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

**Federal Communications Commission** **News Media Information: (202)
418-0500**

**445 12^th^ Street, S.W. Internet:
[http://www.fcc.gov](http://www.fcc.gov/)**

# Washington, D.C. 20554 TTY: 1-888-835-5322

#######  DA 04-1727

####### June 18, 2004

**24 GHz SERVICE SPECTRUM AUCTION**

###### Status of FCC Form 175 Applications to Participate in the Auction

**Report No. AUC-04-56-C (Auction No. 56)**

The Federal Communications Commission ("Commission") has received five
FCC Form 175 applications to participate in Auction No. 56 scheduled to
begin on Wednesday, July 28, 2004, for 880 licenses in the 24 GHz
Service. The applications have been reviewed for completeness and
compliance with the Commission's rules, and have been classified into
the categories listed below.

**[Application Categories:]{.underline}**

**ACCEPTED FOR
FILING\...\...\...\...\...\...\...\...\...\...\...\...\...\...\....**
**1** **application**

**INCOMPLETE\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...\...**
**4** **applications**

**Accepted:** The application accepted for filing is listed in
Attachment A. **This applicant will become a** **qualified bidder upon
receipt of the required upfront payment due by 6:00 p.m. ET on June 29,
2004.**[^1] With respect to the FCC Form 175 application, the applicant
need take no further action except as may be necessary to maintain the
accuracy of the application.[^2] Attachment A also includes an FCC
account number that was automatically created by the FCC software system
for the applicant and indicates the licenses selected by the applicant
on its FCC Form 175 filing.

**Incomplete:** Applications found to be incomplete are listed
alphabetically in Attachment B. Applicants whose FCC Form 175
applications have been deemed incomplete will receive overnight
correspondence indicating what information is required to make the
applications acceptable for filing. **These applicants may become
qualified bidders only if they: (1) make the required upfront payments
by 6:00 p.m. ET on Tuesday, June 29, 2004; and (2) resubmit their
applications by 6:00 p.m. ET on** **Tuesday, June 29, 2004, to correct
the deficiencies indicated.** Applicants also must maintain the accuracy
of their FCC Form 175 applications as required by the Commission's
rules.[^3] Applicants are advised that Attachment B includes FCC account
numbers that were automatically created by the FCC software system for
each applicant.

The filing window for resubmitting FCC Form 175 applications is now
open. Corrected applications must be filed no later than **6:00 p.m. ET
on Tuesday, June 29, 2004.** This will be the only opportunity to cure
FCC Form 175 defects; late resubmissions will not be accepted. In
addition, if an application remains incomplete or otherwise deficient
after the resubmission deadline has passed, the application will be
dismissed.

**\*\* NOTE \*\*:** The FCC has scheduled a service outage for server
maintenance. Due to this scheduled outage, all Auctions systems will be
unavailable from 7:00 AM ET Saturday, June 26, 2004, until 8:00 PM ET
Saturday, June 26, 2004. As a result, the Form 175 Application & Search
system will be unavailable during that period.

### UPFRONT PAYMENT DEADLINE

Upfront payments and accompanying FCC Remittance Advice (FCC Form 159)
for Auction No. 56 are due in the proper account at Mellon Bank,
Pittsburgh, Pennsylvania, **no later than 6:00 p.m. ET on Tuesday, June
29, 2004.** **In order to meet the Commission's upfront payment
deadline, an applicant's payment must be credited to the Commission's
account by the deadline.**[^4] **Payments must be made by wire transfer
in accordance with the instructions provided in the *Auction No. 56
Procedures Public Notice*.**[^5] No other payment method is acceptable
for this auction. Applicants are reminded to use their FCC Registration
Number ("FRN"), [not]{.underline} their FCC Account Numbers, on the FCC
Form 159. Applicants must fax a completed FCC Form 159 (revised February
2003) 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).

**Applicants that have filed applications deemed to be incomplete, as
noted in this public notice, must submit timely and sufficient upfront
payments before the Commission will review their submitted
applications**. **If no upfront payment is made or the application
remains incomplete following its resubmission, the application will be
dismissed.** If the applicant has provided its FRN [and]{.underline}
wire transfer instructions from the payor of record, any upfront payment
made prior to dismissal will be refunded in a timely manner upon
request.

