Auction No. 28).
>
> 26 Applicant TIN - Same as FCC Form 175, block 7.

NOTES:

-   Do not use Remittance Advice (Continuation Sheet), FCC Form 159-C,
    for upfront payments.

-   If applicant is different from the payer, complete blocks 11 through
    18 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 this auction,
    leave this area blank.

## B. 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.

# Attachment D

## A. ELECTRONIC FILING AND REVIEW OF THE FCC FORM 175

Applicants must submit their FCC Form 175 applications electronically
using the Commission\'s remote access system. This system will generally
be available 24 hours per day. FCC Form 175 applications must be
submitted and confirmed by **5:30 p.m. ET on February 18, 2000.** Late
applications or unconfirmed submissions of electronic data will not be
accepted.

Applicants must press the **175 Submit** button on the *Submit* page to
successfully submit their FCC Form 175. The electronic filing process
consists of an initial filing period and a resubmission period to make
minor corrections. During each filing period, submitted applications may
be updated and amended multiple times until the filing deadline.

Applicants will need to meet the following minimum hardware and software
requirements:

### **(1) Minimum Hardware Requirements**

-   CPU: Intel Pentium

-   RAM: 16 MB (more recommended if you have multiple applications open)

-   Modem: v.32bis 14.4 Kbps Hayes-compatible modem or faster (recommend
    56.6 Kbps)

-   Monitor: VGA or above

-   Mouse or other pointing device

### **(2) Minimum Software Requirements**

-   Operating System: Microsoft Windows 95 or 98

-   PPP (Point-to-Point Protocol) Dialer: Use the Dial-Up Networking
    feature included with Windows 95/98

-   Web Browser: Netscape Communicator 4.7 is recommended. However, you
    can also use Netscape Communicator 4.5, 4.51, or 4.61 (Internet web
    browser software).

**Note:** To download Netscape Communicator 4.7 free of charge, access
the Netscape download site at ***http://home.netscape.com/download/***

-   PDF Viewer: Adobe Acrobat Reader 3.0 or higher (available at
    ***http://www.adobe.com***)

-   If you wish to use the download feature in the Form 175 Review, you
    will need a .tar file extraction utility, e.g., Winzip (available at
    ***http://www.winzip.com***) or Pkzip for Windows (available at
    ***http://www.pkware.com/download.html***).

## B. Submitting FCC Form 175 Applications

To submit FCC Form 175 applications electronically, you must first
connect to the FCC Network via a toll-free 800 phone number, using
Dial-Up Networking. Dial-Up Networking establishes a point‑to‑point
connection from your PC to the FCC Network. *This point‑to‑point
connection is not routed through the Internet*.

> **Note:** For instructions on how to connect to the FCC Network using
> Dial-Up Networking, see the *Accessing the FCC Network Using Windows
> 95/98* section.

After you have connected to the FCC Network, start your Netscape Web
browser. In your browser's *Location* field, enter
***http://wtbwww04.fcc.gov*** and then click **175 Submit**.

When uploading attachments in FCC Form 175 Submission, applicants may
use a variety of file formats \-- including Word, WordPerfect, Adobe
PDF, Excel, Lotus, and ASCII text \-- and should verify that the files
contain all exhibit information. Graphics file uploads (e.g., *.bmp*,
*.tiff*, *.jpg*) are not supported, and graphics images should not be
imported into any word processing files that are uploaded.

After you upload an attachment, check to see if it converted properly by
selecting the PDF filename in the rightmost column. The conversion
process generally completes within thirty minutes. If you are unable to
read this file after it has been converted, please do the following:

1\. Re-upload the attachment.

2\. If the file still has not converted properly, then simplify the
formatting of the file.

For example, if you are using a Table structure in a WordPerfect
document, remove the Table structure and leave the contents of the
table, then re-upload the attachment.

After you have successfully re-uploaded an attachment, please delete the
old, unreadable attachment files.

Applicants must press the **Submit Form 175** button on the *Submit*
page to successfully submit their FCC Form 175. During each filing
period, submitted applications may be updated and amended multiple times
until the filing deadline.

