**DA 02-3153**

**November 15, 2002**

**CLOSED AUCTION OF LICENSES FOR**

**CELLULAR UNSERVED SERVICE AREAS**

**SCHEDULED FOR FEBRUARY 12, 2003**

**Notice and Filing Requirements, Minimum Opening Bids,**

**Upfront Payments, and Other Auction Procedures**

Report No. AUC-02-47-C (Auction No. 47)

I. General Information [1](#general-information)

A. Introduction [1](#introduction)

1\. Licenses to Be Auctioned [1](#licenses-to-be-auctioned)

B. Rules and Disclaimers [2](#rules-and-disclaimers)

1\. Relevant Authority [2](#relevant-authority)

2\. Prohibition of Collusion [3](#prohibition-of-collusion)

3\. Due Diligence [4](#due-diligence)

4\. Bidder Alerts [4](#bidder-alerts)

5\. National Environmental Policy Act ("NEPA") Requirements
[5](#national-environmental-policy-act-nepa-requirements)

C. Auction Specifics [6](#auction-specifics)

1\. Auction Date [6](#auction-date)

2\. Auction Title [6](#auction-title)

3\. Bidding Methodology [6](#bidding-methodology)

4\. Pre-Auction Dates and Deadlines
[6](#pre-auction-dates-and-deadlines)

5\. Requirements for Participation [6](#requirements-for-participation)

6\. General Contact Information [7](#general-contact-information)

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

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

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

C. Bidding Credit Eligibility [9](#bidding-credit-eligibility)

D. Provisions Regarding Defaulters and Former Defaulters (FCC Form 175
Exhibit C)
[9](#provisions-regarding-defaulters-and-former-defaulters-fcc-form-175-exhibit-c)

E. Installment Payments [10](#installment-payments)

F. Other Information (FCC Form 175 Exhibits D and E)
[10](#other-information-fcc-form-175-exhibits-d-and-e)

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

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

III\. PRE-AUCTION PROCEDURES [10](#pre-auction-procedures)

A. Auction Seminar [10](#auction-seminar)

B. Short-Form Application (FCC Form 175) --- Due January 13, 2003
[11](#short-form-application-fcc-form-175-due-january-13-2003)

1\. Electronic Filing [11](#electronic-filing)

2\. Completion of the FCC Form 175 [11](#completion-of-the-fcc-form-175)

3\. Electronic Review of FCC Form 175
[11](#electronic-review-of-fcc-form-175)

C. Application Processing and Minor Corrections
[12](#application-processing-and-minor-corrections)

D. Upfront Payments --- Due January 27, 2003
[12](#upfront-payments-due-january-27-2003)

1\. Making Auction Payments by Wire Transfer
[12](#making-auction-payments-by-wire-transfer)

2\. FCC Form 159 [13](#fcc-form-159)

3\. Amount of Upfront Payment [13](#amount-of-upfront-payment)

4\. Applicant's Wire Transfer Information for Purposes of Refunds of
Upfront Payments
[14](#applicants-wire-transfer-information-for-purposes-of-refunds-of-upfront-payments)

E. Auction Registration [15](#auction-registration)

F. Electronic Bidding [15](#electronic-bidding)

G. Mock Auction [16](#mock-auction)

IV\. AUCTION EVENT [16](#auction-event)

A. Auction Structure [16](#auction-structure)

1\. Single Round Sealed Bid Auction
[16](#single-round-sealed-bid-auction)

2\. Maximum Eligibility [16](#maximum-eligibility)

3\. Auction Delay or Cancellation [17](#auction-delay-or-cancellation)

B. Bidding Procedures [17](#bidding-procedures)

1\. Round Structure [17](#round-structure)

2\. Reserve Price or Minimum Opening Bid
[17](#reserve-price-or-minimum-opening-bid)

3\. Bidding [18](#bidding)

4\. Bid Removal and Bid Withdrawal [18](#bid-removal-and-bid-withdrawal)

5\. Winning Bids and Tie Bids [18](#winning-bids-and-tie-bids)

6\. Auction Announcements [19](#auction-announcements)

7\. Maintaining the Accuracy of FCC Form 175 Information
[19](#maintaining-the-accuracy-of-fcc-form-175-information)

V. POST-AUCTION PROCEDURES [19](#post-auction-procedures)

A. Down Payments [19](#down-payments)

B. Long-Form Applications [19](#long-form-applications)

C. Tribal Land Bidding Credit [19](#tribal-land-bidding-credit)

D. Default and Disqualification [20](#default-and-disqualification)

E. Refund of Remaining Upfront Payment Balance
[20](#refund-of-remaining-upfront-payment-balance)

VI\. Attachment A: Licenses to be Auctioned A-[1](#attachment-a)

VII\. Attachment B: Electronic Filing and Review of the FCC Form 175
B-[1](#attachment-b)

VIII\. Attachment C: Guidelines for Completion of FCC Form 175 and
Exhibits C-[1](#attachment-c)

IX\. Attachment D: Auction-Specific Instructions for FCC Remittance
Advice (FCC Form 159-February 2000 Edition) D-[1](#attachment-d)

X. Attachment E: Summary Listing of Documents from the Commission and
the Wireless Telecommunications Bureau Addressing Application of the
Anti-Collusion Rules E-[1](#attachment-e)

# General Information

## Introduction

By this public notice, the Wireless Telecommunications Bureau ("Bureau")
announces the procedures and minimum opening bids for the upcoming
auction of seven licenses to provide cellular service in unserved areas
("Auction No. 47") scheduled for February 12, 2003.

In accordance with the Balanced Budget Act of 1997,[^1] the Bureau
released a public notice on September 16, 2002 seeking comment on
reserve prices or minimum opening bids and the procedures to be used in
Auction No. 47.[^2] The Bureau received one comment and no reply
comments in response to the *Auction No. 47 Comment Public Notice*.[^3]
The Bureau subsequently released a second public notice on October 25,
2002, revising the inventory, auction start date, and seeking comment on
procedural issues.[^4] The Bureau did not receive any comments in
response to the *Auction No. 47 Revised Comment Public Notice.*

### Licenses to Be Auctioned 

Participation in Auction No. 47 is limited to those applicants who have
filed the long-form applications listed in Attachment A. All
applications within a mutually exclusive applicant group ("MX Group")
are directly mutually exclusive with one another and therefore a single
license will be auctioned for each MX Group identified in Attachment
A.[^5] The winning bidder for a particular MX Group will be authorized
to construct only the facilities proposed in its long-form
application(s) for that MX Group as identified in Attachment A.

As stated in the *Competitive Bidding Ninth Report and Order*, all
pending mutually exclusive applications for unserved area licenses in
the Cellular Radiotelephone Service must be resolved through a system of
competitive bidding.[^6] When the short-form applications of two or more
applicants within an MX Group are accepted for filing, mutual
exclusivity exits for auction purposes.[^7] Once mutual exclusivity
exists for auction purposes, even if only one applicant within an MX
Group submits an upfront payment, that applicant is required to submit a
bid in order to obtain the license.[^8]

## Rules and Disclaimers

### Relevant Authority

Prospective bidders must familiarize themselves thoroughly with the
Commission's rules relating to the Cellular Radiotelephone Service
contained in Title 47, Part 22 of the Code of Federal Regulations,[^9]
and those relating to application and auction procedures, contained in
Title 47, Part 1 of the Code of Federal Regulations. Prospective bidders
must also be thoroughly familiar with the procedures, terms and
conditions (collectively, \"Terms\") contained in this Public Notice;
the *Auction No. 47 Comment* *Public Notice* and the *Auction No. 47
Revised Comment* *Public Notice*; and the *Part 1 Fifth Report and
Order* (as well as prior and subsequent Commission proceedings regarding
competitive bidding procedures).[^10]

Auction participants bidding on licenses for cellular unserved service
areas should also be familiar with the *Competitive Bidding Ninth Report
and Order*.[^11]

The terms contained in the Commission's rules, relevant orders, and
public notices are not negotiable. The Commission may amend or
supplement the information contained in our public notices at any time,
and will issue public notices to convey any new or supplemental
information to 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 Auctions
Internet site at [http://wireless.fcc.gov/auctions]{.underline}.
Additionally, documents are available for public inspection and copying
during regular business hours at the FCC Reference Information Center,
Portals II, 445 12th Street, SW, Room CY-A257, Washington, DC, 20554 or
may be purchased from the Commission's duplicating contractor, Qualex
International, Portals II, 445 12th Street, SW, Room CY-B402,
Washington, DC 20554, telephone 202-863-2893, facsimile 202-863-2898, or
via e-mail qualexint@aol.com. When ordering documents from Qualex,
please provide the appropriate FCC number (for example, FCC 96-361 for
the *Competitive Bidding Ninth Report and Order*).

### Prohibition of Collusion

To ensure the competitiveness 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.[^12]
This prohibition begins at the short-form application filing deadline
and ends at the down payment deadline after the auction.

Bidders in Auction No. 47 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. A violation could similarly
occur if the authorized bidders are different individuals employed by
the same organization (*e.g.*, law firm or consulting firm). In such a
case, at a minimum, applicants should certify on their applications 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.[^13] However, the Bureau cautions
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.[^14]

Applicants may enter into bidding agreements before filing their FCC
Form 175, as long as they disclose the existence of the agreement(s) in
their Form 175.[^15] If parties agree in principle on all material terms
prior to the short-form filing deadline, those parties must be
identified on the short-form application pursuant to Section 1.2105(c),
even if the agreement has not been reduced to writing. If the parties
have not agreed in principle by the filing deadline, an applicant would
not include the names of those parties on its application, and may not
continue negotiations with other competing applicants.[^16] By signing
their FCC Form 175 short-form applications, applicants are certifying
their compliance with Section 1.2105(c).