**Applicants are responsible for obtaining confirmation from their
financial institution that Mellon Bank has timely received their upfront
payment and deposited it in the proper account. We remind applicants
that to avoid untimely upfront payments they should discuss arrangements
(including bank closing schedules) with their banker several days before
making the wire transfer, and allow sufficient time for the transfer to
be initiated and completed before the deadline.** Detailed information
regarding upfront payments including additional requirements for "former
defaulters" can be found in the *Auction No. 56 Procedures Public
Notice* under Section II.E and Section III.D.[^6]

**Note: Applicants are reminded to submit the same FRN with all future
payments.**

### OTHER IMPORTANT INFORMATION

**Qualified Bidders:** Approximately two weeks after the upfront payment
deadline, following Commission review of resubmitted FCC Form 175
applications, and correlation of payments and applications, a public
notice listing all applicants qualified to bid in the auction will be
released. The same public notice will also include instructions for
participating in the mock auction and a bidding schedule for the mock
auction and the first day of the auction. []{.mark}

**Prohibition of Collusion:** Applicants are reminded that Section
1.2105(c) of the Commission's rules prohibits applicants for licenses in
any of the same geographic license areas from communicating with each
other during the auction about bids, bidding strategies, or settlements
unless they have identified each other as parties with which they have
entered into agreements under Section 1.2105(a)(2)(viii).[^7] For
Auction No. 56, this prohibition became effective at the short-form
application filing deadline on Friday, June 4, 2004, and will end on the
post-auction down payment deadline, which will be announced in a future
public notice.[^8] For purposes of this prohibition, Section
1.2105(c)(7)(i) defines applicant as including all controlling interests
in the entity submitting a short-form application to participate in the
auction, as well as all holders of partnership and other ownership
interests and any stock interest amounting to 10 percent or more of the
entity, or outstanding stock, or outstanding voting stock of the entity
submitting a short-form application, and all officers and directors of
that entity.[^9] If parties had agreed in principle on all material
terms of a bidding agreement(s), those parties must have been identified
on the short-form application under Section 1.2105(c), even if the
agreement had not been reduced to writing. If parties had not agreed in
principle by the filing deadline, an applicant should not have included
the names of those parties on its application, and must not have
continued negotiations with other applicants for licenses in the same
geographic areas.[^10]

The Bureau has encouraged applicants competing for licenses in any of
the same geographic license areas not to use the same individual as an
authorized bidder.[^11] 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 take precautionary steps to
prevent communication between authorized bidders.[^12]

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.[^13] Thus, Section 1.65 requires auction applicants
that engage in communications of bids or bidding strategies that result
in a bidding agreement, arrangement or understanding not already
identified on their short-form applications to promptly disclose any
such agreement, arrangement or understanding to the Commission by
amending their pending applications. In addition, Section 1.2105(c)(6)
requires all auction applicants to report prohibited discussions or
disclosures regarding bids or bidding strategy to the Commission in
writing immediately but in no case later than five business days after
the communication occurs, even if the communication does not result in
an agreement or understanding regarding bids or bidding strategy that
must be reported under Section 1.65.[^14]

Applicants that are winning bidders will be required to disclose in
their long-form applications the specific terms, conditions, and parties
involved in all bidding consortia, joint ventures, partnerships, and
other arrangements entered into relating to the competitive bidding
process. Any applicant found to have violated the anti-collusion rule
may be subject to sanctions.[^15] In addition, applicants are reminded
that they are subject to the antitrust laws, which are designed to
prevent anti-competitive behavior in the marketplace. If an applicant is
found to have violated the antitrust laws in connection with its
participation in the competitive bidding process, it may be subject to
forfeiture of its upfront payment, down payment, or full bid amount and
may be prohibited from participating in future auctions.[^16]

's applicable terms an[16.66\$5,751,2510]{.mark}t

**Ex Parte Rule:** Applicants should also be aware that the Commission
has generally exempted auction proceedings from the strict requirements
of the *ex parte* rule found in Section 1.1208 of the Commission's
rules.[^17]

**Mock Auction:** All applicants found to be qualified bidders will be
eligible to participate in a mock auction on Friday, July 23, 2004. We
encourage all qualified bidders to take advantage of this mock auction
to become familiar with the FCC Automated Auction System. In the
*Qualified Bidders Public Notice*, the Bureau will announce the bidding
schedule for the mock auction and give details about participation. The
mock auction will be conducted over the Internet, and telephonic bidding
will be available as well. As a contingency plan, bidders may also dial
in to the FCC Wide Area Network.

**Electronic Bidding:** Applicants are reminded that qualified bidders
are eligible to bid either electronically or telephonically. Applicants
should specify their bidding preference on the FCC Form 175.