When you have finished, exit your Web browser; then disconnect from the
FCC Network.

## C. Reviewing FCC Form 175 Applications

Once the FCC has completed the 175 Review process, you can review FCC
Form 175 applications electronically via the Internet. Start your
Netscape Web browser. In your browser's *Location* field, enter
***http://wtbwww15.fcc.gov*** and then click **175 Review**.

**Help**

For technical assistance with installing or using FCC software, contact
the FCC Technical Support Hotline at (202) 414‑1250 (V) or (202)
414-1255 (TTY). The FCC Technical Support Hotline is generally available
Monday through Friday, from 8 a.m. to 6 p.m. ET. *All calls to the FCC
Technical Support Hotline are recorded.*

# Attachment E

**ACCESSING THE FCC NETWORK USING**

**WINDOWS 95/98**

This attachment describes how to access the FCC Network from a system
that is running the Microsoft Windows 95 or Microsoft Windows 98
operating system. This involves configuring dial-up network access and
then performing the dial-up procedure. Dial-up access to the FCC Network
is required to submit FCC Form 175 applications electronically or use
the FCC Remote Access System.

> **Note:** Dial-up access to the FCC Network is ***not*** required to
> review FCC Form 175 applications. You can perform that function from
> the Internet, by entering location ***http://wtbwww15.fcc.gov/*** on
> your Netscape Web browser and clicking the **175 Review** button.

**[Conventions]{.underline}**

The instructions in this section use the following typographical
conventions:

**bold** Represents objects on the screen that you click with the mouse
pointer, including buttons, Internet links, icons, tabs, menu items
(e.g., **Cancel** button, **Auctions** link, **Save** option in the File
menu).

*italic* Represents field names or areas of a screen (e.g., *Applicant*
field, *Selected Licenses* area of a screen).

***bold italic*** Represents characters that you must type exactly as
they appear in the instructions. For example, if you are instructed to
type ***http://wtbwww03.fcc.gov***, you should type all of the
characters shown in bold italic exactly as they are printed.

[Small Caps]{.smallcaps} Represents keys on the keyboard (e.g., [Enter,
Ctrl, Esc]{.smallcaps}).

***Note:*** Throughout these instructions, "enter" means to type the
appropriate information and then press the [Enter]{.smallcaps} key.

## A. Configuring Dial-Up Networking

1\. To start dial-up networking:

> a\. Click the Windows 95/98 **Start** button.
>
> b\. Click the **Programs** option to display the Programs menu.
>
> c\. Click the **Accessories** option to display the Accessories menu.
>
> d\. In Windows 95, click **Dial-Up Networking**.
>
> In Windows 98, click **Communications**, then **Dial-Up Networking** .
>
> If Dial-Up Networking is not an option on your Accessories menu, you
> should install it from your Windows 95/98 CD or diskettes.

2\. When the Dial-Up Networking window appears, double-click the **Make
New Connection** icon.

> The Make New Connection window appears.

3\. If you are connecting to submit FCC Form 175 applications, type
***FCC Auctions 800#*** in the field titled *Type a name for the
computer you are dialing.*

> If you are connecting to use the FCC Remote Access System, type ***FCC
> Auctions 900#*** in the field titled *Type a name for the computer you
> are dialing.*
>
> **Note**: If you connect to the FCC's 900# telephone service, there is
> a charge of \$2.30 per minute. The first minute of connection time to
> the 900 number service is at no charge.

4\. In Windows 95, click the down arrow at the right of the *Select a
modem* field and select your modem from the menu of available modems.

> In Windows 98, click the down arrow at the right of the *Select a
> device* field and select your modem from the menu of available
> devices.
>
> If your modem does not appear on this list, you must install your
> modem driver according to the modem manufacturer installation
> procedures, which are usually described in your modem's user manual.

5\. Click the **Next** button.

6\. If you are connecting to submit FCC Form 175 applications, type
***800*** and ***378-7435*** in the *Area Code* and *Telephone Number*
fields, respectively.

> If you are connecting to use the FCC Remote Access System, type
> ***900*** and ***555-5335*** in the *Area Code* and *Telephone Number*
> fields, respectively.