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 within
30 days of any substantial change that may be of decisional significance
to that application.[^17] 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 therefore
are required to make such notification to the Commission immediately
upon discovery.[^18]

A summary listing of documents from the Commission and the Bureau
addressing the application of the anti-collusion rules may be found in
Attachment E.

###  Due Diligence 

Potential bidders also should be aware that certain applications
(including those for modification), petitions for rulemaking, requests
for special temporary authority (\"STA\") waiver requests, petitions to
deny, petitions for reconsideration, and applications for review may be
pending before the Commission and relate to particular applicants or
incumbent licensees. We note that resolution of these matters could have
an impact on the availability of spectrum in Auction No. 47. In
addition, although the Commission will continue to act on pending
applications, requests and petitions, some of these matters may not be
resolved by the time of the auction.

**Potential bidders are solely responsible for identifying associated
risks and for investigating and evaluating the degree to which such
matters may affect their ability to bid on, otherwise acquire, or make
use of licenses available in Auction No. 47.**

The Commission makes no representations or guarantees regarding the
accuracy or completeness of information in its databases or any third
party databases, including, for example, court docketing systems.
Furthermore, the Commission makes no representations or guarantees
regarding the accuracy or completeness of information that has been
provided by incumbent licensees and incorporated into the database.
Potential bidders are strongly encouraged to physically inspect any
sites located in, or near, the unserved areas for which they plan to
bid.

### Bidder Alerts 

All applicants must certify on their FCC Form 175 applications under
penalty of perjury that they are legally, technically, financially and
otherwise qualified to hold a license, and not in default on any payment
for Commission licenses (including down payments) or delinquent on any
non-tax debt owed to any Federal agency.[^19] 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, license revocations, exclusion from participation in future
auctions, and/or criminal prosecution.

The FCC makes no representations or warranties about the use of this
spectrum for particular services. Applicants should be aware that an FCC
auction represents an opportunity to become an FCC licensee in this
service, subject to certain conditions and regulations. An FCC auction
does not constitute an endorsement by the FCC of any particular
services, technologies or products, nor does an FCC license constitute a
guarantee of business success. Applicants and interested parties should
perform their own due diligence before proceeding, as they would with
any new business venture.

As is the case with many business investment opportunities, some
unscrupulous entrepreneurs may attempt to use Auction No. 47 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 investment is less than \$25,000.

-   The sales representative makes verbal representations that: (a) the
    Internal Revenue Service ("IRS"), 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 regarding Auction No. 47 may also call the FCC
Consumer Center at (888) CALL-FCC ((888) 225-5322).

### National Environmental Policy Act ("NEPA") Requirements

Licensees must comply with the Commission's rules regarding the National
Environmental Policy Act (NEPA).[^20] The construction of a wireless
antenna facility is a federal action, and the licensee must comply with
the Commission's NEPA rules for each such facility.[^21] The
Commission's NEPA rules require, among other things, that the licensee
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
licensee must prepare environmental assessments for 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 licensee must also prepare environmental
assessments for facilities that include high intensity white lights in
residential neighborhoods or excessive radio frequency emission.

## Auction Specifics 

### Auction Date

The auction will be held on Wednesday, February 12, 2003. Unless
otherwise announced, all seven licenses will be offered at the same time
with bidders placing one bid per license. The start and finish times for
the bidding round will be announced by public notice at least one week
before the start of the auction.

### Auction Title

Auction No. 47 -- Closed Cellular Unserved

### Bidding Methodology

The bidding methodology for Auction No. 47 will be single-round
sealed-bid. The Commission will conduct this auction over the Internet.
Telephonic bidding will also be available. As a contingency, the FCC
Wide Area Network will be available as well. Qualified bidders are
permitted to bid telephonically or electronically.

### Pre-Auction Dates and Deadlines

Short-Form Application (FCC FORM 175) January 13, 2003; 6:00 p.m. ET

Upfront Payments (via wire transfer) January 27, 2003; 6:00 p.m. ET

Mock Auction February 7, 2003

Auction February 12, 2003

### Requirements for Participation

Those wishing to participate in the auction must:

-   Submit a short-form application (FCC Form 175) electronically by
    6:00 p.m. ET, January 13, 2003.

-   Submit a sufficient upfront payment and an FCC Remittance Advice
    Form (FCC Form 159) by 6:00 p.m. ET, January 27, 2003.

-   Comply with all provisions outlined in this public notice.

### General Contact Information

+-----------------------------------+----------------------------------+
| GENERAL AUCTION INFORMATION       | FCC Auctions Hotline             |
+-----------------------------------+----------------------------------+
| General Auction Questions         | \(888\) 225-5322, Press Option   |
|                                   | #2                               |
+-----------------------------------+----------------------------------+
|                                   | or direct (717) 338-2888         |
+-----------------------------------+----------------------------------+
|                                   | Hours of service: 8 a.m. -- 5:30 |
|                                   | p.m. ET                          |
+-----------------------------------+----------------------------------+
| AUCTION LEGAL INFORMATION         | Auctions and Industry Analysis   |
|                                   | Division                         |
+-----------------------------------+----------------------------------+
| Auction Rules, Policies,          | Legal Branch (202) 418-0660      |
| Regulations                       |                                  |
+-----------------------------------+----------------------------------+
| LICENSING INFORMATION             | Commercial Wireless Division     |
+-----------------------------------+----------------------------------+
| Rules, Policies, Regulations      | \(202\) 418-0620                 |
|                                   |                                  |
| Licensing Issues                  |                                  |
|                                   |                                  |
| Due Diligence                     |                                  |
|                                   |                                  |
| Incumbency Issues                 |                                  |
+-----------------------------------+----------------------------------+
| TECHNICAL SUPPORT                 | FCC Auctions Technical Support   |
|                                   | Hotline                          |
+-----------------------------------+----------------------------------+
| Electronic Filing                 | \(202\) 414-1250 (Voice),        |
+-----------------------------------+----------------------------------+
| Automated Auction System          | \(202\) 414-1255 (TTY)           |
|                                   |                                  |
|                                   | Hours of service: Monday through |
|                                   | Friday 8 a.m. to 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               | Qualex International             |
+-----------------------------------+----------------------------------+
| Additional Copies of              | Portals II, 445 12^th^ Street,   |
|                                   | SW, Room CY-B402                 |
+-----------------------------------+----------------------------------+
| Commission Documents              | Washington, DC 20554             |
|                                   |                                  |
|                                   | \(202\) 863-2893                 |
|                                   |                                  |
|                                   | \(202\) 863-2898 (Fax)           |
|                                   |                                  |
|                                   | qualexint@aol.com (E-mail)       |
+-----------------------------------+----------------------------------+
| PRESS INFORMATION                 | Lauren Kravetz (202) 418-7944    |
+-----------------------------------+----------------------------------+
| FCC FORMS                         | \(800\) 418-3676 (outside        |
|                                   | Washington, DC)                  |
|                                   |                                  |
|                                   | \(202\) 418-3676 (in the         |
|                                   | Washington Area)                 |
|                                   |                                  |
|                                   | <h                               |
|                                   | ttp://www.fcc.gov/formpage>.html |
+-----------------------------------+----------------------------------+
| FCC INTERNET SITES                | [http://w                        |
|                                   | ww.fcc.gov](http://www.fcc.gov/) |
|                                   |                                  |
|                                   | http://wireless.fcc.gov/auctions |
|                                   |                                  |
|                                   | http://wireless.fcc.gov/uls      |
+-----------------------------------+----------------------------------+

# SHORT-FORM (FCC FORM 175) APPLICATION REQUIREMENTS 

Guidelines for completion of the short-form application (FCC Form 175)
are set forth in Attachment C to this public notice. The short-form
application seeks the applicant's name and address, legal
classification, status, identification of the license(s) sought, the
authorized bidders and contact persons. Applicants must certify on their
FCC Form 175 applications under penalty of perjury that they are
legally, technically, financially and otherwise qualified to hold a
license and, as discussed below in Section II.D. (Provisions Regarding
Defaulters and Former Defaulters), that they are not in default on any
payment for Commission licenses (including down payments) or delinquent
on any non-tax debt owed to any Federal agency.

The Commission determines whether mutual exclusivity exists for auction
purposes by reviewing all of the short-form (FCC Form 175) applications
that have been accepted for filing. In the event that review of all the
FCC Form 175 applications accepted for filing determines that only one
applicant in a given MX Group has applied for the license to be
auctioned for that MX Group, that license will be removed from the
auction. In such a case, the Commission will process the long-form
application(s) of the party that applied for the given license on its
FCC Form 175 and dismiss the long-form application(s) of the other
applicant. In the event that neither applicant in a given MX Group
applies for the license to be auctioned for that MX Group, the long-form
application(s) of both applicants will be dismissed.