Bidders can access the FCC Automated Auction System over the Internet.
Access to the system via the Internet requires, at a minimum, the
following hardware and software:

-   CPU: Pentium 133 or above

-   RAM: 32 MB (64 MB recommended)

-   Monitor: VGA or above

-   Mouse or other pointing device

-   Operating System: Microsoft® Windows™ 95™, 98™, 2000™, ME™, NT™, XP™

-   Web Browser, either of the following:

```{=html}
<!-- -->
```
-   Microsoft® Internet Explorer 4.0 or higher (recommended). Your
    browser must have either Microsoft VM or Java Plug-In Version
    1.3.1_08 installed.

-   Netscape® Communicator™ 4.0 or higher, with Java Plug-In Version
    1.3.1_08.

> Java Plug-In Version 1.3.1_08 is available for downloading at
> ***http://java.sun.com/products/archive/index.html***

As a contingency plan, bidders can also access the FCC Automated Auction
System by dialing in to the FCC's Wide Area Network. Bidders dialing in
to the FCC's Wide Area Network will need:

-   Modem: 28.8 Kbps Hayes© compatible modem or faster (56 Kbps
    recommended)

-   Point-to-Point Protocol (PPP) Dialer: Use the Dial-Up Networking
    feature included with the operating system

**Long-Form Applications:** All applicants should be aware that at the
long-form application stage, they will be subject to the more extensive
reporting requirements contained in the Commission's Part 1 ownership
disclosure rule.[^18]

**CONTACT INFORMATION**

For questions about payment or instructions for wiring upfront payments,
contact Gail Glasser, Auctions Accounting Group, at (202) 418-0578.

For specific questions about an applicant's incomplete status, the
applicant should contact the staff reviewer identified in the
correspondence sent to the applicant by overnight mail.

For technical assistance with using the FCC Automated Auction System,
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 8:00 a.m. to 6:00 p.m. ET. *All calls to the
FCC Technical Support Hotline are recorded.*

For additional information, contact the Auctions & Spectrum Access
Division: Howard Davenport (regarding legal questions) at (202)
418-0660; Roy Knowles (regarding bidding and auction procedures) at
(717) 338-2888; or Barbara Sibert (regarding bidding and general filing
status) at (717) 338-2888.

**- FCC -**

[^1]: *See* 47 C.F.R. § 1.2106.

[^2]: *See* 47 C.F.R. § 1.65. *See also "*Auction of 24 GHz Service
    Licenses Scheduled for July 28, 2004, Notice and Filing
    Requirements, Minimum Opening Bids, Upfront Payments, and Other
    Auction Procedures," *Public Notice,* 19 FCC Rcd. 4355, 4362
    (2004)69"*Auction No. 56 Procedures Public Notice"*).

[^3]: *See* 47 C.F.R. § 1.65.

[^4]: *See* Letter from Margaret W. Wiener, Chief, Auctions and Industry
    Analysis Division, Wireless Telecommunications Bureau, to Patrick
    Shannon, Esq., Counsel for Lynch 3G Communications Corporation, 18
    FCC Rcd 11552 (2003).

[^5]: *See Auction No. 56 Procedures Public Notice,* 19 FCC Rcd at
    4373-74.

[^6]: *Id.,* at 4373-76.

[^7]: 47 C.F.R. § 1.2105(a)(2)(viii); 47 C.F.R. § 1.2105(c)(1). *See
    also* *Part 1 Seventh Report and Order,* 16 FCC Rcd 17546 (2001);
    *Part 1 Fifth Report and Order*, 15 FCC Rcd at 15297-98, ¶¶ 7-8.

[^8]: 47 C.F.R. § 1.2105(c)(1).

[^9]: 47 C.F.R. § 1.2105(c)(7)(i).

[^10]: *See* "Wireless Telecommunications Bureau Clarifies Spectrum
    Auction Anti-Collusion Rules," *Public Notice*, 11 FCC Rcd 9645
    (1995).

[^11]: *See Auction No. 56 Procedures Public Notice,* 19 FCC Rcd at
    4361.

[^12]: *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*"*)*.

[^13]: 47 C.F.R. § 1.65.

[^14]: 47 C.F.R. § 1.2105(c)(6); *see also Part 1* *Seventh Report and
    Order*, 16 FCC Rcd at 17555, ¶ 17.

[^15]: *See* 47 C.F.R. §§ 1.2105(c), 1.2107(d), and 1.2109(d).

[^16]: 47 C.F.R. § 1.2109(d).

[^17]: 47 C.F.R. § 1.1208; *see* "Commission Announces that Mutually
    Exclusive 'Short-Form' Applications (Form 175) to Participate in
    Competitive Bidding Process ('Auctions') Are Treated as Exempt for
    Ex Parte Purposes," *Public Notice*, 9 FCC Rcd 6760 (1994).

[^18]: *See* 47 C.F.R. § 1.2112(b)(2).