7\. Verify that the correct country is selected in the *Country code*
field.

> If necessary, click the down arrow at the right of the *Country code*
> field and select the appropriate country from the menu of available
> countries.

8\. Click the **Next** button.

9\. Click the **Finish** button.

> An icon labeled either *FCC Auctions 800#* or *FCC Auctions 900#*
> appears in the Dial-Up Networking window.

10\. Verify that properties are configured correctly before attempting a
dial-up session. Put the mouse pointer on the FCC Auctions icon that you
wish to configure and click the ***right*** mouse button to display a
menu. Click **Properties** from the menu.

11\. Click the **Configure** button. Click the **Options** tab at the
top of the Properties window.

12\. In the *Connection control* area of the Options tab, verify that
*neither* option is selected. If either option is selected, click the
check box at the left of the option to deselect it. Then click **OK**.

13\. In Windows 95, click the **Server Type\...** button.

> In Windows 98, click the **Server Types** tab at the top of the
> Properties window.

14\. In the *Advanced Options* area, verify that only *Enable software
compression* is selected. If it is not selected, click the check box at
the left of the option to select it. If either of the other options is
selected, click the check box to deselect it.

15\. In the *Allowed Network Protocols* area, verify that only *TCP/IP*
is selected.

> If it is not selected, click the check box at the left of the option
> to select it. If either of the other options is selected, click the
> check box to deselect it.

16\. Click the **TCP/IP Settings** button. On the TCP/IP Settings
window, select *Server assigned IP addresses* at the top and select
*Specify name server addresses* midway down the window.

17\. Type ***165.135.22.249*** as the Primary DNS.

Ensure that these two options are checked:

-   Use IP header compression

-   Use default gateway or remote network

18\. Click **OK** on the TCP/IP Settings window and the Server Type
window.

19\. a. Click the Windows 95/98 *Start* button, then click the
*Settings* option to display the Settings menu.

> b\. Click *Control Panel* and then double-click the *Network* icon.
>
> c\. Highlight the TCP/IP Protocol and click *Properties*. If there are
> multiple TCP/IP protocols, highlight TCP/IP \--\> Dial-Up Adapter and
> click *Properties*.
>
> In a Windows 98 environment, a confirmation dialog appears. Read the
> information on the dialog, then click the **OK** button.
>
> d\. Click the *DNS Configuration* tab.
>
> e\. Select *Enable DNS*. Type **bidder** in the *Host* box, type
> **fcc.gov** in the *Domain* box, then type **165.135.22.249** in the
> DNS Server Search Order box and click the *Add* button.
>
> f\. Click *OK* on the TCP/IP Properties windows, then click *OK* on
> the Network windows.

g.  If you are prompted to restart your computer, click *Yes* to
    restart, then begin the Dial-Up Procedure.

## B. Dial-Up Procedure

1.  If the Dial-Up Networking window is not currently open, do the
    following:

> a\. Click the Windows 95/98 **Start** button.
>
> b\. Click the **Programs** option to display the Programs menu.
>
> c\. Click the **Accessories** option to display the Accessories menu.
>
> d\. In Windows 95, click **Dial-Up Networking**
>
> In Windows 98, click **Communications**, then **Dial-Up Networking**.

The Dial-Up Networking window appears.

2\. In the Dial-Up Networking window, double-click the **FCC Auctions
800#** or **FCC Auctions 900#** icon.

> **Note**: If you connect to the FCC's 900 number telephone service,
> there is a charge of \$2.30 per minute. The first minute of connection
> time to the 900 number service is at no charge.

3\. Click the **Connect** button on the window. *Do not enter User name
and Password* .

> The Connection window appears, indicating the status of your
> connection as your modem dials into the system. This window must
> remain running during your dial-up session. You may minimize the
> window, if you wish.
>
> If your modem fails to establish a connection, please see the
> *Troubleshooting* section below.

4\. Once the connection is established, open your Web browser.