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

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 FCC Form 175,
applicants will be required to file an "Exhibit A" providing a full and
complete statement of the ownership of the bidding entity. The ownership
disclosure standards for the short-form are set forth in Section 1.2112
of the Commission's rules.[^22]

## Consortia and Joint Bidding Arrangements (FCC 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.[^23]
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 licenses on which they will or will not
bid.[^24] As discussed above, if an applicant has had discussions, but
has not reached a joint bidding agreement by the short-form deadline, it
would not include the names of parties to the discussions on its
applications and may not continue discussions with competing applicants
after the deadline.[^25] 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 in, form a
consortium with, or enter into a joint bidding arrangement with other
competing applicants provided that (i) the attributable interest holder
certifies that it has not and will not communicate with any party
concerning the bids or bidding strategies of more than one of the
applicants in which it holds an attributable interest, or with which it
has 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.[^26] 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 touch
upon impermissible subject matters because they may convey pricing
information and bidding strategies.

## Bidding Credit Eligibility 

Bidding credits for designated entities will not be available in Auction
No. 47. To encourage the growth of wireless services in federally
recognized tribal lands the Commission has implemented a tribal land
bidding credit. *See* Section V.C, *infra*.

## Provisions Regarding Defaulters and Former Defaulters (FCC Form 175 Exhibit C)

Each applicant must certify on its FCC Form 175 application that it is
not in default on any Commission licenses and that it is not delinquent
on any non-tax debt owed to any Federal agency.[^27] In addition, each
applicant must attach to its FCC Form 175 application a statement made
under penalty of perjury indicating whether or not the applicant, its
affiliates, its controlling interests, or the affiliates of its
controlling interest have ever been in default on any Commission
licenses or have ever been delinquent on any non-tax debt owed to any
Federal agency. The applicant must provide such information for itself,
its affiliates, its controlling interests, and the affiliates of its
controlling interests, as defined by Section 1.2110 of the Commission's
rules (as amended in the *Part 1 Fifth Report and Order*).[^28]
**Applicants must include this statement as Exhibit C of the FCC Form
175.** Prospective bidders are reminded that the statement must be made
under penalty of perjury and, further, submission of a false
certification to the Commission is a serious matter that may result in
severe penalties, including monetary forfeitures, license revocations,
exclusion from participation in future auctions, and/or criminal
prosecution.

"Former defaulters" --- *i.e.*, applicants, including their attributable
interest holders, that in the past have defaulted on any Commission
licenses or been delinquent on any non-tax debt owed to any Federal
agency, but that have since remedied all such defaults and cured all of
their outstanding non-tax delinquencies --- are eligible to bid in
Auction No. 47, provided that they are otherwise qualified. However, as
discussed *infra* in Section III.D.3, former defaulters are required to
pay upfront payments that are fifty percent more than the normal upfront
payment amounts.[^29]

## Installment Payments

Installment payment plans will not be available in Auction No. 47.

## Other Information (FCC Form 175 Exhibits D and E)

Applicants owned by minorities or women, as defined in 47 C.F.R. §
1.2110(c)(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 on Exhibit E (Miscellaneous
Information) to the FCC Form 175.

## Minor Modifications to Short-Form Applications (FCC Form 175)

After the short-form filing deadline (January 13, 2003), 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 license selections or proposed service areas,
change the certifying official or change control of the applicant).
*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 must make these
modifications to their FCC Form 175 electronically and should submit a
letter, briefly summarizing the changes, by electronic mail to the
attention of Margaret Wiener, Chief, Auctions and Industry Analysis
Division, at the following address:
[auction47@fcc.gov](mailto:auction45@fcc.gov). The electronic mail
summarizing the changes should include a subject or caption referring to
Auction No. 47. The Bureau requests that parties format any attachments
to electronic mail as Adobe^®^ Acrobat^®^ (pdf) or Microsoft^®^ Word
documents.

**A separate copy of the letter should be faxed to the attention of
Kathryn Garland at (717) 338-2850.** Questions about other changes
should be directed to Kenneth Burnley of the Auctions and Industry
Analysis Division at (202) 418-0660.

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

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 Form 175
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.

# PRE-AUCTION PROCEDURES

## Auction Seminar 

An auction seminar will not be held for Auction No. 47. Applicants
having questions about pre-auction procedures, conduct of the auction,
the FCC Automated Auction System, or the Cellular Radiotelephone Service
and auction rules are encouraged to contact the appropriate staff listed
in this Public Notice.

## Short-Form Application (FCC Form 175) --- Due January 13, 2003 

In order to be eligible to bid in this auction, each applicant must
first submit an FCC Form 175 application with the license(s) selected.
This application must be submitted electronically and received at the
Commission no later than 6:00 p.m. ET on January 13, 2003. Late
applications will not be accepted.

There is no application fee required when filing an FCC Form 175.
However, to be eligible to bid, an applicant must submit an upfront
payment. *See* Part III.D, *below*.

### Electronic Filing

Applicants must file their FCC Form 175 applications
electronically.[^30] Applications may generally be filed at any time
beginning at 9:00 a.m. ET on January 7, 2003, until 6:00 p.m. ET on
January 13, 2003. Applicants are strongly encouraged to file early and
are responsible for allowing adequate time for filing their
applications. Applicants may update or amend their electronic
applications multiple times until the filing deadline of 6:00 p.m. ET on
January 13, 2003.

Applicants must press the "SUBMIT Application" button on the
"Submission" page of the electronic form to successfully submit their
FCC Form 175s. Any form that is not submitted will not be reviewed by
the FCC. Information about accessing the FCC Form 175 is included in
Attachment B. Technical support is available at (202) 414-1250 (voice)
or (202) 414-1255 (text telephone (TTY)); hours of service Monday
through Friday, from 8:00 AM to 6:00 p.m. ET. In order to provide better
service to the public, *all calls to the hotline are recorded.*

Applicants can also contact Technical Support via e-mail. To obtain the
address, click the **Support** tab on the Form 175 Homepage.

### Completion of the FCC Form 175

Applicants should carefully review 47 C.F.R. § 1.2105, and must complete
all items on the FCC Form 175. Instructions for completing the FCC Form
175 are in Attachment C of this public notice. Applicants are encouraged
to begin preparing the required attachments for FCC Form 175 prior to
submitting the form. Attachments B and C to this public notice provide
information on the required attachments and appropriate formats.

### Electronic Review of FCC Form 175

The FCC Form 175 electronic review system may be used to locate and
print applicants' FCC Form 175 information. 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 is no fee for accessing this
system. *See* Attachment B for details on accessing the review system.

## Application Processing and Minor Corrections

After the deadline for filing the FCC Form 175 applications has passed,
the FCC will process all timely- submitted applications to determine
which are acceptable for filing, and subsequently will issue a public
notice identifying: (1) those applications accepted for filing; (2)
those applications rejected; and (3) those applications which have minor
defects that may be corrected, and the deadline for filing such
corrected applications.

As described more fully in the Commission's rules, after the January 13,
2003, short-form filing deadline, applicants may make only minor
corrections to their FCC Form 175 applications. Applicants will not be
permitted to make major modifications to their applications (*e.g.*,
change their license selections, change the certifying official, or
change control of the applicant).[^31]

## Upfront Payments --- Due January 27, 2003

In order to be eligible to bid in the auction, applicants must submit an
upfront payment accompanied by an FCC Remittance Advice Form (FCC Form
159). After completing the FCC Form 175, filers will have access to an
electronic version of the FCC Form 159 that can be printed and faxed to
Mellon Bank in Pittsburgh, PA. All upfront payments must be received at
Mellon Bank by 6:00 p.m. ET on January 27, 2003.

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. 47 go to a lockbox number different
    from the lockboxes 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 January 27, 2003,
    deadline will result in dismissal of the application and
    disqualification from participation in the auction.

### Making Auction Payments by Wire Transfer

**Wire transfer payments must be received by 6:00 p.m. ET on January 27,
2003**. 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. Applicants will need the following information:

> ABA Routing Number: 043000261

> Receiving Bank: Mellon Pittsburgh
>
> BENEFICIARY: FCC/Account \# 910-0198
>
> OBI Field: (Skip one space between each information item)

> "AUCTIONPAY"

> FCC REGISTRATION NUMBER (FRN): (same as FCC Form 159, block 11 and/or
> 21)
>
> PAYMENT TYPE CODE (same as FCC Form 159, block 24A: A47U)
>
> FCC CODE 1 (same as FCC Form 159, block 28A: "47")
>
> 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 (Revised 2/00) to Mellon
Bank at (412) 209-6045 **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. 47." **Bidders should confirm receipt of their upfront payment at
Mellon Bank by contacting their sending financial institution.**

### FCC Form 159

A completed FCC Remittance Advice Form (FCC Form 159, Revised 2/00) must
be faxed to Mellon Bank in order to accompany each upfront payment.
Proper completion of FCC Form 159 (Revised 2/00) is critical to ensuring
correct credit of upfront payments. Detailed instructions for completion
of FCC Form 159 are included in Attachment D to this public notice. An
electronic version of the FCC Form 159 is available after filing the FCC
Form 175. The FCC Form 159 can be completed electronically, but must be
filed with Mellon Bank via facsimile.