5\. In your browser's *Location* field, enter the appropriate Universal
Resource Locator (URL) as follows:

-   For FCC Form 175 Submit, enter ***http://wtbwww04.fcc.gov***
    (primary location) or ***http://wtbwww34.fcc.gov*** (secondary
    location)

-   For the FCC Remote Access System, enter
    ***http://wtbwww03.fcc.gov*** (primary location) or
    ***http://wtbwww26.fcc.gov*** (secondary location)

> If nothing appears in your Web browser, please see the
> *Troubleshooting* section below.

6\. When you have finished, exit the Web browser, then click the
**Disconnect** button on the Connection window to end your dial-up
session.

## C. Troubleshooting

Following are problems you may encounter and possible solutions for
resolving or isolating them.

***Modem does not respond***

1\. Confirm that all physical connections for the modem are present.

2.  Confirm that the phone line is active by connecting it to a
    telephone and checking

for a dial-tone.

3\. If you are dialing the 900 number service, check for a 900 number
telephone block. If the volume settings are low, the modem may be
dialing but not connecting. Check for this by trying to connect to the
800 number, or by dialing the 900 number on that line using a telephone.

4\. Confirm that the correct modem driver is installed for your modem.

***Modem dials but does not connect***

1\. If you are dialing the 900 number service, check for a 900 number
telephone block. Check for this by dialing the 800 number to see if you
connect, or by dialing the 900 number on that line using a telephone.

2\. Confirm that the number the modem is dialing is correct.

3.  Confirm that the modem prefix, if any, is correct.

4.  Reconfigure Dial-Up Networking to use the backup 900 number, as
    described under "Accessing FCC Sites In Case of DNS Problems" in the
    attachment titled *How To Monitor the FCC Auctions On-Line*.

***Modem dials and connects, but nothing appears when you enter the
Location in the Web browser***

1.  Verify the Dial-Up Networking settings specified in the Configuring
    Dial-Up

*Networking* section.

2.  Confirm that your Web browser is not using proxies:

```{=html}
<!-- -->
```
a)  On your browser, click the *Preferences* option in the Edit menu.

b)  In the Category area at the left, double-click *Advanced*.

c)  Click the Advanced structure's *Proxies* option.

d)  Click the radio button labeled *Direct connection to the Internet*.

e)  Click the **OK** button at the bottom of the window.

    ***Receive an Internal Server error in the Web browser***

```{=html}
<!-- -->
```
1.  Confirm that the *Location* is correct.

2.  Confirm that *Java* and *JavaScript* are enabled in your Web
    browser, and confirm that *Cookies* is set to Accept All.

## D. Help

For technical assistance with installing or using FCC software, contact
the FCC Technical Support Hotline at (202) 414‑1250 (V) or (202)
414-1255 (TTY). The FCC Technical Support Hotline is generally available
Monday through Friday, from 8 a.m. to 6 p.m. ET. *All calls to the FCC
Technical Support Hotline are recorded.*

# Attachment F

**FCC REMOTE BIDDING SOFTWARE ORDER FORM**

## Auction No. 28

Qualified bidders have the option to electronically participate in the
auction bidding process by using the FCC Remote Bidding Software.
Further, while bidders are free to copy the software for use by
authorized bidders at different locations, the FCC auction system will
accept electronic bids only from bidders who have purchased the
software. (Since bidding software is tailored to a specific auction,
software from prior auctions will not work for Auction 28.)

The FCC Remote Bidding Software includes a user manual will be provided
for this auction at no charge. To order, complete the form below and
return no later than 5:30 p.m. ET on **Tuesday, March 7, 2000**, to:

FCC Bidding Software, Auction No.28

[Auction Operations Branch]{.underline}

1270 Fairfield Rd.

Gettysburg, PA 17325-7245

FAX: 717-338-2850

**For security purposes, software packages will be sent with other
registration materials only to the contact person at the contact address
specified on the FCC Form 175. NO EXCEPTIONS.**

Auction Applicant:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

FCC Assigned Account No.
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Phone:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fax: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Fax Modem
No. \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Type: **\_\_\_** 3.5 diskette **\_\_\_** CD-Rom