### Amount of Upfront Payment

In the *Part 1 Order, Memorandum Opinion and Order, and Notice of
Proposed Rule Making,* the Commission delegated to the Bureau the
authority and discretion to determine appropriate upfront payment(s) for
each auction.[^32] In addition, in the *Part 1 Fifth Report and Order*,
the Commission ordered that "former defaulters," *i.e.*, applicants that
have ever been in default on any Commission license or have ever been
delinquent on any non-tax debt owed to any Federal agency, be required
to pay upfront payments fifty percent greater than non-"former
defaulters."[^33]

In both the *Auction No. 47 Comment Public Notice* and *Auction No. 47
Revised Comment Public Notice*, we proposed that the amount of the
upfront payment would determine the number of bidding units on which a
bidder may place bids.[^34] In order to bid on a license, otherwise
qualified bidders that applied for that license on Form 175 must have an
eligibility level that meets or exceeds the number of bidding units
assigned to that license. At a minimum, therefore, an applicant's total
upfront payment must be enough to establish eligibility to bid on at
least one of the licenses applied for on Form 175, or else the applicant
will not be eligible to participate in the auction. An applicant does
not have to make an upfront payment to cover all licenses for which the
applicant has applied on Form 175, but rather to cover the maximum
number of bidding units that are associated with licenses on which the
bidder wishes to place a bid.

In both the *Auction No. 47 Comment Public Notice* and *Auction No. 47
Revised Comment Public Notice*, the Bureau proposed to set the upfront
payment for each license at \$500 per license.[^35] Having received no
comments regarding the amount of the proposed upfront payments, we
therefore adopt our proposed upfront payment amounts for Auction No. 47.
The specific upfront payments and bidding units for each license are set
forth in Attachment A of this Public Notice.

In calculating its upfront payment amount, an applicant should determine
the [maximum]{.underline} number of bidding units on which it may wish
to bid on, and submit an upfront payment covering that number of bidding
units. In order to make this calculation, an applicant should add
together the upfront payments for all licenses on which it plans to bid.
**Bidders should check their calculations carefully, as there is no
provision for increasing a bidder's maximum eligibility after the
upfront payment deadline.**

> Former defaulters should calculate their upfront payment for all
> licenses by multiplying the number of bidding units they wish to
> purchase by 1.5. In order to calculate the number of bidding units to
> assign to former defaulters, the Commission will divide the upfront
> payment received by 1.5 and round the result up to the nearest bidding
> unit.
>
> NOTE: An applicant may, on its FCC Form 175, apply for every
> applicable license being offered, but its actual bidding will be
> limited by the bidding units reflected in its upfront payment.

### Applicant's Wire Transfer Information for Purposes of Refunds of Upfront Payments

The Commission will use wire transfers for all Auction No. 47 refunds.
To ensure that refunds of upfront payments are processed in an
expeditious manner, the Commission is requesting that all pertinent
information as listed below be supplied to the FCC. Applicants can
provide the information electronically during the initial short-form
filing window after the form has been submitted. Wire Transfer
Instructions can also be manually faxed to the FCC, Financial Operations
Center, Auctions Accounting Group, ATTN: Tim Dates or Gail Glasser, at
(202) 418-2843 by January 27, 2003. All refunds will be returned to the
payer of record as identified on the FCC Form 159 unless the payer
submits written authorization instructing otherwise. For additional
information, please call Gail Glasser at (202) 418-0578 or Tim Dates at
202-418-0496.

Name of Bank

> ABA Number
>
> Contact and Phone Number
>
> Account Number to Credit
>
> Name of Account Holder
>
> FCC Registration Number (FRN)
>
> Taxpayer Identification Number (see below)
>
> Correspondent Bank (if applicable)
>
> ABA Number
>
> Account Number

(Applicants should also note that implementation of the Debt Collection
Improvement Act of 1996 requires the FCC to obtain a Taxpayer
Identification Number (TIN) before it can disburse refunds.) Eligibility
for refunds is discussed in Part V.E., *infra*.

## Auction Registration

Approximately ten days before the auction, the FCC will issue a public
notice announcing all qualified bidders for the auction. Qualified
bidders are those applicants whose FCC Form 175 applications have been
accepted for filing and have timely submitted upfront payments
sufficient to make them eligible to bid on at least one of the licenses
for which they applied.

All qualified bidders are automatically registered for the auction.
Registration materials will be distributed prior to the auction by two
separate overnight mailings, one containing the confidential bidder
identification number (BIN) required to place bids and the other
containing the SecurID cards. These mailings will be sent only to the
contact person at the contact address listed on 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 Wednesday, February 5, 2003 should
contact the Auctions Hotline at (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 bidder identification numbers or
SecurID cards can be replaced only by appearing [in person]{.underline}
at the FCC Auction Headquarters located at 445 12^th^ St., SW,
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 replacements. Qualified bidders
requiring replacements must call technical support prior to arriving at
the FCC.

## Electronic Bidding 

The Commission will conduct this auction over the Internet. Telephonic
bidding will also be available. As a contingency, the FCC Wide Area
Network will be available as well. Qualified bidders are permitted to
bid electronically or telephonically, *i.e.*, over the Internet or the
FCC's Wide Area Network. In either case, **each authorized bidder** must
have its own Remote Security Access SecurID card, which the FCC will
provide at no charge. Each applicant with less than three authorized
bidders will be issued two SecurID cards, while applicants with three
authorized bidders will be issued three cards. For security purposes,
the SecurID cards and the FCC Automated Auction System user manual are
only mailed to the contact person at the contact address listed on the
FCC Form 175. Please note that each SecurID card is tailored to a
specific auction, therefore, SecurID cards issued for other auctions or
obtained from a source other than the FCC will not work for Auction No.
47. The telephonic bidding phone number will be supplied in the first
overnight mailing, which also includes the confidential bidder
identification number. Each applicant should indicate its bidding
preference---electronic or telephonic--- on the FCC Form 175.

Please note that the SecurID cards can be recycled, and we encourage
bidders to return the cards to the FCC. We will provide pre-addressed
envelopes that bidders may use to return the cards once the auction is
over.

## Mock Auction

All qualified bidders will be eligible to participate in a mock auction
on Friday, February 7, 2003. The mock auction will enable applicants to
become familiar with the FCC Automated Auction System prior to the
auction. Participation by all bidders is strongly recommended. Details
will be announced by public notice.

# AUCTION EVENT

Auction No. 47 will be held on Wednesday, February 12, 2003. The start
and finish time of the bidding round will be announced in a later public
notice, which will be released approximately 10 days before the start of
the auction.

## Auction Structure

### Single Round Sealed Bid Auction

In both the *Auction No. 47 Comment Public Notice* and *Auction No. 47
Revised Comment Public Notice*, we proposed to award all licenses in
Auction No. 47 using a single-round sealed-bid auction design.[^36] In
its comments, Western Wireless objects to this design proposal and urges
the Bureau instead to utilize a simultaneous multiple-round auction[^37]
or, if that is not possible, a "sealed-second-bid" single round
design.[^38] Western Wireless contends that there exists informational
advantages to using these alternative auction formats.[^39] We believe
that due to the unusual circumstances of Auction No. 47, in which there
are only two bidders, both of whom are very familiar with the areas to
be licensed, these informational advantages are not necessary.
Therefore, we conclude that it is operationally feasible and appropriate
to auction the cellular unserved service area licenses through a
single-round sealed-bid auction.

### Maximum Eligibility 

In both the *Auction No. 47 Comment Public Notice* and *Auction No. 47
Revised Comment Public Notice*, we proposed that the amount of the
upfront payment submitted by a bidder would determine the maximum
eligibility (as measured in bidding units) for each bidder.[^40] We
received no comments on this issue.

For Auction No. 47 we adopt this proposal. The amount of the upfront
payment submitted by a bidder determines the number of bidding units on
which a bidder may place bids. Note again that each license is assigned
a specific number of bidding units equal to the upfront payment listed
in Attachment A on a bidding unit per dollar basis. The total upfront
payment defines the maximum number of bidding units on which the
applicant will be permitted to bid. As there is no provision for
increasing a bidder's maximum eligibility after the upfront payment
deadline, prospective bidders are cautioned to calculate their upfront
payments carefully. The total upfront payment does not affect the dollar
amount a bidder may bid on any license.

### Auction Delay or Cancellation

In the *Auction No. 47 Comment Public Notice*, we proposed that, by
public notice or by announcement during the auction, the Bureau may
delay 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 conduct of competitive bidding.[^41]

Because this approach has proven effective in resolving exigent
circumstances in previous auctions, we adopt our proposed auction
cancellation rules. By public notice or by announcement during the
auction, the Bureau may delay 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 Bureau, in its sole discretion,
may elect to resume the auction or cancel the auction in its entirety.
Network interruption may cause the Bureau to delay the auction. We
emphasize that exercise of this authority is solely within the
discretion of the Bureau.

## Bidding Procedures

### Round Structure

The single-round sealed-bid format will consist of one bidding round
followed by the release of the auction results. The start and finish
time of the bidding round will be announced in the public notice listing
the qualified bidders, which is released approximately 10 days before
the start of the auction.

### Reserve Price or Minimum Opening Bid

*Background*. The Balanced Budget Act 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 are subject to
auction (*i.e.*, because they are mutually exclusive), unless the
Commission determines that a reserve price or minimum opening bid is not
in the public interest.[^42] Consistent with this mandate, the
Commission directed the Bureau to seek comment on the use of a minimum
opening bid and/or reserve price prior to the start of each
auction.[^43] The Commission concluded that the Bureau should have the
discretion to employ either or both of these mechanisms for future
auctions.[^44]

In both the *Auction No. 47 Comment Public Notice* and *Auction No. 47
Revised Comment Public Notice*, the Bureau proposed to establish minimum
opening bids for Auction No. 47 in the amount of \$500 per license.[^45]
The Bureau received no comments concerning this proposal. Therefore, the
minimum opening bid for each license is set at \$500 and is set forth in
Attachment A of this Public Notice.

### Bidding

During the bidding round, a bidder may place bids in any whole dollar
amount equal to or greater than the minimum opening bid for as many
licenses as it wishes (subject to its eligibility). Bidders also have
the option of making multiple submissions during the bidding round. If a
bidder submits multiple bids for a single license in the same round, the
system takes the last bid submitted as that bidder's bid.

Please note that all bidding will take place remotely either through the
Automated Auction System or by telephonic bidding. (Telephonic bid
assistants are required to use a script when entering bids placed by
telephone. Telephonic bidders are therefore reminded to allow sufficient
time to bid by placing their call well in advance of the close of the
round. Normally, four to five minutes are necessary to complete a bid
submission.) There will be no on-site bidding during Auction No. 47.

A bidder's ability to bid on specific licenses in the auction is
determined by two factors: (1) the licenses applied for on FCC Form 175
and (2) the upfront payment amount deposited. The bid submission screens
will allow bidders to submit bids on only those licenses for which the
bidder applied on its FCC Form 175.

The Automated Auction System requires each bidder to be logged in during
the bidding round using the bidder identification number provided in the
registration materials, and the generated SecurID code. Bidders are
strongly encouraged to print a bid confirmation [after]{.underline} they
submit their bids.

Finally, bidders are cautioned that they should type their bid amounts
carefully because, even if mistakenly or erroneously made, bidders still
assume a binding obligation to pay their full bid amount.[^46]

### Bid Removal and Bid Withdrawal

In the *Auction No. 47 Comment Public Notice*, we proposed bid removal
and bid withdrawal procedures.[^47] With respect to bid withdrawals, we
proposed not to allow any bid withdrawals in Auction No. 47. We received
no comments on this issue. Therefore, the Bureau adopts its proposal.

**Bid Removal Procedures.** Before the close of the bidding round, a
bidder has the option of removing any bids placed in the round. By using
the "remove bid" function in the bidding system, a bidder may
effectively "unsubmit" any bid placed within the round.

### Winning Bids and Tie Bids 

At the end of the bidding round, the winning bids will be determined
based on the highest gross bid amount received for each license. In the
event of identical bids on a license (*i.e.*, tied bids), we proposed to
allow an additional bidding round for bidders to submit higher bids for
only the license(s) with tied bids. The Commission would announce the
schedule for the subsequent round, via an announcement in the Auctions
Bidding System, concurrent with the release of round results. In the
event of tied bids, we proposed to use a random number generator to
select a high bid from among the tied bids. A random number will be
assigned to each bid. The tie bid having the highest random number will
become the high bid. The remaining bidder, as well as the high bidder,
will be able to submit a higher bid in the next round. If neither bidder
submits a higher bid, the high bid from the previous round will win the
license. If any bids are received in the next round, the winning bid
will be determined on the highest gross bid amount received for each
license. We received no comments on this proposal. Therefore, we adopt
our proposal.

### Auction Announcements

The FCC will use auction announcements to announce items such as the
schedule for a subsequent round in the event of tied bids on a license.
All FCC auction announcements will be available by clicking on a link in
the Automated Auction System.

### Maintaining the Accuracy of FCC Form 175 Information

As noted in Part II.G., after the short-form filing deadline, applicants
may make only minor changes to their FCC Form 175 applications. For
example, permissible minor changes include deletion and addition of
authorized bidders (to a maximum of three) and certain revision of
exhibits. Applicants must make these modifications to their FCC Form 175
electronically and should submit a letter, briefly summarizing the
changes, by electronic mail to the attention of Margaret Wiener, Chief,
Auctions and Industry Analysis Division, at the following address:
[auction47@fcc.gov](mailto:auction45@fcc.gov). The electronic mail
summarizing the changes should include a subject or caption referring to
Auction No. 47. The Bureau requests that parties format any attachments
to electronic mail as Adobe^®^ Acrobat^®^ (pdf) or Microsoft^®^ Word
documents.

**A separate copy of the letter should be faxed to the attention of
Kathryn Garland at (717) 338-2850.** Questions about other changes
should be directed to Kenneth Burnley of the Auctions and Industry
Analysis Division at (202) 418-0660.

# POST-AUCTION PROCEDURES

## Down Payments 

After the auction has ended, the Commission will issue a public notice
declaring the auction closed, identifying winning bidders and any down
payments due.

Within ten business days after release of the auction closing 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 winning bids. *See* 47 C.F.R. §
1.2107(b).

## Long-Form Applications

Within an MX Group, the previously filed long-form applications(s) of
the unsuccessful bidder will be dismissed following the grant of the
winning bidder's license.

## Tribal Land Bidding Credit 

A winning bidder that intends to use its license(s) to deploy facilities
and provide services to federally-recognized tribal lands that are
unserved by any telecommunications carrier or that have a telephone
service penetration rate equal to or below 70 percent is eligible to
receive a tribal land bidding credit as set forth in 47 C.F.R. §§ 1.2107
and 1.2110(f).

A winning bidder applies for the tribal land bidding credit *after*
winning the auction. Instructions for applying for this credit will be
provided in a public notice after the close of the auction. Licensees
receiving a tribal land bidding credit are subject to performance
criteria as set forth in 47 C.F.R. § 1.2110(f).

For additional information on the tribal land bidding credit, including
how the amount of the credit is calculated, applicants should review the
Commission's rule making proceeding regarding tribal land bidding
credits and related public notices.[^48] Relevant documents can be
viewed on the Commission's auctions web site at
[http://wireless.fcc.gov/auctions](http://www.fcc.gov/wtb/auctions) by
clicking on the *Tribal Land Credits* link.

## Default and Disqualification 

Any winning bidder that defaults or is disqualified after the close of
the auction (*i.e.*, fails to remit the required down payment within the
prescribed period of time, fails to 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 re-auction the license or
offer it to the next highest bidder (in descending order) at its final
bid.[^49] 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
licenses held by the applicant.[^50]

## Refund of Remaining Upfront Payment Balance

Applicants that submitted upfront payments but were not a winning bidder
for a license in Auction No. 47 may be entitled to a refund of their
remaining upfront payment balance after the conclusion of the auction.
All refunds will be returned to the payer of record, as identified on
the FCC Form 159, unless the payer submits written authorization
instructing otherwise.

Qualified bidders must submit a written refund request. If you have
completed the refund instructions electronically, then only a written
request for the refund is necessary. If not, the request must also
include wire transfer instructions, Taxpayer Identification Number (TIN)
and FCC Registration Number (FRN). Send refund request to:

Federal Communications Commission

Financial Operations Center

Auctions Accounting Group

Gail Glasser or Tim Dates

445 12th Street, SW, Room 1-C863

Washington, DC 20554

Bidders are encouraged to file their refund information electronically
using the refund information portion of the FCC Form 175, but bidders
can also fax their information to the Auctions Accounting Group at (202)
418-2843. Once the information has been approved, a refund will be sent
to the party identified in the refund information.

> NOTE: Refund processing generally takes up to two weeks to complete.
> Bidders with questions about refunds should contact Tim Dates at (202)
> 418-0496 or Gail Glasser at (202) 418-0578.

**Media Contact:** Lauren Kravetz at (202) 418-7944

**Auctions and Industry Analysis Division:** Ken Burnley, Legal Branch,
or Jeff Crooks, Auctions Operations Branch, at (202) 418-0660; Lisa
Stover, Auctions Operations Branch, at (717) 338-2888

**Commercial Wireless Division:** Mike Kleeb, Licensing and Technical
Analysis Branch, at (202) 418-0620; Amal Abdallah, Policy and Rules
Branch, at (202) 418-7307 or Evan Baranoff, Policy and Rules Branch, at
(202) 418-7142

**-- FCC --**

# Attachment A

PLACE HOLDER

# attachment B 

ELECTRONIC FILING AND REVIEW

OF THE FCC FORM 175

Applicants must submit their FCC Form 175 applications electronically.
The FCC recommends submitting your Form 175 via the Internet. As a
contingency, you can submit via the FCC Wide-Area Network. FCC Form 175
applications must be submitted and confirmed by **6:00 p.m. ET on
Monday, January 13, 2003.** Late applications or unconfirmed submissions
of electronic data will not be accepted.

Applicants must click the **SUBMIT Application** button on the
*Submission* 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.

## Software Requirements

Applicants will need to meet the following minimum software
requirements:

Web Browser, either of the following:

-   Microsoft® Internet Explorer 4.0 or higher (recommended). Your
    browser must have either Microsoft VM or Java Plug-In Version 1.3.1
    installed.

```{=html}
<!-- -->
```
-   Netscape® Communicator™ 4.0 or higher, with Java Plug-In Version
    1.3.1.

> Java Plug-In Version 1.3.1 is available for downloading at
> [***http://java.sun.com/getjava/download.html***](http://java.sun.com/products/plugin/).

PDF Viewer: Adobe Acrobat Reader 5.0 or higher (available at
***http://www.adobe.com***)

If you wish to use the download feature on the Search Results page, 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/shareware***).

## Submitting FCC Form 175 Applications

You can submit FCC Form 175 applications electronically via the
Internet. Start your web browser and point it to either
***https://auctions.fcc.gov/*** (primary location) or
***https://auctions2.fcc.gov/*** (secondary location). On the FCC
Auctions page, click **Form 175 Application & Search** to obtain the
Form 175 Homepage.