# Attachment G

####### SUMMARY LISTING OF DOCUMENTS FROM THE COMMISSION 

**AND THE WIRELESS TELECOMMUNICATIONS BUREAU**

**ADDRESSING APPLICATION OF THE ANTI‑COLLUSION RULES**

> All of the following documents can be found at FCC web site:
> [http://www.fcc.gov/wtb/auctions/collusio/collusio.html]{.underline}
>
> **[Commission Decisions:]{.underline}**
>
> *Second Report and Order* in PP Docket No. 93‑253, FCC 94‑61, 9 FCC
> Rcd. 2348, 2386‑2388 (1994), paragraphs 221‑226.
>
> *Fifth Report and Order in* PP Docket No. 93‑253, FCC 94‑178, 9 FCC
> Rcd. 5532, 5570‑5571 (1994), paragraphs 91‑92.
>
> *Fourth Memorandum Opinion and Order* in PP Docket No. 93‑253, FCC
> 94‑264, 9 FCC Rcd. 6858, 6866‑6869 (1994), paragraphs 47‑60.
>
> *Second Memorandum Opinion and Order* in PP Docket No. 93‑253, FCC
> 94‑215, 9 FCC Rcd. 7245, 7253‑7255 (1994), paragraphs 48‑55.
>
> *Memorandum Opinion and Order* in PP Docket No. 93‑253, FCC 94‑295, 9
> FCC Rcd. 7684, 7687‑7689 (1994), paragraphs 8‑12.
>
> In re Commercial Realty St. Pete, *Notice of Apparent Liability for
> Forfeiture,* 10 FCC Rcd. 4277 (1995), In re Commercial Realty St.
> Pete, *Memorandum Opinion and Order,* 11 FCC Rcd. 15374 (1996).
>
> In re Applications of Mercury PCS II, LLC, *Notice of Apparent
> Liability for Forfeiture,* 12 FCC Rcd. 17970 (1997) (petition for
> partial reconsideration pending).
>
> Amendment of Part 1of the Commission\'s Rules ‑‑ Competitive Bidding
> Procedures, Allocation of Spectrum Below 5 GHz Transferred from
> Federal Government Use, 4660‑4685 MHz, WT Docket No. 97‑82, ET Docket
> No. 94‑32, FCC 97‑413, *Third Report and Order and Second Further
> Notice of Proposed Rule Making,* 13 FCC Rcd. 374, 463‑469 (1997),
> paragraphs 155-­166.
>
> In re Application of US West Communications, Inc., *Notice of Apparent
> Liability for Forfeiture,* FCC 98‑41 (March 16, 1998).
>
> In re Application of Western PCS BTA I Corporation, *Notice of
> Apparent Liability for Forfeiture, FCC* 98‑42 (March 16, 1998).

**[Wireless Telecommunications Bureau Decisions:]{.underline}**

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, *Order,* 11 FCC Rcd. 9655
(Wireless Tel. Bur. 1995).

In re Applications of GWI PCS, Inc. For Authority to Construct and
Operate Broadband PCS Systems Operating on Frequency Block C,
*Memorandum Opinion and Order,* 12 FCC Rcd. 6441 (Wireless Tel. Bur.
1997).

In re Applications of Mercury PCS II, LLC, For Facilities in the
Broadband Personal Communications Services in the D, E, and F Blocks,
*Memorandum Opinion and Order on Reconsideration,* 12 FCC Rcd. 18093
(Wireless Tel. Bur. 1997).

In the Matter of Applications of High Plains Wireless, L.P., For
Authority to Construct and Operate Broadband PCS Systems on Frequency
Blocks D, E, and F, *Memorandum Opinion and Order,* 12 FCC Rcd. 19627
(Wireless Tel. Bur. 1997).

In the Matter of Applications of Mercury PCS II, LLC, For Authority to
Construct and Operate Broadband PCS Systems on Frequency Blocks D, E,
and F, *Memorandum Opinion and Order,* 13 FCC Rcd. 5756 (Wireless Tel.
Bur. 1997).

**[Public Notices:]{.underline}**

\"Wireless Telecommunications Bureau Clarifies Spectrum Auction
Anti‑Collusion Rules,\" *Public Notice,* 11 FCC Rcd. 9645 (1995).