> **Note:** As a contingency, you may submit FCC Form 175 application
> amendments via the FCC Wide Area Network, using Dial-Up Networking. To
> access the Wide Area Network, configure your dial-up network to dial
> either ***202-408-7835*** or ***717-338-0735***. These phone numbers
> are located in the Washington, DC, and Gettysburg, PA, metropolitan
> areas, respectively.

### Logging On

The Form 175 Homepage has a Form 175 Logon area at the top right. This
area provides fields that let you identify yourself to the system. In
these fields, type your assigned FRN (*without* the hyphens) and the
password you created in CORES, respectively, then click the **Logon**
button.

Once you have logged on with your FRN, you can click the **New Form**
link to obtain the *Profile* page for the auction.

### Uploading Attachments

When uploading attachments from the Form 175 *Attachments* page, you may
use a variety of file formats\--including Word 2000 or earlier,
WordPerfect 6.*x* or earlier, Adobe PDF, and ASCII text\--and you should
verify that the files contain all exhibit information. Also note the
following about files to be uploaded:

-   Files may be no larger than 1.5 Mb.

-   Graphics files (e.g., .*bmp, .tiff, .jpg*) and spreadsheets (e.g.,
    Excel, Lotus) are not supported.

-   Word processing files that are uploaded may not contain graphic
    images.

-   You may include hyphens (-) and underscore (\_) symbols in the name
    of a file to be uploaded, but do not use other punctuation marks or
    blank spaces. The FCC system will not be able to convert that file.

-   The path to a file (i.e., the file name and its directory) must not
    exceed 60 characters.

-   Do not upload a password-protected file. The FCC system will not be
    able to open it or convert it.

-   Do not include your TIN in any attachment to be uploaded. Contents
    of attachments become public once the Status PN is released.

The system converts each uploaded attachment to PDF format. (The
conversion process

generally completes within 30 minutes.) Until the system has converted
your file to PDF format, the description field shows *Not converted*.

Repeat this procedure for each additional attachment you want to add.
When you have finished adding attachments, click the **Continue to
CERTIFICATION** button to obtain the *Certification* page.

#### Unreadable Attachment Files

If you are unable to read an attachment file after it has been
converted, please do the following:

1\. Re-upload the attachment.

2\. If the file still has not been 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 using their **Delete** links.

### Completing the Submission Procedure

Applicants must press the **SUBMIT Application** button on the
*Submission* page to successfully submit their FCC Form 175. Pressing
**SUBMIT Application** produces a *Submission Confirmation* page showing
the assigned FCC Account Number. During each filing period, submitted
applications may be updated and amended multiple times until the filing
deadline.

## Reviewing FCC Form 175 Applications

Once the FCC has completed the 175 Review process, you can view FCC Form
175 applications electronically by searching for them in the FCC
database. Start your web browser and point it to either
***https://auctions.fcc.gov/*** (primary location) or
***https://auctions2.fcc.gov/*** (secondary location). Click the **Form
175 Application & Search** link, then click the **SEARCH** link at the
top of the page. When the *Form 175 Search* page appears, select the
search criteria you want and then click the **Submit** button.

## Help

For technical assistance with 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.*

You can also contact Technical Support via e-mail. To obtain the
address, click the **Support** tab on the Form 175 Homepage.

# Attachment C 

GUIDELINES FOR COMPLETION OF FCC FORM 175 AND EXHIBITS

## FCC Form 175

Because of the significance of the FCC Form 175 application to the
auction, bidders should especially note the following:

**Applicant:** Name given is used as your bidder name in the auction.

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

**Legal 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 corporation (LLC) or
government entity.

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

**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.**

**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 bids for the applicant during the auction.

**Bidding Credit Eligibility:** Bidding Credits for designated entities
are not available for cellular unserved area licenses.[^51]

**Telephonic or Electronic Bidding Options:** Bidders may participate in
the auction either electronically or telephonically, and must specify
their preference. To participate in the auction, every authorized bidder
must have a SecurID card, which the FCC will provide free of charge.

**License Selection:** Applicants should select all licenses on which
they want to be eligible to bid in the auction. Be advised that there is
no opportunity to change this list once the short-form filing deadline
passes on January 13, 2003. It is critically important that you confirm
the licenses that you have selected because the auction system will not
accept a bid on licenses for which an applicant has not applied on its
FCC Form 175.

## Exhibits and Attachments 

In addition to the FCC Form 175 itself, applicants must submit
additional information required by the FCC's rules. If attachments are
not uploaded, the FCC Form 175 submission process cannot be completed.
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.

If you find that an attachment has not converted properly to Adobe PDF
format, 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) When the re-uploaded attachment has successfully converted, delete
the failed attachment.*

**NOTE: Applicants should not list their TIN numbers on any exhibits to
their FCC Form 175s.**

**Exhibit A \-- Applicant Identity and Ownership Information**: 47
C.F.R. § 1.2105(a)(2)(ii) requires each applicant to fully disclose the
real party or parties-in-interest in an exhibit to its FCC Form 175
application. The following information is required:

### General Information

  -----------------------------------------------------------------------
  ***Applicant Status*** ***Required Information***
  ---------------------- ------------------------------------------------
  General Partnership    Name, citizenship, and address of all partners,
                         and the share or interest participation of each
                         partner

  Limited Partnership    Name, citizenship, and address of each limited
                         partner whose interest in the applicant is equal
                         to or greater than 10 percent (as calculated
                         according to the percentage of equity paid in
                         and the percentage of distribution of profits
                         and losses)

  Corporation            Corporate name and address; name, title, and
                         citizenship of a responsible officer or director

  Limited Liability      Corporate name and address; name, address, and
  Corporation            citizenship of all members whose interest in the
                         applicant is equal to or greater than 10 percent
                         (as calculated according to the percentage of
                         equity paid in and the percentage of
                         distribution of profits and losses)

  Trust                  Name, citizenship, and address of trustee

  None of the above      Name, citizenship, title or other relation to
                         the applicant, and address of a principal or
                         other responsible person
  -----------------------------------------------------------------------

### Ownership Information

+----------------------+-----------------------------------------------+
| ***Applicant         | ***Required Information***                    |
| Status***            |                                               |
+======================+===============================================+
| All applicants       | Name, citizenship, and address of all         |
|                      | controlling interests of the applicant as     |
|                      | discussed in Section 1.2110 of the            |
|                      | Commission's rules.                           |
+----------------------+-----------------------------------------------+
| All applicants       | Name, citizenship, and address of all parties |
|                      | holding 10 percent or more of each class of   |
|                      | stock, warrants, options or debt securities   |
|                      | and the amount and percentage held.           |
+----------------------+-----------------------------------------------+
| All applicants       | Name of all parties holding a 10 percent or   |
|                      | greater interest in the applicant and the     |
|                      | specific amount held.                         |
+----------------------+-----------------------------------------------+
| All applicants       | List of all parties holding indirect          |
|                      | ownership interests in the applicant that     |
|                      | equals 10 percent or more, as determined by   |
|                      | successive multiplication of the ownership    |
|                      | percentages in each link of the vertical      |
|                      | ownership chain, except that if the ownership |
|                      | percentage for any link in the chain exceeds  |
|                      | 50 percent or represents actual control, it   |
|                      | shall be reported as if it were a 100 percent |
|                      | interest.                                     |
+----------------------+-----------------------------------------------+
|                      | *Example.* Company A owns 10% of Company B,   |
|                      | which owns 60% of Company C, which owns 25%   |
|                      | of the applicant. Company B's interest in the |
|                      | applicant would be 25% (the same as Company   |
|                      | C's interest since Company B's interest in    |
|                      | Company C exceeds 50%), and Company A's       |
|                      | interest in the applicant would be 2.5% (0.1  |
|                      | \* 0.25). Under the 10% attribution           |
|                      | benchmark, Company B's interest in the        |
|                      | applicant must be reported on the applicant's |
|                      | FCC Form 175 Exhibit A, while Company A's     |
|                      | interest in the applicant need not be         |
|                      | reported. However, if Company A owned 40% of  |
|                      | Company B in the above example, then Company  |
|                      | A's interest in the applicant would be 10%    |
|                      | (0.4 \* 0.25), and the applicant would need   |
|                      | to report it on the applicant's FCC Form 175  |
|                      | Exhibit A                                     |
+----------------------+-----------------------------------------------+
| All applicants       | List of any FCC-regulated entity or applicant |
|                      | for an FCC license, in which                  |
+----------------------+-----------------------------------------------+
|                      | > a\. the applicant;                          |
+----------------------+-----------------------------------------------+
|                      | > b\. any party with a 10 percent or greater  |
|                      | > interest in the applicant; or               |
+----------------------+-----------------------------------------------+
|                      | > c\. a controlling interest (as discussed in |
|                      | > Section 1.2110 of the Commission's rules)   |
|                      |                                               |
|                      | owns a 10 percent or greater interest of the  |
|                      | applicant or 10 percent or more of any class  |
|                      | of stock, warrants, options or debt           |
|                      | securities of the applicant. (*See also* 47   |
|                      | C.F.R. § 1.2110) This list must include a     |
|                      | description of each such entities' principal  |
|                      | business and a description of each such       |
|                      | entities' relationship to the applicant.      |
+----------------------+-----------------------------------------------+
|                      | *Example of a.* The applicant owns 10 percent |
|                      | of Company A (an FCC regulated entity or an   |
|                      | applicant for an FCC license). The applicant  |
|                      | must list Company A on its FCC Form 175       |
|                      | Exhibit A and provide the required            |
|                      | information.                                  |
+----------------------+-----------------------------------------------+
|                      | *Example of b.* Company A owns 10 percent of  |
|                      | the applicant and 10 percent of Company B (an |
|                      | FCC regulated entity or an applicant for an   |
|                      | FCC license). The applicant must list both    |
|                      | Company A and Company B on its FCC Form 175   |
|                      | Exhibit A and provide the required            |
|                      | information.                                  |
+----------------------+-----------------------------------------------+
|                      | *Example of c.* Company A owns 55% of the     |
|                      | applicant and owns 10 percent of Company B    |
|                      | (an FCC regulated entity or an Applicant for  |
|                      | an FCC license). The applicant must list both |
|                      | Company A and Company B on its FCC Form 175   |
|                      | Exhibit A and provide the required            |
|                      | information.                                  |
+----------------------+-----------------------------------------------+

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

Be aware that pursuant to Certification (4) on the FCC Form 175, the
applicant certifies 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* 47 C.F.R.
§ 1.2105(a)(2)(ix). *To prevent collusion, the Commission's Rules
generally prohibit competing applicants from communicating concerning
bids, bidding strategies, or settlements during the period between the
initial short-form applications filing deadline and the deadline for
down payments on licenses won in the auction.* 47 C.F.R. § 1.2105(c).

**Exhibit C -- Information Required of All Applicants Regarding Prior
Defaults and Prior Delinquencies:** Each applicant must include as
Exhibit C a statement made under penalty of perjury indicating whether
or not the applicant, its affiliates, its controlling interests, or the
affiliates of its controlling interest have ever been in default on any
Commission licenses or have ever been delinquent on any non-tax debt
owed to any Federal agency. The applicant must provide such information
for itself, its affiliates, its controlling interests, and the
affiliates of its controlling interests as defined by Section 1.2110 of
the Commission's rules (as amended in the *Part 1 Fifth Report and
Order*).

**Exhibit D \-- Information Requested of Designated Entities:**
Applicants owned by minorities or women, as defined in 47 C.F.R. §
1.2110(c), or that are rural telephone companies, may attach an exhibit
regarding this status. This information, in conjunction with the
information requested on the FCC Form 175, 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 should include it in Exhibit E.

**Waivers:** Applicants requesting waiver of any rules must submit a
statement of reasons sufficient to justify the waiver sought. *See* 47
C.F.R. §§ 1.3, 1.925.

**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.

**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 Application" button on the
"Submission" 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. It is the FCC's
position that during the conduct of an auction, thirty business days
from a reportable change is a reasonable period of time. Applicants are
reminded that they consent to be audited in the certification section of
the FCC Form 175 (see certification item number 6).

Applicants are reminded that all information required in connection with
applications to participate in spectrum auctions is necessary to
determine the applicants' qualifications, and as such will be available
for public inspection. Required proprietary information may be redacted,
or confidentiality may be requested, following the procedures set forth
in 47 C.F.R. § 0.459. Such requests must be submitted by electronic mail
to the attention of Margaret Wiener, Chief, Auctions and Industry
Analysis Division, at the following address:
[auction47@fcc.gov](mailto:auction45@fcc.gov), in which case the
applicant must indicate in Exhibit E that it has filed a confidentiality
request. Because the required information bears on applicants'
qualifications, the FCC envisions that confidentiality requests will not
be routinely granted.

The electronic mail summarizing the request should include a subject or
caption referring to Auction No. 47. The Bureau requests that parties
format any attachments to electronic mail as Adobe^®^ Acrobat^®^ (pdf)
or Microsoft^®^ Word documents.

**A separate copy of the letter should be faxed to the attention of
Kathryn Garland at (717) 338-2850.**

# Attachment D

AUCTION-SPECIFIC INSTRUCTIONS FOR

FCC REMITTANCE ADVICE (FCC FORM 159-February 2000 edition)

## Upfront Payments

The following information supplements the standard instructions for FCC
Form 159 (Revised 2/00), and is provided to help ensure correct
completion of FCC Form 159 for upfront payments for Auction No. 47.
Applicants need to complete FCC Form 159 carefully, since:

-   **Mistakes may affect their bidding eligibility; and**

```{=html}
<!-- -->
```
-   **Lack of consistency between information set forth in FCC Form 159
    (Revised 2/00), 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 (Revised 2/00).

8.  Street Address, City, State, ZIP Code - Enter the street mailing
    address (not Post

> Office box number) where mail should be sent to the payer. If the
> applicant is the
>
> payer, these entries would be the same as FCC Form 175 from the
> Applicant
>
> Information section.
>
> 9 Daytime Telephone Number - Enter the telephone number of a person
> knowledgeable about this upfront payment.
>
> 10 Country Code - For addresses outside the United States, enter the
> appropriate postal country code (available from the Mailing
> Requirements Department of the U.S. Postal Service).

11. Payer FRN -- Enter the payer's ten-digit FCC Registration Number
    (FRN)

> registered in the Commission Registration System (CORES).

12. Payer TIN -- Enter the payer's nine-digit Taxpayer Identification
    Number (TIN).

> 24A Payment Type Code - Enter "A47U"
>
> 25A Quantity - Enter the number "1"
>
> 26A Fee Due - Amount of Upfront Payment
>
> 27A Total Fee - Will be the same amount as 26A.
>
> 28A FCC Code 1 - Enter the number "47" (indicating Auction No. 47).

NOTES:

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

-   If applicant is different from the payer, complete blocks 13 through
    22 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 Section E blank.

## Winning Bidder Requirements, Down Payments and Final Payments

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

# ATTACHMENT E

SUMMARY LISTING OF DOCUMENTS FROM THE COMMISSION

AND THE WIRELESS TELECOMMUNICATIONS BUREAU

ADDRESSING APPLICATION OF THE ANTI‑COLLUSION RULES

## Commission Decisions:

*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. 15,374 (1996).

In re Applications of Mercury PCS II, LLC, *Notice of Apparent Liability
for Forfeiture,* 12 FCC Rcd. 17,970 (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,*13 FCC Rcd 8286 (1998); In the Matter of
Notice of Apparent Liability for Forfeiture of US West Communications,
Inc., *Order*, FCC 99-90 (May 7, 1999).

In re Application of Western PCS BTA I Corporation, *Notice of Apparent
Liability for Forfeiture, FCC* 98‑42 (March 16, 1998); In the Matter of
Notice of Apparent Liability for Forfeiture of Western PCS BTA 1
Corporation, *Memorandum Opinion and Orde*r, 14 FCC Rcd 21571, 21577-78,
¶ 20 (rel. Dec. 13, 1999).

In the Matter of Amendment of Part 1 of the Commission's
Rules---Competitive Bidding Procedures, *Seventh Report and Order*, 16
FCC Rcd 17546 (2001).

## Wireless Telecommunications Bureau Decisions:

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. 18,093
(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. 19,627
(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:

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. 10,134 (1996).

Wireless Telecommunications Bureau Responds to Questions About the Local
Multipoint Distribution Service Auction, *Public Notice*, DA 98-37 (rel.
January 9, 1998).

### Letters from the Office of General Counsel and the Wireless Telecommunications Bureau:

*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. 10,895
(1996).

*Letter to David L. Nace mojester8*

*from Kathleen O'Brien Ham, Chief, Auctions Division, Wireless
Telecommunications Bureau,* 11 FCC Rcd. 11,363 (1996).

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

*Letter to Robert Pettit, Wiley, Rein & Fielding from Margaret W.
Wiener, Chief, Auctions and Industry Analysis Division, Wireless
Telecommunications Bureau*, DA 00-2905 (released December 26, 2000).

### Civil Actions Initiated by U.S. Department of Justice:

*U.S. v. Omnipoint Corp.,* Proposed Final Judgements and Competitive
Impact Statements, Department of Justice, 63 FR 65,228 (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).

## How to Obtain Copies of the Anti-Collusion Decisions:  {#how-to-obtain-copies-of-the-anti-collusion-decisions .unnumbered}

## Many of the documents listed in this attachment can be retrieved from the following Commission web site: [**http://wireless.fcc.gov/auctions/anticollusion**](http://wireless.fcc.gov/auctions/anticollusion).  {#many-of-the-documents-listed-in-this-attachment-can-be-retrieved-from-the-following-commission-web-site-httpwireless.fcc.govauctionsanticollusion. .unnumbered}

## The documents may be located by using our search engine (select the link "search"). Documents retrieved from the web site are available in various formats including Word, WordPerfect, Acrobat Reader, Excel, and ASCII Text. To review a document in its entirety, including footnotes, it is necessary to access the document in WordPerfect, MS Word, or Acrobat Reader.  {#the-documents-may-be-located-by-using-our-search-engine-select-the-link-search.-documents-retrieved-from-the-web-site-are-available-in-various-formats-including-word-wordperfect-acrobat-reader-excel-and-ascii-text.-to-review-a-document-in-its-entirety-including-footnotes-it-is-necessary-to-access-the-document-in-wordperfect-ms-word-or-acrobat-reader. .unnumbered}

## Additionally, all of the documents can be ordered in hard copy for a fee from the Commission's contractor, Qualex International at (202) 863-2893.  {#additionally-all-of-the-documents-can-be-ordered-in-hard-copy-for-a-fee-from-the-commissions-contractor-qualex-international-at-202-863-2893. .unnumbered}

###  {#section .unnumbered}

[^1]: Balanced Budget Act of 1997, Pub. L. No. 105-33, § 3002(a), 111
    Stat. 251, (1997) (codified at 47 U.S.C. § 309(j)(4)(F)) ("Balanced
    Budget Act"). 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).