\"FCC Staff Clarifies Application of Anti‑Collusion Rule to Broadband
PCS \'C\' Block Reauction,\" *Public Notice,* 11 FCC Rcd. 7031 (1996).

\"Wireless Telecommunications Bureau Provides Guidance on the
Anti‑Collusion Rule for D, E and F Block Bidders,\" *Public* *Notice,*
11 FCC Rcd. 10134 (1996).

**[Letters from the Office of General Counsel and the Wireless
Telecommunications Bureau:]{.underline}**

*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, 1996).

*Letter to R. Michael Senkowski from Rosalind K. Allen, Acting Chief,
Commercial Radio Division, Wireless Telecommunications Bureau* (released
December 1, 1994).

*Letter to Leonard J. Kennedy from Rosalind K. Allen, Acting Chief,
Commercial Radio Division, Wireless Telecommunications Bureau* (released
December 14, 1994).

*Letter to Jonathan D. Blake and Robert J. Rini from Kathleen O\'Brien
Ham, Chief, Auctions Division, Wireless Telecommunications Bureau,* DA
95‑2404 (released November 28, 1995).

*Letter to Mark Grady from Kathleen O\'Brien Ham, Chief, Auctions
Division, Wireless Telecommunications Bureau,* 11 FCC Rcd. 10895 (1996).

*Letter to David L. Nace from Kathleen O\'Brien Ham, Chief, Auctions
Division, Wireless Telecommunications Bureau,* 11 FCC Rcd. 11363 (1996).

*Letter to Elliott J. Greenwald from Christopher J. Wright, General
Counsel, Federal Communications Commission* (released April 6, 1998).

**[Civil Actions Initiated by U.S. Department of Justice:]{.underline}**

*U.S. v. Omnipoint Corp.,* Proposed Final Judgements and Competitive
Impact Statements, Department of Justice, 63 FR 65228 (November 25,
1998).

\"Justice Department Sues Three Firms Over FCC Auction Practices,\"
*Press Release, U.S.* Department of Justice (November 10, 1998).

Complaint, U.S. *v. Omnipoint Corp.,* No. 1:98CV02750 (D.D.C. November
10, 1998).

Complaint, U.S. v. *Mercury PCS II, L.L C.,* No. 1:98CV02751 (D.D.C.
November 10, 1998).

Complaint, *U.S. v. 21st Century Bidding Corp., No.* 1:98CV02752 (D.D.C.
November 10, 1998).

[Miscellaneous:]{.underline}

Many of these documents can be retrieved from the FCC web site
([http://www.fcc.gov/wtb/auctions/collusio/collusio.html]{.underline}),
where documents may be located by using our search engine (select the
link \"search\"). All of these documents can be ordered in hard copy for
a fee from the Commission's contractor, International Transcription
Service, Inc. at (202) 314­-3070.

Documents retrieved from the FCC web site are available in various
formats. In order to review a document in its entirety, including
footnotes, it is necessary to access the document in Wordperfect, MS
Word, or Acrobat Reader.

# Attachment H

FCC AUCTION SEMINAR REGISTRATION FORM

Auction No. 28

The FCC will sponsor a one-day seminar for the Paging auction
applicants. The seminar is free of charge and will provide information
about pre-auction procedures, service and auction rules, conduct of the
auction, and the FCC remote bidding software.

**Space is limited.** A maximum of two representatives from each company
may attend on a reservation basis, first-come first-served until room
capacity is filled. Additional seating may be available on a stand-by
basis the day of the seminar. The seminar will be held:

**Thursday, February 3, 2000**

**Federal Communications Commission**

**445 12^th^ Street S.W.**

#### Washington, DC 20554

**Registration 8:30 a.m. - 9:30 a.m.**

**Seminar 9:30 a.m. - 4 p.m.**

**If hotel accommodations are needed**

**Please contact 1-888-225-5322 (option #2) for a list of hotels in the
area**

**\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\*\***

**To register, complete the form below and**

**return no later than**

**Monday, January 31, 2000,** by mail or fax to:

FCC Auction 28

Auctions Operations Branch

1270 Fairfield Road

Gettysburg, PA 17325-7245

FAX: 717-338-2850

Phone: 717-338-2888

I/We will attend the Supplemental Closed Broadcast Auction, **Thursday,
February 3, 2000**

Name of attendee:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Name of attendee:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Company name:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Phone: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Fax:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

[^1]: *See* Supplemental Broadcast Auctions Scheduled For March 21,
    2000; Comment Sought on Reserve Price, Minimum Opening Bids and
    Other Auction Procedures, *Public Notice*, DA 99-2594 (released
    November 19, 1999) (\"*Comment Public Notice*\").

[^2]: Section 3002(a), Balanced Budget Act of 1997, Pub. L. 105-33, 111
    Stat. 251 (1997) (\"Budget Act\"); 47 U.S.C. § 309(j)(4)(F). The
    Commission\'s authority to establish a reserve price or minimum
    opening bid is set forth in 47 C.F.R. §1.2104(c) and (d).

[^3]: Public Notice, *FCC Freezes Comparative Hearings*, 9 FCC Rcd 1055
    (1994), *modified*, 9 FCC Rcd 6689 (1994), *further modified*, 10
    FCC Rcd 12182 (1995).

[^4]: *Bechtel v. FCC*, 10 F.3d 875 (D.C. Cir. 1993).

[^5]: *See* Public Notice, *Low Power Television and Television
    Translators: Mutually Exclusive Displacement Applications*, Mimeo
    No. 85299 (rel. Sept. 2, 1998); *see also* Public Notice,
    *Commission Postpones Initial Date for Filing TV Translator and Low
    Power TV Applications for Displacement Channels*, Mimeo No. 82914
    (rel. April 16, 1998).

[^6]: The Commission adopted service and competitive bidding rules for
    mass media services, including standard broadcast (AM), frequency
    modulation (FM), full service commercial television (TV) and
    Instructional Television Fixed Service (ITFS). Also adopted were
    rules for the secondary services of low power television (LPTV), FM
    translator and television translator. *See* Implementation of
    Section 309(j) of the Communications Act -- Competitive Bidding for
    Commercial Broadcast and Instructional Television Fixed Service
    Licenses*, First Report and Order* in MM Docket No. 97-234, GC
    Docket No. 92-52 and GEN Docket No. 90-264, 13 FCC Rcd 15920 (1998)
    *("Broadcast First Report and Order")*, *on recon*., *Memorandum
    Opinion and Order,* FCC 99-74, rel. April 20, 1999 *("Broadcast
    Reconsideration Order*"); *on further recon., Memorandum Opinion and
    Order*, FCC 99-201, rel. August 5, 1999 ("*New Entrant Bidding
    Credit Reconsideration Order*").

[^7]: *See Broadcast First Report and Order* at 15950, ¶ 81;
    15958-15960, ¶¶ 105-109.

[^8]: *Id*. at 15950, ¶ 82.

[^9]: *See* Part 1, Subpart Q of Title 47 of the Code of Federal
    Regulations.

[^10]: *See, e.g.,* \"Wireless Telecommunications Bureau Responds to
    Questions About the Local Multipoint Distribution Service Auction,\"
    *Public Notice*, 13 FCC Rcd 341 (1998); Application of Nevada
    Wireless for a License to Provide 800 MHz Specialized Mobile Radio
    Service in the Farmington, NM-CO Economic Area (EA-155) Frequency
    Band A, *Memorandum Opinion and Order*, 13 FCC Rcd 11973, 11977 ¶ 11
    (1998) *(\"Nevada Wireless*\").

[^11]: *See* *Nevada Wireless, supra* note 109 at 11978, ¶ 13.

[^12]: *See* 47 C.F.R. §1.2105(c).

[^13]: *See Id.* §1.65.

[^14]: *See Broadcast First Report and Order* at 15942, ¶ 57.

[^15]: Section 73.5002 of the broadcast competitive bidding procedural
    rules specifies the bidding procedures, certification requirements,
    and anti-collusion rules applicable to applications for commercial
    broadcast services that are subject to auction. Subsection (b) of
    that rule requires the timely submission of short-form applications
    *along with all required certifications, information and exhibits
    pursuant to the provisions of 47 C.F.R. § 1.2105(a).* Section
    1.2105, in turn, requires the disclosure on the short-form of
    applicant ownership information as set forth in Section 1.2112.