[^2]: Closed Auction of Licenses for Cellular Unserved Service Areas
    Scheduled for December 4, 2002; Comment Sought on Reserve Prices or
    Minimum Opening Bids and Other Auction Procedures, *Public Notice*,
    DA 02-2217 (rel. September 16, 2002) ("*Auction No. 47 Comment
    Public Notice"*).

[^3]: Western Wireless Corporation ("Western Wireless") Comments, filed
    on September 27, 2002.

[^4]: Revised Inventory and Auction Start Date for Closed Auction of
    Licenses for Cellular Unserved Service Areas; Comment Sought on
    Reserve Prices or Minimum Opening Bids and Other Auction Procedures,
    *Public Notice*, DA 02-2797 (rel. October 25, 2002) ("*Auction No.
    47 Revised Comment Public Notice*").

[^5]: If within an MX Group, the winning bidder filed more than one
    long-form application, it may be granted separate authorizations for
    each long-form application.

[^6]: Implementation of Section 309(j) of the Communications Act --
    Competitive Bidding, PP Docket No. 93-253, Amendment of Part 22 of
    the Commission's Rules to Provide for the Filing and Processing of
    Applications for Unserved Areas in the Cellular Service and to
    Modify Other Cellular Rules, CC Docket No. 90-6, *Ninth Report and
    Order*, 11 FCC Rcd 14769, 14770, ¶ 2 (1996) ("*Competitive Bidding
    Ninth Report and Order*").

[^7]: *See* Implementation of Section 309(j) of the Communications Act
    -- Competitive Bidding, PP Docket No. 93-252, *Second Report and
    Order*, 9 FCC Rcd 2348, 2376, ¶ 165 (1994) ("*Competitive Bidding
    Second Report and Order*").

[^8]: Any applicant that submits a short-form application that is
    accepted for filing but fails to timely submit an upfront payment
    will retain its place in the MX Group but, having purchased no
    bidding eligibility, will not be eligible to bid.

[^9]: Bidders should note that the Commission recently amended Part 22
    of its rules to eliminate or modify certain rules that have become
    outdated due to technological change, increased competition in the
    Commercial Mobile Radio Services, or supervening rules. *See* Year
    2000 Biennial Regulatory Review --- Amendment of Party 22 of the
    Commission\'s Rules to Modify or Eliminate Outdated Rules Affecting
    the Cellular Radiotelephone Service and other Commercial Mobile
    Radio Services, WT Docket No. 01-108, *Report and Order*, FCC 02-229
    (rel. September 24, 2002); Year 2000 Biennial Regulatory Review ---
    Amendment of Part 22 of the Commission\'s Rules to Modify or
    Eliminate Outdated Rules Affecting the Cellular Radiotelephone
    Service and other Commercial Mobile Radio Services, WT Docket No.
    01-108, *Second Report and Order*, FCC 02-247 (rel. September 24,
    2002).

[^10]: Amendment of Part 1 of the Commission's Rules---Competitive
    Bidding Procedures, WT Docket No. 97-82, *Order on Reconsideration
    of the Third Report and Order*, *Fifth Report and Order*, and
    *Fourth Further Notice of Proposed Rule Making*, 15 FCC Rcd 15293
    (2000) (modified by Erratum, DA 00-2475 (rel. Nov. 3, 2000)) ("*Part
    1 Fifth Report and Order*") (recons. pending). The Commission has
    further amended Section 1.2105 of the Competitive Bidding Rules. In
    the Matter of Amendment of Part 1 of the Commission's Rules \--
    Competitive Bidding Procedures, *Seventh Report and Order*, 16 FCC
    Rcd 17546, 17555, ¶ 17 (2001) ("*Part 1* *Seventh Report and
    Order*"). *See infra* note 21. On February 8, 2002, the Commission
    further amended Section 1.2110 of the Competitive Bidding Rules.
    Amendment of Part 1 of the Commission's Rules -- Competitive Bidding
    Procedures, *Eighth Report and Order*, FCC 02-34 (rel. February 13,
    2002).      

[^11]: *See* n.6, *supra*.

[^12]: *See* *Part 1 Fifth Report and Order*, 15 FCC Rcd at 15297-98, ¶¶
    7-8; *see also* 47 C.F.R. § 1.2105.

[^13]: *See* In re 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*"*)*.

[^14]: *See id*., at 11978.

[^15]: 47 C.F.R. § 1.2105(c).

[^16]: *See* Wireless Telecommunications Bureau Clarifies Spectrum
    Auction Anti-Collusion Rules, *Public Notice*, 11 FCC Rcd 9645
    (1995).

[^17]: 47 C.F.R. § 1.65.

[^18]: The Commission amended Section 1.2105 to require auction
    applicants to report prohibited communications in writing to the
    Commission immediately, but in no case later than five business days
    after the communication occurs. *Part 1* *Seventh Report and Order,*
    16 FCC Rcd at 17555, ¶ 17.

[^19]: 47 C.F.R. § 1.2105.

[^20]: *See* 47 C.F.R. Ch. 1, Subpart I.

[^21]: *See* 47 C.F.R. §§ 1.1305-1.1319.

[^22]: 47 C.F.R. § 1.2105 requires the disclosure on the short-form of
    the applicant's ownership information as set forth in 47 C.F.R. §
    1.2112. Note that both of these sections were revised in the *Part 1
    Fifth Report and Order*.

[^23]: 47 C.F.R. §§ 1.2105(a)(2)(viii), (c)(1).

[^24]: 47 C.F.R*.* § 1.2105(a)(2)(ix).

[^25]: *See* Section I.B.2 "Prohibition of Collusion," *supra*.

[^26]: *See* 47 C.F.R. § 1.2105(c)(4)(i), (ii).

[^27]: 47 C.F.R. § 1.2105(a)(2)(x).

[^28]: 47 C.F.R. § 1.2105(a)(2)(xi).

[^29]: 47 C.F.R. § 1.2106(a).

[^30]: *See* 47 C.F.R. § 1.2105(a).

[^31]: *See* 47 C.F.R. § 1.2105; *see also* Two Way Radio of Carolina,
    Inc., *Memorandum, Opinion and Order*, 14 FCC Rcd. 12035 (1999).

[^32]: 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) ("*Part 1 Order"*).

[^33]: *Part 1 Fifth Report and Order*, 15 FCC Rcd at 15316-17, ¶¶
    40-42; 47 C.F.R. § 1.2106(a); *see* 47 C.F.R. §§1.2105(a)(2)(xi).

[^34]: *See Auction No. 47 Comment Public Notice* at 2; *Auction No. 47
    Revised Comment Public Notice* at 2.

[^35]: *Id*.

[^36]: *See Auction No. 47 Comment Public Notice* at 2; *Auction No. 47
    Revised Comment Public Notice* at 2.

[^37]: Western Wireless Comments at 2.

[^38]: *Id*. at 8.

[^39]: *Id*. at 3-6.

[^40]: *Auction No. 47 Comment Public Notice* at 2; *Auction No. 47
    Revised Comment Public Notice* at 2.

[^41]: *Auction No. 47 Comment Public Notice* at 3.

[^42]: Balanced Budget Act, section 3002(a), 47 U.S.C. § 309(j)(4)(F).

[^43]: *Part 1 Third Report and Order*, 13 FCC Rcd 375, 455-456 ¶ 141
    (1997)*.*

[^44]: *Id*.

[^45]: *Auction No. 47 Comment Public Notice* at 3; *Auction No. 47
    Revised Comment Public Notice* at 2.

[^46]: *See* 47 C.F.R. § 1.2104(g)(2).

[^47]: *Auction No. 47 Comment Public Notice* at 4.

[^48]: *See* Extending Wireless Telecommunications Services to Tribal
    Lands, WT Docket No. 99-266, *Report and Order and Further Notice of
    Proposed Rule Making*, 15 FCC Rcd 11794 (2000); Wireless
    Telecommunications Bureau Announces Availability of Bidding Credits
    For Providing Wireless Services To Qualifying Tribal Lands, *Public
    Notice*, 15 FCC Rcd 18351 (2000); Wireless Telecommunications Bureau
    Releases Additional Information Regarding the Procedures for
    Obtaining a Tribal Lands Bidding Credit and List of Tribal Lands,
    *Public Notice*, DA 00-2836, (rel. December 14, 2000); Wireless
    Telecommunications Bureau Announces Enhancements to the Universal
    Licensing System to Help Winning Bidders of FCC Auctions File for
    Tribal Land Bidding Credits, *Public Notice*, DA 01-613, (rel. March
    8, 2001).

[^49]: *See* 47 C.F.R. § 1.2109(b) and (c).

[^50]: *See* 47 C.F.R. § 1.2109(d).

[^51]: Implementation of Section 309(j) of the Communications Act --
    Competitive Bidding, PP Docket No. 93-253, Amendment of Part 22 of
    the Commission's Rules to Provide for the Filing and Processing of
    Applications for Unserved Areas in the Cellular Service and to
    Modify Other Cellular Rules, CC Docket No. 90-6, *Ninth Report and
    Order*, 11 FCC Rcd 14769, 14791, ¶ 45 (1996) ("*Competitive Bidding
    Ninth Report and Order*").