[^16]: *See* 47 C.F.R. § 1.2105(c)(4)(i) & (ii). *See also* *Broadcast
    First Report and Order* at 15982, ¶ 158.

[^17]: *Id.* at ¶ 159

[^18]: The fact that, on February 18, 2000, a bidder has a pending or
    granted application to assign or transfer control of a media
    interest shall not be sufficient to avoid attribution. Bidders must
    have consummated the transaction by February 18, 2000, to avoid
    attribution.

[^19]: *See* 47 C.F.R. § 73.3555 Note 2.

[^20]: *See* Review of the Commission's Regulations Governing
    Attribution of Broadcast and Cable/MDS Interests, *Report and
    Order,* MM Docket No. 94-150, FCC 99-207 (rel. August 6, 1999)
    (prior history omitted).

[^21]: *See* *Clarification of Commission Policies Regarding Spousal
    Attribution*, 7 FCC Rcd 1920 (1992).

[^22]: *See* 47 C.F. R. § 73.5008.

[^23]: Further, *any* bidder asserting new entrant status must have *de
    facto* as well as *de jure* control of the entity claiming the
    bidding credit. 47 C.F.R. § 73.5007. Typically, *de jure* control is
    evidenced by ownership of at least 50.1 percent of an entity\'s
    voting stock or equivalent level of interest in cases where the
    bidder is not a corporate entity. *De facto* control is determined
    on a case-by-case basis.

[^24]: ^?^ *Broadcast Reconsideration Order* at ¶ 75.

[^25]: See 47 C.F.R. § 1.2105.

[^26]: Section 73.5007 of the Commission's rules was most recently
    revised pursuant to the *Broadcast Reconsideration Order*. The
    revision to this rule became effective on July 6, 1999.

[^27]: *See* 47 C.F.R. § 73.5007(c).

[^28]: *See* Amendment of Part 1 of the Commission\'s Rules \--
    Competitive Bidding Procedures, Allocation of Spectrum Below 5 GHz
    Transferred from Federal Government Use, 4660-4685 MHz, WT Docket
    No. 97-82, ET Docket No. 94-32, FCC 97-413, *Third Report and Order
    and Second Further Notice of Proposed Rule Making*, 13 FCC Rcd 374,
    410-412, ¶¶ 59-62 (1998) (*\"Part 1 Third Report and Order*"), 13
    FCC Rcd at 410-11; 47 C.F.R. § 1.2105(a).

[^29]: *See* 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*, 12
    FCC Rcd. 5686, 5697-5698, ¶ 16 (1997). *See also Broadcast First
    Report and Order* at 15967-68, ¶¶ 127-128.

[^30]: *Comment Public Notice* at 7.

[^31]: *Comment Public Notice* at 8.

[^32]: *Id*. at 9.

[^33]: *Id*.

[^34]: *Id*.

[^35]: *Id*. at 10.

[^36]: *Id*.

[^37]: *Id.* at 9.

[^38]: Section 3002(a), Balanced Budget Act of 1997, Pub. L. 105-33, 111
    Stat. 251 (1997) (\"Balanced Budget Act\"); 47 U.S.C. §
    309(j)(4)(F). The Commission\'s authority to establish a reserve
    price or minimum opening bid is set forth in 47 C.F.R. § 1.2104(c)
    and (d).

[^39]: *See* *Part 1 Third Report and Order,* 13 FCC Rcd at 455-456, ¶
    141 and *Broadcast First Report and Order*, ¶¶ 127-128.

[^40]: Auctions No. 25 and No. 27 concluded October 8, 1999, after 35
    rounds and 15 rounds, respectively.

[^41]: *Broadcast First Report and Order*, 13 FCC Rcd at 15967, ¶ 127.

[^42]: *Rio Grande Broadcasting Co*., 5 FCC Rcd 5442, 5443 n.1 (MMB
    1990).

[^43]: *See Letter to Jerome Boros, Esq*, December 15, 1999
    (1800B3-MFW).